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CLINICAL EEG and NEUROSCIENCE ©2007 VOL. 38 NO.

Memory Encoding and Retrieval in the Aging Brain


David Friedman, Doreen Nessler and Ray Johnson, Jr.

Key Words the efMRI technique is highly accurate in localizing areas of


Cognitive Aging of Memory activation within the brain, the sluggishness of the hemody-
Encoding and Retrieval namic response makes it impossible to determine precisely
Episodic Memory (EM) Effect the temporal sequence and duration of brain region activa-
Event-Related Potentials tions. By contrast, the ERP method enables the collection of
Left Inferior Prefrontal Negativity very precise temporal information, at the cost of less accu-
Semantic Selection rate spatial resolution than efMRI. The ERP technique,
therefore, enables the viewing of brain activity related to the
formation and retrieval of memories in temporal units that
ABSTRACT
are consistent with the speed of cognitive processes, i.e.,
Decline in episodic memory, the encoding and retrieval
milliseconds. Hence, ERP studies of cognitive aging can
of autobiographical events, is a hallmark of normal cognitive
provide detailed information on age-related differences in
aging. Although the primary causes of this decline remain
the timing and duration of specific mnemonic processes that
elusive, event-related brain potential (ERP) studies have
contribute to encoding and retrieval.
contributed to an understanding of age-related episodic
memory failure. These data reveal that, although the Episodic memory is comprised of personal memories
retrieval-based episodic memory (EM) effect does not differ that include specific spatio-temporal information about the
dramatically between young and older adults, the acquisi- context in which the event occurred.3 Episodic memory is
tion-related data suggest a decline in episodic encoding (i.e., investigated most often using paradigms that assess
semantic elaboration) with increasing age. We conclude recognition memory. In these paradigms, participants are
that, at the current state of knowledge, encoding deficiencies tested by asking them to judge whether each item was
are more important than retrieval deficits in understanding encountered previously during an encoding (i.e., study)
the causes of episodic memory decline in the older adult. phase or is new. Recognition memory is generally thought
to rely on two processes, one relatively automatic and fast-
INTRODUCTION
acting, labeled familiarity, and the other, more effortful,
The study of how humans encode, store and retrieve slower and requiring conscious deliberation, labeled recol-
mnemonic information has had a long scientific history, lection.4 For example, one can recognize with certainty a
beginning formally with the classical studies of Ebbinghaus person’s face as having been seen before, but not be able
in the late 19th century.1 The relatively recent development to recall the contextual details that accompanied the initial
of techniques allowing the investigation of how these
episode (i.e., where and when the person was initially
processes are instantiated in the brain has provided an encountered). This is an instance of a recognition judg-
unprecedented in vivo window on mnemonic function in the ment based on familiarity in the absence of recollection.
actively performing human. Although much has been Given that the contextual details were encoded during the
learned about how (and by which brain networks) memo- original event and an efficient retrieval strategy, the miss-
ries are encoded and retrieved in the normal young adult, ing features can often be recalled and reintegrated with the
relatively less is known about how aging affects the func-
information provided by the face (i.e., recollected), result-
tioning of these different processes. Normal aging is ing in a reconstructed episodic memory.
accompanied by well-documented failures in episodic
Because the retrieval of episodes depends upon how
memory, although their root causes are unclear.2
the information was initially encoded, we first review stud-
Understanding the sources of encoding and/or retrieval dif-
ficulties is, therefore, critical to a more comprehensive
knowledge of episodic memory function in old age and, David Friedman, Professor and Research Scientist VII, Doreen Nessler,
eventually, for designing remedial programs aimed at ame- Associate Research Scientist and Research Scientist II, Cognitive
liorating mnemonic deficiencies in the elderly. Electrophysiology Laboratory, New York State Psychiatric Institute, New
York, New York, and Ray Johnson, Jr., Professor, Department of
Two brain imaging technologies have been used to chart Psychology, Queens College, CUNY, Flushing, New York, New York.
changes in episodic memory in normally aging older adults, Address requests for reprints to D. Friedman, PhD, Cognitive
Electrophysiology Laboratory, NY Psychiatric Institute, Unit 6, 1051
event-related brain potentials (ERPs) and event-related Riverside Drive, New York, N.Y. 10032, USA.
functional magnetic resonance imaging (efMRI). Although Email: df12@columbia.edu

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CLINICAL EEG and NEUROSCIENCE ©2007 VOL. 38 NO. 1

ies of ERP activity recorded during encoding phases for retrievals had their origin during encoding. During the study
subsequent recognition testing. We then review the results phase, participants were asked to memorize two nouns
of ERP investigations of retrieval. embedded in sentences for a subsequent recognition test.
Encoding-related studies During the recognition test, subjects decided whether
Relative to non-semantic, or shallow encoding (for nouns were new or old and, for old nouns, made an addi-
example, processing orthographic features of words), tional R/K judgment. The study phase ERPs were aver-
semantic or deep encoding (as when making living/non-liv- aged into three classes on the basis of subsequent recog-
ing judgments about words) leads to a greater likelihood nition performance: 1) subsequently correctly recognized
that those words will be recognized on a subsequent mem- and given an R judgment, 2) subsequently correctly recog-
ory test.5 By now, a large number of studies have shown nized and given a K judgment, and 3) subsequently unrec-
that the degree to which an item’s memory trace is ognized (i.e., a miss). SMEs were computed by subtracting
enriched during encoding is determined by the amount one the ERPs associated with subsequently missed items from
elaborates upon the information retrieved from semantic those associated with subsequent R and K judgments. For
memory,6 a phenomenon that can be labeled episodic young adults, reliable SMEs were observed in the interval
encoding. Hence, semantic retrieval and episodic encoding from 400 - 900 ms for study items associated with subse-
appear to work in tandem, perhaps with semantic retrieval quent R judgments but not subsequent K judgments.
occurring prior to episodic encoding. These SME data suggest that recollection- and familiarity-
ERP investigators have assessed encoding-related based recognition judgments at retrieval had their origin in
processing by quantifying the differences in neural activity the type of encoding activity engaged in during study.
associated with individual items during an encoding phase In addition to young adult participants, Friedman and
based on whether or not those items are subsequently Trott11 recruited older adults. There was some basis for
remembered. A subtraction of the ERPs elicited by study expecting age-related differences in ERP activity because
items that are subsequently forgotten from those that are the elderly had been shown to produce a smaller percentage
subsequently remembered yields the subsequent memory of remember judgments than the young,12 and to rely more
effect (SME), a measure of encoding.7,8 SMEs usually, but on familiarity than recollection when these two processes
not always, have a positive polarity that is widely distrib- are placed in opposition.13,14 Both findings suggest an age-
uted across the scalp. In their investigation, Paller and col- related imbalance in the recollective component of recogni-
leagues9 had subjects encode words under deep (e.g., is it tion memory. Hence, Friedman and Trott11 determined
living?) and shallow (e.g., does the word contain 2 vow- whether aging interacted with the familiarity/recollection dis-
els?) conditions. In accord with Craik and Lockhart,5 tinction in modulating encoding-related ERP activity. Com-
semantic encoding engendered higher rates of recognition pared with the data of the young described above, for the
success compared to non-semantic encoding. Importantly, elderly, reliable SMEs were observed in association with
SMEs, which onset at roughly 400 ms and lasted about both subsequent R and K judgments. Friedman and Trott11
600 ms, were reliable under semantic but not non-seman- concluded that, during the study phase, older subjects did
tic conditions. Hence, SMEs have been associated with not differentially encode those items that would be subse-
semantic encoding activity because their magnitude is pos- quently associated with retrieval of contextual details
itively related to the extent of deep encoding processes (remember) from those that would not (know). Furthermore,
during acquisition.9 The question arises, however, as to these data implicated age-related deficits in encoding as
whether SMEs are related to subsequent recollection- contributing to episodic memory deficits in the elderly.
compared to familiarity-based retrievals. These conclusions received some support from the dis-
One method by which the distinction between recollec- tribution of SME activity across the scalp. For the young, in
tion and familiarity has been demonstrated is with the addition to positive electrical activity, the SME for R judg-
“Remember/Know” paradigm.10 In this paradigm, for items ments was associated with negative activity over left inferi-
judged old, subjects indicate whether their recognition deci- or prefrontal scalp (LIPFS); there was no evidence of neg-
sion was accompanied by the retrieval of contextual detail, a ative activity over LIPFS in the data of the elderly.13 The
“remember” (R) judgment (i.e., a recollection-based retriev- negative activity could have reflected retrieval of informa-
al), or was based on a feeling of familiarity with the item, a tion from semantic memory, as R. Johnson and cowork-
“know” (K) judgment (i.e., a familiarity-based retrieval). ers15 observed negative-going ERP activity over LIPFS in
Moreover, items that are deeply encoded are associated association with semantic but not orthographic decisions.
subsequently with a greater proportion of R judgments, Such results fit well with those of hemodynamic studies
whereas items that are shallowly encoded are associated showing that the retrieval of semantic memories and the
subsequently with a greater proportion of K responses. encoding of episodic memories depend upon activity in
The R/K paradigm was used by Friedman and Trott11 to regions of the LIPF Cortex (LIPFC16). Assuming that the
assess whether recollection- and familiarity-based blood flow and ERP data share at least some common

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CLINICAL EEG and NEUROSCIENCE ©2007 VOL. 38 NO. 1

Figure 1
Left panel. Grand mean difference waveforms (High-selection minus Low-selection) recorded over left prefrontal scalp electrodes. The
data for the young (solid lines) and elderly (dashed lines) are superimposed. Early (light gray shading; 400-800 ms) and late (dark gray
shading; 1200-1400 ms) regions of the waveforms are indicated. Additionally, the black shading in the early interval indicates the region
where the ERPs of the young were more negative than those of the elderly. Time lines every 600 ms with arrows indicating stimulus
onset. Right panel. Surface potential, spline-interpolated scalp maps (based on the averaged reference computed on a 62-channel,
extended 10-20 montage41) are depicted for the early and late measured intervals computed on the young and elderly waveforms depict-
ed in the left panel. Dots represent the 62 scalp locations.

brain generators, together they suggest that the older semantic concept, the High-selection decision required, in
adults of the Friedman and Trott investigation11 may have addition, the selection of specific semantic features from
been impaired in semantic encoding, which could have several alternatives. This design enabled us to assess
been responsible for their lower recognition success. age-related changes in ERP activity under conditions in
Supporting evidence for this conclusion has come from which young and old participants engaged in qualitatively
behavioral investigations documenting that older adults, in similar types of encoding activity (see Rugg and Morcom21
the absence of a specific encoding strategy, do not use for other methodological issues in ERP research on aging).
semantic elaboration spontaneously.17 Hence, because Following the encoding phase, a recognition test on the
volunteers in the Friedman and Trott11 investigation were items studied under Low- and High-selection conditions
asked simply to memorize the nouns without any specific enabled us to determine whether the age-related decline in
encoding instructions, it is difficult to determine from those recognition memory was due to failures in semantic
data whether the putative encoding deficiency in the elder- retrieval/selection and/or episodic encoding.
ly was due to a failure of semantic retrieval, a failure of During the encoding phase, older adults performed as
episodic encoding or both. well as the young adults, indicating that they were well able
To investigate further the nature of encoding processes to retrieve semantic information and select among compet-
in the elderly, Nessler and colleagues18,19 exerted greater ing alternatives in the High-selection condition. However,
control over the use of encoding strategies with a seman- during the subsequent recognition test, older adults per-
tic selection paradigm adapted from Thompson-Schill and formed reliably more poorly than the young adults. Figure 1
coworkers.20 In our modified version of the object classifi- depicts the encoding-related ERP activity elicited over
cation task described by Thompson-Schill et al.,20 young LIPFS in the young and elderly adults obtained by subtract-
and older participants were asked to study words under ing the activity elicited in the Low-selection condition from
Low- and High-selection conditions. The Low-selection that elicited in the High-selection condition. These differ-
task required a decision as to whether a previously pre- ence waveforms show for both young and old adults signif-
sented picture (e.g., lion) matched the meaning of a to-be- icant negative activity in the early period (400-800 ms) over
remembered word (e.g., lion). In the High-selection condi- LIPFS. This selection-related effect is sustained in the
tion, by contrast, a decision was made concerning whether young adult data into the late time interval (1200-1400 ms),
a previously presented adjective (e.g., heavy) described a but dramatically attenuated in the older adult waveforms.
feature of the to-be-remembered word (e.g., feather). Additionally, the young show greater negativity than the eld-
While both decisions necessitated the retrieval of the erly in the early interval. Hence, there appear to be three

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CLINICAL EEG and NEUROSCIENCE ©2007 VOL. 38 NO. 1

negativities: an early, selection-related activity present in larger to 1) correctly recognized old items associated with
both young and old ERPs; an additional, early negativity remember compared to know judgments,23 2) correctly rec-
present only in the waveforms of the young; and a late, ognized old items associated with correct compared to
selection-related negativity, again present only in the ERPs incorrect source judgments,27 and 3) correctly recognized
of the young. Consistent with their equivalent behavioral old items compared to falsely recognized, highly similar lure
performance, the magnitude of the early, selection-related items.25 Consistent with the medial prefrontal and left pari-
negativity was the same in the young and elderly, suggest- etal EM effects reflecting distinct mnemonic processes,
ing that this brain activity reflects semantic retrieval/selec- recent data have indicated that they are associated with
tion. As the young outperformed the elderly during recogni- reliably different scalp distributions, suggesting different
tion testing, the additional early negativity and the late neg- intracranial generators.24,28,29
ativity presumably reflect episodic encoding, i.e., additional Later-onsetting, longer duration EM effects have also
semantic elaboration performed on the products of seman- been reported. For example, an asymmetric, positive, right
tic retrieval/selection. On this view, our data support the prefrontal EM effect has been observed, although a con-
conclusion that the episodic memory deficit in the elderly in sensus regarding its functional significance has yet to be
the current paradigm is a result of a failure to engage in arrived at. It onsets roughly with the diminution of the left
additional episodic encoding which would have resulted in parietal EM effect and reaches peak amplitude typically fol-
more richly encoded memory traces, thereby ensuring a lowing mean reaction time for the old/new recognition deci-
higher rate of successful retrieval. The topographic maps sion. The post-response timing of this component has led
illustrated in Figure 1 (right panel) demonstrate dramatical- some authors to suggest that it may reflect a cognitive con-
ly attenuated negative activity in the late interval over LIPFS trol function, such as evaluating the products of retrieval to
for the elderly. Hence, the hemodynamic data reviewed ear- support ongoing memory performance.30
lier and these topographic data suggest that the age-relat-
Based on the finding that the elderly rely more on famil-
ed encoding difficulties may have resulted from a failure to iarity than recollection, and assuming that the medial pre-
activate LIPFC in the late interval. frontal EM effect reflects familiarity-based processing, one
The Friedman and Trott11 and Nessler et al.19 data expectation is that this EM effect would be of similar mag-
suggest that encoding deficiencies may underlie the nitude in the ERPs of the young and elderly. Unfortunately,
well-documented episodic memory decline in elderly few studies have directly assessed age-related changes in
samples. We turn now to a consideration of ERP data the medial prefrontal EM effect. In the Remember/Know
recorded at retrieval. study of Trott et al23 described above, the medial prefrontal
Retrieval-related studies EM effect (300-500 ms) was of similar magnitude and
Recognition processes can be studied by separately topography in the young and old adult waveforms in asso-
averaging the ERP activity elicited by old items that are cor- ciation with correctly recognized old items given either R or
rectly recognized (i.e., hits) and new items that are correct- K judgments (see also Wegesin et al31). Along with a simi-
ly rejected. A subtraction of the latter from the former lar percentage of old items attracting know judgments in
reveals the episodic memory (EM) effect, an index of the young and elderly, these limited ERP data suggest an
retrieval.22 In young adults, a series of EM effects with dis- intact familiarity mechanism in the elderly.
tinct temporal and topographic patterns have been By contrast with the paucity of data on age-related
observed fairly consistently in many investigations of recog- changes in the medial prefrontal EM effect, somewhat more
nition memory, suggesting that they reflect unique stages of is known about the left parietal EM effect. Based on the
mnemonic processing.22 For example, relatively early in the behavioral literature emphasizing age-related deficits in rec-
retrieval process, between approximately 300 and 500 ms, ollection and the ERP data reviewed earlier suggesting that
a medial frontal, positive-going, EM effect has been associ- the left parietal EM effect indexes contextual retrieval, one
ated with the familiarity component of recognition memory. might expect smaller-magnitude left parietal EM effects in
This association with familiarity is based upon observations the ERPs of the elderly compared to those of the young. To
that its amplitude is similar to 1) correctly recognized old the contrary, this has generally not proven to be the case.
items regardless of whether they are endorsed with remem- Initial investigations by Friedman et al,32 Rugg et al33 and
ber or know judgments,23 2) correctly recognized old items Swick and Knight34 did not use behavioral indices presumed
regardless of whether the contextual details from the origi- to reflect familiarity and recollection. In later studies, howev-
nal episode are correctly identified,24 and 3) correctly recog- er, measures considered proxies for recollection and famil-
nized old items and falsely recognized items that are highly iarity were collected and, hence, the results of these inves-
similar to the previously studied old items, i.e., “lures.”25,26 tigations provide a firmer basis for conclusions about aging
On the other hand, later in the retrieval sequence, a subse- e ffects on the left parietal EM effect. Both Mark and Rugg35
quent left parietal, positive-going, EM effect (500-800 ms) and Trott et al23 solicited R and K as well as source judg-
has been associated with recollection, as its amplitude is ments from young and older adults. In both investigations,

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CLINICAL EEG and NEUROSCIENCE ©2007 VOL. 38 NO. 1

the left parietal EM effect in response to correctly recog- which demonstrate greater episodic memory deficits in
nized old items attracting R judgments (or correct source both young and elderly adults when attention is divided at
judgments) did not differ in magnitude or scalp topography encoding, with a concomitant decrease in LIPFC activity,
between young and older adults. Similar phenomena were compared to when it is divided at retrieval.39 The encoding-
observed by Wegesin and coworkers.31 Despite this similar- related data of Friedman and Trott11 and Nessler and col-
ity, in all of these investigations older adults showed greater leagues18,19 suggest that an underlying mechanism may be
decrements in source compared to item memory relative to a lack of spontaneous elaboration of the products retrieved
young adults.36 Moreover, the temporal precision of the ERP during semantic processing (i.e., episodic encoding) per-
method enabled the investigators in all three studies to haps resulting from a failure to recruit LIPFC. The limited,
determine that the EM effects were prolonged in older retrieval-based ERP data suggest relatively intact familiar-
adults by about 100 ms relative to those of the young. This ity- and recollection-based processing in the elderly.
finding appears to be consistent with the cognitive slowing However, this does not account for the consistently poorer
that is typically observed in older adults.37 Although limited, source memory performance of older relative to younger
these data collectively suggest that, to the extent that the adults despite similar-magnitude, left parietal EM effects in
left parietal EM effect reflects the retrieval of source-speci- young and elderly samples. This disparity suggests that, in
fying information, older adults, albeit with prolonged pro- addition to encoding deficiencies, other, as yet under- or
cessing time, do not appear to differ from young adults in un-explored, retrieval mechanisms might contribute to this
this aspect of memory retrieval. episodic memory deficit. For example, age-related differ-
The results of age-related investigations of the right- ences in retrieval orientation, the differential processing of
prefrontal EM effect are not at all in agreement. This may test items according to how the items were studied, have
not be surprising given the somewhat imprecise definition recently been demonstrated.40 Further study of this type of
of “post-retrieval processing” that has been ascribed to this phenomenon and its impact on age-related episodic mem-
EM effect. In two studies of recognition memory with ory decline is clearly warranted. Additionally, future work
source judgments, Trott and colleagues23 and Wegesin et needs to address current gaps in knowledge by recording
al31 observed robust right prefrontal EM effects in their ERP activity during both encoding and retrieval phases.
young adult participants but failed to find similar activity in Although older adults may not spontaneously elaborate
the waveforms of their older adults. On the other hand, upon the products of semantic retrieval, they do benefit
Mark and Rugg35 and Li et al,38 also in source memory par- from increased processing demands when given an appro-
adigms, did observe reliable right prefrontal EM effects in priate encoding strategy.18,19 Hence, future studies should
their older adult waveforms. Given the elusive nature of the include this type of levels of processing manipulation.6
behavioral correlates of this EM effect and the contradicto- These kinds of investigations will undoubtedly bring us
ry age-related findings, it is difficult to comment with any closer to a better understanding of the root causes of age-
confidence on the import of this EM effect in understanding related decline in episodic memory.
age-associated changes in episodic memory. ACKNOWLEDGMENTS
CONCLUSIONS The writing of this manuscript was supported by NIA
Clearly, there are too few age-related ERP studies of Grants AG05213 and AG09988 and by the New York State
episodic memory to permit firm conclusions. Nevertheless, Department of Mental Hygiene. We are grateful to Charles
some tentative implications of the studies reviewed here L. Brown III for computer programming and technical
can be advanced. The available data suggest that encod- assistance, Ms. Efrat Schori and Ms. Letecia Latif for their
ing deficiencies may play a larger role in influencing assistance in the recruiting and screening of volunteers
episodic memory deficits in older adults. This interpretation and Mr. Michael Bersick for various aspects of data collec-
is consistent with the results of divided attention studies, tion and analysis.

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