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23
Associations Between the Microbiome
and Neurocognitive and
Neuropsychiatric Function
Rebecca A. Lundwall
Introduction
While the skin, mouth, nasal cavity, vagina, and urinary tract have benecial, harm­less (commensal), and harmful (pathogenic) microbes (Baquero et al., 2021; Sender et al., 2016; Walsh & Collyns, 2020), most of the research on the inuence of micro­biota on the brain involves gut microbiota. erefore, this chapter will cover the gut microbiome specically. Benet or harm from microbes depends on the complex issue of balance between microbes, the environment, and the host. We may benet by having our immune systems activated in response to a threat (Y. J. Chen et al., 2021; Wang & Kasper, 2014), by the creation of neurotransmitters (Y. J. Chen et al.,
2021), and by regulating our metabolisms (Hemarajata & Versalovic, 2013). e potential harms from microbes include a variety of infections and their sequelae, including cognitive eects (Chakrabarti et al., 2022; Y. J. Chen et al., 2021; Kendig et al., 2021).
is chapter focuses on cognitive and neuropsychiatric outcomes from the inter­action between the gut, the microbiota that live in the gut, and the brain. e inu­ences are multidirectional and thus referred to as the microbiota– gut– brain axis.
History
e rst clear reference to gut inuences on the brain came when William James (1948), Carl Lange (1934), and shortly thereaer Walter Bradford Cannon (1909), connected gut function with emotion. ey did not propose any pathways for in­uence. Nevertheless, from the 1930s to the 1970s, research explored adrenaline’s eect on the sympathetic nervous system, and it eventually became apparent that adrenaline (epinephrine; a stress hormone) reduces the bactericidal eects of white blood cells. Later evidence pointed to the bidirectional eects between the gut and
Rebecca A. Lundwall,
in Neurocognitive and Neuropsychiatric Medicine
Oxford University Press. © Oxford University Press 2024. DOI: 10.1093/ oso/
 Infectious Disease and Neurocognition
the brain regarding stress and anxiety (and involving adrenaline and noradrenaline (norepinephrine)). us, the term “gut– brain axis,” rst used by Track (1983), began to grow in popularity (Lu & Claud, 2019; Miller, 2018).
A run of additional studies addressed the association of gut microbiota with mental health conditions including attention decit/ hyperactivity disorder (ADHD), autism spectrum disorders (ASD; “autism”), depression, schizophrenia, and substance abuse disorder (Golubeva et al., 2015; Hoban et al., 2016; Robertson et al., 2017). Gut microbiota also began to be associated with cognition more gener­ally (Dantzer et al., 2008; Davari et al., 2013; Gareau, 2014; W. Li et al., 2009).
Nevertheless, it took time for those who did not specically study the gut microbiome to appreciate its importance. In 1961, Haenel concluded that gut mi­crobiota is “a well- dened, reproducibly composed, ecological system” (p. 249). However, in 1992, Bocci used the phrase “the neglected organ” to refer to the microbiome, arguing that it functioned as if an organ because it could activate the im­mune system to attack foreign cells, including cancer. is began the recognition in the medical community that gut microbiota should be taken seriously (Bocci, 1992).
In 2007, the National Institutes of Health Common Fund of the United States government funded the Human Microbiome Project, which aimed to recruit 300 healthy 18- to 40- year- olds for microbiome analysis (e Human Microbiome Project Consortium, 2012). One nding from this research was that healthy adult participants did not vary in their microbiomes over time as much as one participant varied from another in their microbiomes. ese ndings were based on the 131 participants who provided a second set of samples months later (mean = 219 days, standard deviation = 69 days between the rst and second samples; Aagaard et al., 2013; e Human Microbiome Project Consortium, 2012). However, these ndings do not address changes in the microbiome over the lifespan or in response to var­ious disease states. Detecting dierences between the microbiota of healthy and un­healthy participants was, in fact, one of the motivations for the Human Microbiome Project (Aagaard et al., 2013). More recent studies have indicated that a variety of events states, including mental health conditions, are associated with gut microbiota (Green et al., 2019; Kang et al., 2017; Yan et al., 2021). In addition, it is important to understand what patterns are normal and healthy over the lifespan.
A lifespan perspective
Prenatally and during birth, mammals are exposed to the maternal microbiota and its metabolites. In utero, maternal metabolites cross the placenta (de Aguero et al., 2016; Funkhouser & Bordenstein, 2013; ion et al., 2018). Additionally, during vaginal birth, infants receive a dose of maternal gut and vaginal micro­biota (Azad et al., 2013; Costello et al., 2012; Palmer et al., 2007). Infants born by cesarean section do not receive this initial microbiota dose, and their gut micro­biota must establish dierently. Infants born by cesarean section predominately have
Microbiome and Brain Function 421
gut microbiota containing their mother’s skin microbiota (Staphylococcus species (spp.)1, Corynebacterium spp., and Propionibacterium spp.), whereas infants born vaginally predominately have their mother’s vaginal bacteria: Lactobacillus spp., Prevotella spp., and Sneathia spp. (Dominguez- Bello et al., 2010). ese dierences have caused some concern about possible health and mental health conditions, in­cluding increased rates of asthma, autism, celiac disease, and insulin- dependent di­abetes mellitus in infants born by cesarean section (Kalliomäki et al., 2001; Q. R. Li et al., 2017; Matamoros et al., 2013; Rautava et al., 2012).
Breastfeeding also inuences the composition of the gut microbiota. Namely, breastfed infants have decreased Clostridium dicile and less bacterial diversity, which appears to be an advantage for the infant in that oligosaccharides in breast milk provide a substrate for benecial microbes such as Bidobacteria (Azad et al., 2013; Zivkovic et al., 2011). Newborns who are fed cow’s milk have unhealthily high numbers of Bacteroides spp., Clostridium spp., and Escherichia coli (Beerens et al.,
1980). Bidobacterium bidum was 72 percent of the species in breastfed infants but only 13 percent in infants fed cow’s milk (other animal milks and infant for­mula performed similarly in this 1980 study). Similarly, Azad et al. (2013) found that 4- month- old formula- fed infants had an overrepresentation of C. dicile. Changes in the gut microbiome occur aer weaning breast- fed infants, when their microbiome becomes similar to adults in their community. Gut colonization is likely critical to normal brain development because germ- free mice could not recover normal hippocampal neurogenesis if treated as adults with fecal transplantation (Ogbonnaya et al., 2015). Finally, breastfeeding can at least partially resolve dier­ences in microbiota composition between infants born vaginally versus by caesarean section (Guo et al., 2020).
Close contact with family or community also shapes the composition of gut micro­biota (Schloss et al., 2014). Infants born by cesarean section and not breastfed have microbiota similar to their family members by about toddlerhood (Dash et al., 2022; Dominguez- Bello et al., 2010). Gut microbiome varies by geography (Yatsunenko et al., 2012). Puberty- related changes to the body, brain, and behavior (including sexual behavior) also inuence gut microbiota and vice versa (Kundu et al., 2017).
Although usually stable through adulthood, factors such as antibiotic use, diet, illness, and stress can alter the gut microbiota. Antibiotics can alter infant gut mi­crobiota and impact their health as adults if used by the mother during gestation or in early infancy (Clarke et al., 2014; Heerman et al., 2019; Qu et al., 2021; Vidal et al., 2013; Wall et al., 2009). Antibiotics administered in young children likewise alter gut microbiota (Elvers et al., 2020). Antibiotics also inuence the gut microbiota of older children, adolescents, and adults (Iizumi et al., 2017; Ramirez et al., 2020). Adult gut microbiota composition can remain disturbed for at least 1 week following the end of antibiotic use (Panda et al., 2014), and repeated antibiotic use is implicated in C. dicile infections (Ianiro et al., 2016). e general pattern appears to be that
1 Species and genera are italicized. Family, order, class, and phylum levels of classication are not.
 Infectious Disease and Neurocognition
antibiotics (especially broad- spectrum antibiotics) decrease overall diversity while they may increase or decrease the abundance of specic taxa (Modi et al., 2014).
Changes in gut microbiota inuence (and are inuenced by) neuropsychiatric disorders, including those emerging in adolescence. For example, murine models show that gut microbiota inuences mood- like disorders and social anxiety- like dis­orders that typically appear during adolescence (Codagnone et al., 2019; Liang et al., 2018; Robertson et al., 2017). Early postnatal stress, including maternal separation, alters gut microbiota and causes inammation, impairs memory and learning, and increases stress reactivity, including hormonal signs (adrenocorticotropic and cor­ticosterone). At the same time, a high- fat diet early in life (which disrupts gut mi­crobiota) increases binge eating during adolescence and increases stress reactivity (Codagnone et al., 2019). Alternatively, anxiety improved in several studies using a diet low in fermentable oligosaccharides, disaccharides, monosaccharides, and polyols (Yan et al., 2021).
Shiing to or away from a Western diet (e.g., high sugar, high fat, fewer fermented foods, less ber) can impact gut microbiota and provoke cognitive changes (Kendig et al., 2021; Wu et al., 2019). While gut microbiota respond appropriately to either plant- based or animal- based diets, inammatory bowel disease is more common with animal- based diets (David et al., 2014) . Ingesting fermented foods such as yo­gurt to improve digestive health is popularly recommended, although many claims are exaggerated (Puebla- Barragan & Reid, 2021). Probiotic use can sometimes change the gut microbiome, but its usefulness has primarily been demonstrated in unhealthy children and adults (Saavedra, 2007). Healthy adults oen experience only transient changes to the gut microbiome while taking probiotics. In addition, taking probiotics during antibiotic administration can delay re- establishment of the normal microbiota in some individuals (Khalesi et al., 2019).
Of course, exposure to bacterial, parasitical, and viral illnesses can also inuence the gut microbiome (Clarke et al., 2014). Gut microbiota can even program reac­tivity to stress (Sudo et al., 2004). is is relevant to neurocognitive conditions be­cause stress inuences cognitive function. Most models demonstrating cognitive decits associated with gut microbiota have been conducted in mice. For example, memory dysfunction was more severe in mice with stress and Citrobacter rodentium infection compared to mice without infection (Gareau et al., 2011). Others found similar results in additional studies (Liang et al., 2018; Savignac et al., 2015).
Associations between gut microbiota and mental health conditions
Gut microbiota have many health benets (Cho & Blaser, 2012; Heiss & Olofsson, 2019; Rolig et al., 2017). Nevertheless, our understanding of their relevance to cog­nition has primarily developed through exploration of associations between gut mi­crobiota and mental health conditions. To illustrate the associations between gut
Microbiome and Brain Function 423
microbiota and mental health conditions, I discuss ASD, ADHD, schizophrenia, de­pression, Parkinson’s disease, and Alzheimer’s disease.
ASD likely involve a complex interplay of factors including genetics, diet, and gut microbiota. Metabolites that are markers of oxidative stress, and thus of impaired mi­tochondrial function, are also altered in people with ASD (Needham et al., 2021). Gut dysbiosis, or disrupted gut microbiota, is associated with inammation and gastroin­testinal distress. is is quite common in ASD and can lead to dysregulated immune activity that begins the cascade of inammation (including neuroinammation) that contributes to atypical brain development (Cryan & Mazmanian, 2022; Lu & Claud, 2019). Various studies have also reported altered abundance of specic mi­crobiota in infants with ASD, including higher Faecalibacterium spp. and clostridia and lower Blautia spp. and Bidobacteria spp. (Inoue et al., 2016; Weston et al.,
2015). Interestingly, gut microbiota seem not only associated with a diagnosis of ASD but can inuence brain development toward autistic traits on the spectrum of broader autism phenotypes (Li et al., 2017). Several studies have found early prebi­otic use reduces symptoms in children diagnosed with ASD and in animal models (Adıgüzel et al., 2022; Mitchell & Davies, 2022; Ng et al., 2019). However, this early intervention is oen necessary to maintain because the microbiome of adults typi­cally returns to pre- intervention composition (Ogbonnaya et al., 2015; Panda et al., 2014; Saavedra, 2007).
Many physiological factors inuence ADHD symptoms and the precise path­ways by which gut microbiota may inuence ADHD symptoms remain unclear. Still, ADHD is associated with gut dysbiosis involving the genera Bidobacterium, Streptococcus spp., Enterococcus spp., and the species Paenibacillus macerans. Dash et al. (2022) postulate that the connections between these bacteria and ADHD re­late to their capacity to synthesize neurotransmitters or their precursors. Given that some of those bacteria synthesize dopamine, they opine that the reduced reward re­sponse in ADHD may be caused by the imbalance of dopamine levels, likely tied to imbalanced Bidobacterium spp. and Paenibacillus macerans levels. Bidobacterium spp. aid in synthesis of phenylalanine, a dopamine precursor, whereas Paenibacillus macerans synthesizes dopamine directly. Dietary intakes such as more rened foods appear involved in lower abundance of Bacteroides coprocola in ADHD patients (Wang et al., 2020). Further, ADHD patients sometimes have altered Burkholderiales abundance in connection with executive function impairments (Verdi et al., 2018). One study found early prebiotic use prevented ADHD in children up to 13 years old (Rianda et al., 2019), although, as with ASD, intervention will likely only be eective when begun with young children.
Schizophrenia is another mental health condition accompanied by cognitive im­pairment. e pathway to cognitive impairment seems to involve gut microbiota inuencing neuroplasticity and shaping how the hypothalamic– pituitary– adrenal (HPA) axis responds to stress (Bioque et al., 2021). Since neuroplasticity is impor­tant to learning and memory and these functions are impaired in schizophrenia, it makes sense that both the gut microbiome and hippocampal volume might disturb
 Infectious Disease and Neurocognition
cognition in schizophrenia. One possible mechanism, identied by several re­searchers (Dash et al., 2022; Tsamakis et al., 2022) suggests that E. coli and Bacteroides fragilis overgrowth leads to inammation which, in turn, may lead to cognitive im­pairment. More specically, Miller et al. (2021) mention Salmonella and E. coli as being associated with both interleukin- 6 (produced in response to infections) and impaired cognition. eir report is based on a 1966 birth cohort from Finland, in which 82 subjects with schizophrenia were compared to controls. Increased blood interleukin- 6 predicted reduced hippocampal volume in schizophrenics (although not reduced cognitive performance at age 32 years).
Depression and anxiety also appear to be impacted by gut microbiota. For example, the level of inammatory cytokines circulating in the bloodstream— altered by the composition of the gut microbiome— has been linked to changes in depression- like symptoms in animal models (Cryan & Dinan, 2012; Dantzer et al., 2008). Administering Lactobacillus rhamnosus decreases depression- like symptoms in mice (Liang et al., 2018) and a diet low in fermentable oligosac­charides, disaccharides, monosaccharides, and polyols improves anxiety- like symptoms (Yan et al., 2021). Interestingly, the process does not work if the vagal nerve is severed, conrming essential involvement of the vagal nerve. Modifying gut microbiota by using germ- free mice or by administering of antibiotics or prebiotics also alters depressive- like symptoms in animals and depressive symp­toms in humans. Zheng et al. (2016) report that germ- free mice given fecal matter from risk- taking mice became more risk- taking themselves. Further, transplants from depressed humans to a mouse model of no depression induced depression­like behavior in the recipient mice. Because such changes may not last, Kang et al. (2017) investigated 10 weeks of fecal transplant treatment and determined that there is a sustained reduction in depression- like symptoms. In humans, adminis­tration of Faecalibacterium spp. to bipolar patients also decreased their depressive symptoms and improved their sleep (Evans et al., 2017). e logical conclusion is that there may be potential therapeutic benets to fecal sample transplants in some cases. However, probiotics are probably unnecessary when there is no clear cause for a microbial imbalance, as there would be following repeated antibiotic use or when there is cognitive impairment due to a chronic high- fat diet (Lof et al., 2022).
In older adults, some evidence supports the idea that gut microbiota inuence various dopamine processes that are disrupted in Parkinson’s disease and that the alteration of gut microbiota found in Parkinson’s disease is associated with the patient’s motor symptoms (Parashar & Udayabanu, 2017). Further, Bi et al. (2022) found evidence that the dysbiosis that is oen associated with Parkinson’s disease has inuence over the onset and progression of Parkinson’s disease.
Further, alpha (α)- synuclein, which aggregates to form Lewy bodies when misfolded (Lotharius & Brundin, 2002; Mahul- Mellier et al., 2020; Olanow & Brundin, 2013), is associated with cognitive impairment in Parkinson’s disease as well as other neurologic diseases (Grant et al., 2022). In mice, injection of
Microbiome and Brain Function 425
α- synuclein causes motor symptoms similar to Parkinson’s disease unless the mice have had a truncal vagotomy, which stops the transmission of α- synuclein from the gut to the brain (Kim et al., 2019). Some research has found a direct as­sociation between the gut microbiome and cognitive impairment in Parkinson’s disease. Some of the more common bacteria to be disturbed in Parkinson’s di­sease are Blautia (decreased in Parkinson’s disease with mild cognitive im­pairment); Lactobacillaceae (increased in Parkinson’s with a worse clinical prole); Oscillospira (higher in Parkinson’s disease based on three studies); and Verrucomicrobiaceae (higher in Parkinson’s disease based on ve studies) (Barichella et al., 2019; Manderino et al., 2017; Nuzum et al., 2020; Ren et al., 2020; Tan et al., 2021). However, one systematic review found that Bacteroidetes and Firmicutes were associated with cognition in Parkinson’s disease, but that as­sociations with specic genera were not consistent across the ve cross- sectional studies included (Grant et al., 2022).
Similarly, Alzheimer’s disease frequently involves reduced gut microbial diversity, lacking benecial metabolites from Clostridiaceae, Eubacterium, Lachnospiraceae spp., and Ruminococcus spp. (Murray et al., 2022). Metabolites from these microbes are important as precursors to neurotransmitters, which inuence cognition. e underproduction of short chain fatty acids (SCFAs) in Alzheimer’s patients is sus­pected to cause gut dysbiosis, which in turn leads to a decrease of α- diversity (within that person) and beta (β)- diversity (compared to other people) and triggers leaky gut. When microorganisms or their metabolites reach the bloodstream, this can eventually lead to neuroinammation, exacerbating the Alzheimer’s disease pa­thology (Bostick et al., 2022; Giridharan et al., 2022; Tarawneh & Penhos, 2022). At least one case report found that a patient with Alzheimer’s disease benetted from fecal transplantation (Park et al., 2021).
To study the pathways involved in Alzheimer’s disease, C. Chen et al. (2022) used mice containing three mutations associated with familial (early- onset) Alzheimer’s disease. A sample of these mice was rendered germ- free. Germ- free mice had re­duced amyloid- β plaques and neurobrillary tangles (markers of Alzheimer’s di­sease) compared with littermates. Half of the germ- free mice were recolonized with fecal matter from human Alzheimer’s patients and half from age- matched human controls. is resulted in increased relative abundance of Bacteroides intestinalis,
B. fragilis, and Bacteroides xylanivsolvens, and decreased relative abundance of Parabacteroides goldsteinii, Bacteroides ovatus, and Clostridium bolteae. Consistent
with the fact that these bacteria are involved in Alzheimer’s disease pathology, mice recolonized with human Alzheimer’s disease fecal samples demonstrated cognitive decits in the maze task.
us, while the specic microbes that inuence cognition varies across condi­tions, there is evidence for plausible pathways for the bidirectional inuence of the microbiota– gut– brain axis in a variety of conditions. e next section will review likely pathways for microbiota– gut– brain communication. For a summary of likely pathways for the microbiota– gut– brain axis, see Figure 23.1.
 Infectious Disease and Neurocognition
HPA axis, immune system
Environmental Influences
antibiotic use
--bacterial, parasitic, or viral illnesses
- close contact
- community culture
- geography
- if breastfed
- inflammation
vagus nerve
metabolites
gut lumen
blood–brain barrier
Cognitive Eects
- attention
- emotion regulation
- memory
- social cognition
- stress response
cytokines in bloodstream
gut microbiota
= endocrine system
*parties not illustrated:
Genetic Influences
- genetics of host
- genetics of microbiota
- interaction between genes
Figure 23.1 Likely bidirectional pathways between gut microbiota and the brain. Note: pathways for the gut– microbiota– brain axis include environmental and genetic influences. For example, environmental influences likely include antibiotic use, illnesses, and close contact with other people and animals. The genetics of the host and of the microbiota individually have influence and also interact. Likely mechanisms for the influence on cognition include the vagus nerve, the metabolites of gut microbiota, and cell signaling proteins of the immune system such as cytokines. HPA, hypothalamic– pituitary– adrenal.
Source: image created for this chapter by Amaya Chikuni and used with permission.
Mechanisms by which microbiota, the enteric nervous system, and the central nervous system interact
Generally speaking, changes in gut microbiota inuence neuropsychiatric dis­orders (Codagnone et al., 2019; Liang et al., 2018; Robertson et al., 2017). e gut
Microbiome and Brain Function 427
microbiota inuences the central nervous system in a variety of ways that might im­pact cognitive function (e.g., aerent nerves, hormones, the immune system, and metabolites, including neurotransmitters). Below, I review evidence for various pos­sible pathways for the mutual inuence of the gut and brain on each other. I have included results of animal studies since they represent initial evidence for a similar process occurring in humans, but we should be extra cautious when applying their ndings to human cognition (Khorshidi et al., 2021). erefore, I emphasize human studies whenever possible.
Some of the structures involved in the bidirectional inuence of gut microbiota and the brain include the blood– brain barrier and the vagus nerve. Although most studies of the blood– brain barrier use animal models, these provide some evidence that gut microbiota can modulate neurodevelopmental processes including blood– brain barrier permeability, microglial processes, myelination, neurogenesis, and synaptic pruning (Heiss & Olofsson, 2019; Liu et al., 2017), all of which can impact cognition.
ere are hundreds of millions of neurons within the wall of the gut that form the enteric nervous system (Anglin et al., 2015). Approximately the rst two- thirds of the gut lumen is in direct contact with the vagus nerve (Heiss & Olofsson, 2019) and can inuence the limbic system and thereby arousal, fear, anxiety, and emotion reg­ulation (Anglin et al., 2015). While kissing and caring for infants likely have psycho­logical benets beyond a method for transferring microbes, it is interesting to think of the benets from the microbe’s perspective. e positioning of the birth canal so close to the anus usually ensures the transmission of microbes from both the vagina and gut. Infants cannot help but be inhabited by microbes transferred to them from the adults who breastfeed them, kiss them, and change their diapers. One fun way to put this is that “e birth of a mammal must be a moment of celebration in the microbial world . . . [as] a new, potential host emerges from the uterus” (Tannock, 1994, p. 1). Some researchers now argue that a healthy gut microbiome contributes to the ability to manage anxiety. For example, microbiota can inuence behavior through vagus nerve signaling and the production of metabolites (Bravo et al., 2011; Cryan & Dinan, 2012). Abnormalities such as low vagus nerve activity are associated with gut abnormalities (Sajdel- Sulkowska et al., 2019). Vagus nerve abnormalities present as symptoms of both prematurity and ASD, suggesting common mechan­isms of inuence even if the core causes are dierent. Similar symptoms include increased prevalence of irritable bowel, cardiovascular abnormalities, and neuro­psychiatric abnormalities (including diculties with socioemotional development). Vagus nerve activity as measured in terms of heart rate variability can be used to estimate regulation by the vagal nerve of the gastrointestinal tract (Sajdel- Sulkowska et al., 2019).
In addition to some structures involved in “hard wiring” connections between the brain and the gut, the endocrine system facilitates communication between the brain and the gut through neuropeptides and gut peptides that act both locally and on the limbic system, where the blood– brain barrier is somewhat more permeable