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FROM MEGABRAIN REPORT VOL. 2 NO. 3 Edited by Michael Hutchison Alpha-Theta Brainwave Biofeedback: The Many Possible Theoretical Reasons for Its Success by Jonathan D. Cowan Abstract A new neurotherapy, employing alpha-theta brainwave biofeedback preceded by imagery of desired personal changes, has been reported to produce profound personality and mood changes in substance abusers and other patients. This has raised questions about the theoretical mechanism(s) underlying the clinical improvements: Why should the new therapy be beneficial? What is the relationship of these brain rhythms to substance abuse? This paper includes an annotated list of a number of possible theoretical reasons for these clinical gains, as well as a discussion of recent experimental evidence linking these brain rhythms to alcohol and other drug abuse. KEYWORDS: EEG, biofeedback, substance abuse treatment, mental health treatment, alpha rhythm The rediscovery of brainwave biofeedback, particularly in its new application as alpha-theta training, has left many practitioners and researchers puzzled about its reputed power. Just a few years ago, the training of the EEG was restricted to a few diehards who knew its potential. The recent explosion of interest in this field, spearheaded by the work of Drs. Eugene Peniston and Paul Kulkosky (1989, 1990, 1991), has produced a rapidly expanding group of practitioners claiming remarkable results in treating a number of disorders: chemical dependence, post-traumatic stress disorder, depression, anxiety, multiple personality, panic, and eating disorders, to name a few. In a recent article in the Association for Applied Psychophysiology and Bio-feedback's newsmagazine, Biofeedback, Dr. J. Peter Rosenfeld (1992) raised the question of "the conceptual foundation of brainwave training effects", as well as other issues. To restate his questions more clearly: 1. Why should alpha-theta brainwave biofeedback have a positive effect on alcoholism and other forms of substance abuse? 2. What is the relationship of the alpha and theta rhythms to substance abuse? Although I can see the remarkable success of this therapy in my own clinical work, from a scientific perspective, I can also understand why Dr. Rosenfeld and others are justifiably puzzled. I am also keenly aware that others postpone thinking about these issues at all, waiting for a larger number of controlled outcome studies. Although it is clear that additional clinical trials are very necessary, further consideration of Dr. Rosenfeld's questions will add to our understanding and thereby refine these studies. I have been thinking about these questions since I first read Peniston and Kulkosky's paper in May, 1989, and visited Dr. Peniston that September. Since then, I have had a number of illuminating discussions about this with many others in the field, including Dr. Lester Fehmi, Dr. Joe Kamiya, Dr. Scott Lukas, and Dr. Peniston. The ideas and references that they suggested have helped me to understand that there are a large number of possible reasons for the success of this therapy. While it is clearly too early to decide about the relative importance of these reasons, I feel that it is important to put forward an annotated list of possible explanations, in the hope that it will stimulate dialogue, research, and improved therapeutic approaches. I would certainly welcome comments and discussion from others. This new neurotherapy--known as either alpha-theta training, Imagery and Attention Control Training, or (perhaps too vaguely) as neurofeedback, EEG or brainwave biofeedback--actually goes back quite a long time. The use of imagery and biofeedback involving both the alpha and theta states was first explored in the late 1960s by Dr. Elmer Green and his colleagues at the Menninger Foundation, who termed it "programming the unconscious" (Green & Green, 1986). Conversations with Dr. Green revealed that he had modified an approach to changing life patterns that he had excerpted from the ancient Yoga sutras: Hold the image of change firmly in mind as you quiet down both physiology and thought processes, and then release it without attachment. Dr. Green has discussed this approach at many Menninger Foundation courses on brainwave biofeedback, including one that Dr. Peniston attended. The essentials of alpha-theta training have been covered in detail by Dr. Len Ochs (Ochs, 1992). As originally performed by Dr. Peniston, the nucleus of the training consisted of 6-8 sessions of thermal biofeedback and autogenic training, followed by 30 sessions of evoked images (of personal change) and alpha- theta EEG biofeedback. The sessions were typically performed twice a day, five days a week, on Veterans Administration Hospital inpatients. The training in hand warming, which was taken to a criterion of 94 degrees, was used to create an experience of mastery, as well as a state of relaxation that evidence suggests will also produce an enhancement of the patient's theta rhythm. Dr. Peniston used a standardized set of imagery instructions, which he varied slightly for different diagnoses (alcoholism, drug, abuse, post-traumatic stress disorder, chronic pain, etc.). He then told the patient to "sink down" into a state just above sleep, keeping his mind quiet and his body still, while listening to the biofeedback tones. The two tones were triggered if the occipital (O1) alpha or theta amplitudes went above a preset threshold. Alpha and theta were trained simultaneously, not sequentially, as Ochs (1992) stated. The simultaneous training, in combination with the instructions, results in the production of alpha rhythms that are primarily at the lower end of the alpha frequency range. A trainee will typically spend several minutes producing predominantly low alpha rhythms, before this drops out and somewhat increased theta amplitudes supervene. From there, the course of the 30 minute biofeedback experience is highly variable, as are the subjective reports. As Dr. Ochs indicated, each clinician who has employed this protocol has added his or her own variations. Some of them are described in the accompanying article. Despite this inconsistency, the results of the therapy have been remarkably positive and robust among patients who have completed the recommended number of sessions. Some of the evidence for its effectiveness was put forward at a symposium at the recent AAPB meeting in Colorado Springs. An informal meeting of practitioners at the same conference produced reports of about 80% short-term effectiveness with over 300 patients in the wide variety of conditions listed above. Dr. Peniston's efforts accounted for about 180 of these patients, whose success has been followed up for 2-4 years. The network of therapists that I have talked with about this particular technique reports a similar pattern in a much larger number of patients. There is also a partial overlap with other successful methods of EEG biofeedback therapy with a much longer track record, including the numerous practitioners trained over the years by Dr. Lester Fehmi, Dr. Thomas Budzynski, the Menninger Foundation, and several others. On balance, I should also point out that there are real practical difficulties in providing enough encouragement for patients to complete this therapy in an outpatient setting, as Dr. Ochs discussed in great detail. However, there are modifications and additions to the therapy that produce major gains in the first few sessions and thereby improve compliance. To start the list of reasons where the therapy begins, with thermal biofeedback, is to review territory familiar to most biofeedback clinicians. Clearly, thermal biofeedback, coupled with autogenic phrases, can be very relaxing, thereby relieving stress that the trainee has accumulated. Teaching the student how to achieve this relaxed state does create a perception of self- mastery over stress, which can be healing in itself. It is probable that if the 6-8 sessions of this training were extended by 30 more, additional gains in relaxation and mastery would be forthcoming. Would these gains be sufficient to account for the effectiveness of Peniston's approach? This is a researchable question. To confound the issue, these reasons for success should also apply to learning control of the low alpha and theta brain rhythms, but perhaps the latter task produces an even more profound experience of relaxation and mastery. In an Association devoted to biofeedback and psychophysiology, it is easy to overlook the importance of the imagery instructions given prior to the EEG biofeedback in each session. In private conversations, Dr. Peniston has consistently emphasized the importance of evoking these images of personal change. The imagery instructions used here provide mental rehearsal of new intentions and images of positive alternatives to unwanted responses, such as drinking alcohol. The instructions are repeated without variation in each of the 30 sessions. This degree of massed practice and rehearsal may be very valuable in healing, in and of itself. From the viewpoint of learning and memory, the repetition of intentional images or visualizations is quite different from a series of guided imagery experiences. It is much more likely to reinforce learning and produce the overlearning of the particular response that is important in creating personal change. In fact, finding ways to evoke the same images several times in each session may be very useful in decreasing the number of sessions necessary for successful alpha- theta therapy. Adapting some of the characteristics of effective visualization discussed by Dr. Patricia Norris (1989) to this therapy should also increase its effectiveness. To achieve this, I make sure that each of my students is deeply involved in writing his or her own script to evoke imagery. These images of personal change are experienced in a relaxed state, followed closely by the affect induced by alpha-theta biofeedback, which is usually very pleasant. This forms an association between the images and pleasant affect which is repeated 30 times throughout the course of therapy; the well- learned association between the two should make the new intentions and behaviors seem more desirable. The power of alpha-theta training may be partly due to inputting images and suggestions in such a way that they bypass the conscious mind, thereby benefiting from the lack of interference from adult disbelief and disempowerment. Before setting forth the rest of the reasons associated with the feedback of the alpha and theta rhythms, it is important to clearly establish the distinction between brain rhythms and brain states. The underlying configuration of psychological, neurological and biochemical activity, which may shift from moment to moment, is the brain state, state of consciousness, or, more precisely, state-context (Kiefer and Cowan, 1979). I prefer our terminology because it emphasizes the fact that elements of context, particularly cognitive patterns, also influence the neural background on which experiences are encoded and stored in the brain. The impairments of retrieval produced by changes in state and cognitive context are both consequences of the shift in neuronal background in effect at storage and retrieval, and are therefore nearly impossible to separate. I believe the term state-context dependent retrieval is a more accurate description of the phenomenon than the original term, state-dependent learning. The EEG is but one of a number of multiple converging indicators of state-context, as Dr. Joe Kamiya is fond of pointing out. The multiple rhythms of the EEG are often overlaid on one another at the same time; the amplitudes, frequencies, and phase relationships of these rhythms presumably have some connections to the underlying brain state-context. However, comments such as those indicating that a student is "in the theta state" when he is practicing the augmentation of his theta rhythm grossly oversimplify a highly complex reality. There are a number of problems with this all too convenient approach: 1. The theta rhythm itself is not a unitary phenomenon. Undoubtedly, there are important distinctions relating to the meaning of different frequencies, waveforms, and electrode sites, especially if pathological EEGs are also considered. 2. There probably are multiple underlying state contexts which characteristically produce large amounts of theta activity at a particular electrode site. These state-contexts have evolved differently in each person, shaped by many factors in the individual's developmental history. More on this later. 3. One should not confuse the rhythm that the therapist is attempting to train with the pattern of rhythms that the student is producing at the moment. This is particularly troublesome if he is being trained by turning on a sound when he is above an arbitrary threshold, which the therapist can change at whim. Without looking at the whole pattern, it is impossible to assign a meaning to producing a certain percentage of theta above threshold. It is often difficult even if you can see the whole pattern. It is probably more accurate to state that EEG rhythms roughly reflect one or several dimensions of the focusing and deployment of the student's attention, ranging from the relatively narrow focus associated with some predominantly beta rhythms to the more open or even diffuse attention, divided among multiple objects, characteristic of low alpha dominance (Fritz & Fehmi, 1982). By training the student to produce more or less of these brain rhythms, we are actually doing something far more complex: Teaching him to perceive and control a number of different transitions among his own unique state-contexts, which differ among themselves in the amounts of each of these rhythms that they produce. We are training the student to activate certain of these state-contexts by instructing him to emphasize certain rhythms. In some cases, we are also teaching him new state- contexts, and their distinction from other previously learned ones. One possible reason for the success of this therapy is that we are training the student to better control many of his transitions between his unique state-contexts, by teaching him how to control the way he focuses and deploys his attention. Certain types of state-contexts may only be activated if attention is focused and deployed among possible objects in a characteristic manner, one associated with the predominance of certain brain rhythms. For example, it may be easier to activate or stabilize a state-context in which one is narrowly focussing on anxious thoughts and feelings, as well as the associated events and memories, if the predominant brainwave rhythm is beta. Parenthetically, there may be a more direct way of measuring the student's ability to produce appropriate transitions between brain rhythms. One problem with current approaches is that we rarely train complete control, in that we omit teaching them how to turn off these rhythms. Dr. Kamiya did this in his early work with alpha training, in which he alternated between two minutes of alpha enhancement and two minutes of suppression. With our current technological richesse, it would be a simple matter to devise a program that measured how quickly an individual could make transitions back and forth between predominant rhythms. By quantifying this latency, we may be able to develop a training outcome measure with greater validity. By training the student to produce quick transitions between brain rhythms, we may also be able to train them to improve their ability to transit between some of their underlying state-contexts--those that typically produce the changes in brain rhythm and the consequent biofeedback. Dr. Martin Wuttke's article (1992) sets forth a related reason for the success of alpha-theta therapy--the development of the "witness" consciousness through training these transitions. "With training you eventually develop the ability to consciously observe and witness internal and external stimuli, without judging or thinking...This skill brings with it a new volition in regard to cognitive processing." (1992, p. 21) This increased ability to choose between experiencing a state-context containing unpleasant thoughts, feelings, and associated memories, or a more pleasant one, can clearly improve anyone's mental health. During and after this therapy, patients regularly report increased control of their state-contexts. Patients also report a greater ability to "let go" of unwanted thoughts and feelings. In view of the alpha rhythm training, this is not at all surprising. For many years, Dr. Lester Fehmi has been teaching clients and therapists to use low alpha, in combination with certain images, to open the focus of their attention and include more of the sensory/perceptual field surrounding each experienced event (Fritz & Fehmi, 1982). Dr. Karl Pribram has uncovered a number of systems within the brain which allow it to vary between a narrow focus on one aspect of experience and dividing attention more equally among multiple, narrow bandwidth input channels (Pribram, 1971). By broadening the focus of attention to include many sensory input channels, it becomes more difficult to narrowly focus on one repetitive "tape" or "conversation" or a "vicious cycle" involving unpleasant thoughts, feelings, and memories, each intensifying the other. If the attentional focus is diffuse, as it is in many state-contexts characterized by large low alpha output, these thoughts can be "let go" more easily, since they represent only a small portion of the totality of experience at the moment. If they recur, or other unpleasant thoughts come up, it is easier to watch them dissolve again without attachment. By developing the ability to allow the "witness" to control this Open Focus of attention, the student can learn to experience and accept all events equally without attachment, transcending pleasure and displeasure (Fritz & Fehmi, 1982) [For more on this technique see the interview with Dr. Fehmi elsewhere in this issue--Ed.] Is there something unique about state-contexts with predominant theta rhythms that can account for some of the treatment's effectiveness? There is a fact that may have immense implications here: As we mature, our average brainwave frequencies get faster. During the important formative period from one to six years old, the predominant brain rhythms fall in the theta range, but the waveforms of the posterior dominant rhythm look more like alpha spindles (Duffy, Iyer, & Surwillo, 1989). Older children's frequencies are in the alpha range until puberty, when the faster adult pattern supervenes (Kooi, Tucker & Marshall, 1978). The implications of this shift are fascinating, especially when combined with the principle of state (or state-context) dependent learning and retrieval. The highly emotional experiences of early childhood, and the (often mistaken) decisions which stem from them, are learned and stored as modifications of the slower background frequencies that were activated at the time. These initial associations between the cortex and the limbic system-- the emotional brain--are formed in individualized state-contexts characterized by cortical theta rhythms, and strongly consolidated in memory by the actions of neurohormones (such as epinephrine and vasopressin) released during emotional experiences. Over the years, as brainwave rhythms move to faster and faster frequencies, access to these original memories is gradually lost due to the state-context change and state-context dependent retrieval. Newer experiences which are connected to the original ones by cognitive or emotional similarities are stored in association with them, but at faster frequencies, generally easier to retrieve at a later time. The part of this matrix of associated memories which is hidden from consciousness by state dependence can be considered to be the subconscious. A subset of these subconscious memories--particularly those related to sexuality and aggression--are further modified and obscured by psychodynamic memory processes to form the unconscious, in the sense used by Freud and his followers. However, Green and Green's (1986) use of the word "unconscious" appears to be closer to the broader subconscious I am describing, with an emphasis on the clear links to the control of psychophysiological functions. During the alpha-theta therapy, the subconscious becomes more accessible to alteration or "programming" (as Dr. Green puts it) by new images, as well as the release of old images. As I suggested in a remark at the end of the alpha-theta EEG biofeedback seminar at the 1990 AAPB meeting in Washington, the images generated by the student are being stored in a variety of state-contexts, each characterized by predominant slow EEG frequencies. In each session, after the images are evoked, they remain in short term memory as the student "sinks down" into a series of these state-contexts. It is likely that in this unusual attempt to relax deeply without falling asleep, the student reactivates a number of state-contexts that have been largely dormant since childhood, since his adult experience with state- contexts of deep relaxation is typically very limited. He will permanently store the new images in each state-context that he reactivates. Although each new memory increment may be weak, over the 30 sessions the student will generalize these repeated images from his adult state-contexts to a number of those initially learned in childhood at predominantly lower frequencies. Each training session may reactivate a different selection of state- contexts, and the consolidation of memory in them will be probabilistic and cumulative. This is one of the few ways in which adults can store new information in the subconscious--in state-contexts dominated by theta and low alpha rhythms, with their well learned but state dependent connections to the limbic system and early emotional memories. Hypnosis and NLP may offer other approaches. If this therapy does offer a powerful method to reprogram the subconscious, by overlaying images of new intentions and positive alternatives, this is clearly a reason for its success. The release of old images--that is, the integration of subconscious, possibly repressed material into conscious awareness during this therapy--may form the basis of another reason for the success of the alpha- theta training. As Wuttke (1992, p. 21) states "A goal of psychotherapy is the integration of repressed material into conscious awareness. This self- integrative process occurs quite often during brainwave training sessions as the individual maintains a semi-conscious awareness (referred to as reverie). . . . The result is a natural integration of repressed material, usually through symbolic mini- dreams." This integration may have a basis in the brainwave changes seen in alpha-theta training, according to an upcoming paper by Dr. Peniston. He reports that repressed, abreactive material is most likely to surface when the student learns to slow down the predominant alpha frequency to the point where it is below eight cycles per second, technically within the theta range. At these frequencies, the posterior dominant rhythm resembles that of childhood. The emergence of subconscious memories, stored during childhood and reinforced by other highly emotional experiences which reactivate the associations between the limbic system and cortical theta rhythms, becomes more understandable as an effect of state-context dependent retrieval. Dr. Peniston also noted a large amount of synchrony between electrode sites during these abreactive episodes. Brainwave synchrony indicates that the portions of the cerebral cortex sensed by the electrodes in question are firing in phase with one another. The origin of this coordinated cerebral rhythmic activity is now thought to be in the reticular nucleus of the thalamus (Steriade et al., 1990), a network of neurons that surrounds the centrally located thalamus like an eggshell. Although many of the more widespread, synchronous rhythms do appear at times when the cerebral cortex is arguably doing nothing more than idling (e.g., the alpha rhythms of relaxed wakefulness, the delta rhythms of deep sleep), other information supports the idea that some synchronized rhythms (and even some forms of idling) coincide with profoundly altered state-contexts that may produce integration and healing. There are several studies that indicate that long-term meditators show increased amplitudes and synchrony (and decreased frequency) of their low alpha rhythms, particularly in the frontal lobes. For over 18 years, Dr. Lester Fehmi has used a five channel EEG biofeedback instrument that trains people to increase both the amplitude and synchrony of the selected brain rhythms. His approach, which combines this training with the images of Open Focus, has become accepted as a treatment for a wide variety of conditions, including chronic pain and anxiety. Dr. Fehmi, Dr. Jean Millay and others have reported that brainwave synchrony between individuals results in increased rapport and reports of remarkably similar experiences. Others, such as Dr. Edgar Wilson, have found synchrony between healer and patient at the time of peak effectiveness. I have suggested a mechanism for this type of synchrony-induced information transfer (See "Mind as the Projection and Reception of Electroholomorphic Fields by the Brain," in Megabrain Report, Vol. 2, No. 2 [1994], pp. 23-30, and Cowan, 1991). I mention all of this in support of the suggestion that the development of synchrony during alpha-theta brainwave training may be an important reason for its success on neurophysiological, psychological and transcendental levels. Once individuals have been thoroughly trained using this protocol for alcohol or other drug abuse, if they transgress by using these substances again, they have a good chance of developing the "bone sick flu". This unexplained illness, which has frequently been described as "the worst flu I have ever had in my life" (Peniston, personal communication) may constitute a reason for therapeutic success with some patients. Rather then getting high from his drug of choice, the user experiences bone, joint, and muscle aches, as well as fever and malaise, for about two days before the symptoms resolve spontaneously. It should be noted that Peniston was using this method with success long before he uncovered this reaction and therapists became obligated to inform their patients, thereby establishing an expectation which reinforces abstinence. There have been some speculations involving the possible role of the hippocampus. I strongly doubt that the hippocampal theta rhythm has anything to do with alpha-theta training, since Winson (1985, pg. 185), who has done a considerable amount of work in the area, states "In all probability there is no such rhythm in any primate". It is true, however, that the hippocampus is desynchronized at many times when large portions of the cortex are in synchrony. The significance of this finding for the alpha- theta training has not yet been clarified. I am also cautious about suggesting that the reasons for effectiveness are primarily based at the neurochemical or endocrine level. Although it is fashionable to seek explanations that attempt to root neuropsychological phenomena in supposedly deeper bedrock, I find that I must agree with Dr. Siegfried Othmer, a physicist who has turned his attention to EEG biofeedback, in wryly terming this type of reductionist approach "physics envy". While there is no doubt that any therapy which produces changes in the central nervous system as profound as this one does will produce many secondary changes in neurochemistry, to jump to the conclusion that any one (or even a few) of these changes cause the transformation of the individual that we see clinically is to put the cart in front of the horse. This situation is quite different from that involved in administering a drug, where it is thought that the drug must bind to a receptor, thereby leading to changes at the biochemical level that cause its psychological effects. With our current state of knowledge, there is simply no reason to assume that any one change in biochemistry or endocrinology is the primary event, eventually causing all the other changes. Although Peniston and Kulkosky (1989) did find that this training prevented a rise in beta-endorphin levels that was seen in the control group just before release, they admitted that this change could very well be due to the increased stress experienced by the control group in anticipation of their release from the hospital. Presumably, the brainwave training helped the experimental group to minimize this stress. Recent studies by Dr. Scott Lukas and Dr. Jack Mendelson have cast considerable light on the second question, concerning the relationships of these alpha and theta rhythms to substance abuse. They provide support for the assertion that the euphoria produced by many drugs is associated with increases in the output of low alpha waves. One study (Lukas & Mendelson, 1988) demonstrated that the euphoria and the alpha wave output of normal subjects drinking alcohol both peaked almost simultaneously, about a half hour after starting a fifteen minute drinking period. The blood levels of ACTH and corticosteroids also peaked at about the same time. In contrast, the blood alcohol concentrations continued to rise over the next half hour or more. In this and other studies, they have found a consistent relationship between momentary experiences of euphoria and very short term increases in alpha wave output due to alcohol, marijuana, or cocaine (Lukas, 1991). These findings reminded me that during my tenure at the National Institute on Drug Abuse Addiction Research Center, I had learned about the concept of "negative euphoria" put forth by Dr. Clifton K. Himmelsbach, the first Director, over 50 years ago. He hypothesized that many addicts used drugs not to feel good, but to forget that they felt badly. I performed a study which showed that alcohol could help normals to forget their feelings, whether positive or negative (Cowan, 1983), and demonstrated that this was a specific effect. This data supports the hypothesis that the euphoria produced by alcohol and perhaps some other drugs of abuse could be largely a negative one--that by helping individuals to achieve a particular low alpha state, the drugs may also help them to "let go" or forget a variety of unwanted, intrusive thoughts and feelings. The alpha-theta training may very well be teaching these drug-dependent individuals, who are usually troubled by a variety of unfavorable feelings and attitudes (particularly towards themselves), how to naturally achieve this escape, when it is beneficial to do so, by producing a state-context with an increased, and perhaps more synchronous, low alpha rhythm. Learning to enhance the theta rhythm may lead them to produce state-contexts of even deeper serenity and peace. There is a lot to think about here. There are few answers, but perhaps these hypothesized mechanisms will help in framing better questions. The immense promise of the alpha-theta technique and its many variants deserve a great deal of further attention both from researchers, intent on demonstrating its effectiveness and answering some of these questions, and from clinicians interested in refining this highly beneficial approach to personal change. References Cowan, J. (1983). Testing the Escape Hypotheses: Alcohol Helps Users to Forget Their Feelings. Journal of Nervous and Mental Disease 171: 40-48. _________. (1991, June). The Projection and Reception of Electroholomorphic Fields by the Brain. Presented at the meeting of the International Society for the Study of Subtle Energy and Energy Medicine, Boulder, CO. _________. (1994) "Mind as the Projection and Reception of Electroholomorphic Fields by the Brain," Megabrain Report, Vol. 2, No. 2: 23-30. Duffy, F.H., Iyer, V.G. & Surwillo, W.W. (1989). Clinical Elec- troencephalography and Topographic Brain Mapping: Technology and Practice. New York: Springer-Verlag. 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