The Role of The Orbitofrontal Cortex in Cognition and Behavior
The Role of The Orbitofrontal Cortex in Cognition and Behavior
Frank A. Jonker*, Cees Jonker, Philip Scheltens and Erik J.A. Scherder
No relationship between
A relationship between
A relationship between
A relationship between
reversal learning score
tial for human non-verbal communication (Frith and Frith,
and disinhibition
reversal test and
(Stone et al., 1998); it requires the capacity to judge inap-
disinhibition
disinhibition
propriate behavior in social situations. Recognizing a faux
behavior
pas requires empathic understanding, elements of mental-
izing, and an understanding that there might be a differ-
ence between the appreciation of the emotional impact of
a statement of the character who commits the faux pas and
behavior questionnaire
faces with emotional expressions. Both the faux pas test
Behavioral measures
and cooperativeness
The frontal behavior
inappropriateness
and recognition of expressed emotions test measure two
different aspects of social processing.
Up to now, it is unclear to what extent these recom-
(DSM-IV)
mended cognitive functions are related to behavioral changes
following orbitofrontal lesions. The goal of this review is
to address studies that investigated the performance of the
neuropsychological tests as suggested by Zald, in relation to
Is impulsiveness related to
dysfunction?
prefrontal cortex’ with the terms ‘brain injury’, ‘lesions’, ‘cognitive
dysfunctions’, ‘executive functions’ and ‘reversal learning’, ‘IOWA
gambling task’, ‘social cognition’, ‘behavioral changes’. Studies were
included if they contained clinical and laboratory cognitive test data
related to OFC damage, to behavioral changes in daily life, and to
Impairment on reversal
Impairment on reversal
Impairment on reversal
cognitive functions. Studies describing neurodegenerative diseases
reversal learning test
No impairment on
learning test
to the combination of the medial and ventral parts of the oribito-
frontal cortex, given the fact that these regions are highly intercon-
nected and anatomically difficult to distinguish (Fellows, 2007).
task
test
test
Some studies using more than one test sensitive to the OFC will occur
more than once in the following subsections.
frontal lesion
OFC damage
Table 1 The reversal learning task.
OFC lesions
unilateral
unilateral
Results
Berlin et al., 2005
Mitchell et al.,
Blair and
Author
on the reversal learning task and increase of impulsivity. made several perseverative errors, due to a low frustration
In one study comparing patients with ventromedial pre- tolerance, and the test could not be fully completed. No
frontal cortex (VMPFC) (n = 12) damage with non-VMPFC- deficits were found on two reversal learning tasks (i.e., the
damaged patients (n = 7), a severe impairment on the Four-Pack and the One-Pack Card-Playing tasks), which
reversal learning test was found in the VMPFC-damaged both measure to reverse a learned response (Blair and
group (Rolls et al., 1994). The location of lesions, mostly Cipolotti, 2000).
head injury or stroke, was determined with MRI and CT There were also no reversal learning deficits found in
scans. Of interest is that these deficits occurred in combi- a case study of a 51-year-old patient who suffered a pen-
nation with normal scores on a number of standard neu- etrating head injury at the age of 14 years in a cycling acci-
ropychological tests {i.e., paired associate learning, verbal dent (Mitchell et al., 2006a). A CT scan showed bilateral
IQ [from the Wechsler Adult Intelligence Scale – Revised orbitofrontal lesions. The patient served at least 15 years in
(WAIS-R)], Tower of London task}, tests that appeal to prison and showed aggressive, sexual offensive behavior.
planning and memory for planned actions (Rolls et al., He met the criteria of a psychopathy on the Psychopathy
1994). A staff questionnaire was administered to capture Check List – Revised (PCL-R). To address the behavioral
behavioral characteristics, e.g., disinhibition or social aspects, they found that the patient had a severe elevated
inappropriateness, violence, verbal abusiveness, uncoop- score on the unemotional characteristics, indicating
erativeness, on a five-point Likert scale. The performance antisocial behavior and lifestyle (Mitchell et al., 2006a).
on the behavioral questionnaire and the reversal tests The patient had an above average IQ and scored within
was highly correlated, especially for disinhibited behav- the normal range on standard neuropsychological tests,
ior (Spearman’s ρ = 0.76, p = 0.002) (Rolls et al., 1994). The including executive (WCST). Despite showing no rever-
authors conclude that behavioral disinhibition might be sal learning deficits, he was unable to reverse behavio-
due to reward and punishment insensitivity . ral responses in daily life, and the authors conclude that
In practically identical studies (Berlin et al., 2004, the patient’s aggressive behavior is the consequence of
2005), the aim was to study impulsiveness in patients (n = 23) an impaired ‘social response reversal system’, a multi-
with OFC damage (bilaterally or unilaterally) in relation to neurocognitive system that is involved in the processing
performance on a reversal learning task. On an informant of cognitive and social signals (Blair and Cipolotti, 2000;
behavioral questionnaire (Rolls et al., 1994), there was a Mitchell et al., 2006a).
significantly higher total score, indicating more behavio- In summary, the reversal learning task was found
ral problems, for the OFC group compared with non-OFC to be related to behavioral disinhibition in three studies
patients and controls (p < 0.005). Interestingly, increased and not with antisocial behavior. Of note, these deficits
self-report impulsivity of patients with OFC lesions was occurred independently of the performance on a number
correlated to reward and punishment deficits reflected by of standard neuropsychological tests, including executive
the reversal task; daily behavioral impulsivity and reversal functions.
learning performance were negatively correlated (r = -0.42,
p < 0.01). Interestingly, patients with OFC lesion had a sig-
nificantly faster sense of time, subjectively overestimating The IOWA gambling task (Table 2)
time, compared with healthy controls (p = 0.002).
No reversal learning deficits were found in a case Three of four studies (Mitchell et al., 2006a; Funayama
study describing a 56-year-old patient with bilateral et al., 2010; Poletti et al., 2010) describe a relationship
frontal lobe damage, involving the OFC, left temporal between the negative score on the IGT and behavio-
lobe, the left amygdala, following trauma. On a behav- ral changes. In one case study (Funayama et al., 2010),
ioral level, the patient met the Diagnostic and Statisti- a patient with a bilateral orbitofrontal damage scored
cal Manual of Mental Disorders, Fourth Edition (DSM-IV, extreme low on the IGT. The behavior was classified as a
1994) criteria of an antisocial personality disorder. His ‘squalor syndrome’, a disorder characterized by extreme
behavior existed of aggression, reckless regarding safety domestic and self-neglect (Funayama et al., 2010). More-
of others, reduced ‘empathy’, and disrupted social inter- over, the patient compulsively collected unnecessary
actions. He met the criteria for antisocial personality items; she acknowledged that she had a problem but was
disorder (DSM-IV, 1994). His cognitive profile was incon- unable to alter her behavior correspondingly. The authors
clusive, he had a normal IQ, and his scores on some tradi- conclude that this type of behavior is not due to neuro-
tional executive tests (STROOP, Trailmaking) were normal. cognitive disorders, as the patient showed no deficits on
However, on the Wisconsin Card Sorting Test (WCST), he standard neuropsychological tests. Hoarding is seen as
A relationship between
(Funayama et al., 2010). The orbitofrontal lesion is con-
disinhibition
patient had deficits in decision-making and was insensi-
shopping
behavior
tive of future consequences .
The second study (Mitchell et al., 2006a) compared
a bilateral orbitofrontal damaged patient, an ‘acquired
sociopath’ (Damasio, 1994), with developmental psycho-
collecting behavior, shopping for
Squalor syndrome: extreme self-
Disinhibition (FrSBe)
unnecessary thing
pathologic hypersexuality
changes in a patient with
executive functioning.
A 75-year-old patient is presented in a case study with
damage
Impairment on IGT
Impairment on IGT
OFC lesion
ated with impulse control, given the fact that the patient
was not able to change his strategy on negative feedback
reflected by the small score on IGT, and he was unable to
Funayama et al., 2010
Relationship cognition-behavior
contributes to reactive
Systems Behaviour Scale (FrSBe) (Grace et al., 1999), a
antisocial behavior
46-item behavior rating scale designed to provide a total
frontal disturbance score on three subscale scores apathy,
disinhibition, and executive function, there was a signifi-
aggression
behavior
cant difference in the observer rating (117) vs. patients (59)
score on disinhibition. Higher scores (T-score > 65) indi-
cated impaired behavior. The authors conclude that the
Behavioral measures
behavioral changes in the absence of impaired scores on
Disinhibition (FrSBe)
personality disorder
narcissism (PCL-R)
Characteristics of
neuropsychological tests, including standard executive
(DSM-IV criteria)
functions tests and IGT, are due the complex framework
autism (AQ)
Aggressive
Antisocial
of decision making of the frontal lobe and the small lesion
in the OFC.
In summary, three studies found a relationship
between a negative score on the IGT, indicating an impair-
psychopathy?
Social processing and ToM (Table 3)
impairment?
OFC damage
OFC damage
attributed to a general face processing impairment or to disinhibited behavior (e.g., random purchases) (see the
auditory deficits. No deficits were found in attributing IOWA Gambling Task section) (Namiki et al., 2008). The
mental states of others (ToM), including the faux pas. Of patient scores significantly low on the facial expression
interest is that the patient failed to attribute fear, anger, recognition task, especially on emotions recognizing hap-
and embarrassment to others on an emotional attribu- piness (p < 0.001), sadness (p < 0.001), and anger (p < 0.001).
tion test, a test where the patient had to appraise the Despite the normal score on the IGT, the patient made dis-
emotional state of the persons based on short stories. In advantageous decisions in daily life and in occupational
addition, he was not able to discriminate between social situations. Therefore, the authors conclude that a deficit
behaviors that would lead to social discomfort or violence. in emotion recognition alone (happiness and anger) does
It was concluded that failure in recognizing specific emo- not account for this behavior. His disinhibitory behavior is
tional expression, which strongly overestimates the con- explained in terms of an impaired ‘social response rever-
sequences of risks in social situations including deficits in sal’ system.
attributing emotions to others, is associated with decline In sum, not recognizing specific emotions, especially
in social behavior. Antisocial behavior is due to impaired happiness and anger, is more associated with socially
‘social response reversal system’, more specifically, the deviant behavior. ToM was not found to be related to
authors conclude that dysfunction of the ‘social response behavioral changes. Three studies explain deviant behav-
reversal system’ is a consequence of insensitivity to disap- ior in terms of the ‘social response reversal’ hypothesis. In
proving social cues (Blair and Cipolotti, 2000). all four studies, the patients showed an overall good per-
Using four types of ToM tasks (Umeda et al., 2010), formance on standard neuropsychological tests, includ-
including first- and second-order false belief, and advanced ing executive functions.
ToM tasks, including the faux pas test, two patients with
characteristics of autism, with both right and left OFC
damage, were examined. Both patients reported a decline
in spontaneous communication with others, having Discussion
social problems in everyday life (Umeda et al., 2010). Both
patients scored within the normal range on standard neu- The goal of the present review was to examine the rela-
ropsychological test, including executive tests. The authors tionship between the cognitive deficits on the tests sug-
only found mild difficulties on the more advanced ToM gested by Zald (e.g., reversal learning task, gambling
task in one patient with a left ventromedial lesion. In this tasks, tasks on social processing and ToM) and behavioral
specific case, the somewhat lower but normal scores on changes following orbitofrontal lesions. The recent find-
the delayed recall on the WMS-R could account for the low ings suggest the following:
score on the advanced ToM task. The patient had some dif- 1. Deficits in reversal learning and recognition of
ficulty in remembering exact story contents. On the Autism- expressed emotions are related to behavioral changes
Spectrum Quotient (AQ) q uestionnaire both cases showed following OFC damage. This is consistent with
a major problem on the social interaction subscale. The the view that a separate (neuro-)cognitive system
authors conclude that the observed mild ToM impairments causes profound emotional and social behavioral
alone do not explain all social interaction deficits. Notably, changes following orbitofrontal cortex lesions (Rolls
both patients recognized a faux pas in the stories contain- et al., 1994; Blair and Cipolotti, 2000; Mitchell et al.,
ing no faux pas. This could not be explained as being due 2006a,b). We found that deficits in reversal learning
to perseveration errors on the WCST. They suggest that might be associated with ‘behavioral disinhibition’,
overcompensation (i.e., one amplifies the opposite behav- and deficits in recognition of emotions might be asso-
ior to compensate for a deficit) might explain the insensi- ciated with ‘rigid or antisocial behavior’. In two stud-
tivity to the recognition of a faux pas and therefore some ies (Blair and Cipolotti, 2000; Mitchell et al., 2006a),
of the behavioral problems. They also cautiously conclude we did not find any deficits on the reversal learning
that the right ventral part of the OFC has been associated task. From an anatomical point of view, a possible
with deficits on the ToM, whereas the left ventral part of explanation for this discrepancy could be the crude
the OFC might be related to social behavioral components way (e.g., CT, MRI, SPECT) of describing the orbito-
(Umeda et al., 2010). frontal lesion in the studies reviewed here. Studies
In contrast, no clear relationship is found between show that impairment on the reversal learning task
impairment of recognition of emotions in a case study in both humans and animals is more associated with
with a traumatic bilateral orbitofrontal lesion and marked the medial part of the OFC (Izquierdo, 2004; Blair,
2007; Fellows and Farah, 2007), whereas the lateral ToM test (Stuss and Levine, 2002; Geraci et al., 2010;
part of the OFC is more involved in recognizing inap- Leopold et al., 2012). A possible explanation for this
propriate social behavior and emotional regulation discrepancy, as mentioned earlier, is the crude way
(Blair and Cipolotti, 2000). In a recent study, it was of describing the orbitofrontal lesion, as the prefron-
concluded that Brodmann area 11, a major part of the tal cortex can be divided in three different regions: a
OFC in humans and animals (Anderson et al., 2006; dorsolateral region, a orbitofrontal region, and the
Rudebeck and Murray, 2011b), is not critical for rever- anterior cingulate region (Cummings, 1995). The orbit-
sal learning (Bachevalier et al., 2011; Rudebeck and ofrontal region can be subdivided into medial, ven-
Murray, 2011b). In the case studies reviewed here, tral, and lateral parts (Moll et al., 2008). In the studies
no subregions or Brodmann areas were mentioned, reviewed, the term ‘OFC’ refers to the combination of
whereas, in addition, the location of lesions (four the medial and ventral regions of the prefrontal cor-
patients bilaterally and two right and one left orbito- tex, given the fact that the medial and ventral regions
frontal damage) shows no distinctive influence on are highly interconnected and anatomically difficult
both reversal learning and ToM tasks. to distinguish (Fellows, 2007). Another explanation
From a functional point of view, it has been sug- might be that most ToM tasks, in the studies reviewed,
gested that the OFC stores an accumulated reward are story based. One must detect socially inappropri-
history, based on positive and negative reinforce- ate behavior, a task that appeals more to cognitive
ment, which estimates the outcome and value of functions (Blair and Cipolotti, 2000) instead of affec-
an (social) action (Fellows and Farah, 2005, 2007). tive aspects. It is suggested that a distinction should be
The inability to change behavior after orbitofrontal made between ‘cognitive’ and ‘affective’ ToMs, which
damage might be a consequence of an inability to are both differently organized in the brain (Blair and
change specific reinforcement patrons, based on the Cipolotti, 2000; Shamay-Tsoory et al., 2005). Damage
individual reward history (Fellows and Farah, 2007; to the VMPFC reflects the more affective aspects of
Wallis, 2007) as reflected by deficits on reversal learn- ToM (Shamay-Tsoory et al., 2006; Shamay-Tsoory and
ing. Others propose the ‘social response reversal’ Aharon-Peretz, 2007; Leopold et al., 2012).
hypothesis, which states that there is a system that 3. Complex higher-order cognitive functions in which
modulates behavior when faced with disapproving the OFC plays a role, such as learning and adapting
social cues (Blair and Cipolotti, 2000), i.e., negative to changing reinforcement contingencies, decision-
emotions, and identifying and responding to socially making and social processing, and ToM, do not coin-
inappropriate behavior (Blair and Cipolotti, 2000; cide with standard neuropsychological functions.
Mitchell et al., 2006a,b). According to this hypoth- Much of what is known about neuropsychology is
esis, the inability to recognize specific expressed based on patients with dorsolateral prefrontal cortex
emotions, particularly expressions depicting anger, dysfunctions, which is involved mainly in cognitive
might disrupt stimulus-associated motor responses, functions, in particular executive functions (Duffy
under the influence of the amygdala, which may lead and Campbell, 1994; Stuss and Levine, 2002). The
to rigid behavior (Fellows and Farah, 2007; Namiki results presented here suggest that deficits on reversal
et al., 2008). Hence, in most cases, the patients were learning tasks and recognition of expressed emotion
well aware that their behavior was not appropriate are indeed differently localized in the brain, consid-
but could not suppress their behavior. This asymme- ering that in all studies referred in this review, no
try between ‘knowing how to behave’ and ‘behaving impairment was found on standard neuropsychologi-
in an inappropriate way’ is also seen in studies on cal functions.
psychopathy with antisocial behavior and is closely 4. The IGT seems to have components of reversal learn-
related to morality (Slachevsky et al., 2006). A large ing (Mitchell et al., 2006a). This suggests that the IGT
difference has been found between an individual’s is a complex instrument that taps several cognitive
ability to be morally competent and morally perform- processes (Bechara et al., 1999; Busemeyer and Stout,
ing, underlining that these processes are indeed sub- 2002). The negative score on the IGT was found to
served by different brain regions (Moll et al., 2008). be related to a mixture of behavioral characteristics
2. No deficits were found on the different ToM tests (compulsively collecting items, antisocial behavior,
following orbitofrontal damage. This is in contrast random purchases). Overall, one could say that this
to neuroimaging studies that report a relationship type of behavior might be classified as ‘impulse con-
between lesions in the OFC and impairment on the trol disorder’. The IGT is designed to assess real-life
decision making and is said to be sensitive to (right) studies, and there is no information on the validity or
VMPFC damage (Bechara et al., 1994). In line with the reliability of most of these measures. Based on the most
original work of Bechara et al. (1994), which incor- frequently used terms to ‘capture’ behavioral changes fol-
porated patients with relatively extensive bilateral lowing OFC, we have clustered the behavioral disorders in
lesions, we also found that most patients had pre- three clinically based concepts: disinhibition, antisocial-
dominantly bilateral orbitofrontal injury. We describe rigid behavior, and impulse control disorder. We are well
one study with a small orbitofrontal lesion and no aware that these three categories are arbitrary, consider-
deficits on the IGT (Namiki et al., 2008), which is in ing that all terms refer to the inability to control or change
line with Manes et al. (2002), who showed that small behavior.
unilateral lesions restricted to the OFC has no effect
on the IGT. The fact that patients with orbitofrontal
damage tend to make socially inappropriate decisions Conclusion
while rationally aware of possible negative future
consequences of their actions might be influenced by Given the heterogeneous and complex nature of pro-
the reversal learning components of the IGT (Manes cesses subserved by the OFC, results from both animal
et al., 2002; Berlin et al., 2005; Fellows, 2007). This is and human experimental studies suggest that the main
emphasized in a study where they found no difference function of the OFC is (rapidly) processing and select-
between patients with dorsolateral prefrontal damage ing the probable reward value of stimuli in a changeable
and those with ventromedial prefrontal damage on environment (Blair and Cipolotti, 2000; Mitchell et al.,
the IGT (Fellows and Farah, 2005). They conclude that 2006a; Rushworth et al., 2007; Kazama and Bachevalier,
an impaired score on the IGT of ventromedial patients 2009; Rudebeck and Murray, 2011a,b; Rudebeck et al.,
is explained by an underlying reversal learning defi- 2013). Given the result of our review, one could conclude
cits. Studies showed that both patients with amyg- that the suggested clinical tests by Zald measure subcom-
dala damage and those with ventral medial prefrontal ponents of this complex stimulus reinforcement process.
damage performed abnormally on the IGT (Bechara The development of an validated clinical task, a task
et al., 1999). that measures the value of stimulus-reinforcement-out-
come processes, would strengthen the relationship with
the behavioral changes following orbitofrontal damage
(Rushworth et al., 2007; Walton et al., 2011).
Limitations
This study has several limitations. (a) Most of the studies Recommendations
are case studies (n = 1), or studies with low sample size (n),
consist predominantly of men, and with large differences The results of this review suggest that behavioral changes
in the length of time after the lesion (6 months to 42 years) following orbitofrontal lesions are related to cognitive
and differences in age (31–75 years). (b) To establish the dysfunctions, as suggested Zald and Andreotti (2010), and
extent and location of the orbitofrontal lesion, different not sensitive to standard neuropsychological tests. We
neuroimaging methods (CT scan, MRI, SPECT) have been therefore recommend that the different reversal learning
used (Rolls et al., 1994; Hahm et al., 2001; Namiki et al., (based on animal research) and recognition for expressed
2008; Poletti et al., 2010), which could account for the emotions tests should be first tested on psychometric prop-
discrepancy in our findings. In addition, this review and erties for prefrontal lobe dysfunctions in a Dutch popula-
other studies (Umeda et al., 2010) show that using the MRI tion. Second, we recommend neuroimaging for diagnostic
revealed (Shamay-Tsoory and Aharon-Peretz, 2007) more purposes and administration of the tests described here
lesions compared with CT. (c) The substantial differences (reversal learning test, recognition of expressed emotion
in test administration of the reversal learning (Blair and test, and IGT) in case of severe behavioral changes caused
Cipolotti, 2000; Rolls, 2000; Berlin et al., 2004) and social by supposed brain damage and in the absence of execu-
cognition tests (Mitchell et al., 2006a; Umeda et al., 2010) tive deficits (Spikman et al., 2013).
might have influenced the results. The absence of reliable To significantly increase the understanding of the
data or any psychometric data for these various test ver- OFC in relation to behavioral disorders, future studies
sions makes it difficult to interpret the findings. (d) The should involve large numbers of patients with well-
measures of real-world behavior are very variable across defined lesions in the orbitofrontal region and integrate
different tasks that measure responses to changing Duffy, J.D. and Campbell, J.J. (1994). The regional prefrontal syn-
stimulus-reward contingencies, neuroimaging, neuro- dromes: a theoretical and clinical overview. J. Neuropsychiatry
Clin. Neurosci. 6, 379–387.
physiology, and structural behavioral measures (Zald and
Fellows, L.K. (2007). The role of orbitofrontal cortex in decision making:
Andreotti, 2010). a component process account. Ann. NY Acad. Sci. 1121, 421–430.
Fellows, L.K. and Farah, M.J. (2005). Different underlying impair-
Acknowledgments: F.A.J. would like to express his deep ments in decision-making following ventromedial and dorsolat-
gratitude to E.J.A. Scherder, C. Jonker, and P. Scheltens, eral frontal lobe damage in humans. Cereb. Cortex 15, 58–63.
Fellows, L.K. and Farah, M.J. (2007). The role of ventromedial pre-
his research supervisors, for their patient guidance,
frontal cortex in decision making: judgment under uncertainty
enthusiastic encouragement, and critical revision of the or judgment per se? Cereb. Cortex 17, 2669–2674.
manuscript for important intellectual content. He would Floris, G., Cannas, A., Melis, M., Solla, P., and Marrosu, M.G. (2008).
also like to thank GGZ Altrecht, Vesalius Centre for Neu- Pathological gambling, delusional parasitosis and adipsia as
ropsychiatry; Department of Clinical Neuropsychology, a post-haemorrhagic syndrome: a case report. Neurocase 14,
VU University; Alzheimer Centre and Department of Neu- 385–389.
Frith, U. and Frith, C.D. (2003). Development and neurophysiology of
rology, VU University Medical Center for their financial
mentalizing. Philos. Trans. R. Soc. Lond. B. Biol. Sci. 358, 459–473.
supporter on this research project. Fujii, T., Suzuki, M., Suzuki, K., Ohtake, H., Tsukiura, T., and
Miura, R. (2005). Normal memory and no confabulation after
extensive damage to the orbitofrontal cortex. J. Neurol. Neuro-
surg. Psychiatry 76, 1309–1310.
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Philip Scheltens received his MD in 1984 at VU University and Erik Scherder is head of the department clinical Neuropsychol-
became a staff neurologist in 1991. He defended his PhD thesis on ogy and full professor at the VU University Amsterdam (the
MRI in Alzheimer’s disease in 1993 and was appointed a Professor Netherlands). Furthermore he is full professor for Human Move-
of Cognitive Neurology in 2000. From that time on he led the Alzhei- ment Sciences at the Rijksuniversiteit Groningen (the Netherlands).
mer Center which grew into the largest in the Netherlands under his Currently, he is conducting research on pain experience in people
leadership in terms of patient care and research. He was honored with neurodegenerative diseases.
with a membership of the Royal Academy of Arts and Sciences in
2011.