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IEEE TRANSACTIONS ON NEURAL SYSTEMS AND REHABILITATION ENGINEERING, VOL. 28, NO.

4, APRIL 2020 961

Classifying Major Depressive Disorder Using


fNIRS During Motor Rehabilitation
Yibo Zhu, Jagadish K. Jayagopal , Ranjana K. Mehta , Madhav Erraguntla , Joseph Nuamah ,
Anthony D. McDonald, Heather Taylor, and Shuo-Hsiu Chang

Abstract — Major depressive disorder (MDD) has shown medical events including stroke, hip fracture, total joint
to negatively impact physical recovery in a variety of arthroplasty, and spinal cord injury (SCI) range from 9.8%
medical events (e.g., stroke and spinal cord injuries). Yet to 60%, which is substantially higher than the general
depression assessments, which are typically subjective
in nature, are seldom considered to develop or guide population, [3]–[9]. The effects of depression on recovery
rehabilitation strategies. The present study developed a following a variety of medical events have been studied
predictive depression assessment technique using func- extensively; depression is associated with negative impacts on
tional near-infrared spectroscopy (fNIRS) that can be rapidly health outcomes pursuant to a medical event either directly
integrated or performed concurrently with existing phys- or indirectly [10]–[17]. For example, depression can influence
ical rehabilitation tasks. Thirty-one volunteers, including
14 adults clinically diagnosed with MDD and 17 healthy patients’ attitudes toward rehabilitation and their ability to
adults, participated in the study. Brain oxy-hemodynamic participate in the process [4], [18].
(HbO) responses were recorded using a 16-channel wear- Although several studies have documented the ability of
able continuous-wave fNIRS device while the volunteers rehabilitation to act as a mediating factor between depression
performed the Grasp and Release Test in four 16-minute and the functional or cognitive recovery of patients [19], [20],
blocks. Ten features, extracted from HbO signals, from each
channel served as inputs to XGBoost and Random Forest an explicit link between the impact of depression on the
algorithms developed for each block and combination of rehabilitation process and the functional recovery of patients
successive blocks. Top 5 common features resulted in has not yet been established. A small number of studies
a classification accuracy of 92.6%, sensitivity of 84.8%, (e.g., [21], [22]) have addressed the integration of depression
and specificity of 91.7% using the XGBoost classifier. This care into the rehabilitation protocol. Furthermore, only a few
study identified mean HbO, full width half maximum and
kurtosis, as specific neuromarkers, for predicting MDD studies have used depression assessment within the context
across specific depression-related regions of interests of the study to provide or personalize physical therapy. For
(i.e., dorsolateral and ventrolateral prefrontal cortex). Our example, despite the high prevalence of depression post SCI,
results suggest that a wearable fNIRS head probe mon- only 11% of patients with depression receive pharmacological
itoring specific brain regions, and limiting extraction to treatment [4]. This illustrates the critical need to restructure
few features, can enable quick setup and rapid assess-
ment of depression in patients. The overarching goal is to the rehabilitation process to better accommodate the needs of
embed predictive neurotechnology during post-stroke and post-stroke and post-SCI patients with depression.
post-spinal-cord-injury rehabilitation sessions to monitor
patients’ depression symptomology so as to actively guide A. Traditional Assessment of Depression
decisions about motor therapies.
Traditional assessment methods in research and clinical
Index Terms — Depression, fNIRS, rehabilitation, random practice include structured diagnostic interviews (e.g., Depres-
forest, XGBoost. sion Interview and Structured Hamilton [23], Structured Clin-
I. I NTRODUCTION ical Interview for DSM-IV [24]), self-report (e.g., Beck
Depression Inventory–II [25], Center for Epidemiologic
D EPRESSION, also known as major depressive dis-
order (MDD), is the leading contributor to global
disability [1], [2]. Depression prevalence rates following
Studies-Depression (CES-D) scale [26]) and observer instru-
ments (e.g., Patient Health Questionnaire-9 (PHQ-9) [27],
Hamilton Depression Scale [28]). These options are limited
Manuscript received October 19, 2019; revised January 7, 2020; by their subjectivity and unreliability [29]–[32]. Furthermore,
accepted February 4, 2020. Date of publication February 7, 2020; date of
current version April 8, 2020. (Corresponding author: Ranjana K. Mehta.) these methods are limited by their timeliness. For example,
Yibo Zhu, Jagadish K. Jayagopal, Ranjana Mehta, Madhav Erraguntla, the PHQ-9 requires patients to consolidate their symptoms
Joseph Nuamah, and Anthony D. McDonald are with the Department over a two-week period, whereas depression symptoms are
of Industrial and Systems Engineering, Texas A&M University, College
Station, TX 77845 USA (e-mail: rmehta@tamu.edu). known to vary by day [33].
Heather Taylor and Shuo-Hsiu Chang are with the Department A survey of physical therapists details several barriers
of Physical Medicine and Rehabilitation, The University of Texas to integration of depression monitoring and care including
Health Science Center at Houston, Houston, TX 77030 USA (e-mail:
shuo-hsiu.chang@uth.tmc.edu). the service not being part of standard care policy in their
Digital Object Identifier 10.1109/TNSRE.2020.2972270 organization or practice, limited knowledge on the provider’s

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962 IEEE TRANSACTIONS ON NEURAL SYSTEMS AND REHABILITATION ENGINEERING, VOL. 28, NO. 4, APRIL 2020

part, insufficient follow-up resources and time, and unfamiliar- C. Depression Classification Using Machine Learning
ity with depression assessment tools [34]. A separate survey Machine learning techniques have shown promise in the
of occupational therapists revealed that while nearly 93% diagnosis, and treatment of mental health conditions including
of surveyed therapists believe mental health care delivery depression [57]. Support vector machines (SVM), decision
needs to be improved within the scope of their practice, trees, and naïve bayes [58]–[60] have been applied to fNIRS
only approximately 50% of therapists try to integrate various data to classify MDD patients and healthy adults. For example,
aspects of mental health care into their practice [35]. Those Song et al. [58] achieved a classification accuracy of 86.77%
that do not integrate mental health care or choose to involve using SVM to distinguish between MDD patients and healthy
professionals from other disciplines to individualize care report adults from fNIRS data collected while participants performed
pressure to maximize efficiency and productivity with limited a cognitive task. Zhu and Mehta [60] obtained a classification
time, prioritization of functional or motor recovery, insuffi- accuracy of 85% using a One Rule algorithm to assess
cient resources, patient hesitance, and provider unfamiliar- depression in fNIRS data obtained from healthy adults and
ity with the service as common barriers [35]. The survey MDD patients who performed hand grip force production
emphasized that inadequate depression assessment techniques tasks. These results are promising but also are limited in
can further act as a barrier to integration. These limitations their exploration of machine learning algorithms, specifically
suggest a need for reliable, real-time, and objective measures ensemble methods.
of MDD. Ensemble machine learning methods consist of combina-
tions of multiple simple algorithms (e.g., decision trees).
B. Recent Depression Measurement Techniques Classification in ensemble methods is performed by a plurality
Efforts to objectively quantify depression symptomatology or weighted vote among the simple classifiers (e.g., [61]).
have gained attention over the past few decades. These This voting structure reduces classification bias and, in prac-
include physical activity and gait monitoring using accelerom- tice, tends to increase algorithm generalizability. Two com-
eters [36], [37], hand and eye tracking with virtual real- monly applied ensemble methods are Random Forests [49]
ity [38]–[40], and brain signal tracking using neuroimaging and extreme gradient boosting (XGBoost). RF consist of an
techniques [41], [42]. Extensive research has been conducted ensemble of decision trees (typically as many as 500). Each
to understand neural mechanisms of depression using neu- tree is trained with a random subset of both the training data
roimaging techniques such as electroencephalography (EEG), and features. Classification in an RF is performed based on a
functional magnetic resonance imaging (fMRI), computer- majority vote among the trees [61]. XGBoost is an iterative
ized tomography (CT), functional near-infrared spectroscopy training process in which successive trees are trained on the
(fNIRS), and positron emission tomography [36], [43]–[45]. residual training error cases from the previous tree [62]. Clas-
Several of these studies (e.g., [43]–[46]) have found that focal sification in XGBoost is performed by a weighted prediction
functional and structural abnormalities in the prefrontal cortex among the trees [62]. While RF and XGBoost have been
(PFC), the hippocampus, the amygdala, and parts of the stria- successful in other classification tasks [63], [64], we found no
tum and thalamus are accompanied with depression related evidence that they have been applied to the detection of MDD
impairments. Among the techniques employed in these studies, symptoms.
fNIRS has shown promise in assessing neural underpinnings
of depressive symptomatology [47]. D. Gaps Identified
fNIRS measures brain activation through the change in Depression plays a major role in the health and well-being
concentration of oxygenated and de-oxygenated hemoglobin of post-stroke and post-SCI patients, and shown to adversely
in measured brain areas [48]. Although fNIRS offers lower affect motor function recovery and rehabilitation outcomes.
spatial and temporal resolution compared to fMRI and EEG, In clinical rehabilitation practices, monitoring and diagno-
respectively, it is relatively inexpensive, portable, easy to set sis for depression often occurs when the clinical symptoms
up and less sensitive to motion artifacts [49]. Previous fNIRS have developed, after which the patients are referred to
studies (e.g., [50]–[53]) have found an association between specialists during rehabilitation. While the physical thera-
MDD and functional activation of the PFC. For example, pist or occupational therapist focuses on motor recovery,
studies have reported lower activation in the PFC, especially in depression symptoms could be overlooked and therefore
the dorsolateral PFC (dlPFC) and superior temporal regions, the impacts of depression on recovery could be greater.
in MDD patients compared to healthy adults [46], [54], [55]. To better provide effective and efficient rehabilitation to
This decrease in oxygenated hemoglobin in adults with depres- promote motor recovery, there is a critical need for a
sion has shown to be consistent with the reduction in regional feasible, valid, and reliable depression assessment method
cerebral blood flow and metabolism in the dlPFC region at that is rapid, can be integrated or performed concurrently
resting states using PET and fMRI [56]. Although these prior with existing activities (such as motor function assess-
studies have shown the utility of fNIRS in psychiatric research, ments), and with fewer training requirements, such that it
they have focused largely on the cognitive characteristics of can be employed at multiple time points without requir-
MDD through the utilization of cognitive tasks, such as verbal ing additional clinical resources or adversely impact clinical
fluency [47]. productivity.

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ZHU et al.: CLASSIFYING MDD USING fNIRS DURING MOTOR REHABILITATION 963

TABLE I
D EMOGRAPHIC D ATA (M EAN ± SD)

Fig. 1. Participant instrumented and sitting upright.

E. Objective of Study
which anthropometric measurements (e.g., height, weight)
Machine learning technologies applied to fNIRS data cap- were obtained. Participants were first instructed to sit upright
tured from MDD patients have the potential to positively with their upper arm resting on an arm support at their side and
influence rehabilitation outcomes. However, computational elbow flexed at 90◦ (Fig 1) to collect baseline signals from the
requirements to develop real-time classification, coupled with fNIRS sensors. Following the baseline, participants completed
the time required to perform fNIRS probe design and setup a series of motor rehabilitation tasks described below.
should also be considered to reduce the burden of depression
assessment during actual physical therapy sessions to ensure
feasibility and sustainability. In the present study, we seeked C. Grasp and Release Test
to address these practical issues by developing a predictive The Grasp and Release Test (GRT) is a common motor reha-
depression assessment technique that apply RF and XGBoost bilitation task for patients with Tetraplegia [65]. We employed
models to fNIRS data collected from participants performing this task to address a key research question – can a
relevant rehabilitation tasks. Unlike previous studies that have fNIRS-based depression screening technique be embed-
focused on classifying depression when participants performed ded successfully in real-time motor rehabilition procedure?
cognitive tasks and/or were immobile, this study aimed to Answering this question will address gaps identified earlier
highlight the feasibility of fNIRS to assess and classify on understanding the influence of type of task (motor versus
depression using a motor rehabilitation task, which enable cognitive) on the performances of the models, as well as
physical therapy-embedded depression assesssment but are determining the optimal duration of the motor task that will
also associated with high movement artifacts. result in improved depression classification, which may have
implications for clinical feasibility of real-time depression
II. M ETHOD
assessment during therapy sessions.
A. Participants In this study, we modified the GRT according to Fitts’ Law,
Thirty-one participants were recruited for this study, given by [65], [66], to manipulate the task difficulty.
including 14 clinically diagnosed MDD adults (6 males   
and 8 females), and 17 healthy controls (6 males and I ndex o f di f f i cult y = log 2 2D W
11 females). Volunteers who were clinically diagnosed with
MDD (i.e., Structured Clinical Interview for DSM-IV [24]) where D is the distance between the starting position to the
were recruited under the MDD group and general healthy target, and W is width of the target along the axis of motion.
participants were recruited under the control group. All par- Our modified GRT included four different tasks. Participants
ticipants also completed the CES-D scale [26] to verify that were instructed to pick up an object, tape (W = 2.50 cm)
the two groups differed in depression scores. The two groups or fork (W = 0.52 cm), from one marked circular area,
were recruited via convenience sampling from the Texas A&M small (diameter = 0.50 cm) or large (diameter = 1.00 cm)
University community. Participant demographics is presented to the other marked area, small or large. This was done
in Table I. Inclusion criteria for the control group included to offer variability in the task difficulty that would test the
no lifetime history of any depressive disorder and that for generalizability of the study findings. Participants familiarized
the MDD group included a diagnosis of MDD as determined themselves with the GRT using a cylindrical tape and a fork.
by CES-D questionnaire. Both groups also were required to They were asked to grasp the tape/fork from the starting
be right-hand dominant and between 20-80 years of age. circular area, move it over a barrier, and release the tape/fork
Exclusion criteria for both groups included cardiovascular dis- in the target circular area.
eases, metabolic conditions, or musculoskeletal disorders that For the main experiment, participants were instructed to
interfered with upper extremity functions. Written informed maintain accuracy of the grasp and release while performing as
consent of all participants were obtained at the beginning of many GRT iterations as they could in 30 s. Each 30 s GRT was
the study, which was approved by the Texas A&M University followed by a 30 s rest period. Participants performed these
Institutional Review Board. 16 times in a block. A total of four blocks – block 1 (B1),
block 2 (B2), block 3 (B3), block 4 (B4), were performed with
B. Procedure 5 minutes of rest between each block (see Fig. 2). The order
Upon consent, each participant was instructed to com- of the object and area types were counterbalanced within each
plete a demographic and health history survey, following block using the Balanced Latin square design.

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964 IEEE TRANSACTIONS ON NEURAL SYSTEMS AND REHABILITATION ENGINEERING, VOL. 28, NO. 4, APRIL 2020

Fig. 2. Experimental procedure. FS/TS: Fork and Tape Small area;


FL/TL: Fork and Tape Large area.
Fig. 4. Feature extraction strategy of a sample HbO signal.

injury [65], motor fatigue [67], or cognitive states [68]. The


metrics were averaged across all trials in each block and
calculated for each of the 16 channels. In this study, each
channel-metric combination in a block was considered as
an individual feature. Thus, 160 features (16 channels ×
10 metrics) were extracted in each block for each of the
31 participants.

F. Classification
We developed separate classification models using single
blocks (i.e., B1, B2, B3, B4) and combinations of successive
blocks (B1-2, B2-3, B3-4, B1-2-3, B1-2-3-4) to examine the
impact of GRT task duration on model performance. This
Fig. 3. PFC activation sensitivity map of fNIRS probe. Red and blue
could have implications for the tradeoff between depres-
dots indicate sources and detectors, respectively, green lines indicate sion assessment accuracy and feasibility for real-time assess-
channels. Source-detector separation distance is 2.5 cm. ment during therapy. We chose to develop the models using
XGBoost and RF algorithms for their capability to provide
Variable Importance Factors that allowed us to extract signif-
D. fNIRS Measurement and Preprocessing
icant common features associated with MDD (Fig 5).
We used a continuous wavelength fNIRS system (fNIRS For each algorithm, we searched the parameter space for
Device model 1000, United States) to record light intensity optimal test error performance. Since the sample size was
discharged through 4 emitters and recorded at 10 detectors to small, we chose 90% of the data for training and the remaining
obtain hemodynamic response at a total of 16 channels based for testing. We obtained top 10 channel-feature combinations,
on the International 10/20 system (Fig. 3). The source-detector ordered by rank, from each of the models using the feature
distances are set at 3 cm and the four regions identified are importance function in XGBoost and RF. Classification perfor-
bilateral dorsolateral and ventromedial PFC (Fig 3). Following mance was evaluated using accuracy, sensitivity and specificity
the procedures recommended in Zhu et al. [67], we converted of the models. A repeated bootstrapped sampling approach
acquired light intensities into optical densities, and band-pass with 1,000 replicates was used to provide a generalizable
filtered with cut-off frequency at 0.01 Hz and 0.5 Hz to reduce estimate of each measure. Top 10 features based on variable
the high-frequency noise and cardiac cycle noise [67]. We used importance based on reduction in Gini Index were selected
a spline interpolation algorithm to detect and correct motion for XGBoost and RF algorithms. Five common features
artifacts that showed abrupt changes [68]. Finally, we com- between the two algorithms were then selected (Fig 5). The
puted oxygenated (HbO) and deoxygenated (HbR) hemoglobin reason for performing this was to identify the parsimonious
at the 16 channels using the modified Beer-Lambert law [69]. feature set with good prediction performance, but are also
invarieant/robust to machine alearning algorithm.. All models
E. Feature Extraction were trained using the XGBoost 0.80 and Scikit-learn 0.20.0
We extracted 10 metrics from the HbO signal (Fig 4) of packages in Python 2.8.
each participant including mean, variance, activity start time,
left slope, right slope, kurtosis, skewness, area under the curve, III. R ESULTS
full width half maximum (FWHM) and peak amplitude [70]. Table II shows the classification results for the block com-
Some, or combination of, these metrics have shown to be binations with the complete feature set. Blocks 4 and 3-4
associated with group differences based on traumatic brain resulted in higher accuracies, sensitivities, and specificities

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ZHU et al.: CLASSIFYING MDD USING fNIRS DURING MOTOR REHABILITATION 965

Fig. 5. Variable importance plots for the top 10 features of the best XGBoost (Right) and Random Forest (Left) models are extracted and compiled
to synthesize the top 5 features.

TABLE II TABLE III


C LASSIFICATION R EPORT OF VARIOUS B LOCK C OMBINATIONS C LASSIFICATION R ESULTS FOR T OP 5 C OMMON
F EATURES F ROM B LOCK 3-4

In order to provide context to the feature importance find-


ings, it is beneficial to visualize the differences in features in
the raw data. Fig 6 illustrates hemodynamic response function
in a sample healthy and an MDD participant, comparing
the top five important features, namely, variance, kurtosis,
FWHM, and mean value of HbO signal. We subjected the five
features in Fig 6 to the Kolmogorov-Smirnov test (KS-test) to
determine if the feature values differed significantly between
the two groups. This test was chosen as it makes no assumption
on the distribution of the data. Except Channel-8 HbO Signal
Mean that approached significance (p = 0.067), all other
features showed significant differences between healthy and
MDD patients (p < 0.05).
among all block combinations. For Block 4, the XGBoost
algorithm, with all 320 features (160 features ∗ 1 block), IV. D ISCUSSION
resulted in an accuracy of 83.95 %, sensitivity of 73.16 % In the present study we developed a predictive depression
and specificity of 87.07%. For Blocks 3-4 combination, the RF assessment technique that applied RF and XGBoost models
algorithm, with all features (160 features ∗ 2 blocks), resulted to fNIRS-derived neural signals collected from participants
in an accuracy of 81.49 %, sensitivity of 73.41 % and performing a representative motor rehabilitation task. The
specificity of 81.48 %. findings indicated that the models that utilized five features
The variable importance plots for the XGBoost and RF (i.e., channel-metric combination), and signals from later and
algorithms using the Block 3-4 data are shown in Fig. 5 along longer duration motor tasks performed better than those that
with the process to obtain top five common features across utilized a larger feature set and earlier and shorter duration
the two algorithms. The important features were i) variance motor tasks. Moreover, this study highlights the feasibility
of the HbO signal in channel-3, ii) mean value of the HbO of fNIRS to assess and classify depression using a motor
signal in channel-8, iii) full-width maximum in channel-14, rehabilitation task with inherent movement. This will open
iv) mean value of the HbO signal in channel-4, and v) kurtosis new avenues for future research to consider motor tasks to
in channel-15. detect depression symptomology in patients.
Classification results of the top 5 common features across Overall, the study found that model performances ranged
both algorithms for Block 3-4 are reported in Table III. While from ∼60% to ∼90% accuracies to classify MDD, owing to
the XGBoost classifier was nominally more accurate and more the number of features and the size of the datasets used. The
sensitive than the RF, the RF had higher specificity. 5 channels identified by both RF and XGBoost algorithms

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966 IEEE TRANSACTIONS ON NEURAL SYSTEMS AND REHABILITATION ENGINEERING, VOL. 28, NO. 4, APRIL 2020

Fig. 6. Comparison of hemodynamic response function of top five features between a sample healthy adult and a MDD adult.

were channels 3, 4, 8, 14 and 15 which correspond to brain learning studies that utilized a motor task as a screener
regions left dlPFC, left vlPFC, medial PFC, right vlPFC to classify depression. Previous studies employed cognitive
and right dlPFC respectively (Fig 3). These regions corre- tasks, such as verbal fluency [50], [54], working memory
late with the significant regions for MDD patients identified tasks [55], [75], as screeners owing to the role of PFC in
in existing depression research studies (e.g., [42], [46], [54], regulating executive functions as well as serving as a clinical
[55], [71]). The top features identified by both algorithms neural substrate for depression [49], [53], [54]. Our study
were variance of the HbO signal, mean value of the HbO sig- found that a reach and grasp task offered comparable model
nal, FWHM, kurtosis. Established functional imaging findings performances that utilized fNIRS neural signals to classify
have implicated distinct, e.g., opposite, neural patterns with depression. This finding encourages future clinical feasibility
MDD - hypoactivity in dlPFC and hyperactivity in vmPFC. investigations of real-time depression assessment using fNIRS
The findings from the present study corroborate with the extant during motor therapy sessions.
literature (e.g., [47], [72], [73]). Similar to Adorni et al. [47], Design of any real-time depression assessment technique
Zhang et al. [72], and Ahn et al. [73], we found hypofrontality needs to assess clinical utility factors and barriers, in addition
in MDD patients, indicated in lower mean levels of HbO to its effectiveness, that may otherwise impede adoption of
in dlPFC (Fig 6). Additionally, medial PFC was associated the technology or its continued usage. Depression assessments
with hyperfrontality (i.e., higher HbO levels) in MDD adults in physical rehabilitation were reported to be time-consuming
(Fig 6). That our models were able to identify these two and burdensome to administer [76], [77]. Thus, our approach
features (mean HbO in vlPFC and medial PFC) as two of not only required using an existing motor assessment task
the five most important features to classify MDD indicates (i.e., GRT) which would allow for concurrent depression
the potential of fNIRS as a wearable imaging predictive screening during therapy but also utilized a probe design that
depression assessment technique. The other three important corresponds to the five brain regions identified in the present
features included variance, kurtosis, and FWHM of the HbO study, which will facilitate quick fNIRS setup (∼1 minute).
signal. These features are not currently explored as markers Additionally, because real-time assessments require minimum
of depression in neuroimaging research. Given that mean computational classification costs [78], we subjected model
HbO-based features found in the current study aligned with development to feature importance screening process. Our
established neuroimaging knowledge on depression, future findings highlighted top 5 common features from 320 features
investigations of variance, kurtosis, and FWHM of the HbO that could potentially reduce classification computation time
signals may lead to potential new insights on depression to allow for real-time assessments in the future. Finally,
pathophysiology and associated neuromarkers and thus should by developing models based on time blocks, we identified the
be explored. time frame and duration during which depression assessment
The focus of this study was to facilitate effective, rapid, will be the most effective, thus reducing data collection and
and real-time assessment of depression during procedures computation requirements to specific times of motor exercises
already conducted by physical therapists. The inclusion of during the therapy session.
GRT as a screening task was paramount to reducing any This study is not without limitations. One challenge was
additional resources in clinical settings, as therapists regularly sample population size and type. The study sample size for
assess patient motor recovery using this test [74]. While the MDD group in the present study are comparable to pub-
using fNIRS signals to classify depression using machine lished fNIRS-based studies targeting neurobiological injuries
learning is not entirely novel, this is one of the first machine and disorders [79]–[81]. Nonetheless, to address the sample

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ZHU et al.: CLASSIFYING MDD USING fNIRS DURING MOTOR REHABILITATION 967

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