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The neuropsychology of basal ganglia

Daria Riva, MD, Matilde Taddei, PhD, Bulgheroni Sara, PsyD

PII: S1090-3798(17)31833-0
DOI: 10.1016/j.ejpn.2018.01.009
Reference: YEJPN 2364

To appear in: European Journal of Paediatric Neurology

Received Date: 4 August 2017

Accepted Date: 8 January 2018

Please cite this article as: Riva D, Taddei M, Sara B, The neuropsychology of basal ganglia, European
Journal of Paediatric Neurology (2018), doi: 10.1016/j.ejpn.2018.01.009.

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The neuropsychology of basal ganglia

Daria Riva, MD, Matilde Taddei, PhD, and Bulgheroni Sara, PsyD

Developmental Neurology Division

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Fondazione IRCCS Istituto Neurologico C. Besta

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Via Celoria 11 – 20133, Milan, Italy

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Corresponding author

Daria Riva

Phone: +39 02 23942215


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daria.riva@istituto-besta.it
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Abstract

Basal Ganglia are subcortical structures specialized at very early age, functionally different

according to the right or left side. They are part of complex distributed network composed by

parallel segregated loops where specific information are processed and open loops where

different information are integrated. These loops are connected to specialized cortical areas

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thus entering into distributed processing of higher order cognitive functions and behaviors.

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Lesion or malfunction of basal ganglia nuclei cause deficits in different neuropsychological

functions and neurobehavioural diseases, such Autism Spectrum Disorder, Attention

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Deficit/Hyperactivity Disorder, Tourette syndrome, etc., for the reciprocal connections from

and to the limbic system and the frontal system.

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Basal ganglia have a computational functioning, working by activation and inhibition
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sequences, coded in time and space and regulated by inhibitory and excitatory mechanisms,
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with such accuracy to guarantee an effective and elegant product.


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Key words: basal ganglia; neuropsychology; movement; cognition; behaviour


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Basal Ganglia (BG) are involved not only into motor sequencing, motor skills and complex

actions, but also in the modulation of higher order cognitive functions, mood regulation and

non-motor complex behaviours that need to process and integrate different types of

information. These evidences stems from the clinical experience with patients with movement

disorders that also show associated symptoms both in emotional and cognitive-

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neuropsychological domain, and from anatomical and functional imaging that show how BG

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are activated together with other cortical regions in complex non-motor tasks. There are also

BG diseases that cause only neuropsychological and neurocognitive deficits without

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movement disorder.1-3

The aforementioned evidences demonstrate how BG are implicated in the processing of

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higher cognitive functions as first defined by Alexander,1, 4-5 then resumed by other authors.6-8
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These functions are the ultimate product of complex operations possible underlined by
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associative connections between BG and sensorimotor cortexes. These areas are highly

specialized, work synergistically (every area is always aware of what's happening in another
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area) thanks to a high degree of connectivity, guaranteed by complex networks widely


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distributed throughout the brain.9

The brain organization in large scale circuits is active very early in childhood and develops
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from more elementary networks, connecting only sensorimotor areas, to very complex circuits

connecting several brain regions, mainly with associative or multimodal role, able to integrate
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stimuli by different modalities. There is converging evidence suggesting that by age 7–9

children manifest a similar type of functional architecture and organization as adults, at least

at a whole-brain level.10 The mathematical models derived from the Graph Theory11 and

confirmed by neuroimaging studies describe how the brain works as a single entity thanks to

its high connectivity, but maintaining strong local specialization. Inter-regional connectivity is

organized in small-world topology, i.e. distributed networks interconnect different areas,

some of which are more specialized in processing a specific part of the function. The brain is
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organized in tightly clustered sub-networks and combined with a high level of local and

global connectivity. This model supports: a) segregation and super-specialization; b) extended

distributed information processing but integrated, and c) economics and efficiency.12

The distributed language system is a good example of networking which conjugates high

specialization and integrated information processing . In the right handers it is more

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represented on the left hemisphere, but with an extended distribution throughout the two

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hemispheres. A lesion at any point in the network causes a language disorder, but the severity

of the disorder is higher when the lesion involves super-specialized areas the so-called hubs.

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For example, a lesion in the Broca area will cause a major language disorder than possible

injury in areas defined as 'minor' or ‘provincial’.13

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The functional organization of the BG formulated in the 1980s was based on the concept that
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neuronal signals from the cortex flow to the striatum, through the Globus Pallidus and
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Substantia Nigra pars reticulata, and project back to the cortex via the thalamus, forming

parallel cortico–basal ganglia–thalamo–cortical loops. Although the model was primarily


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formulated to understand the pathophysiology of movement, the existence of parallel circuits


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subserving oculo-motor control, executive functions, and emotions was also recognized.9

Growing experimental and clinical evidence supports that the cortico-basal ganglia-thalamo-
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cortical loops proceed along parallel circuits linking cortical and subcortical regions

subserving the processing of sensorimotor, associative and affective tasks.14


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Thus the BG role is to participate in complex circuits that are in strong connection with

different areas of the cerebral cortex, from which they collect information and to which after a

local processing they re-sent through the output nuclei, Thalamus and Substantia Nigra.

Highly-segregated circuits process information from specific cortical areas before projecting

back to their cortical original regions. Thus each loops appear to be involved in distinct

behavioural functions.8

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There are two distinct pathways that process signals through the BG: the direct and the

indirect pathways which have opposite effects on thalamic target structures. The exciting

indirect pathway inhibits thalamic neurons rendering them unable to excite motor cortex

neurons. The normal BG functioning apparently involves a proper balance between the

activity of these two pathways. 7 One hypothesis is that the direct pathway selectively

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facilitates certain motor or cognitive programs in the cerebral cortex that are adaptive for the

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present task, whereas the indirect pathway simultaneously inhibits the execution of competing

motor programs. An upset of the balance between the direct and indirect pathways results in

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the motor dysfunctions that characterize the extrapyramidal syndrome. If the inhibition

prevails, the prototypic disease is the Huntington Disease, while the prevalence of the indirect

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pathway causes diseases like Parkinson's disease.
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BG intervene in regulating the balance between inhibitory and excitatory effects by inhibiting
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motor sequences that do not serve in the reference, or that may be interfering, allowing an

elegant and effective end product. At the cortical level, the information goes through the
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input structures (Caudate, Putamen and Ventral Striatum), and then arrive at the output
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structures that reverberate in the thalamus to return back to the cortex (Internal Globus

Pallidus, and Substantia Nigra pars reticulata). Transferring this mode of operation to
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cognitive, relational and emotional functions permits to understand how the main role of the

BG, also in this context, is to modulate a balance to reach an harmonious and smooth
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behaviour.

The organization of the BG system is based on striatal afferents coming from all the cortices

organized in three distinct pathways. The premotor, motor, and somatosensory cortices in the

frontal lobe project mostly to the postcommissural putamen where a somatotopic

representation of the leg, arm, and face occurs in the form of obliquely arranged strips. The

caudate nucleus and precommissural putamen receive projections, mostly unilateral, from

association areas of the prefrontal, temporal, parietal, and cingulate cortices, and motor areas
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in the frontal lobe that control eye movements. The afferents from limbic cortical areas as

well as from the amygdala and the hippocampus terminate preferentially in the ventral portion

of the striatum.15

The cortical motor oculomotor, dorso-lateral prefrontal, orbitaofrontal and limbic areas, sends

and receives afferences, demonstrating how the brain works through segregated loops that

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ensure specialization. Haber and colleagues studied the organization of thalamic connections

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between cortex and BG, in particular the striatum, in the Macaque monkey and showed how

connections make it possible for multiple stimuli to coexist, i.e. the striatum is organized as

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small associative areas that act as integrators of different stimuli.16-18

The integration of the information is ensured by the existence of open loops coupled with the

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specialized processing, which is ensured by the specialization of the typical circuit of that
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particular structure. The presence of distinct cortico-striatal connections that are organized as
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multiple circuits has been confirmed by Diffusion Tensor Imaging–based fiber tracking

studies, showing that the posterior (sensorimotor), anterior (associative), and ventral (limbic)
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compartments of the human striatum have specific connections with the cortex, and
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particularly the frontal lobes.19

In particular, there is evidence that a strict topographic segregation is maintained during the
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processing of sensorimotor information flowing from cortical motor areas to the sensorimotor

areas of the BG. The output from the BG to the motor thalamus, which projects back to
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neocortical motor areas, is also organized into topographically segregated channels. This high

degree of topographic segregation is demonstrated by the presence of a well-defined

somatotopic organization in the sensorimotor areas of the BG. The presence of body maps in

the BG has become clinically relevant with the increasing use of surgical procedures, such as

lesioning or deep brain stimulation, which are selectively aimed at restricted subcortical

targets in the sensorimotor loop such as the subthalamic nucleus or the globus pallidus pars

interna.14
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Neuropsychological deficits in disorders after lesions of BG

We discuss the neuropsychological deficits in acquired disorders caused by BG lesions and

then neurodevelopmental disorders characterized by GB dis-function. Neuropsychological

and behavioural deficit concerning movement disorders are described in the relative chapters.

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Language

Alexander,1,4 one of the earliest supporters of the BG involvement in the processing of higher

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cognitive functions, distinguishes various types of aphasia in relation to lesion localization in

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BG. Lesion in the motor loop (Putamen, genu Corpus Callosum) cause speech disorder as

dysarthria or anarthria, injuries in the motor initiation loop (fibers from the pre-frontal cortex,

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cingulate lap, supplementary motor area) result in mutism, hypokinesia and hypophonia,
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finally the involvement of Broca or Wernicke areas may lead to Broca or Wernicke aphasia
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characterized by impaired word retrieval or language comprehension. In children subcortical

aphasia presents variable symptoms in relation to the cortex connections, but there are always
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speech motor disorders, probably because BG participate in the motor repetition at the base of
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language learning.

The case reports of subcortical aphasia are few. Aram and colleagues20 described some
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patients with subcortical aphasia identifying in all speech disorders and good recovery in

short time. Martins and Ferro21 studied subjects with Broca aphasia, transcortical aphasia and
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anomic aphasia while Paquier 22 collected from different series patients with Broca aphasia,
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sensori aphasia, and fluent aphasia.

We have evaluated ourselves 14 children, a mean of 10 years after BG acquired stroke, we

didn’t find diverse clinical aphasic pictures in relation to lesion side localization, but

persistent deficit in phonological fluency (group mean z score -1.7) (personal data).

The authors also assessed hemiplegic children with left unilateral congenital lesions involving

or not BG, using the dichotic listening task to evaluate hemispheric language lateralization.23
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The main result is the shift of the language phonological coding to the right hemisphere was

strong correlated with lesion size and involvement of BG, in particular the Thalamus.

In language process, BG not only acts as a computational part in complex circuits, but also

participate in the application of rules, such as allow the ability to combine morphems to form

complex words and declarative verbs.24-26

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Teichmann et al.27 confirmed that the left Striatum participates not only in processing lexicon

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in language and arithmetic (i.e. to give the right name to things and numbers), but also in

processing morphological and syntactic combinatorial rules. An internal topography is also

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described: the ventral part of the left striatum would process the rule-based mechanisms,

while the dorsal part would be involved in lexical procedures.

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Spatial neglect is lateralized disorder of space processing. The disorder is more common in
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patients with a right injury and is characterized by the difficulty/inability to explore the space

contralateral to the lesion and to react to stimuli located in this hemispace. According to the
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Mesulam’s model,28 the spatial attention processing is lateralized predominantly in the right
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hemisphere. Little is observed but little is sought in children: the improvement evolution after

the acute phase is very fast making difficult to detect deficits, but the evaluation of children
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at distance from the injury, showed that the deficit contralateral to the lesion emerged when

both Putamen, Pulvinar and Caudate were involved, confirming the crucial BG role in
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spatial attention also in childhood.29-31 We also studied 24 children con unilateral congenital
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lesion of which 14 with involvement of BG (7 right) and we found that only children with

lesion including Putamen and Pulvinar showed attentional deficit, but not neglect, in the

hemispace contralateral to the lesion either left or right (personal data).

Putamen and Pulvinar (and to a lesser extent Caudate and Thalamus) are connected to the

Superior Temporal Gyrus entering into the coherent and distributed cortical-subcortical

network generating spatial neglect.32


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Memory is another function whose processing involves BG. There are no systematic studies

in children. The majority of memory data result from the comparison of adult populations

mainly with Huntington and Alzheimer diseases.

Memory is a highly complex system with a macro-distinction between short-term and long-

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term memory.33 Within the long-term memory there are the implicit memories of which we

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have no consciousness, and the explicit memories, which require a conscious processing to be

recalled. BG enter the circuit of non-cognitive memories, while cognitive memories involve

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the parietal lobe and temporal-mesial structures such as hippocampal and para-hippocampal

regions, entorhinal cortex and part of Amigdala. Patients with Alzheimer's have explicit

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memory deficits (lexicon , semantic and narrative verbs), while Huntington Disease patients
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have implicit memory impairment (motor skill learning).34-37
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The BG also play a critical role in memory-guided motor planning and movement

sequencing. Menon and colleagues38 used a motor sequencing task to investigate the
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differential role of BG nuclei in memory-guided movement in normal subjects. Significant


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fMRI activation was observed in the Dorso-Lateral Pre-Frontal Cortex and posterior putamen

and globus pallidus. Their results showed that, during memory-guided movement, the
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posterior putamen and globus pallidus play a role in maintenance of representations in

working memory and contribute to planning and temporal organization of motor


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sequencing.38
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Executive functions are a set of cognitive functions to achieve a specific goal with

simultaneous control and integration of a set of cognitive operations to achieve the intended

goal in the most economical and efficient way possible. They are interested in emotions,

motivations, strategy planning and problem solving, monitoring, rapid attention shift,

necessary when the strategy is being implemented and the execution of the action.
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It has always been thought that the prefrontal dorsolateral cortex governs executive functions,

but the discovery of mirror neurons and associative function of the cerebellum make the issue

more complex. It has been shown that the Nucleus Dentate of the Cerebellum projects to the

Striatum which in turn projects to the frontal lobe. The programming of executive functions

no longer seems to be top-down process, but it would be a snapshot of all its functions

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(thinking and doing would be the same, without the action there would be no thought). Such

structures would be able to anticipate and do the same action at the same time.39-40

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Neurodevelopmental disorders

The connections between the BG and limbic and pre-frontal cortices are very interesting,

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because their malfunction is the basis of very dramatic neuropsychiatric disorders,
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characterized not only by motor disorders but also by severe behavioural and
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neuropsychological symptoms.

The anatomy and connections of the BG indicate that these structures are important links
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between parts of the brain that have classically been considered to be related to emotional
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functioning and brain regions previously considered to have largely motor functions. The BG

have a role in the development and integration of motor functions, memory and attention, and
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reward processes.

Also in processing complex behaviours the cortexes project first to the striatum , then to the
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Pallidus and return to the cortex through the thalamus The projections are specific: the

Cingulatus Gyrus participates to the process of motivational mechanisms and sustained

attention, projecting to specific regions of the striatum; the orbital frontal cortex participates

to the process of empathy, social relationships, and the ability to understand a context and

infer others’ behaviour (theory of mind); the dorsolateral prefrontal cortex that participates in

the executive functions (as well as the Cingulum that manages the motivation), i.e. the ability

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to achieve a goal by implementing mechanisms that must necessarily be controlled

synchronously, project to the striatum and back to the cortexes of origin.

Disturbed BG function may result in abnormal activation of the frontal lobes and thalamus,

via dorsal lateral prefrontal and orbitofrontal circuits, leading to their overlapping clinical

characteristics.

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Autism is a neurodevelopmental disorder characterized by impaired social interaction, verbal

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and non-verbal communication, and restricted and repetitive behaviour. The ritualistic and

repetitive mechanisms, encompasses a broad range of symptoms including motor

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mannerisms, unusual preoccupations and interests and extreme rigidity. This behaviour

involves the BG. The size of the nuclei can be decreased41 or increased as demonstrated by

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Rojas et al. 42 who found that the severity of repetitive and stereotyped behaviour was
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associated with a significant increase (8%) of caudate nucleus.
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Attention Deficit/Hyperactivity Disorer (ADHD), is a chronic condition marked by

persistent inattention, hyperactivity, and sometimes impulsivity. Convergent data from


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neuroimaging, neuropsychology, genetics and neurochemical studies consistently point to the


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involvement of the frontostriatal network as a likely contributor to the pathophysiology of

ADHD. This network involves the lateral prefrontal cortex, the dorsal anterior cingulate
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cortex, the caudate nucleus and putamen.43

In ADHD children there is an atypical activation of the frontal lobe and the and Thalamus.44-
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Volumetric studies have demonstrated an alteration of hyper or hypo-density of the

structures involved.43,46-47

Along with prefrontal regions, the caudate nucleus and its associated circuits have long been

implicated in ADHD.48 Researchers have shown both volumetric and asymmetry differences

in the caudate between ADHD and control groups, even if these findings have not been

consistent across studies.47 Moreover, findings suggest that regional brain volumes are

associated with greater ADHD symptom severity. For example Castellanos et al.49 found
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frontal and temporal gray, caudate, and cerebellar volumes to be significantly correlated with

global clinician ratings and parent ratings of child attention problems.

Tourette's syndrome is another very complex disorder with onset in childhood,50

characterized by multiple motor tics and at least one vocal (phonic) tic. Among the most

severe cases, attention deficit hyperactivity disorder and obsessive compulsive disorder are

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present at higher rates. These co-occurring diagnoses often cause more impairment to the

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individual than the tics. While the exact cause is unknown, it is believed to involve a

combination of genetic and environmental factors. The malfunctioning of fronto-striatal

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circuit is a consistent finding;2,51 specifically, volumetric studies showed decreased Caudate

Nucleus volumes across adults and children, whereas the volumes of the putamen and the

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globs pallidus are decreased primarily in adults. 52
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Although the BG connections are widely distributed in the two hemispheres, BG seem to be

functionally different according to the involvement of the right or left side.53-55 In our clinical
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practice we observed a child with a pilocytic astrocytoma of the right BG who showed a
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perfect language, but a cognitive\behavioural phenotype characterized by disruptive

hyperactivity, a major disturbance of attention with obsessive-compulsive behaviours and


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coprolalia, and deficit in all non-verbal visual-spatial tests. This asymmetry between verbal

and non-verbal performance has already emerged in the Wechsler Scales’ profile with good
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Verbal versus poor Performance IQ. Furthermore we observed a child with a stroke in the left

caudate nucleus, who showed in the acute phase a transcortical aphasia which improved

rapidly, but with persistent deficits in semantic and phonemic fluency over time.

Conclusions

BG are subcortical structures specialized at very early age, functionally different according to

the right or left side. The network may be viewed as multiple parallel loops and re-entering
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circuits whereby motor, associative, and limbic territories are engaged mainly in the control

of movement, behaviour, and emotions. These loops have reciprocal connections with

specialized cortical areas and thus entering into distributed and segregated networks

underlying specific complex functions and behaviours. There are internal specializations and

internal integration areas between different loops.

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Their lesion o malfunction cause deficits in different functions, such as language (aphasia),

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implicit memory, spatial attention and executive functions.

Alexander and colleagues1,4-5 suggest that the BG have a computational role where each

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component is part of complex and widely distributed neural segregated and open circuits.

They work through activation and inhibition sequences, coded in time and space and

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regulated by inhibitory and excitatory transmitter mechanisms, with such precision to ensure
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an effective and harmonious final product.
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