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J Neurophysiol (January 1, 2003). 10.1152/jn.00297.2002
Submitted on Submitted 22 April 2002; accepted in final form 19 September 2002
Department of Neurology with Center for Sensorimotor Research, Klinikum Grosshadern, Ludwig-Maximilians-University, 81377 Munich, Germany
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ABSTRACT |
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Glasauer, S., M. Hoshi, U. Kempermann, T. Eggert, and U. Büttner. Three-Dimensional Eye Position and Slow Phase Velocity in Humans With Downbeat Nystagmus. J. Neurophysiol. 89: 338-354, 2003. Downbeat nystagmus (DN), a fixation nystagmus with the fast phases directed downward, is usually caused by cerebellar lesions, but the precise etiology is not known. A disorder of the smooth-pursuit system or of central vestibular pathways has been proposed. However, both hypotheses fail to explain why DN is usually accompanied by gaze-holding nystagmus, which implies a leaky neural velocity-to-position integrator. Because three-dimensional (3-D) analysis of nystagmus slow phases provides an excellent means for testing both hypotheses, we examined 19 patients with DN during a fixation task and compared them with healthy subjects. We show that the presentation of DN patients is not uniform; they can be grouped according to their deficits: DN with vertical integrator leakage, DN with vertical and horizontal integrator leakage, and DN without integrator leakage. The 3-D analysis of the slow phases of DN patients revealed that DN is most likely neither caused by damage to central vestibular pathways carrying semicircular canal information nor by a smooth pursuit imbalance. We propose that the observed effects can be explained by partial damage of a brain stem-cerebellar loop that augments the time constant of the neural velocity to position integrators in the brain stem and neurally adjusts the orientation of Listing's plane.
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INTRODUCTION |
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Downbeat nystagmus (DN) is
defined as fixation nystagmus in which the fast phase is directed
downward during gaze straight ahead. The drifts of the eyes show a
linear increasing or decreasing velocity (Leigh and Zee
1999
). Pathoanatomically, lesions of the cerebellum, mainly the
vestibulo-cerebellum and seldom of the brain stem, have been shown
(Baloh and Yee 1989
; Büttner et al. 1995
). Several explanations for the pathogenesis of DN have
been considered. One hypothesis, probably the most favored one, assumes DN to be a central vestibular syndrome (Baloh and Spooner
1981
; Böhmer and Straumann 1998
;
Brandt and Dieterich 1995
; Büchele et al.
1983
; Marti et al. 2001
). Another hypothesis is
that an imbalance of the vertical smooth pursuit tone implies a
constant vertical velocity offset (Zee et al. 1974
). To
explain the dependence of DN on vertical eye position (vertical
integrator failure), these authors additionally assumed a neural
integrator deficit that results in an inability to hold the eyes in
eccentric positions.
Recently Straumann et al. (2000)
investigated a
homogeneous group of subjects with hereditary cerebellar atrophy, most
of whom had DN. With three-dimensional search-coil recordings they demonstrated that all subjects had a uniform eye movement pattern consisting of the DN component as well as a horizontal centripetal drift and a torsional drift that increased with horizontal eye eccentricity. The torsional drift component was accompanied by an
increase of vertical drift velocity during lateral gaze.
Straumann et al. (2000)
proposed that the torsional
drifts observed in DN constitute a mismatch between torsional
postsaccadic position of the eye defined by the saccadic burst and the
torsional resting position defined by the mechanical properties of the
eye plant.
In healthy subjects, small postsaccadic torsional drifts called blips
can be observed (Straumann et al. 1995
). Pathologically large amplitude blips were found in a patient with a dorsolateral medulla and cerebellar lesion (Helmchen et al. 1997
).
Torsional drifts violate Listing's law, a fundamental property of
ocular fixations. It states that the eye position has a zero torsional component when expressed as single rotations from a certain starting position, the so-called primary position. Fixations and to a lesser degree smooth pursuit and saccades in normal human subjects obey Listing's law with SDs of maximum 1° (Straumann et al.
1996
; Tweed and Vilis 1990
; Tweed et al.
1992
). It has been shown experimentally that Listing's law
represents an intrinsic property of brain stem regions such as the
burst generator or the velocity-to-position integrator (Crawford
1994
). In addition, peripheral structures, the pulleys of the
eye plant, are possibly an important factor in implementing Listing's
law (Quaia and Optican 1998
; Schnabolk and Raphan
1994
). Other eye movements such as the vestibuloocular reflex
(VOR) or optokinetic nystagmus do not obey Listing's law. Therefore
disorders of the smooth pursuit system or a leaky neural integrator are
supposed to obey Listing's law, whereas nystagmus due to vestibular
imbalance violates it.
The compliance of a vertical drift, as found with DN, with Listing's
law in a head-fixed coordinate system can best be evaluated during
different horizontal eye positions. If the axis of rotation of the eye
is head-fixed, the rotation leads at all horizontal eye positions to a
purely vertical angular velocity drift. In contrast, if the
rotation axis is eye-fixed, a torsional component proportional to the
change in horizontal eye position is introduced. For drifts related to
smooth pursuit eye movements, the rotation axis of the eye is actually
between eye- and head-fixed (half-angle rule) (Tweed and Vilis
1987
, 1990
). Thus the half-angle rule reflects Listing's law.
It has been shown that during low-velocity VOR (such as oscillations
used for clinical testing) the ocular rotation axis changes its
orientation by one-fourth of the horizontal eye position (quarter-angle
rule) (Misslisch and Tweed 2001
; Misslisch et al.
1994
; Palla et al. 1999
). This implies a smaller
torsional component of the angular velocity than in the half angle rule.
To analyze the dependence of downbeat nystagmus slow phase velocity on eye position, we recorded three-dimensional (3-D) eye movements with the search-coil technique and used multiple regression to answer the following questions: does DN have different etiologies and present with different features? Which different subtypes of DN can be distinguished? Do all types of DN violate Listing's law? Are the observed slow phases compatible with the hypothesized vestibular or smooth pursuit origins of the nystagmus? The answer to these questions might help us better understand the transformation of premotor oculomotor signals into ocular motor neuron activity.
In the following, we show that 3-D analysis of the slow phases of DN
patients reveals that DN is probably neither caused by damage to
central vestibular pathways carrying semicircular canal information nor
by a smooth pursuit imbalance. We propose that the observed effects can
be explained by partial damage of a brain stem-cerebellar loop that
augments the time constant of the neural velocity to position
integrators in the brain stem and neurally adjusts the orientation of
Listing's plane. A preliminary account of the present data were given
elsewhere (Hoshi et al. 2001
).
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METHODS |
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Subjects
Nineteen patients (ages: 29-84 yr, mean: 61.5 yr) with DN were
examined with standard clinical methods and by MRI scans of the brain
stem and cerebellum. Two patients had a cerebellar atrophy, three had
an Arnold-Chiari malformation, two had a paraneoplastic syndrome, and
three patients had lesions affecting cerebellar structures; the
disorder of the remaining nine patients had no specific etiology. This
distribution is generally seen in patients with DN (Leigh and
Zee 1999
). Eighteen healthy subjects served as controls (ages:
23-91 yr, mean: 46.9 yr). All patients and subjects gave their
informed consent after explanation of the experimental procedure that
was in accordance with the Declaration of Helsinki.
Experimental paradigm
A laser dot (size: 0.1°, screen distance: 140 cm) jumped to eight positions arranged on a square around the gaze straight ahead position (Fig. 1C). Positions were placed ±18° from the center on the horizontal and vertical meridians and ±25,46° on the two oblique meridians. Subjects were seated in the center of the coil frame in an otherwise dark environment and were asked to fixate the visible target, which jumped every 2.5 s between gaze straight ahead and one of the peripheral targets. The head of the subject was immobilized in an upright position by an adjustable chin rest. An additional search coil fixed to the patient's forehead monitored immobility. The conjunctiva of the left eye, in which the dual search coil was placed, was anesthetized with oxybuprocain HCl.
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Search-coil recordings
The field coil system consisted of a cubic (side length: 140 cm) aluminum frame that produced three orthogonal magnetic fields (Remmel Systems). Ocular rotation of the left eye around the horizontal (z axis), vertical (y axis), and the torsional (x axis) was recorded with a dual search coil (Skalar, Delft, Netherlands). Coil and target position data were sampled at a rate of 1 kHz.
Calibration
Immediately before each eye movement recording, the coil was
moved manually within the coil frame to determine the magnitude and
relative orientation of the three magnetic fields and the gain of the
directional coil (see APPENDIX for detailed description). Then the offsets and the gain of the torsional coil as well as the
relative orientation of the coil on the eye were determined on the
basis of data recorded while the subject was wearing the eye coil and
was looking at different target positions. The calibration did not
depend on accurate fixation of these targets. The resulting eye
positions were expressed as rotation vectors (Haustein
1989
).
Data analysis
Data were analyzed off-line in MATLAB. The calibrated data were low-pass filtered with a digital Gaussian filter having a band width of 30 Hz. Saccade and fast phase were automatically detected and removed from the data using a combined velocity-acceleration criterion in interactive software so that detection errors could be corrected manually. Slow phases shorter than 25 ms were discarded. For each remaining slow phase, the median slow phase component velocity and eye position were used for analysis. Slow phases longer than 200 ms were divided into two or more parts of equal length to avoid collecting fewer data points for periods without frequent fast phases. Most of the analysis was performed after fitting Listing's plane to the data and transforming the whole data set into Listing's coordinates.
Slow phase component velocity, the temporal derivative of eye position,
is not equal to angular velocity (Haslwanter 1995
; Hepp 1994
). In the figures, component velocity was
expressed in°/s and multiplied by 2 for easy comparison with the more
familiar angular velocity.
The dependence of slow phase component velocity 
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(1) |


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(2) |

To test for different types of eye-position dependence, three types of analysis were performed.
In the first analysis, the nonprincipal (or off-diagonal) elements of
T are set to zero. In this case, the slow phase eye velocity
obeys Listing's law, if the torsional offset is zero. It can thus be
interpreted as a leaky integrator with vertical and/or horizontal
offsets. This procedure is equivalent to a simple linear regression of
each eye velocity component over the respective eye position component.
Thus each eye velocity component is described by
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(3) |

ii =
1/tii can be interpreted as the
respective integrator time constant.
In the second analysis, best subset multiple regression was performed to validate the results from the complete regression analysis. For best subset regression, each possible combination of the parameters tij of the matrix T was fitted to the data, and the best combination was determined according to the minimal Mallow's Cp statistics. The minimally possible number of fitted parameters is three: the three velocity offsets.
In the third analysis, a quadratic multiple regression (21 parameters)
was performed to validate clinical and experimental reports about
increasing vertical drift velocity during lateral gaze (e.g.,
Straumann et al. 2000
).
Statistical analysis
As mentioned in the preceding text, fitting Eq. 1 is equivalent to a multiple linear regression, and fitting Eq. 3 is equivalent to a simple linear regression analysis using the eye position components as independent variables and the derivatives of the eye position components as dependent variables. Thus the statistical analysis is based on tests for multiple regression analysis. A fit was considered significant if P < 0.01 as computed by the F test. As a further indicator of the goodness of fit and to compare the different types of analysis described in the preceding text, the R2 value was used. It gives the percentage of variance of the data described by the respective model. For one-dimensional regression, the R2 value is equivalent to the squared correlation coefficient. If the R2 value was below 50%, the fit was considered to insufficiently describe the data. For further analysis of single parameter values, the SDs of each fitted parameter and the respective probability that the parameter is different from zero was computed. A parameter with a P value of P < 1-(1-0.025) (1/n) with n being the number of parameters is considered significantly different from zero (Bonferroni correction). Comparison of simple regression (Eq. 3), multiple regression (Eq. 1), and quadratic regression was done using F statistics, which evaluates whether adding the parameters yields a significant increase (P < 0.01) in explained variance.
Coil slippage
As has been noticed previously during recordings, torsional
slippage of the search coil is frequently observed (Straumann et
al. 2000
; Van Rijn et al. 1994
). To minimize
these effects, the whole duration of the experiment lasted only 45 s. In addition, the torsional eye position at gaze straight ahead, to
which the eye returned after each eccentric position, served as a
control. Coil slips happened exclusively during large saccadic eye
movements, presumably because a blink was performed at the same time.
Coil slips were detected if the median torsion during fixation of the center target deviated more than 1.5° from the previous fixation period. In such a case, all subsequent eye position data were rotated
by an eye-fixed torsional angle so that the median torsion during both
fixation periods remained the same. However, the results depended only
negligibly on whether slip was removed or not. For example, the SDs of
Listing's plane decreased by only 0.1° for both patients and healthy
subjects. Therefore the results of the original data set are reported.
Definitions
Three-dimensional eye positions were determined according to the
right-hand rule with positive rotation around the x axis referring to excyclorotation of the right and incyclorotation of the
left eye, around the y axis to downward, and around the z axis to leftward movements. Eye positions are expressed as
components of rotation vectors (Haustein 1989
) and, for
convenience, converted to Listing's angles given in degrees using
i = arctan(ri) · 360/
.
Gaze straight ahead, i.e., the midposition of the eye in the orbit, was maintained during fixation of the center position of the target. It is the reference position for analysis performed in head coordinates.
Primary position is the reference position in a 3-D coordinate system, from which ocular positions during fixation can be obtained by single rotations with all rotation axes lying in a plane (Listing's plane) and with gaze direction in primary position being orthogonal to Listing's plane.
Null position is defined as the eye position at which an eye position-dependent nystagmus reverses its direction. Gaze straight ahead, primary position, and null position do not have to coincide. The direction of nystagmus always refers to the fast phase if not stated otherwise.
"Eye velocity" refers to the temporal derivative of eye position (component velocity) rather than to angular eye velocity, if not stated otherwise.
To distinguish between different position-velocity dependencies, we define a dependence as "principal" if it relates velocity to position of the same dimension, e.g., dependence of vertical velocity on vertical position. In contrast, other dependencies such as dependence of vertical velocity on horizontal position are called "nonprincipal."
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RESULTS |
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Listing's plane
Listing's plane was determined from eye positions of slow phases for subjects with DN and fixation periods for healthy subjects.
For healthy subjects, the SD for the width of Listing's plane ranged
from 0.39 to 1.33 (average: 0.79°) and the primary positions ranged
from 10.0° down to 21.0° up (average: 7.0 ± 9.7° up, see Fig. 1 for an example) in the vertical and from 11.5° left to 16.3°
right (average: 0.8 ± 8.0° right) in the horizontal plane. These data correspond well to previous findings (Haslwanter et al. 1994
). We also computed the mean angle between gaze
straight ahead and primary position. This angle quantifies the distance the eye has to be rotated from the gaze straight ahead position to
primary position. For healthy subjects, it was 13.0 ± 5.3°.
Results for the patients with DN were similar (see Fig. 2 for an example). For all patients SD of Listing's plane ranged from 0.59 to 1.47° (average: 0.92°), which is on average slightly larger but not significantly different from that of healthy subjects (t-test, P = 0.12). Primary position was on average 9.5 ± 8.4° (range: 5.4° down to 23.9° up) above gaze straight ahead in the vertical plane and ranged from 25.4° left to 18.8° right (average: 2.4 ± 11.9° left) in the horizontal plane. The mean angle between straight ahead and primary position (14.5 ± 9.4°) was not different from that of healthy subjects (t-test; P = 0.58). Thus as in healthy subjects, primary position is on average above gaze straight ahead with very little horizontal deviation.
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General characteristics
To analyze DN during gaze straight ahead, a multiple linear
regression (Eq. 1) was fitted to the data before rotation to
Listing's plane. According to the regression, all patients had a
significant upward vertical drift during fixation of the center target
(DN at gaze straight ahead) with vertical slow phase velocity ranging from
0.63 to
9.40°/s. Some healthy subjects also exhibited small but significant vertical offsets, which were, however, mostly downward
and smaller than 0.5°/s (range:
0.08 to 0.38°/s) except for the
91-year-old control subject (minor upbeat nystagmus, 0.60 °/s).
Vertical drift in patients showed no inversion of Alexander's law
(Robinson et al. 1984
), i.e., the vertical drift
velocity increased with downward gaze for all patients (range of
difference between upward and downward gaze 0.23-8.9°/s). Six
patients (31%) showed upbeat nystagmus during upward gaze (up to
2.7°/s), i.e., slow phase velocity reversed sign. In these cases, DN
during downward gaze was always larger than upbeat during upward gaze.
Slow phases
For further analysis, only slow phases or fixation periods were considered. Slow phase component velocity was separated into the vertical, horizontal and torsional drift components. First, the regression results (12 parameters for multiple regression or 6 parameters for simple regression, see METHODS) will be considered, then the results will be compared with best subset regression. To evaluate possible reasons of velocity offsets, the fitted parameters will then be compared with predictions for different offsets, such as head- or eye-fixed angular velocity offsets. The results of the quadratic regression will be considered separately.
Multiple regression yielded significant fits for all subjects. The R2 values of complete multiple regression after rotation to Listing's plane for patients ranged from 0.50 to 0.93, for healthy subjects from 0.06 to 0.34. Thus the statistical model explained more than 50% of the variance of the median slow phase data for all patients, while only up to 34% was explained for healthy subjects. The low R2 values for healthy subjects indicate that, contrary to those for patients, drift velocities were close to noise level or resulted from noise. The root-mean-squared error (RMSE) ranged from 0.51 to 1.65°/s for patients and from 0.17 to 0.76°/s for healthy subjects. The RMSE reflects scatter in the data (see center position in Fig. 3 for an example) and measurement noise.
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Figure 3 gives an example for the differences between simple, multiple linear, and multiple quadratic regression. In Fig. 4, an example of original median slow phases and predicted slow phases is given for the same patient as in Fig. 3 to show how well the predictions from the multiple linear regression coincide with the data. Figure 5 further shows that prediction of positional drift directions from the fitted median slow phase velocity agrees well with the recorded data.
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For the patient depicted in Figs. 2-5, the multiple linear regression
fit assumes the following form
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(4) |
0.2234) indicates that
horizontal eye position induces horizontal drift: for 10° of lateral
gaze with respect to primary position, a horizontal drift of about
2.2°/s is induced. The middle right value (
0.0672) indicates that
horizontal position also influences vertical drift; the lateral gaze of
10° thus not only causes the eye to move horizontally, but also
vertical drift of about 0.7°/s is induced. The vertical offset
(
0.0520) indicates a vertical upward drift of 0.05*360/
= 5.7°/s in primary position (compare with Fig. 3).
The mean results (± SD) for all 19 patients are summarized in the
following equation
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(5) |
Primary position and vertical drift velocity
An increasing vertical velocity on downward gaze implies an
integrator failure. Ocular drifts due to an integrator failure reverse
direction at the null position. Recent studies suggest that this
null-position might coincide with the primary position (Crawford
1994
). If a vertical drift is present at the primary position,
an additional vertical velocity offset has to be assumed. Therefore a
multiple linear regression (Eq. 1) was performed after rotation to Listing's plane. For two patients (11%), the
null-position coincided with primary position. For one patient, the
sign reverted, i.e., this patient had upbeat nystagmus in primary
position. For 11 patients (58%), the vertical offset decreased with
respect to the fit in head coordinates, i.e., with respect to gaze
straight ahead. Thus their null position was closer to primary position than to straight ahead. The null positions computed from Eq. 1 showed considerable variation because some patients exhibited only moderate integrator leakage but strong offsets (see following text). For them, the theoretical null position was out of the vertical
oculomotor range (±40°); this was the case for seven patients. For
all patients, the median vertical null position was 14.9° above
primary position.
Velocity dependence on nonprincipal eye position components
To determine if there are significant dependencies on nonprincipal eye position components, e.g., vertical velocity dependency on horizontal eye position, the simple regression (6 parameters, Eq. 3) and the complete regression (12 parameters, Eq. 1) were compared for each subject using an F test. For 15 patients (79%) but only 5 healthy subjects (28%), the fit was significantly better when including nonprincipal eye position dependence, i.e., when fitting all 12 rather than only 6 parameters. The data of the remaining four patients could sufficiently be described by a simple regression.
To evaluate the number of necessary parameters for each patient, a best-subset multiple regression analysis was performed. This type of analysis finds the minimal number of parameters, taking into account that more parameters always result in better fits. For patients, 8-12 parameters yielded best results (healthy subjects: 5-11 parameters; Mallow's Cp statistics). Table 1 shows the number of statistically significant parameters for this analysis. It closely resembles that of the complete multiple linear regression analysis (not shown).
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Velocity dependence on principal position components and velocity offsets
As can be seen from Table 1 (white areas), 18 patients (95%)
exhibited a significant dependence of vertical velocity on vertical eye
position; this can be interpreted as vertical integrator failure. Thirteen patients (68%) showed a significant horizontal dependence (see Fig. 6). The negative principal
dependencies can be interpreted as inverse integrator time constants.
Positive principal dependencies would reflect an inversion of
Alexander's law that was not found in our patients. Hence, vertical
integrator failure did not imply horizontal integrator failure. Figure
6 also shows that six patients (above the diagonal line) had more
horizontal than vertical integrator failure, i.e., in these patients
the gaze-dependent changes of drift velocity were more prominent for
the horizontal than for the vertical direction. Only seven patients
(37%) had a torsional dependence significantly different from zero.
For patients, the mean time constants were 4.5 s torsional,
8.8 s vertical, and 11.8 s horizontal. Only two patients had
vertical time constants larger than 50 s. Healthy subjects showed
8.8 s torsional, 119 s vertical, and 374 s horizontal.
Vertical time constants in the control group were larger than 50 s, except for the 91-year-old control subject, who had 15.7 s. The
low time constant for the torsional integrator in both patients and
healthy subjects confirms other results demonstrating that the
torsional velocity-to-position integrator is also leaky in healthy
subjects (Seidman et al. 1994
).
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Significant offsets (reflecting nystagmus at primary position) were
found in 17 patients (89%) for vertical, 11 patients (58%) for
horizontal, and 14 patients (74%) for torsional velocity. Mean offsets
for all patients were 0.36 ± 0.63°/s torsional (range:
0.63-1.73°/s),
2.9 ± 2.7°/s vertical (range:
9.54-1.56°/s), and
0.06 ± 1.4°/s horizontal (range:
3.26-3.62°/s). Thus some patients not only had vertical but also
considerable horizontal nystagmus at primary position. For healthy
subjects, mean offsets were 0.05 ± 0.28°/s torsional (range:
0.72-0.54°/s), 0.13 ± 0.17°/s vertical (range:
0.11-0.46°/s), and
0.07 ± 0.09°/s horizontal (range:
0.25-0.15°/s).
Different groups of patients
The patients could be grouped according to the kind of integrator failure and offset (see Fig. 7). Basically, three groups were distinguished with respect to integrator failure (see also Fig. 6): patients with vertical and horizontal integrator failure (13, see numbers at connecting lines in Fig. 7, 13 = 1 +3 + 9), patients with only vertical integrator failure (5 = 1 +3 + 1), and one patient with normal horizontal and vertical integrator function.
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VERTICAL NYSTAGMUS. All patients except one showed a significant dependence of vertical velocity on vertical position corresponding to vertical integrator failure (all patients: mean time constant, 8.9 s; range, 4.0-119 s). Two patients did not show a significant vertical velocity offset, i.e., they had no vertical nystagmus in primary position.
HORIZONTAL NYSTAGMUS. Thirteen patients (68%) showed horizontal velocity dependence on horizontal eye position (see Table 1 and Fig. 7) corresponding to horizontal integrator failure (these patients: mean time constant, 22.8 s; range, 3.9-77.0 s). With respect to downbeat velocity in straight ahead position, these patients were not significantly different from the remaining patients (t-test, P = 0.25). A horizontal offset was found in 11 patients (58%). Nine patients had both a significant horizontal offset and a significant horizontal integrator failure.
Furthermore (not considered in Fig. 7), a dependence of vertical velocity on horizontal eye position (or the reverse) was found in 13 patients (68%). These dependencies do not violate Listing's law but suggest that vertical and horizontal integrators are nonorthogonal or not aligned with Listing's plane (see following text). Figure 8 shows the slow phase velocity derived from multiple linear regression for four different patients. The sample patient shown in Figs. 2-5 is shown in Fig. 8A, a similar patient with no torsional component velocity is shown in Fig. 8B, a patient showing no horizontal velocity components in Fig. 8C, and the patient without integrator failure in Fig. 8D. The figure gives an idea of the large variety of eye movement patterns seen in patients with DN.
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Violations of Listing's law
As mentioned in the preceding text, the simple regression was sufficient to describe the data for four patients. One of them showed a significant torsional offset which constitutes a violation of Listing's law in the strict sense. In the remaining three patients, slow phase velocity did not violate Listing's law.
However, not only patients but also healthy subjects exhibited
violations of Listing's law as documented by significant nonprincipal components of the multiple regression or by statistically significant torsional offsets. We used these small violations of healthy subjects to decide whether a patient fell into the normal range of minor violations even though his slow phase velocity violated Listing's law
in the strict sense. The following three parameters, derived by
multiple regression after rotation to Listing's plane, indicated a
violation of Listing's law: a torsional velocity offset (healthy: 0.06 ± 0.28°/s), a dependence of torsional velocity on vertical position (healthy:
0.002 ± 0.010 1/s), and a dependence of
torsional velocity on horizontal position (healthy: 0.003 ± 0.007 1/s). This means that, for example, a horizontal gaze position of 18° with respect to primary position induced in healthy subjects, on
average, a torsional drift velocity of 0.05°/s (18° × 0.003 1/s = 0.05°/s).
Thus for the 15 patients requiring multiple regression fits, we determined whether one or more of the three values indicating violation of Listing's law was outside of the normal range (as determined by a 99% confidence interval). This was the case for 13 patients. For 12 of them, the dependence of torsional velocity on horizontal position violated Listing's law significantly more than in healthy subjects, 6 patients had a significant torsional offset, and for 4 patients, torsional velocity depended significantly more on vertical position than in healthy subjects. This result shows that the main reason for violations of Listing's law was a dependence of torsional slow phase velocity on horizontal eye position.
When the results of comparing simple regression to multiple regression
(3 patients) and specific violations of Listing's law in control
subjects and patients (2 patients) were combined, five patients (26%)
had slow phases that did not violate Listing's law. Note that these
patients were not significantly different from the remaining 14 patients with respect to their vertical drift velocity on gaze straight
ahead (t-test, P = 0.95; range:
6.03 to
1.25°/s). All five patients in whom slow phase velocity obeyed
Listing's law had both vertical and horizontal integrator failure.
Possible reasons for velocity offsets
Several factors can cause vertical drift of the eyes. Nearly all patients show signs of a vertical integrator failure. However, most patients also show velocity offsets which are not expected from integrator deficits. Theoretically velocity offsets could 1) be present at the integrator level (head-fixed component velocity offset) with horizontal and vertical components resulting, e.g., from smooth-pursuit imbalance, could 2) be attributed to constant angular velocity of the eye resulting from vestibular imbalance (angular velocity offsets remaining essentially head-fixed) or could 3) be explained by constant eye-fixed velocity, i.e., a constant angular or component velocity rotating with the eye. Intermediate values are, of course, possible. Hence, while varying with eye position in one coordinate system (when expressed as head-fixed component velocity), the slow phase drifts would remain constant in another (e.g., when expressed as angular velocity in an eye-fixed coordinate system). For constant vestibular or head-fixed angular velocity, the fitted off-vertical elements of the matrix T in Eq. 1 should assume a very specific dependence on the fitted offsets.
This dependence should become clearest for the change in large torsional-vertical slow phase drifts with horizontal eye position. This change can be computed from the offset in primary position and the nonprincipal elements in the matrix T. For example, a constant eye-fixed component velocity should rotate with the eye. Its angle thus co-varies with the change in horizontal gaze. In contrast, its length stays constant over different eye positions. A constant head-fixed angular velocity translates to a component velocity that rotates halfway against the eye but does not change length. Thus by examining the change in angular position of the torsional-vertical slow phase drift with horizontal gaze, one can determine whether the drift shows an eye-fixed, head-fixed, or other rotation. Its change in length shows whether the found rotation is a true rotation in the sense that rotating a vector does not change its length. Figure 9A shows the torsional-vertical drift of patient P. In this patient, it rotated with the eye but changed length. As a theoretical example, Fig. 9B shows a purely eye-fixed constant torsional-vertical component velocity. Figure 9C shows the data of all patients by comparing changes in angle and changes in relative length for horizontal gaze positions at ±20° laterally from gaze straight ahead position. It can be seen that the torsional-vertical drift changed considerably with horizontal eye position in length and angle in most patients. Note that a torsional-vertical drift that does not change angle with horizontal position may still violate Listing's law due to a constant torsional component. Most importantly, except for one patient, none of the drifts showed the behavior expected from that caused by vestibular imbalance. Therefore we concluded that the assumption of nonprincipal dependencies caused by angular velocity offsets of vestibular, head-fixed, or eye-fixed origin has to be rejected.
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3-D dependence of slow phase velocity on eye position
Rather than looking at either the principal dependencies or the nonprincipal dependencies alone, one can analyze the general form of the fitted matrix T (Eq. 1), which results from the multiple regression analysis. Theoretically, if three orthogonal leaky integrators operating in the coordinate system determined by Listing's plane caused the observed slow phases, the matrix T should be diagonal, i.e., contain only principal dependencies. As reported in the preceding text, this was the case for only four patients. Such a diagonal matrix has column vectors (each column of the matrix can be understood as a 3-D vector), which are perpendicular to each other, thus each vector points along the respective axis of the coordinate system.
The question for the remaining patients, for whom nonprincipal dependencies have been found, is whether the matrix is still composed of vectors perpendicular to each other. If this was the case, it would mean that the three integrators are independent of each other but that their coordinate system is rotated with respect to Listing's plane. If it is not the case, then the three integrators do not operate independently of each other; in other words, the integrator coordinate system would be distorted and not perpendicular. We therefore plotted the vertical and horizontal column vectors of the fitted matrices, i.e., the vectors describing the effect of a vertical or horizontal eye position on drift velocity (Fig. 10). The torsional vector showed too much scatter to be useful because the effect of torsional position on slow phase velocity could be determined less reliably due to the small range of adopted torsional eye positions. For the sample patient (shown in Figs. 3-5 and 10, top row), it can be seen (data in Eq. 5) that vertical position significantly contributed only to vertical velocity (significant value in the 2nd column of the matrix). This corresponds to the alignment of the vector with the vertical y axis. In contrast, torsional, vertical, and horizontal velocity significantly depend on horizontal position (3rd column); i.e., the corresponding vector is not aligned with the horizontal z-axis but is tilted in the vertical-torsional direction.
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As can be seen from Fig. 10, most vectors for the vertical component (y axis, black arrows) aligned well with the vertical y axis. Thus vertical eye position had only a minor effect on torsional or horizontal drifts. The vectors for the horizontal axis show much larger tilts away from the horizontal z axis, both in the vertical and torsional directions. The tilts in the torsional directions indicate violation of Listing's law. In conclusion, different vertical eye position mainly caused changes in vertical slow phase drift (corresponding to the alignment of the vertical vector with the y axis), while different horizontal eye positions caused changes of drift in all three components of slow phase velocity. One possible explanation for this is that, apart from the horizontal integrator failure, projections from the horizontal integrator to the torsional-vertical velocity-to-position integrator are damaged or incorrectly weighted and thus produce eye-position dependent drifts. Conversely, projections from the vertical-torsional integrator to the horizontal integrator seem to be less affected because vertical eye position has almost no effect on horizontal eye velocity.
Increase of vertical drift with eccentric gaze
An increase of vertical drift velocity with lateral gaze is often
reported clinically (Leigh and Zee 1999
;
Straumann et al. 2000
). The multiple linear regression
analysis can, so far, not explain this due to its linear model. We
therefore applied a quadratic regression to the data. For nine
patients, but none of the healthy subjects, the quadratic regression
yielded significantly better results. All nine patients showed a
significant negative quadratic dependence of vertical drift velocity on
horizontal position (for an example see Fig. 3). In eight of these
patients, vertical drift velocity with both right- and leftward lateral
gaze was larger than with gaze straight ahead. We assume that these
side-dependent changes in vertical drift velocity are caused by
asymmetric damage to the torsional-vertical integrator (see
DISCUSSION).
Pre- and postsaccadic eye positions
Inspection of the slow phase eye velocity data revealed that
torsional eye velocity often had increased values at the beginning of
an attempted fixation period and decreased to zero or to a constant
velocity offset over time (see Fig. 4 for an example). This suggests
that torsional eye position shortly after a saccade to a new target
position is different from that at the same gaze position before the
next saccade started. Such transient torsional deviations, called
blips, have been found in healthy subjects (Straumann et al.
1995
), but also with much larger amplitude in a patient
(Helmchen et al. 1997
). Therefore the orientation of Listing's plane was examined before and after large saccades. Depending on the amount of nystagmus, 10-26 saccades larger than 10°
were found. For each saccade, eye positions 100 ms immediately before
and after the saccade were selected. In patients, the angle between
primary positions corresponding to the planes fitted to the eye
positions before and after saccades was 6.2 ± 3.7° (see Fig.
11 for an example), in healthy
subjects, 3.5 ± 1.6°. The difference was statistically
significant (t-test, P = 0.007). In
patients, the angle between pre- and postsaccadic data correlated with
the amount of DN during gaze straight ahead (r = 0.50, P = 0.03), i.e., patients with larger slow phase
velocities showed a larger angle between pre- and postsaccadic
Listing's planes.
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If the same analysis was performed for all saccades, taking also small
saccades and nystagmus beats into account, the angle was no longer
significantly different between patients and healthy subjects. This is
possibly due to the fact that saccadic corrections for torsional
deviations from Listing's plane depend on the amplitude of the saccade
(Lee et al. 2000
): while large saccades bring the eye
close to the torsional position defined by the burst generator, small
nystagmus beats cannot achieve the necessary torsional correction and,
therefore the torsional position of the eye remains close to the
torsional null position defined by the neural integrator.
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DISCUSSION |
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Multiple linear regression sufficiently described 3-D slow phase component velocity of eye position data in patients with DN. This method considerably simplified the quantitative analysis and statistical evaluation of the data and allowed a physiologically meaningful interpretation of the fitted parameters.
The analysis of slow phases in patients with DN revealed two important
results. First, while a vertical integrator failure could be found for
all except one patient, only about half of the patients also showed a
horizontal integrator failure. This result, which agreed with previous
findings (Leigh and Zee 1999
), suggests different
etiologies of DN. Second, about one-fourth of the patients showed slow
phases that essentially obeyed Listing's law, i.e., in the range of
observed eye positions, the slow phase component velocity of nystagmus
did not show significantly more torsion than in healthy subjects. These
patients did not show torsional offsets, and the (nonprincipal)
dependence of torsional velocity on horizontal or vertical eye position
was negligibly small. This result casts doubt on one of the major
hypotheses of DN, i.e., that DN is caused by a disruption of central
vestibular pathways. In such a case, the resulting vestibular imbalance
would cause a nystagmus offset that would violate Listing's law, as does any vestibular nystagmus. Furthermore, a closer inspection of the
torsional-vertical offsets in the remaining patients further corroborated our finding that these offsets do not agree with the
hypothesis of a vestibular or head-fixed angular velocity offset.
Previous studies
While the literature provides a wealth of studies on patients with
DN (e.g., Baloh and Spooner 1981
; Baloh and Yee
1989
; Gresty et al. 1986
; Yee
1989
; Zee et al. 1974
), only one study employed a detailed analysis of 3-D eye movement recordings in patients with DN.
This recent investigation of patients with cerebellar atrophy
(Straumann et al. 2000
) reported that these patients
show upward drift (DN), horizontal centripetal drift during lateral gaze (gaze-evoked nystagmus), and torsional drift depending on horizontal position which violated Listing's law. The vertical nystagmus component was composed of a gaze-evoked component and a
velocity bias. Vertical nystagmus increased with lateral gaze. Although
our study confirmed these results for about 50% of our 19 patients
(see significant parameters in Eq. 5), we found that two of
our DN patients did not show a bias component (offset) if slow phase
velocity was analyzed with respect to Listing's plane (corresponding
to a vertical integrator failure without offset), six patients did not
show gaze-evoked horizontal slow phase components (no horizontal
integrator failure), slow phases in five patients did not violate
Listing's law, and only nine of our patients showed significantly
increased vertical nystagmus with right and left lateral gaze.
Different etiologies
Most hypotheses on DN assume that there is one type of DN. Our
results show, however, that three distinct groups of patients can be
distinguished: DN patients with vertical-horizontal integrator failure,
with vertical integrator failure only, and without integrator failure
(1 patient). A plausible explanation for the first two groups is that,
physiologically, the horizontal and vertical-torsional integrators are
at separate locations in the brain stem. The first is located in the
nucleus prepositus hypoglossi and the medial vestibular nucleus
(Cannon and Robinson 1987
), while the other is located
in the interstitial nucleus of Cajal (Crawford 1994
). Even though these structures may not be damaged themselves, it is
reasonable to assume that cerebellar projections to the two integrators, which are assumed to improve the integrator time constants
(Zee et al. 1980
, 1981
), are affected differently by cerebellar lesions. The third distinct type, DN without integrator failure, appeared to be the exception.
Main hypotheses about DN
Two hypotheses about DN focus on the vertical bias component of slow phase velocity, i.e., the vertical slow phase velocity that cannot be explained by the vertical integrator failure found in all except one of our patients.
The first hypothesis, vestibular imbalance due to central damage of
semicircular canal pathways (Baloh and Spooner 1981
;
Böhmer and Straumann 1998
) can be excluded in our
patients because the nystagmus slow phase velocity did not agree with
vestibular origin (Fig. 9). Furthermore, this hypothesis requires that
two distinct functions of the brain stem ocular-motor circuitry are
affected: the vertical integrator that causes the gaze-dependent
vertical nystagmus and the cerebellar structures that project to the
vestibular nuclei to suppress the vertical offset (Böhmer
and Straumann 1998
).
The alternative hypothesis of smooth pursuit imbalance (Zee et
al. 1974
) poses a similar problem: it requires that both
pursuit pathways and the vertical integrator are damaged. This is still more appealing because lesions of floccular regions are known to cause
both gaze-evoked nystagmus and smooth-pursuit deficits (Waespe
1992
; Zee et al. 1981
). Another study showing
that horizontal pursuit deficits and horizontal gaze-evoked nystagmus
usually occur in combination further supports this hypothesis
(Büttner and Grundei 1995
). However, the pursuit
theory only explains why DN patients usually have pursuit deficits and
why they cannot suppress their nystagmus in light. It does not explain
the various findings associated with DN slow phase velocity described
in the preceding text, specifically it does not explain why slow phases do not obey Listing's law in the majority of our patients.
The most recent hypothesis by Straumann et al. (2000)
specifically addresses the violations of Listing's law, suggesting
that the impaired cerebellum can no longer hold torsional eye
positions, which then drift back to a mechanically determined resting
position. Thus Straumann et al. propose a mismatch between two
different Listing's planes, a neural plane and a mechanical plane.
This proposal does not explain why torsional drifts, if present at all,
show time constants larger (mean 4.5 s) than that of the eye plant
(about 200 ms) (Seidman et al. 1994
). It also requires separate explanations for the gaze-dependent drifts (leaky integration) and for the vertical velocity bias.
Integrator function
Because the most common finding in our patients, except for DN in gaze straight ahead, was gaze-evoked vertical nystagmus, we first consider velocity-to-position integrator function.
As Cannon and Robinson (1987)
showed, loss of the neural
integrator in the brain stem leads to gaze-evoked nystagmus. However, this nystagmus does not necessarily drift toward the zero position of
the integrator but may have its null position at different points if
combined with an offset. Such an offset, caused, for example, by a
difference in push-pull firing rate, may be the result of a vestibular
imbalance, but it may also have its origin in any other imbalance, for
example, a smooth-pursuit imbalance. Pharmacological lesions of the
horizontal oculomotor integrator in monkeys induced different types of
nystagmus (Arnold et al. 1999
): slow phases showed
exponential eye position dependent drifts with null positions not
coinciding with gaze straight ahead, but also linear eye
position-independent drifts. These results suggest that integrator
lesions, and not only lesions of integrator input structures, may cause
shifts of the null position of nystagmus: in other words, the zero
position of the integrator may be altered intrinsically. To summarize,
in the simple one-dimensional case integrator function can be described
by a gain (not important for the current analysis), a time constant,
and an offset that shifts t