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Gain control mechanisms in the auditory pathway


Benjamin Louis Robinson and David McAlpine

Belying the apparent ease with which the acoustic world is possible to distinguish changes in gain from other changes
perceived, the sheer vastness of the range of sounds and that influence neural output functions, especially when
sound parameters that must be encoded represents a relying on extracellularly recorded neural data to make
challenge to traditional models of neural coding in audition. such distinctions [4]. What has become clear, however, is
Here, we review recent evidence suggesting that a process of that changes in gain often imply neural adaptations that
gain control, operating at multiple stages in the auditory result in the recoding of sensory information according to
pathway, helps maintain coding accuracy to prevailing sound current environmental demands.
conditions over a wide range of behavioural and sensory
contexts. Together, these processes imbue the system with its Here, we review recent evidence demonstrating the
staggering representational capacity, underpinning everything importance of gain control in the auditory pathway —
from the perception of a tiger’s near-silent tread to its and the adaptive recoding such gain control implies —
triumphant roar, demonstrating once more the principle of from the external surface of the ear to the primary
efficient coding that underlies sensory processing. auditory cortex. We propose that the multiple time-
courses over which changes in neural gain are imple-
Address mented, as well as the burgeoning number of candidate
UCL Ear Institute, 332 Gray’s Inn Road, London WC1X 8EE, UK effectors of gain change, challenge the traditional means
Corresponding author: McAlpine, David (d.mcalpine@ucl.ac.uk)
of assessing auditory coding using relatively low-level
acoustic cues. What emerges is an exquisite degree of
coding control fitted to the stimulus context, even at very
Current Opinion in Neurobiology 2009, 19:402–407 early stages of neural processing [5].
This review comes from a themed issue on
Sensory systems
Gain and the peripheral auditory system
Edited by Leslie Vosshall and Matteo Carandini Aside from its protective function, the outer ear performs at
least two significant acoustic functions in hearing. Not only
Available online 6th August 2009 does its complex geometry provide for a frequency-de-
0959-4388/$ – see front matter pendent increase (or decrease) in sound energy reaching
Published by Elsevier Ltd. the eardrum, but also this transformation in sound energy
(the head-related transfer function or HRTF) affords the
DOI 10.1016/j.conb.2009.07.006
means by which sound-sources in the vertical plane are
located, including the ability to distinguish sources to the
front from those to the back [6]. In a clever demonstration
Introduction of the auditory brain’s sensitivity to the spatial cues pro-
The environment imposes two conflicting demands upon vided in the HRTF, Hofman et al. [7] found that by altering
sensory systems. On the one hand, natural signals are often the shape of the outer ear with prosthetic molds they could
of extremely small magnitude, favouring the evolution of modulate the extent to which human listeners were able to
sensory systems with high sensitivity [1]. On the other identify the location of the source of a sound along the
hand, the range over which these signals varies is anything vertical dimension. Within a matter of weeks, however,
but small: the difference between a whisper and a roar, for subjects chronically fitted with outer ear prostheses had
example, is 10 or 12 orders of intensity [2]. Given biological adapted to their new auditory cues, and were once more
constraints, how do sensory systems cope with the simul- able to distinguish sources above the horizon from those
taneous requirements of high sensitivity and accuracy over below, indicating a significant recoding of the brain’s
a wide dynamic range? A possible solution to the conflicting representation of the surface of the external ear. This,
demands of sensitivity and accuracy lies in the imple- relatively long-term, process of adjustment clearly impli-
mentation of gain control, a solution variously instantiated cates even the most peripheral components of the sensory
throughout many sensory systems, including the auditory end organs in gain control. Interestingly (and unlike the
system. Strictly, the term ‘gain’ refers to the slope of an effect of employing prisms to adjust visual spatial cues),
input–output function, and it is well established that a upon removal of the prostheses, subjects were found to
neuron’s response or output gain can be rapidly adjusted in have retained normal sensitivity to the original acoustic
a process referred to as divisive normalisation [3]. However, cues generated by their own ears.
the evident complexity of any relationship between intra-
cellular, sub-threshold activity and spike generation A more rapid means by which the auditory system demon-
suggests that, for purely technical reasons, it is not always strates the influence of gain lies in the process of sensory

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Gain control mechanisms in the auditory pathway Robinson and McAlpine 403

transduction that occurs at the level of the cochlea of the which response functions at the earliest level of neural
inner ear. Transmission of sound energy via the bones of coding in the auditory pathway are fixed in their repres-
the middle ear (themselves subject to a form of input gain entation of the acoustic environment, suited to detecting
control through the action of the middle-ear reflex) to the and discriminating low-intensity sounds, but incapable of
oval window of the cochlea generates a travelling wave distinguishing sounds at moderate or high levels. Indeed,
along the coiled basilar membrane. Current investigations only recently was it suggested that sound level could not
focus on understanding cellular mechanisms underlying be realised through a spike-rate code alone, and that other
particular properties of basilar membrane responsiveness, forms of information (e.g. temporal) must play a role in
including the appearance of high gain at low intensities, encoding sound level at the earliest neural stage of
reduced, or compressive, gain responses at mid-intensi- processing. More recent studies, however, suggest that
ties to high-intensities, and the contribution of these gain the dynamic-range problem is simply the outcome of
mechanisms to the basilar membrane’s sharply tuned employing a form of acoustic stimulation in physiological
frequency response — none of which is present in the studies that does not take full account of psychophysical
passive properties of the membrane (see [8]). These or natural listening conditions.
changes in gain, important in themselves, accrue further
interest in that they are thought to underlie certain Motivated by studies of contrast gain control in the visual
psychophysical phenomena (see below). So what is it system demonstrating the means by which neurons with
that provides the cochlea with its boost in sensitivity? relatively small neural dynamic ranges can encode
The likely candidates, the outer hair cells (OHCs), out- changes in contrast extending over many orders of mag-
number the primary auditory transducers, the inner hair nitude, Dean et al. [13] assessed responses of neurons in
cells (IHCs), by three to one, and appear to increase the auditory midbrain nucleus of the inferior colliculus
cochlear gain by rapidly changing somatic length, thereby (IC) to a novel stimulus configuration. Hypothesising that
altering the micromechanical properties of the basilar adaptation might result in alterations to coding of sound
membrane, rather like springs of adjustable tension intensity at the single-neuron level, these authors
attached to the edges of a trampoline. In this way, the recorded responses of individual IC neurons to continu-
travelling wave undergoes an overall amplification, a ous wide-band noise whose level was adjusted every
compression at high levels and a sharpening at the 50 ms to a value drawn from a statistical distribution,
particular region of the basilar membrane representing defined by a high-probability region (HPR) from which
the frequency of the incoming sound. Recent research has the majority (80%) of sound levels were drawn. When the
focused on the precise mechanism by which OHCs feed HPR was shifted to a new value, neurons’ spike-rate-
energy back into the basilar membrane [9]. The details of versus-level functions also shifted to accommodate the
this mechanism are beyond the scope of the present new stimulus distribution, response functions continuing
discussion and have been recently reviewed [10,11]. to shift ‘rightwards’ as the HPR was shifted to higher and
higher levels. Moreover, as a population, neurons adapted
Gain control in the auditory midbrain their response functions so as to maximise the accuracy
With its active elements intact, the dynamic range of the with which sound levels just above the background mean
cochlear input–output function matches well with psy- were encoded. Neurons were found to adjust their coding
chophysical data indicating that listeners are able to to new sound-level regimes within a few hundreds of
distinguish changes in sound level in the order of 1 milliseconds [14]. In this case, changes in gain are mani-
decibel (dB) or so over the full 120 dB range of human fest as a precise and rapid reconfiguration of the relation-
hearing. This includes the existence of a ‘mid-level’ ship between the input sound level and the neural
hump in discrimination performance — a reduction in output — an adaptive recoding — to maximise the pre-
sensitivity over the range of sound levels where cochlear cision with which the sound environment is represented
compression is greatest [12]. In this context, therefore, by the auditory system. With recent conference reports
measurements of single ANFs, as well as in the midbrain now indicating adaptive recoding to be a feature of the
and cortex, have tended to reveal a somewhat surprising responses of primary nerve fibres, the notion of a
picture. Typically, increases in neural spike-counts are dynamic-range problem in hearing has been much dimin-
reported to extend over only the first 20–30 dB beyond ished. What was previously considered a coding problem
threshold before they reach rate saturation. Given that the is now recognised as having constituted a limitation in our
vast majority of ANFs show thresholds close to 0 dB understanding of how the brain represents infor-
sound pressure level (SPL) — elevated threshold gener- mation — a limitation based on previously standard
ally indicates some form of pathology — the possibility laboratory technique that dictated that sounds be pre-
that ANFs represent sound level in the form of a rate code sented in pseudo-random order, with long intervals be-
was disputed until only very recently. The ‘dynamic- tween successive presentations in order to lessen the
range problem’, a term coined to express this apparent presumed malign influence of any adaptive mechanisms
mismatch between psychophysical and neural perform- on the proposed neural representation of intensity.
ance, suggests an essentially static auditory system, one in Released from this constraint, the auditory brain’s ability

www.sciencedirect.com Current Opinion in Neurobiology 2009, 19:402–407


404 Sensory systems

to extract information about the sound environment a population level, rendering the functional implications
effectively and efficiently, became evident [15]. Recent of these studies less clear than those of Dean et al. [13].
psychophysical evidence supports these findings [12]: The range of shifts may share certain mechanisms; how-
Pienkowski and Hagerman measured intensity discrimi- ever, these changes in tone-evoked rate-versus-level
nation in listening conditions selected so as to prevent functions are thought to be due in part to cochlear
central mechanisms of adaptation from having any useful two-tone suppression — a very rapid mechanism that is
effect on the representation of sound level. They did so unlikely to contribute to the data of Dean et al., who
by keeping sounds very brief (4 ms), and by employing employed wide-band noise as a stimulus [13]. Further,
sequences of sounds widely separated in level. The data adaptation of the type seen by Dean et al. operates over a
from this study are striking: without central adaptive time-scale of hundreds of milliseconds, well beyond the
mechanisms, intensity discrimination worsens signifi- temporal reach of two-tone suppression [14]. This brief
cantly at mid-range levels. The authors invoke cochlear comparison illustrates the idea that gain control is useful
mechanisms to explain this so-called ‘mid-level hump’, as a phenomenological description, but that mechanisms
suggesting that the mid-range compressive non-linearity and functions are likely to be manifold.
in the cochlear response, described above, is a limiting
factor in sound-level discriminability across this range. Given this complexity, it is important to try and establish
Central mechanisms, and then operating only for stimuli clear links between mechanistically similar forms of gain
of sufficient duration, are required to overcome this control at different levels of the brain. Indeed, adaptation
decrement in performance for mid-level sounds. This resulting from the wide-band stimulus used by Dean et al.
illustrates a remarkable point: it appears that peripheral in the IC has been examined explicitly in the cortex by
gain changes are necessary to allow the auditory system to Watkins and Barbour [18], who reported an additional
embrace as wide a range of levels as possible, but this feature of neural adaptation to sound-level statistics in
compression leads to a potential loss of accuracy; how- cortical neurons to that reported for IC neurons. A unique
ever, subsequent, central changes in gain — such as those feature of intensity coding in the auditory system is the
seen by Dean and colleagues — may largely compensate appearance of non-monotonic rate-versus-intensity func-
for these necessary peripheral losses. tions. Absent at the level of the auditory nerve, the
proportion of non-monotonic functions increases at sub-
Cortical gain sequent stations in the ascending pathway, such that by
We began by proposing gain as a possible solution to the the level of primary auditory cortex, fully half of neurons
problems inherent in sound perception, namely the need exhibit some form of tuning for sound intensity. Cortical
to encode small changes accurately over a large range of neurons were found to respond in a manner that pre-
sound intensities, including the very quiet. As suggested served coding accuracy for quiet sounds, even in the
above, the cochlea and sub-cortical auditory brain struc- context of a stimulus comprising mainly high sound
tures appear to address these problems to a great degree, levels. Essentially, high sound levels lead to few if any
and it might therefore be reasonable to ask, in terms of spikes being evoked in these neurons, rendering them in
gain control, what role is left for the cortex if its inputs are a relatively un-adapted state. Low sound levels evoke
already well-matched to the statistics of incoming sound neural activity that, whilst maladapted to the high levels
stimuli? It should come as no surprise that cortical in the underlying statistical distribution, is well placed to
neurons are in fact subject to significant changes in both encode the appearance of quiet sounds within the distri-
the gain and the form of their receptive-field properties, bution. The cortex therefore prevents adaptive recoding
and that these changes are initiated by a remarkable range occurring in some neurons in loud environments, to
of sensory and non-sensory factors that, taken together, preserve responsiveness to the sudden appearance of
provoke a profound reconsideration of the notions of quiet sounds.
compression and dynamic range described for lower brain
centres. In addition to such stimulus-driven changes in gain, cor-
tical neurons appear sensitive to non-sensory effectors of
Before discussing purely cortical forms of gain control, it gain change in their representation of complex sounds.
is important to note that some forms of gain control are One of these effectors appears to be behaviour itself. In a
similar in sub-cortical and cortical brain centres. For powerful demonstration of the effects of task-related
example, Phillips and Hall [16] report that rate-versus- receptive-field changes, Fritz et al. [19] measured spec-
level functions for pure tones shift to higher levels when tro-temporal receptive fields (STRFs; time-dependent
presented against background noise. Rees and Palmer and frequency-dependent receptive fields) of primary cor-
[17] observe similar shifts sub-cortically, in the IC. These tical neurons in ferrets trained to perform an auditory
shifts may aid the neural population in responding to detection task. Neural STRFs were derived before, during
important sounds in noisy environments, such as picking and following training periods in which animals were
out a voice at a cocktail party. However, the possible required to detect the substitution of a complex broadband
coding implications have not been explicitly examined on sound with a pure tone. Remarkably, individual STRFs

Current Opinion in Neurobiology 2009, 19:402–407 www.sciencedirect.com


Gain control mechanisms in the auditory pathway Robinson and McAlpine 405

were mutable during the behavioural testing, particularly cortical receptive fields, including the type of task under-
for frequencies at or close to that of the test tone. In general, taken (detection versus discrimination [20]), task difficulty
Fritz et al. found facilitation in STRF frequencies close to (high versus low signal-to-noise [21]) and stimulus com-
the target frequency, changes which were swift in onset plexity (single versus complex tones [22]). Overall, a
and, in some cases, lasted for many hours. Whilst the power picture is emerging indicating that auditory cortical
normalisation procedure employed in this study precludes neurons can rapidly adjust their gain and reconfigure their
any clear differentiation between changes in STRF gain receptive-field properties in response to the moment-to-
and changes in receptive-field shape, the results do suggest moment demands of the sensory–motor milieu. Research
highly localised increases in gain close to the tone fre- in species other than the ferret, and from other laboratories,
quency, and decreases away from it. The link between supports this notion, demonstrating a range of effects from
behaviour and STRF change was further demonstrated by pure stimulus-driven gain changes [23–25] to alterations in
the observation that the magnitude of changes was corre- A1 receptive fields induced by self-stimulation of cortical
lated with task performance — better performance equat- pleasure centres [26]. To summarise, it appears that gain
ing with larger changes in the gain and shape of receptive changes in the auditory periphery apparently linked to the
fields close to the frequency of the target tone. Further most basic of stimulus properties become, by the level of
studies by the same laboratory have extended these find- the cortex, part of a much larger neural project of dynamic-
ings to reveal a host of factors that evoke plasticity in range compression where the effector of the shift in

Figure 1

Gain in action. Mechanisms of auditory gain control operate at multiple levels of the auditory system when an animal is alerted by a novel sound.
Clockwise from bottom right: (A) The anatomy of the outer ear boosts and modifies spectral cues, including those for source location [7]; (B)
membrane responses of cochlear outer hair cells generate longitudinal cellular forces that amplify vibrations of the basilar membrane [10]; (C) rapid
adaptation of responses of midbrain neurons to match of neural output to statistics of the incoming sound [14]; (D) Cortical adaptation in response to
loud sounds preserves sensitivity to quiet sounds — such as the approach of a second tiger [18]; (E) cortical facilitation of STRFs to match incoming
sound frequency/level [20]; (F) medial olivo-cochlear efferents alter rate-versus-sound-level functions to increase output dynamic range for the
representation of discrete signals (tiger) within background (environmental) noise [29].

www.sciencedirect.com Current Opinion in Neurobiology 2009, 19:402–407


406 Sensory systems

response range is not only the underlying statistical distri- results in improved coding of salient stimuli. Factors
bution of the acoustic cues but, potentially, any environ- guiding this compression — both stimulus-specific fac-
mental cue rendered contextually important by the tors such as the statistical distribution of sound levels, and
conjunction of instantaneous demand, prior experience, behavioural factors such as the difficulty of an auditory
and the receptive-field properties of a given neuron (see task — are increasingly tractable to investigation. Whilst
Figure 1). it appears that these latter factors are the preserve of
‘higher’ cortical function, the descending auditory path-
Gain control and descending systems way may distribute gain control to more peripheral pro-
Recent anatomical and physiological studies have chal- cessing sites. It will be fascinating to see how far the
lenged the view of ‘bottom-up’ hierarchical processing in notion of dynamic, context-dependent stimulus encoding
the auditory system, revealing massive reciprocal, des- reaches as we discover precisely what constitutes context,
cending pathways that stream from all regions of the so driving changes in gain, for different parts of the
auditory cortex to sub-cortical brain structures, by direct auditory brain.
or indirect pathways [27]. Whilst the function of this
corticofugal system remains to be determined, one of References
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Gain control mechanisms in the auditory pathway Robinson and McAlpine 407

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