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All in the Mind
A woman thought to be in a persistent vegetative state, unresponsive and unconscious to herself and the world, is asked to play a game of 'mental' tennis. Extraordinarily, brain scans reveal she can. In Australia, new ethical guidelines govern the care of people in this devastating situation. Besides new technologies and terminologies -- what prospects for those living frozen lives? TRANSCRIPT: Natasha Mitchell: All in the Mind on Radio National, your weekly excavation of the mental wilderness, Natasha Mitchell with a warm welcome. It´s a case of frozen lives and suspended selves on the program today, the plight of a life post coma and the perplexing nature of the vegetative state. Reading from Walking to the Moon by Kate Cole Adams: Memory. Anti-memory. I remember waking. That is all. I woke into the dark, and I thought I was dead. ... I woke from nothing into nothing. Nameless. I opened my eyes and closed them. Open. Closed. Nothing. But the words stayed in my body. Close. Open. And after a while the flickering darkness rearranged itself into slabs and passages, and I felt that I was in a small stone chamber which was an anteroom to a far greater chamber, and that in that other room was life, or death, I could not tell which. It was quite matter of fact. I had to decide whether to go there. There was nothing mystical or even mysterious about it. It was familiar. Like brushing up against someone you´ve sat next to all your life, and never noticed. It was only when I tried to move that I panicked. I felt cables from my throat, my wrist, between my legs. The world slipped and the separation was so vast I had to drag my spreading self into a pinprick of focus to find me again. I traced my outline from the inside. Starting at the right thumb and moving through my body I pushed myself into each digit, each limb, the small of my back, the space between my eyes. Fighting my way back to that fragile, glistening strand. I am the smallest, most delicate of spiders caught in the suck of the wind and below me my web hangs geometric and precise. I woke into blackness. No bedside lamp or radio or voice or shaky cigarette, I woke into blackness. Without. Cameron Stewart: I suppose the big fear—and this is a fear that a lot of relatives have is that they´ve been written off, that there´s nothing that can be done and so they´ll be put into nursing homes where they are not going to get appropriate care—that´s one fear. No only do they have no capacity to communicate but as we currently understand it they have no capacity to have higher brain function. So even if we could get across the technological barriers of communication, if we could discover new ways to communicate, in most cases of PCU, post-coma unresponsiveness, there will be no person to communicate with. Natasha Mitchell: So they are really unable to exercise their rights as a person in that state? Cameron Stewart: And for many people and even in the law, these people are described as being near death or in a state of living death. The technology has gone to the point where it can maintain life, but it doesn´t answer the ethical question of whether life should be maintained and that´s a job for not only lawyers but for ethicists and for the whole community. Adrian Owen: I mean image the situation: you were a patient who was, for example, minimally conscious; say you had some residual cognitive function, you might have some awareness of what is going on around you, but because of the nature of your injury, or your accident, you are unable to produce a response. You might be unable to raise your hand when you´re asked to. Now the beauty of the technique that we use, fMRI or functional magnetic resonance imaging, is that we can scan the brain and whether or not they are actually able to move matters less because we can see their brain responding. So in a sense we are using their brain as another index of behaviour. Natasha Mitchell: Neuroscientist Dr Adrian Owen with the Medical Research Council cognition and brain sciences unit in England. Before him Professor Cameron Stewart, Dean of Law at Macquarie University, and kicking off with a visceral excerpt from Australian writer Kate Cole Adams´s debut novel Walking to the Moon, about a woman who wakes from coma. But not all people emerge from coma, and diagnosing someone as being in a persistent vegetative state—now known in Australia as post-coma unresponsiveness—is a difficult process. In recent years a new clinical framework has been developed here to help and also just out are new ethical guidelines for care. One estimate though is that up to 40% of people are misdiagnosed. It´s not a case of negligent diagnoses rather that the often very subtle behavioural signs used can be difficult to detect. In response, Adrian Owen´s group is doing extraordinary, perhaps contentious work, they have turned to fMRI brain scans to bypass behaviour and look straight at the brain. Adrian Owen: The vegetative state is a condition that is often referred to as being a state of wakefulness without awareness. These patients appear to be awake, they open their eyes and sometimes they appear to go to sleep. Vegetative state often follows coma. A coma patient to you or I would appear to be asleep, again like vegetative state there´s no evidence that they are aware but they look like they´re asleep unlike the vegetative patients who open their eyes and appear to look around. The distinction between vegetative state and minimally conscious state is much more complicated and some vegetative patients will emerge into a minimally conscious state. But in practical terms the difference is really that a minimally conscious patient will show some evidence of being aware, being able for example to move a finger or a limb to command. Natasha Mitchell: How has the vegetative state traditionally been diagnosed, what sort of tools are used clinically to slot someone into that diagnosis? Adrian Owen: Well the assessment involves one of several scales. Different scales are used in different countries but they all essentially assess the same thing, which is they are looking for signs of either spontaneous or responsive behaviour. So a typical example would be to ask the patient to look from one side or look to the other side; or to see whether passing a mirror in front of their face the patient will fixate on the mirror and follow it with their eyes. So all of these things are behavioural, they all require that the patient is able to produce some kind of response. Natasha Mitchell: Adrian Owen, introduce us to a young woman, a 23-year-old who you published your work about a couple of years back now, because this has been a key case for you, hasn´t it? Adrian Owen: Yes it has. She was a young woman who was involved in a road traffic accident. She was assessed over several months and found to be in a vegetative state. She showed no behavioural signs of being aware of anything, of herself or of the surroundings. And about six months after her accident we were able to scan her in Cambridge and we asked her to perform a number of simple imagery tasks, tasks that we know activate specific areas of the brain when you think about them. The one that is most straightforward to describe is to imagine playing a game of tennis. Now we know that when you imagine doing something like tennis the parts of your brain that light up are actually the same parts that light up if you were to actually be playing tennis and actually moving your arms around. It´s a part of the premotor cortex that's known to produce movement of the upper body. And when we asked her to imagine playing tennis this is exactly what happened. Her premotor cortex lit up in exactly the same way we know that it does in a healthy volunteer who´s lying in the scanner imaging playing tennis. We had several tasks like this and of course we scanned her several times and each time, at each point in the scan that we asked her to imagine playing tennis this happened. Natasha Mitchell: You also got her to walk through the rooms of her home in her mind— made that request of her at least. Adrian Owen: That´s right, we needed a second task to make sure that this wasn´t just some general non-specific brain response. We had two quite different tasks that activate quite different areas of the brain. And imagining walking from room to room in your home activates an area known as the parahippocampal gyrus, which is deep within the brain and quite different to the premotor cortex. She was able to turn these areas of her brain on and off just by imaging these two tasks exactly when we asked her to do so. Her premotor cortex would start activating when we said to imagine playing tennis. Importantly it would continue to activate for the entire period before we asked her to relax and then it would stop. Natasha Mitchell: How long for? Adrian Owen: For 30 seconds, that´s just about as long as any of us can keep imagining playing tennis without any continuous reinforcement. Natasha Mitchell: Or play tennis in my case. How do you know that she was actually imagining playing tennis and it wasn´t just some other sort of set of brain processes going on in response to a verbal instruction, a complete sentence of some sort? Adrian Owen: Well the reason we know is she was instructed to do this before she went into the scanner, that when she heard the word tennis we´d like her to imagine playing the game. Natasha Mitchell: But you´d have no idea that she´s comprehending that, I mean this is a woman in a vegetative state. Adrian Owen: That´s right and that in many ways is why it was such an amazing result. But of course the fact that this area of the brain did respond when she was prompted with the word tennis means that we know she can understand language. She clearly had intact memory because we gave her these instructions before she went in the scanner, yet in the scanner she was able to do this exactly when prompted to do so. And she´s able to turn that information into what we think of as a wilful or voluntary act. Importantly we´ve tried these tasks in many healthy volunteers, you put people in the scanner, you ask them to imagine playing tennis, this same area of the brain lights up. Natasha Mitchell: Adrian Owen, working with these patients is a sensitive issue and how do you come at issues of consent in terms of them being involved in your study? And also the question of whether or not being involved in the study will have any actual tangible outcomes for them? Adrian Owen: Of course this is a very difficult issue, these patients can´t give us their own consent so we have to rely on the close relatives agreeing to the procedure. That said, fMRI is entirely non-invasive, there are no dangers for the patients. Natasha Mitchell: What do you take from this, because we have to really point out that this is one subject, one patient? Adrian Owen: And of course on the basis of one patient one shouldn´t draw any conclusions about all vegetative patients. It is important though because it gives us the way of establishing whether other patients in this condition are aware or not and that´s something that we didn´t have before. Now I can tell you that very soon after the first patient we found another patient who responded in a similar way but subsequent to that we scanned more than 15 patients and never found a third. So at the moment we know that she´s not unique, but we also think that it´s very unlikely that this is a common occurrence. Natasha Mitchell: Adrian what do you think for this particular woman the implications are of these findings? Adrian Owen: Clearly in her case the diagnosis was incorrect, again it was appropriate based on her behavioural signs but it was incorrect. And it´s important for the family and for the staff that are involved in her care to know that, that in fact she is aware of what´s going on around her and she has at least some level of consciousness. And the other point is that having established that she is aware we can start to work on turning that into some form of communication, some way of allowing her to register her responses to the outside world, or to just tell us about her needs and her wants. Natasha Mitchell: Tricky though, you can´t really slot her in a fMRI scanner for the rest of her life. Adrian Owen: But there are other techniques that could be used, very sophisticated, so-called brain computer interface, EG based, they are much cheaper than fMRI, they are much more portable. Natasha Mitchell: So you´re putting a cap of electrical wires on top of your scalp to register brain electrical activity? Adrian Owen: That´s right. They work with varying degrees of success and certainly a lot more work needs to be done before techniques like that will work very well in this particular patient population. But having established that the patient is consciously aware, we can then work on trying to adapt one of those techniques for their needs. Natasha Mitchell: This woman´s story is one of misdiagnosis of the persistent vegetative state and is likely rare, as Adrian Owen says, as are the numbers of people diagnosed in Australia. Figures are fuzzy but it´s considered to be less than 100 in any one year. This is All in the Mind on ABC Radio National, Radio Australia, online and as podcast with me Natasha Mitchell, exploring the ambiguities of states of unconsciousness, post coma. Now let´s go another step with this effort to get inside the head of a person who can´t express themselves. What if we could develop a language based on the neural signatures of brain activity? Dr Martin Monti is on the case, he´s a post-doctoral researcher with Adrian Owen´s team in the UK. You´ve been doing a very interesting study that will give people the willies, I think, and that is you´re trying to mind-read in a sense, or brain-read—give us a sense of the experiment you did. Martin Monti: Yes, so in a set of healthy volunteers we first characterised the neural signature of two specific tasks: motor imagery task, imagining for example playing tennis, and a spatial imagery task, imagining navigating a familiar environment such as one´s home. You´d put someone in the fMRI machine, so we first tried to detect the neural signature of each of these two tasks. And following that we asked a simple binary question which in this case was a simple as do you have any siblings? And we asked participants to answer by producing either of the two mental imageries. So the experiment would go we would for example we would ask them do you have any siblings—if we want to say yes, when we give you a cue imagine playing tennis—if you want to say no, imagine navigating around the rooms or your home. Natasha Mitchell: So how different is it though from saying imagining you were playing cricket as distinct from tennis, or image you were walking down the road swinging a handbag—a similar action to playing tennis perhaps? Martin Monti: So there may be a similar substrate that has to do with imagining, that has to do with producing motor plans. Probably there will be some difference in the specific motor plans that are being produced, but it is very clear that if you ask someone to imagine essentially moving his arms, to swing the racquet, versus imagine picturing an environment they know and navigating through it. Here it´s very, very clear that the patterns that are produced are very distinct. Natasha Mitchell: Okay, so with this study you then gave them a set of questions to respond yes or no to, what happened? Martin Monti: We could with 100% success rate detect what they were answering just by looking at their brain. So this leaves open the possibility that if someone cannot actually verbally respond to a question we could put them in a fMRI machine and just by looking in their brain see what the answer is. Natasha Mitchell: Not terribly realistic though clinically is it to pop someone in a fMRI every time you want to work out what their response to a question might be? Martin Monti: Well fMRI is a complicated technique that involves a lot of personnel, a lot of time, financially it is a cost. But it is clear that there may be a lot of applications in the clinical setting that will make all of this very worthwhile. The first would be of course in the act of finding the neural signature of these two tasks, this implies that we are probing if somebody is actually aware. So really the first step of this in some clinical populations is already a very big piece of information. But then you could think of very serious questions, for example, gathering whether someone is in pain. Just overall there is a set of questions about the inner state of patients that we cannot access. Natasha Mitchell: You can certainly imagine people getting rather nervous about this sort of development: well what if law enforcement agencies got hold of this technology and developed neural signatures for what I was thinking? And there´s certainly a lot of hype now around using fMRI as a marketing tool, you know, so you pop someone in a brain scan to ascertain what their unconscious buying desires might be. Or you give them a fMRI scan to ascertain whether they are lying or not, a kind of contemporary polygraph. Martin Monti: Yes, if something like this were to be developed it would still be quite far away and there are a number of reasons why. The first is that we may just not have the resolution to look into the brain and detect differences such as those you mention. The second is that our understanding of the brain may not be advanced enough yet for us to know what we would be looking for even if we could see it. Natasha Mitchell: Martin Monti where do you want to take the work next in the lab where you´re working with vegetative state patients? Martin Monti: There are two fundamental questions—one is can we enhance our ability to detect consciousness. And then a second very important stream of research will be on just understanding what are the cognitive abilities that are residually available to patients in these circumstances, which may have important repercussions in terms of how they´re treated, in terms of care they get access to and even just the environment the live in. Reading from Walking to the Moon by Kate Cole Adams: The next time a came awake, it was day, caramel light, a voice nearby. ... I kept my eyes shut, heart crowding my chest. The doctor tried a few more needles, one in my other foot, a couple in my arms, testing for responses. I lay very still, trying to slow my breathing. Then he said, 'Just a moment, I´ll try something else,' and the next thing I felt his fingers at my eye, smelled the disinfectant soap on him, and then I was looking straight into my own face. Just a moment. The reflected blue rim of the eye, the sloping lid pulled back by his fingers, and then I rolled my pupils back up into the darkness of my head and waited until he stopped. I heard him writing something on paper, packing his things into his bag—notes, needle, mirror—clicking it shut, crossing the room to the door. 'You can tell her family she´s awake,' he said on his way out. Natasha Mitchell: Recently I gather the term vegetative state itself has been reviewed and revised in Australia. What prompted that review? I gather it was actually a legal case. Cameron Stewart: It was, it was a case called Northridge. Natasha Mitchell: Cameron Stewart is Professor and Dean of Law at Macquarie University with a key interest in end of life decision making. Cameron Stewart: And in the Northridge decision we had a situation involving an unfortunate person who had been brought in to Royal Prince Alfred Hospital after a drug overdose. After some days a decision had been made by the treatment team to no longer provide active treatment to him because of severe anoxic brain injury. The family disputed that finding and wanted active treatment provided, over some months to-ing and fro-ing before the court eventually it was decided by the judge that an improper diagnosis had been made about the patient´s condition. Natasha Mitchell: So the court actually ordered treatment to recommence, I mean after five days treatment was withdrawn. Cameron Stewart: It was, after discussion with the judge it was recommenced. Then there were further iterations before the court and one of the arguments was that the patient was in as they called chronic vegetative state. Now the judge was very critical of that in the end and he was very critical generally of the Australian situation. We, as society hadn´t generated sufficient diagnostic material to determine when someone was in a state of unconsciousness from which they would not return. So he put it back to the medical profession and challenged the medical profession to come up with guidelines similar to what they have in the United Kingdom about how these types of brain injuries can be diagnosed. Natasha Mitchell: The key in this case was the fact that this patient was showing some responsiveness, that his rating on the Glasgow Coma Scale, which is a common scale used in this sort of assessment, shifted over time and there was some responsiveness to voice. Cameron Stewart: Yes, it shifted considerably. We often find that and part of the UK´s response to getting determinations of whether someone´s in a vegetative state from which they would not return is to wait. So they wait six months for a non-head injury and they´ll wait a year for head injury caused unconsciousness. Now in this particular case of Northridge, these diagnoses were being made after some days. And that was of a real concern to the judge and that´s why he asked for the medical bodies to come up with more certain diagnostic criteria. Secondly, it´s important because it was one of the first cases to highlight how disputes between families and practitioners should be resolved and how to avoid also disputes and ructions occurring between families and treatment teams. Natasha Mitchell: Interestingly, emerging from all that as part of this clinical framework that was set up a few years ago, the term 'vegetative state' is discouraged in Australia now and people suggest that you should use the term 'post-coma unresponsiveness' or 'minimally responsive state'. Is that mere semantics or is that a sort of considerable shift? Cameron Stewart: I think there´s a semantic edge to it but it can be viewed as pejorative to call someone vegetative, it does sound like the person is not being valued as a person. Natasha Mitchell: And what are the implications of removing the time factor, because persistent vegetative state sort of has this time dimension doesn´t it that´s saying this is going to be persistent, this is perhaps what this person´s reality will be for the rest of their existence. That´s gone now. Cameron Stewart: It is gone, but at the same time it creates the need for having some form of certainty in diagnosis and I think the NHMRC is trying to work towards that certainty. But given the state of technology, given our understanding of the brain and how it works, that´s difficult. So maybe what we should be working at instead of—before we can have a test or a diagnosis that is 100% certain—the best thing we can opt for is a certain and fair process and that´s what we should be looking at. Let´s have a process that gives everyone a say about what the best interests of this patient is. Natasha Mitchell: But this process is complicated in Australia with different guardianship laws in each state on decisions over treatment and its withdrawal. In the ACT and the Northern Territory for example families and spouses have no say, and the new ethical guidelines for care just out don´t consider the legal issues at all, much to Cameron Stewart´s disappointment. So legal uncertainties remain and so do the scientific uncertainties, as neuroscientist Adrian Owen knows all too well. It´s a delicate population you´re working with, isn´t it, because you´ve got families, loved ones who have incredible expectations and place a lot of hope in anything, any intervention with their loved ones. In what ways are you conscious of that so you don´t foster false expectations? Adrian Owen: Well it´s very important to address a number of technical problems in this area and one of them is—and there are many reasons why a patient in a vegetative state may not produce a response in the sorts of scanning studies that we do that have nothing to do with whether they are aware or not. So for example were a patient to fall asleep in the scanner—and that´s something that I do all the time, it´s quite a warm comforting environment in there, it´s very easy to just dose off. And similarly many of these patients have been involved in catastrophic brain injuries and they might be deaf and we often have no way of knowing. So we´re extremely careful about negative findings, and it would always be wrong to conclude that a patient was unaware if they didn´t respond in our scanning studies. On the other hand on those few occasions when a patient does respond it´s very exciting, it´s very important information that one is not able to obtain using other methods. Natasha Mitchell: Even if you did establish—what´s being done clinically so far with these patients probably isn´t sufficient on the basis of your research—you still don´t know what would be clinically sufficient to help them out. Adrian Owen: No we don´t, but of course these types of studies, sometimes present more questions than answers. But it does push us in the right direction I think, because we can now use this and hopefully we can use it diagnostically and prognostically perhaps to predict which patients are most likely to recover. But it´s very early days. Natasha Mitchell: There is a tendency for brain scan studies to sort of hit the headlines as ah, ha, we have found the spot for... We overstate the findings quite a bit in public conversation. Is there a risk with this, that if a case like the Terry Schiavo case comes up, hits the headlines and your work gets exploded out of proportion, that´s always a risk isn´t it? Adrian Owen: Yes this is a very important point. The patient that we saw was what we would call a traumatic brain injury, she had had a significant blow to the head. Terry Schiavo was a non-traumatic brain injury, her injuries were the result of loss of oxygen to the brain. Traumatic brain injuries are known to have a greater chance of recovery that non-traumatic brain injuries and certainly in a case like Terry Schiavo's where the patient has been in the condition for many years the chances of recovery are very, very much less than in our patient who had had a traumatic brain injury only several months prior to our scanning her. So until it is shown—and I suspect it may never happen—that a patient who has been in a vegetative state for many, many years and is perhaps a non-traumatic injury, until one of those patients is shown to imagine playing tennis then I think all we can say is this technique seems to be applicable to some patients in the early stages of vegetative state, particularly after traumatic brain injury. And we should be very careful not to extrapolate from that to all other patients that are in this same condition. Cameron Stewart: Obviously it´s incredibly important because it´s starting to unlock the secrets of the workings of the brain. As a lawyer, though, for me it still doesn´t change the ultimate question about the best interests, it´s always going to be that test, because even though the woman can imagine herself playing tennis she still can´t communicate. We can´t pluck it from her what she would decide, we know that she´s thinking about tennis but we can´t see what kind of tennis she is playing yet. For me it´s still the same question - what do we do, what is in the person´s best interest, what´s the fairest process for working that out and for protecting her interests? Until the good professor can tell me that she can make a decision and we can find out what it is then it does change it completely. Natasha Mitchell: Professor Cameron Stewart from Macquarie University and Dr Adrian Owen from Cambridge. Not an easy issue this one, as families experience a kind of limbo with loved ones whose lives have been effectively suspended. Lots of references on the All in the Mind website, your one stop spot for transcripts, podcasts, our email and my blog which I post to each week and love your thoughts there too. Don´t hold back I can´t always respond but the discussion between you is fantastic to read. All at abc.net.au/rn/allinthemind. Thanks to Julie Scott for the reading and to producer Anita Barraud and studio engineer Carey Dell, I´m Natasha Mitchell. More matters mind next week. read less
Fri August 29 2008
A woman thought to be in a persistent vegetative state, unresponsive and unconscious to herself and the world, is asked to play a game of 'mental' tennis. Extraordinarily, brain scans reveal she can. In Australia, new ethical guidelines govern the care of people in this devastating situation. Besides new technologies and terminologies -- what prospects for those living frozen lives? TRANSCRIPT: Natasha Mitchell: All in the Mind on Radio National, your weekly excavation of the mental wilderness, Natasha Mitchell with a warm welcome. It´s a case of frozen lives and suspended selves on the program today, the plight of a life post coma and the perplexing nature of the vegetative state. Reading from Walking to the Moon by Kate Cole Adams: Memory. Anti-memory. I remember waking. That is all. I woke into the dark, and I thought I was dead. ... I woke from nothing into nothing. Nameless. I opened my eyes and closed them. Open. Closed. Nothing. But the words stayed in my body. Close. Open. And after a while the flickering darkness rearranged itself into slabs and passages, and I felt that I was in a small stone chamber which was an anteroom to a far greater chamber, and that in that other room was life, or death, I could not tell which. It was quite matter of fact. I had to decide whether to go there. There was nothing mystical or even mysterious about it. It was familiar. Like brushing up against someone you´ve sat next to all your life, and never noticed. It was only when I tried to move that I panicked. I felt cables from my throat, my wrist, between my legs. The world slipped and the separation was so vast I had to drag my spreading self into a pinprick of focus to find me again. I traced my outline from the inside. Starting at the right thumb and moving through my body I pushed myself into each digit, each limb, the small of my back, the space between my eyes. Fighting my way back to that fragile, glistening strand. I am the smallest, most delicate of spiders caught in the suck of the wind and below me my web hangs geometric and precise. I woke into blackness. No bedside lamp or radio or voice or shaky cigarette, I woke into blackness. Without. Cameron Stewart: I suppose the big fear—and this is a fear that a lot of relatives have is that they´ve been written off, that there´s nothing that can be done and so they´ll be put into nursing homes where they are not going to get appropriate care—that´s one fear. No only do they have no capacity to communicate but as we currently understand it they have no capacity to have higher brain function. So even if we could get across the technological barriers of communication, if we could discover new ways to communicate, in most cases of PCU, post-coma unresponsiveness, there will be no person to communicate with. Natasha Mitchell: So they are really unable to exercise their rights as a person in that state? Cameron Stewart: And for many people and even in the law, these people are described as being near death or in a state of living death. The technology has gone to the point where it can maintain life, but it doesn´t answer the ethical question of whether life should be maintained and that´s a job for not only lawyers but for ethicists and for the whole community. Adrian Owen: I mean image the situation: you were a patient who was, for example, minimally conscious; say you had some residual cognitive function, you might have some awareness of what is going on around you, but because of the nature of your injury, or your accident, you are unable to produce a response. You might be unable to raise your hand when you´re asked to. Now the beauty of the technique that we use, fMRI or functional magnetic resonance imaging, is that we can scan the brain and whether or not they are actually able to move matters less because we can see their brain responding. So in a sense we are using their brain as another index of behaviour. Natasha Mitchell: Neuroscientist Dr Adrian Owen with the Medical Research Council cognition and brain sciences unit in England. Before him Professor Cameron Stewart, Dean of Law at Macquarie University, and kicking off with a visceral excerpt from Australian writer Kate Cole Adams´s debut novel Walking to the Moon, about a woman who wakes from coma. But not all people emerge from coma, and diagnosing someone as being in a persistent vegetative state—now known in Australia as post-coma unresponsiveness—is a difficult process. In recent years a new clinical framework has been developed here to help and also just out are new ethical guidelines for care. One estimate though is that up to 40% of people are misdiagnosed. It´s not a case of negligent diagnoses rather that the often very subtle behavioural signs used can be difficult to detect. In response, Adrian Owen´s group is doing extraordinary, perhaps contentious work, they have turned to fMRI brain scans to bypass behaviour and look straight at the brain. Adrian Owen: The vegetative state is a condition that is often referred to as being a state of wakefulness without awareness. These patients appear to be awake, they open their eyes and sometimes they appear to go to sleep. Vegetative state often follows coma. A coma patient to you or I would appear to be asleep, again like vegetative state there´s no evidence that they are aware but they look like they´re asleep unlike the vegetative patients who open their eyes and appear to look around. The distinction between vegetative state and minimally conscious state is much more complicated and some vegetative patients will emerge into a minimally conscious state. But in practical terms the difference is really that a minimally conscious patient will show some evidence of being aware, being able for example to move a finger or a limb to command. Natasha Mitchell: How has the vegetative state traditionally been diagnosed, what sort of tools are used clinically to slot someone into that diagnosis? Adrian Owen: Well the assessment involves one of several scales. Different scales are used in different countries but they all essentially assess the same thing, which is they are looking for signs of either spontaneous or responsive behaviour. So a typical example would be to ask the patient to look from one side or look to the other side; or to see whether passing a mirror in front of their face the patient will fixate on the mirror and follow it with their eyes. So all of these things are behavioural, they all require that the patient is able to produce some kind of response. Natasha Mitchell: Adrian Owen, introduce us to a young woman, a 23-year-old who you published your work about a couple of years back now, because this has been a key case for you, hasn´t it? Adrian Owen: Yes it has. She was a young woman who was involved in a road traffic accident. She was assessed over several months and found to be in a vegetative state. She showed no behavioural signs of being aware of anything, of herself or of the surroundings. And about six months after her accident we were able to scan her in Cambridge and we asked her to perform a number of simple imagery tasks, tasks that we know activate specific areas of the brain when you think about them. The one that is most straightforward to describe is to imagine playing a game of tennis. Now we know that when you imagine doing something like tennis the parts of your brain that light up are actually the same parts that light up if you were to actually be playing tennis and actually moving your arms around. It´s a part of the premotor cortex that's known to produce movement of the upper body. And when we asked her to imagine playing tennis this is exactly what happened. Her premotor cortex lit up in exactly the same way we know that it does in a healthy volunteer who´s lying in the scanner imaging playing tennis. We had several tasks like this and of course we scanned her several times and each time, at each point in the scan that we asked her to imagine playing tennis this happened. Natasha Mitchell: You also got her to walk through the rooms of her home in her mind— made that request of her at least. Adrian Owen: That´s right, we needed a second task to make sure that this wasn´t just some general non-specific brain response. We had two quite different tasks that activate quite different areas of the brain. And imagining walking from room to room in your home activates an area known as the parahippocampal gyrus, which is deep within the brain and quite different to the premotor cortex. She was able to turn these areas of her brain on and off just by imaging these two tasks exactly when we asked her to do so. Her premotor cortex would start activating when we said to imagine playing tennis. Importantly it would continue to activate for the entire period before we asked her to relax and then it would stop. Natasha Mitchell: How long for? Adrian Owen: For 30 seconds, that´s just about as long as any of us can keep imagining playing tennis without any continuous reinforcement. Natasha Mitchell: Or play tennis in my case. How do you know that she was actually imagining playing tennis and it wasn´t just some other sort of set of brain processes going on in response to a verbal instruction, a complete sentence of some sort? Adrian Owen: Well the reason we know is she was instructed to do this before she went into the scanner, that when she heard the word tennis we´d like her to imagine playing the game. Natasha Mitchell: But you´d have no idea that she´s comprehending that, I mean this is a woman in a vegetative state. Adrian Owen: That´s right and that in many ways is why it was such an amazing result. But of course the fact that this area of the brain did respond when she was prompted with the word tennis means that we know she can understand language. She clearly had intact memory because we gave her these instructions before she went in the scanner, yet in the scanner she was able to do this exactly when prompted to do so. And she´s able to turn that information into what we think of as a wilful or voluntary act. Importantly we´ve tried these tasks in many healthy volunteers, you put people in the scanner, you ask them to imagine playing tennis, this same area of the brain lights up. Natasha Mitchell: Adrian Owen, working with these patients is a sensitive issue and how do you come at issues of consent in terms of them being involved in your study? And also the question of whether or not being involved in the study will have any actual tangible outcomes for them? Adrian Owen: Of course this is a very difficult issue, these patients can´t give us their own consent so we have to rely on the close relatives agreeing to the procedure. That said, fMRI is entirely non-invasive, there are no dangers for the patients. Natasha Mitchell: What do you take from this, because we have to really point out that this is one subject, one patient? Adrian Owen: And of course on the basis of one patient one shouldn´t draw any conclusions about all vegetative patients. It is important though because it gives us the way of establishing whether other patients in this condition are aware or not and that´s something that we didn´t have before. Now I can tell you that very soon after the first patient we found another patient who responded in a similar way but subsequent to that we scanned more than 15 patients and never found a third. So at the moment we know that she´s not unique, but we also think that it´s very unlikely that this is a common occurrence. Natasha Mitchell: Adrian what do you think for this particular woman the implications are of these findings? Adrian Owen: Clearly in her case the diagnosis was incorrect, again it was appropriate based on her behavioural signs but it was incorrect. And it´s important for the family and for the staff that are involved in her care to know that, that in fact she is aware of what´s going on around her and she has at least some level of consciousness. And the other point is that having established that she is aware we can start to work on turning that into some form of communication, some way of allowing her to register her responses to the outside world, or to just tell us about her needs and her wants. Natasha Mitchell: Tricky though, you can´t really slot her in a fMRI scanner for the rest of her life. Adrian Owen: But there are other techniques that could be used, very sophisticated, so-called brain computer interface, EG based, they are much cheaper than fMRI, they are much more portable. Natasha Mitchell: So you´re putting a cap of electrical wires on top of your scalp to register brain electrical activity? Adrian Owen: That´s right. They work with varying degrees of success and certainly a lot more work needs to be done before techniques like that will work very well in this particular patient population. But having established that the patient is consciously aware, we can then work on trying to adapt one of those techniques for their needs. Natasha Mitchell: This woman´s story is one of misdiagnosis of the persistent vegetative state and is likely rare, as Adrian Owen says, as are the numbers of people diagnosed in Australia. Figures are fuzzy but it´s considered to be less than 100 in any one year. This is All in the Mind on ABC Radio National, Radio Australia, online and as podcast with me Natasha Mitchell, exploring the ambiguities of states of unconsciousness, post coma. Now let´s go another step with this effort to get inside the head of a person who can´t express themselves. What if we could develop a language based on the neural signatures of brain activity? Dr Martin Monti is on the case, he´s a post-doctoral researcher with Adrian Owen´s team in the UK. You´ve been doing a very interesting study that will give people the willies, I think, and that is you´re trying to mind-read in a sense, or brain-read—give us a sense of the experiment you did. Martin Monti: Yes, so in a set of healthy volunteers we first characterised the neural signature of two specific tasks: motor imagery task, imagining for example playing tennis, and a spatial imagery task, imagining navigating a familiar environment such as one´s home. You´d put someone in the fMRI machine, so we first tried to detect the neural signature of each of these two tasks. And following that we asked a simple binary question which in this case was a simple as do you have any siblings? And we asked participants to answer by producing either of the two mental imageries. So the experiment would go we would for example we would ask them do you have any siblings—if we want to say yes, when we give you a cue imagine playing tennis—if you want to say no, imagine navigating around the rooms or your home. Natasha Mitchell: So how different is it though from saying imagining you were playing cricket as distinct from tennis, or image you were walking down the road swinging a handbag—a similar action to playing tennis perhaps? Martin Monti: So there may be a similar substrate that has to do with imagining, that has to do with producing motor plans. Probably there will be some difference in the specific motor plans that are being produced, but it is very clear that if you ask someone to imagine essentially moving his arms, to swing the racquet, versus imagine picturing an environment they know and navigating through it. Here it´s very, very clear that the patterns that are produced are very distinct. Natasha Mitchell: Okay, so with this study you then gave them a set of questions to respond yes or no to, what happened? Martin Monti: We could with 100% success rate detect what they were answering just by looking at their brain. So this leaves open the possibility that if someone cannot actually verbally respond to a question we could put them in a fMRI machine and just by looking in their brain see what the answer is. Natasha Mitchell: Not terribly realistic though clinically is it to pop someone in a fMRI every time you want to work out what their response to a question might be? Martin Monti: Well fMRI is a complicated technique that involves a lot of personnel, a lot of time, financially it is a cost. But it is clear that there may be a lot of applications in the clinical setting that will make all of this very worthwhile. The first would be of course in the act of finding the neural signature of these two tasks, this implies that we are probing if somebody is actually aware. So really the first step of this in some clinical populations is already a very big piece of information. But then you could think of very serious questions, for example, gathering whether someone is in pain. Just overall there is a set of questions about the inner state of patients that we cannot access. Natasha Mitchell: You can certainly imagine people getting rather nervous about this sort of development: well what if law enforcement agencies got hold of this technology and developed neural signatures for what I was thinking? And there´s certainly a lot of hype now around using fMRI as a marketing tool, you know, so you pop someone in a brain scan to ascertain what their unconscious buying desires might be. Or you give them a fMRI scan to ascertain whether they are lying or not, a kind of contemporary polygraph. Martin Monti: Yes, if something like this were to be developed it would still be quite far away and there are a number of reasons why. The first is that we may just not have the resolution to look into the brain and detect differences such as those you mention. The second is that our understanding of the brain may not be advanced enough yet for us to know what we would be looking for even if we could see it. Natasha Mitchell: Martin Monti where do you want to take the work next in the lab where you´re working with vegetative state patients? Martin Monti: There are two fundamental questions—one is can we enhance our ability to detect consciousness. And then a second very important stream of research will be on just understanding what are the cognitive abilities that are residually available to patients in these circumstances, which may have important repercussions in terms of how they´re treated, in terms of care they get access to and even just the environment the live in. Reading from Walking to the Moon by Kate Cole Adams: The next time a came awake, it was day, caramel light, a voice nearby. ... I kept my eyes shut, heart crowding my chest. The doctor tried a few more needles, one in my other foot, a couple in my arms, testing for responses. I lay very still, trying to slow my breathing. Then he said, 'Just a moment, I´ll try something else,' and the next thing I felt his fingers at my eye, smelled the disinfectant soap on him, and then I was looking straight into my own face. Just a moment. The reflected blue rim of the eye, the sloping lid pulled back by his fingers, and then I rolled my pupils back up into the darkness of my head and waited until he stopped. I heard him writing something on paper, packing his things into his bag—notes, needle, mirror—clicking it shut, crossing the room to the door. 'You can tell her family she´s awake,' he said on his way out. Natasha Mitchell: Recently I gather the term vegetative state itself has been reviewed and revised in Australia. What prompted that review? I gather it was actually a legal case. Cameron Stewart: It was, it was a case called Northridge. Natasha Mitchell: Cameron Stewart is Professor and Dean of Law at Macquarie University with a key interest in end of life decision making. Cameron Stewart: And in the Northridge decision we had a situation involving an unfortunate person who had been brought in to Royal Prince Alfred Hospital after a drug overdose. After some days a decision had been made by the treatment team to no longer provide active treatment to him because of severe anoxic brain injury. The family disputed that finding and wanted active treatment provided, over some months to-ing and fro-ing before the court eventually it was decided by the judge that an improper diagnosis had been made about the patient´s condition. Natasha Mitchell: So the court actually ordered treatment to recommence, I mean after five days treatment was withdrawn. Cameron Stewart: It was, after discussion with the judge it was recommenced. Then there were further iterations before the court and one of the arguments was that the patient was in as they called chronic vegetative state. Now the judge was very critical of that in the end and he was very critical generally of the Australian situation. We, as society hadn´t generated sufficient diagnostic material to determine when someone was in a state of unconsciousness from which they would not return. So he put it back to the medical profession and challenged the medical profession to come up with guidelines similar to what they have in the United Kingdom about how these types of brain injuries can be diagnosed. Natasha Mitchell: The key in this case was the fact that this patient was showing some responsiveness, that his rating on the Glasgow Coma Scale, which is a common scale used in this sort of assessment, shifted over time and there was some responsiveness to voice. Cameron Stewart: Yes, it shifted considerably. We often find that and part of the UK´s response to getting determinations of whether someone´s in a vegetative state from which they would not return is to wait. So they wait six months for a non-head injury and they´ll wait a year for head injury caused unconsciousness. Now in this particular case of Northridge, these diagnoses were being made after some days. And that was of a real concern to the judge and that´s why he asked for the medical bodies to come up with more certain diagnostic criteria. Secondly, it´s important because it was one of the first cases to highlight how disputes between families and practitioners should be resolved and how to avoid also disputes and ructions occurring between families and treatment teams. Natasha Mitchell: Interestingly, emerging from all that as part of this clinical framework that was set up a few years ago, the term 'vegetative state' is discouraged in Australia now and people suggest that you should use the term 'post-coma unresponsiveness' or 'minimally responsive state'. Is that mere semantics or is that a sort of considerable shift? Cameron Stewart: I think there´s a semantic edge to it but it can be viewed as pejorative to call someone vegetative, it does sound like the person is not being valued as a person. Natasha Mitchell: And what are the implications of removing the time factor, because persistent vegetative state sort of has this time dimension doesn´t it that´s saying this is going to be persistent, this is perhaps what this person´s reality will be for the rest of their existence. That´s gone now. Cameron Stewart: It is gone, but at the same time it creates the need for having some form of certainty in diagnosis and I think the NHMRC is trying to work towards that certainty. But given the state of technology, given our understanding of the brain and how it works, that´s difficult. So maybe what we should be working at instead of—before we can have a test or a diagnosis that is 100% certain—the best thing we can opt for is a certain and fair process and that´s what we should be looking at. Let´s have a process that gives everyone a say about what the best interests of this patient is. Natasha Mitchell: But this process is complicated in Australia with different guardianship laws in each state on decisions over treatment and its withdrawal. In the ACT and the Northern Territory for example families and spouses have no say, and the new ethical guidelines for care just out don´t consider the legal issues at all, much to Cameron Stewart´s disappointment. So legal uncertainties remain and so do the scientific uncertainties, as neuroscientist Adrian Owen knows all too well. It´s a delicate population you´re working with, isn´t it, because you´ve got families, loved ones who have incredible expectations and place a lot of hope in anything, any intervention with their loved ones. In what ways are you conscious of that so you don´t foster false expectations? Adrian Owen: Well it´s very important to address a number of technical problems in this area and one of them is—and there are many reasons why a patient in a vegetative state may not produce a response in the sorts of scanning studies that we do that have nothing to do with whether they are aware or not. So for example were a patient to fall asleep in the scanner—and that´s something that I do all the time, it´s quite a warm comforting environment in there, it´s very easy to just dose off. And similarly many of these patients have been involved in catastrophic brain injuries and they might be deaf and we often have no way of knowing. So we´re extremely careful about negative findings, and it would always be wrong to conclude that a patient was unaware if they didn´t respond in our scanning studies. On the other hand on those few occasions when a patient does respond it´s very exciting, it´s very important information that one is not able to obtain using other methods. Natasha Mitchell: Even if you did establish—what´s being done clinically so far with these patients probably isn´t sufficient on the basis of your research—you still don´t know what would be clinically sufficient to help them out. Adrian Owen: No we don´t, but of course these types of studies, sometimes present more questions than answers. But it does push us in the right direction I think, because we can now use this and hopefully we can use it diagnostically and prognostically perhaps to predict which patients are most likely to recover. But it´s very early days. Natasha Mitchell: There is a tendency for brain scan studies to sort of hit the headlines as ah, ha, we have found the spot for... We overstate the findings quite a bit in public conversation. Is there a risk with this, that if a case like the Terry Schiavo case comes up, hits the headlines and your work gets exploded out of proportion, that´s always a risk isn´t it? Adrian Owen: Yes this is a very important point. The patient that we saw was what we would call a traumatic brain injury, she had had a significant blow to the head. Terry Schiavo was a non-traumatic brain injury, her injuries were the result of loss of oxygen to the brain. Traumatic brain injuries are known to have a greater chance of recovery that non-traumatic brain injuries and certainly in a case like Terry Schiavo's where the patient has been in the condition for many years the chances of recovery are very, very much less than in our patient who had had a traumatic brain injury only several months prior to our scanning her. So until it is shown—and I suspect it may never happen—that a patient who has been in a vegetative state for many, many years and is perhaps a non-traumatic injury, until one of those patients is shown to imagine playing tennis then I think all we can say is this technique seems to be applicable to some patients in the early stages of vegetative state, particularly after traumatic brain injury. And we should be very careful not to extrapolate from that to all other patients that are in this same condition. Cameron Stewart: Obviously it´s incredibly important because it´s starting to unlock the secrets of the workings of the brain. As a lawyer, though, for me it still doesn´t change the ultimate question about the best interests, it´s always going to be that test, because even though the woman can imagine herself playing tennis she still can´t communicate. We can´t pluck it from her what she would decide, we know that she´s thinking about tennis but we can´t see what kind of tennis she is playing yet. For me it´s still the same question - what do we do, what is in the person´s best interest, what´s the fairest process for working that out and for protecting her interests? Until the good professor can tell me that she can make a decision and we can find out what it is then it does change it completely. Natasha Mitchell: Professor Cameron Stewart from Macquarie University and Dr Adrian Owen from Cambridge. Not an easy issue this one, as families experience a kind of limbo with loved ones whose lives have been effectively suspended. Lots of references on the All in the Mind website, your one stop spot for transcripts, podcasts, our email and my blog which I post to each week and love your thoughts there too. Don´t hold back I can´t always respond but the discussion between you is fantastic to read. All at abc.net.au/rn/allinthemind. Thanks to Julie Scott for the reading and to producer Anita Barraud and studio engineer Carey Dell, I´m Natasha Mitchell. More matters mind next week. read less
Fri August 22 2008
Are markets moral? Is our hunter-gatherer brain geared for modern capitalism, and do economies work like evolutionary organisms? The rise of neuroeconomics, the extinction of Homo Economicus and more -- with outspoken founder of the US Skeptics Society, Dr Michael Shermer, and shareholder activist and Crikey founder, Stephen Mayne. TRANSCRIPT: Natasha Mitchell: All in the Mind, probing life, the universe and everything through the mind´s eye here on ABC Radio National -- welcome. Natasha Mitchell joining you this week from the Redback Hotel in Melbourne for National Science Week. We´re talking money, morality, markets and the mind today, hot topics in a world gripped by a global credit crunch. Are markets moral? Are we rational with our cash? Is our hunter/gatherer brain geared for modern capitalism? And do economies work a little like evolution, mutating and evolving through a process of cultural rather than biological natural selection? So let´s head to the venue to introduce my two live-wire guests. Let me introduce Dr Michael Shermer, he´s the international guest for National Science Week touring right across the country this week, he´s co-founder and executive director of the Skeptics Society in the USA which I know has inspired many a local charter of the Skeptic Society in Australia; he´s a popular columnist with Scientific American magazine and editor of The Skeptic magazine; he´s adjunct professor of economics at Claremont State University and he´s a mighty prolific author -- 11 books, the latest being The Mind of the Market: Compassionate Apes, Competitive Humans and Other Tales of Evolutionary Economics. And that's what we'll be talking about today. I think I´ll call you chief skeptic tonight. Let me introduce Stephen Mayne, well known to Australian audiences as a shareholder activist and advocate for good corporate governance. As a small shareholder himself of, I think at last count was 730 companies, he might have sold a few since I read that, he´s a Walkley Award winning journalist himself and the founder of the online news service and political gossip website we can call it Crikey.com.au -- he´s run for state parliament and he also now runs his own website called The Mayne Report -- let´s give them a big welcome. I want you to both lay your cards on the table here Michael and Stephen, if you had to describe yourself according to your social and political values, can you be categorised both of you because you´re interesting hybrids, I sense. Michael. Michael Shermer: Well I´m not a member of any organised political party, I´m a libertarian. Essentially socially liberal, fiscally conservative I guess would be the right way. Labels are problematic, generally the less power anybody has, particularly governments, the better politically as far as I´m concerned. The more individual freedoms and rights people have the better. In a rational world I guess is what our thing is at Skeptic, teaching critical thinking. Natasha Mitchell: Stephen Mayne what about yourself? Stephen Mayne: Oh well I´m socially liberal, fiscally conservative so we´re similar in that regard, I guess I´ve become an ethical skeptic you might say in terms of those who hold power. I was a paid up Liberal who then got very disillusioned with Jeff Kennett´s ethical morality position and as a shareholder activist, I´ve been to 300 AGMs of big companies, I´ve run for 29 public company boards, I´m very sceptical now about the ethics of big business and the lack of transparency. So I´m very much into distributing power; philosophically I do believe in the markets but I´m a big supporter of firm regulation because I do think that greed is the number one thing that drives markets. Natasha Mitchell: But Michael Shermer you actually have -- you are applying evolution and evolutionary thinking to the market, so let´s start with this question: what is evolutionary economics? Michael Shermer: Well it´s applying sort of Darwinian thinking or drawing parallels between Darwin and Adam Smith and trying to look at human beings as natural animal entities, social animals, social primates and how we would operate in the market. OK, so you start with a couple of things like Darwin consciously patterned his theory of natural selection after Adam Smith´s invisible hand. You know it´s really hard to see evolution working, it takes a long time so you need metaphors. It´s hard to see an economy working, it´s just a bunch of people running around trying to make a living, getting their genes into the next generatio, right ? That´s what animals do. So as Smith said, it´s kind of like an invisible hand, you know, these people trying to better themselves; out of that emerges this complex system. And so Darwin opens The Origin of Species with this analogy of pigeon breeders, you know they are selecting for certain characteristics they want, feet feathers, or neck feathers or whatever, and he called that artificial selection and then nature does something like that -- and that´s natural selection. But it´s a little misleading because nature isn´t selecting anything, there´s nobody selecting stuff and the same thing with the invisible hand -- there is no hand doing anything except for governments feebly trying to do things like that from the top down. So Smith´s point was that people just taking care of themselves, out of that emerges something -- so that´s one way. Natasha Mitchell: So there´s this powerful analogy that you´re drawing between economics as it applies to the function of the market, our social enterprise called economics and evolution as it´s applied to biology. Michael Shermer: Right. Natasha Mitchell: But there are limitations surely. I mean I´m interested in teasing this out because we know one of the most populist, probably the most misused terms from Darwin is survival of the fittest -- now that´s been co-opted endlessly by the big end of town to justify competitive strategies in business. Can we stretch Darwin that far? Michael Shermer: OK, so here´s the problem. An act I picket up as a metaphor by a guy named Herbert Spencer who portrayed nature as red in tooth and claw. It wasn´t really until the 1990s, over a century after the fact, that it became apparent that social animals in fact are not just greedy, cut-throat, competitive, nasty -- that there´s a whole other side. So the rub is how do we structure a society in a way that accentuates the positive aspects, you know the pro-sociality of our behaviour, and then allows a certain amount of greed, right? Competitiveness - that's what drives markets -- without it getting, you know, too out of hand? Natasha Mitchell: Well Stephen take us to the big end of town where you spend an awful lot of time standing up in AGMs, running for the boards of companies -- does this sort of notion of survival of the fittest dominate in some people´s minds in that scene? Stephen Mayne: Well I think it´s more apt for describing the markets than probably it is for describing evolution. If you look at the Australian scene, we as a nation are more dominated by cartels and duopolies than probably any other modern western trading nation. There are that many companies flat on their back broke trying to compete with Telstra. You can´t get up and try and compete with Qantas, Frank Lowy, and shopping centres, you´re trying to compete with the big four banks. We are a nation of concentrated corporate power. It is a case of survival of the fittest. And my slightly jaundiced view now is that give corporates an inch and they will take a mile and they will crush their competitor if they can. I mean we opened up gambling and poker machines in Australia and the Wal-Mart of Australia, Woolworths, now runs 11,000 poker machines and deluges an enormous amount of misery on its society. Natasha Mitchell: How far do you think we can take this analogy between evolution in biology and evolution in economics? I mean is there an invisible hand, is there a sort of God working its way through the economic system? Stephen Mayne: Well I do believe that markets are incredibly adaptive processes, incredibly complex, that do evolve over time. But equally I do believe that there is the big government that sits there at the top and that often designs and dictates and works out exactly how these things will evolve and emerge. Take carbon trading -- I mean carbon trading is not something that´s about to evolve but government is going to sit there and pass legislation to design everything around it and how it will operate. I think the analogy is a little bit stretched but equally I do agree that the economy -- I mean who would have ever imagined that we´d have Google, that we´d have the web and that has evolved over time. Natasha Mitchell: But Michael Shermer you actually have an evolutionary argument in your new book for why you think that there shouldn´t be any centralised or very little centralised regulation of the markets. You argue strongly against what you call the God of government. Michael Shermer: The explanation for how we went from hunter/gatherers to where we are today -- that is almost from no wealth to extreme amounts of prosperity for more people in more places than ever -- is really due to the market. So there´s something at work that´s worth in principle promoting, within certain limitations so... Natasha Mitchell: We have to remind ourselves that only 10% of the world´s population earns 85% of the world´s wealth. Let´s come to another beast of evolution, Homo economicus -- introduce us to who that is and then rip them to shreds as you do in your book. You think Homo economicus is a myth? Michael Shermer: Yes the principle there is that humans are rational calculators, free to make choices and that we maximise our utility, our selfish benefits. Natasha Mitchell: Well let´s just do a survey of our audience here -- do you think that we are Homo economicus, rational beings when it comes to our finances? Do a yay or a nay. Yes? No? Oh my God it´s everyone. Who says yes? One person. Okay, we want your share portfolio. Michael Shermer: One of the trends that´s happened in economics in the last 25 years is the application of psychology to a study of people and what they do in the market. Why would you think people would be so irrational in love, and health, and religion, and superstitious beliefs, and gambling and so forth and then they walk into -- what´s the equivalent of Woolworths here? Woolworths yes -- and suddenly become rational, calculators in making rational decisions? Of course not. So you walk into a store to buy an ipod for $100 and somebody says six blocks down the street it´s on sale, half off, for $50. Would you make the trip? Almost everybody says yes sure, of course I would to save $50. If you walk into the store to buy a flat screen TV for $1,000 and somebody says hey it´s on sale $50 off for $950 at that same store would you make the walk? Almost everybody says they wouldn´t bother. So it´s the same $50, so $50 changes its value, its utility is completely reletive to some particular frame. Natasha Mitchell: Stephen Mayne what do you think of the myth of Homo economicus, this rational player has been an absolute bedrock of economics, hasn´t it? Stephen Mayne: Look I agree with Michael that the consumer, the individual is largely irrational in many of their purchasing decisions. Michael talks about loss aversion, I mean I had that experience with it today, I couldn´t sell by Babcock & Brown shares even though they were crashing because I´m hoping they are going to go back. It´s an irrational decision but what about corporations and the larger institutions that pull research that make more informed, considered, intelligent decisions, and over time our economy, broadly, is actually quite rational, the markets are quite rational but the many citizens and individuals who participate in that particular economy are often quite individually irrational. Natasha Mitchell: Michael Shermer: you make an interesting observation; your theory is that in fact many of the behaviours that we have today that are seemingly irrational around money may indeed have been quite rational way back when our brains were evolving on the savannas in small-scale hunger/gatherer communities. Give us that argument. Michael Shermer: Yes, there´s an interesting set of experiments called the ultimatum game where you have two subjects come into your lab, give one of them $100 and then they have the option of making an offer to the other subject of a split 50/50, 60/40, 70/30 -- you can give this person whatever you want. Now if he accepts your offer you both get to keep that money, if he rejects your offer neither of you get any money, you leave, that´s it, the experiment is over. Right. So how much are you going to offer? Audience member: Half. Michael Shermer: Yes, women tend to go with half, men are usually not quite so generous. Now according to Homo economicus theory which means that you´re selfish, you want to maximise your own utility or your own profit and that you´re free to make these rational calculating choices. You should offer him something like a 90/10 split, look this guy is getting nothing, he´s now about to get a free $10 surely he´ll take a free $10. And in the actual running of these experiments $10 is almost always rejected. And when you ask him why did you turn down the offer and he´ll say something like, 'That bastard was going to get $90 and I was only going to get $10 and that isn´t fair.' And I think it´s that we have a natural sense of right and wrong, an evolved sense of equity and equality and what´s right in a social exchange. Natasha Mitchell: And this observation has been observed in non-primate, human primate species as well? Michael Shermer: Franz Duvall at Emory does these interesting experiments where two chimps are in these cages on a table and they have this task where they have to pull this rope and this little platform comes up and on the platform is a little bucket of ice with freshly cut fruit. And they haven´t eaten in a while so they are hungry and so they are motivated. So they both pull the rope, if only one pulls the rope then the platform tips and the bucket of food falls over and they don´t get anything. So it´s like the ultimatum game, if they both do it they can share in the food or not, but see the bucket is on one side so the question is when they both pull it does this one who gets the food share it with his partner who just helped him to do the work? If he does then they´ll both do the task again fairly equitably and if he doesn´t share the food that´s pretty much the end of the experiment because then the other one doesn´t follow up, they get mad, they throw stuff. So the last common ancestor with us and these chimps was 6 to 7 million years ago and it´s even been done with Capuchin monkeys whose brains are pretty tiny and that´s like 13, 14 million years. So something tens of millions of years ago evolved, a sense of fairness, in primates. So don´t think of trade as money in markets, think of it as any kind of social exchange between two individuals in a social setting. So like when chimp A grooms chimp B there´s been lots of studies of chimps that groom each other. When there´s grooming between two chimps they also form political alliances such that when the alpha male comes over and starts whopping on the one chimp the one he was grooming will more likely come over and help him. And grooming you is a way of bonding, interconnecting, there´s some feel good sort of oxytocin, norepinephrine, dopamine stuff going on in the brain that makes people like each other. But there´s something else going on above that politically, economically that I´ve done you a favour and you owe me. Natasha Mitchell: So you think at our core we are virtuous, we´re altruistic rather than selfish? Michael Shermer: Okay, so here´s the problem, it´s not black or white. Sometimes we have the potential to be pro-social, cooperative, nice, altruistic, reciprocal -- but we´re also, as we know, tribal, nasty, competitive, cut-throat -- that´s there too. So that´s the whole point of having a society with rules, right? Because you want to accentuate the good stuff. Natasha Mitchell: The vagaries of human nature on All in the Mind talking money markets, morality and the mind this week at Melbourne´s Redback Hotel for National Science Week event with ABC Radio National and Radio Australia, I´m Natasha Mitchell with Dr Michael Shermer ,outspoken head of the USA´s Skeptics Society, author of a new book on evolutionary economics and shareholder, activist and journalist Stephen Mayne founder of Crikey.com.au. Well your suggestion is that we started out as a species operating in very small, constrained genetically-related contexts. Now we´re operating in a global market where we are doing trade with strangers all the time and that´s possibly counterintuitive biologically. Michael Shermer: The natural propensity is to be sceptical of strangers and there are probably good reasons for that. Other people that are not part of our group can be dangerous to us. One of the best ways of breaking down the natural animosities is trade -- again don´t think of trade as money markets, just anything you do for somebody else makes them feel like they have to give something back. Open trade between strangers then breaks down those natural tribal animosities. The first thing countries do to each other when they don´t like each other is trade sanctions, economic sanctions; well that might seem to be the right thing to do politically but the consequences are where goods do not cross frontiers, armies often do. Natasha Mitchell: There´s a lot to pick up on there. Stephen Mayne let´s go back to the in-built morality, because that´s led Michael Shermer to argue that markets themselves are moral. Do you believe that markets and the players, us, in them, are moral? Stephen Mayne: I totally agree with his position about humans overall having a strong moral code, but I think that the way that markets are structured, most of the participation is done through corporations. And the over-riding charter of each individual corporation is to maximise profit and maximise their share price. That whole structure creates an environment whereby the greed element in all of us becomes too dominant a feature. And I think the sub-prime crisis is the best example you will ever see of that, where the American financial system has gone through its greatest crisis since the depression, for a range of reasons -- a bunch of mortgage brokers were fraudulently selling loans to millions of Americans who couldn´t afford it. The best and the brightest on Wall Street were then packaging them up, complicit with rating agencies that said they were great, and exporting this poison to the rest of the world, causing the world´s first global credit crunch, the world´s first liquidity crisis. And I think it´s the way the executive pay structures, the incentives within the system led to that happening and I think therefore it was an example of market failure. I´m not saying you don´t have a market, although it´s ironic that four of the five biggest companies in the world by market capitalisation today are government controlled, that only Exon Mobil is in the top five is a 100% publicly-owned listed company, GasProm, China Mobil, Petro Bras the Brazilian company -- are all government controlled companies. And with the rise of sovereign funds we are seeing government investment funds also becoming huge players in the market. So at the moment we are having the biggest kickback against privately run, privately owned markets. Natasha Mitchell: Well that challenges Michael Shermer´s comments about that the optimum situation is when we have a market that works rather like evolution, bottom-up rather than top-down control, God of government sort of stuff. Stephen Mayne: I support bottom-up but I´m also becoming increasingly cynical. In Michael´s book he talks favourably about Wal-Mart having created 1.3 million jobs, or having 1.3 million employees, that the was a McKinsey study that said Wal-Mart contributed 13% of all American productivity in the second half of the 1990s. And I guess my counter to that would be that Wal-Mart is viscerally anti-union and is buying most of its products from China. Yes, consumers get cheaper goods but what about the damage that causes to Wal-Mart´s competitors, to Wal-Mart´s employees, and to the economy. So I think that a company like Wal-Mart should be allowed to compete but it shouldn´t be allowed to dominate to the extent that it has. And the only thing worse than a government monopoly is a private monopoly. And I would argue that Wal-Mart in the American context is pretty dangerous and needs to be you know severely curtailed by dint of government regulation/legislation. Michael Shermer: Well when you talk about who´s hurt -- so they swoop in to a small town in the mid-west and you know Bob´s hardware store can´t compete, he´s gone. Yeah, okay, so we want to have government regulation to protect Bob´s hardware? Stephen Mayne: No, I think you just want a control reach in the market. Australia has the world´s most concentrated retail duopoly -- Coles and Woolies have 75% of our dry grocery market, much more concentration than Wal-Mart, and I just think it´s a case of the middle men getting too much power. People like banks and people like supermarkets are there to facilitate everyone else´s transactions, not to dominate the equation, to grab the supplier´s margins, to dictate control over their employee arrangements and I just think it´s a case of balance and that in Wal-Mart´s case it´s already 20%, 30% too big and too powerful. Michael Shermer: By what criteria? Stephen Mayne: Well by a criteria that would say that there needs to be fair competition and in the context of the Australian market when our third force fell, Franklins in 2001, the government should have simply said Coles and Woolworths can´t divvy up all the Franklin stores between them and become the world´s most concentrated duopoly. Michael Shermer: But you don´t have to work at Wal-Marts, you don´t have to shop at Wal-Marts, just don´t go there anymore. Natasha Mitchell: Well you might have to shop at Wal-Mart if Ma and Pa hardware have been shut down within a 100 kilometre radius. Michael Shermer: Yes, I suppose, but the prices are cheaper anyway. I think again part of this is economic tribalism; it is our natural propensity to want to protect our own kind. Even the great free market president Ronald Reagan bailed out the Harley Davidson motorcycle company because it couldn´t compete with Japanese motorcycle companies, Yamaha and Suzuki. Natasha Mitchell: And we´re seeing the same with Fannie May and... Michael Shermer: Well they shouldn´t bail them out, that´s not a free market either. Natasha Mitchell: Your critics have said in response to your arguments in this book that they love your science writing, don´t get me wrong, they love your skeptics movement but they say you stepped out of your depth and your letting your economic bias, your reading of the science. And here´s one quote which I thought was very interesting:We have Shermer, the tendentious libertarian doing logical backflips unbecoming a self-proclaimed skeptic, to marshal human nature´s unruly contradictions into a political program of minimal government and extreme market capitalism. I mean are you applying your skeptic´s mind to your own ideology? Michael Shermer: It´s okay when you´re right. Natasha Mitchell: Very clever. Stephen Mayne can I pick up on another point that Michael said, that trade promotes global peace. Stephen Mayne: I´d probably support that proposition. Certainly I think that trade promotes global prosperity and that I´m completely against tariffs and believe in maximising trade in countries, individuals and companies doing what they are best at and trading with others to receive what they're best at is the best way to maximise your position. I´m not so sure... Natasha Mitchell: But what about battles and wars being fought over resources, I mean they are cast as wars being fought over ideological differences, but often there´s a resource issue there too? Stephen Mayne: Well I agree, I´m not so sure that trade prevents wars. and I think a lot of people are saying if Iraq didn´t have any oil there would have been no invasion. Overall I think I agree with you that having relations and transactions help things, that Australia´s relationship with China -- it´s very unlikely that we´ll get into any form of conflict with China because they are our biggest trading partner. And if the Americans go to war with China we´ll be in a very difficult position because China has almost got to favourite nation trading status with us because they are buying so much of our coal and iron ore. So you are right in that sense. Michael Shermer: America going to war with China -- have you heard something, I´ve only been gone four days? Natasha Mitchell: You think, Michael Shermer that Enron... when we come back to this question that we are intrinsically moral and that markets are also moral...you think Enron was an exception to the rule. Michael Shermer: Yes, potentially moral I should say, I mean the potential for any of us to be Nazis is there, that´s the whole point of Zimbardo´s famous prison experiment and the Milgram shock experiments, you can get anybody, just college age kids to do atrocities. Setting up a very competitive environment, encouraging these mostly young men to basically break all the rules, or have no rules in there; so that led to that ultimate meltdown. Whereas Google has a very team orientated, more egalitarian...remember hunter/gatherer communities are egalitarian, they share everything and there´s not a lot of wealth disparity because there´s not a lot of wealth. And in Google they break down the groups into smaller groups so you know everybody pretty well and there´s more equanimity within the groups and that fosters a more moral behaviour. Natasha Mitchell: You actually met the Google families? Michael Shermer: Yes, I know the Google guys. Natasha Mitchell: As kids. Michael Shermer: Before the whole thing took off. Natasha Mitchell: But they might have their motto, do no evil, but they are making all sorts of interesting compromises now -- look at China, look at their relationship with China. Michael Shermer: I understand. But we don´t live in a purely free market world so you have to do certain things. But once you get a toe-hold in China, for example, I don´t think the government can control the internet. I think the toothpaste is out of the tube now, so here´s my Lenin-esque, imagined scenario where everyone on the planet has a laptop, a $100 laptop program, I like this idea of Nicholas Negroponte´s program which hasn´t happened yet...so everyone of the 6.2 billion people are internet connected, the entire planet is wireless and knowledge is free and available to everyone. No dictator could possibly get enough power, even corporations, nobody, I think. Natasha Mitchell: Stephen Mayne is Enron the exception to the rule when we´re talking about human nature, human behaviour? Stephen Mayne: Over time you can always find examples to prove both sides of the case. I mean you´re from LA, remember when General Motors teamed up with Standard Oil and bought back the street car companies in many American cities. So one of the reasons that LA has a hopeless public transport system is because General Motors bought it and closed it down so people would be forced to drive motor cars. So Exon Mobil the biggest company in America has resisted for the last 7 or 8 years its shareholders putting up resolutions telling it to develop a renewable energy policy, even when it´s been as high -- the votes have been as high as 20% to 30% -- they funded every dodgy climate change skeptic in the world, it´s a disgrace what they´ve done, but hopefully that will be turned around and the founding family is actually doing that. I think sub prime has been a disgrace in terms of a fraud -- but Google is a great story, overall, and I think you are right that information is power and the more you can get out there the better it is. Michael Shermer: Skilling, by the way, said his favourite book at Harvard Business School was Richard Dawkins' The Selfish Gene. He misread this book.. Dawkins' point is that it´s whatever it takes to get your genes into the next generation, even if that means being smaller, slower, non-competitive, more co-operative -- it doesn´t matter, that´s the bottom line. So that´s part of that myth, that evolution is only competitive. Natasha Mitchell: Dr Michael Shermer and Stephen Mayne thank you, let´s give them a big hand. And Dr Michael Shermer´s new book is called The Mind of the Market: Compassionate Apes, Competitive Humans and Other Tales of Evolutionary Economics and you´ll find Stephen Mayne on his own website, The Mayne Report, or at crikey.com.au of course. Head to the All in the Mind website for more info, the podcast and the transcript and on the All in the Mind blog a special extra I´ve posted a longer version -- and the audience Q and A that followed -- as audio, too, if you´re extra keen -- love your comments there too, channel your inner Homo Economicus and let it rip, all via abc.net.au/rn/allinthemind. Thanks this week to ABC Radio National´s Anita Barraud, Richard Girvan and Alex Stinson and to Helen Gardiner, Niall Byrne and the National Science Week team. I´m Natasha Mitchell, join me next week, catch you later. read less
Fri August 15 2008
Why do we often avoid speaking our mind? Does swearing have an evolutionary function? What do linguistic taboos do to your brain? How are new words born? Acclaimed author of The Language Instinct and How the Mind Works, Harvard psychologist Steven Pinker is a self-confessed verbivore. To him language offers a window into the human mind and how it works. He joins Natasha Mitchell in a feature interview to argue there´s nothing mere about semantics. Radio National often provides links to external websites to complement program information. While producers have taken care with all selections, we can neither endorse nor take final responsibility for the content of those sites. TRANSCRIPT: Natasha Mitchell: Natasha Mitchell joining you for All in the Mind on ABC Radio National. Happy Science Week. Back by popular demand today - an encore broadcast of one of the globe´s great thinkers and hugely popular science writers. Harvard psychologist Professor Steven Pinker is my guest. His books, amongst others, include The Language Instinct, How the Mind Works, and The Blank Slate. His latest tome The Stuff of Thought revisits his great passion—language—which he sees as an innate, biological instinct, and a window on to the mechanics of the mind. Classic wit of the words, George Carlin, who just died in June, would´ve loved his work... George Carlin Sometime during my life...sometime during my life, toilet paper became bathroom tissue. I wasn´t notified of this, no one asked me if I agreed with it. Medicine became medication. The dump became the landfill. Partly cloudy became partly sunny, and constipation became occasional irregularity. Poor people used to live in slums, now the economically disadvantaged occupy substandard housing in the inner cities. And they´re broke, they don´t have a negative cash flow position, because a lot of them were fired. You know, fired; management wanted to curtail redundancies in the human resources area, so many people are no longer viable members... Steven Pinker: All of the classic poetic devices like alliteration, rhyme, metaphor, rhythm go into the crafting of obscene curses. Our language is filled with idioms that put taboo words to use without any discernible link to meaning, like `bloody´ and `freakin´ and `pissing contest´ would be an example. Can you say that on the radio? Natasha Mitchell: Yes, of course you can. Steven Pinker: Okay, not in this country. Natasha Mitchell: From why we swear, what taboo words do to your brain, to how we so often fail to speak our mind, and the unexpected birth of new words, even the linguistic phenomenon of the Sniglet. More later... The delights of language with Steven Pinker, much more than mere semantics, today on All in the Mind. Steven Pinker: People are fascinated by language. An enormous amount has been discovered about language in linguistics, in computer science, in psychology, in philosophy. Also it bears on human evolution, on political rhetoric, on the enjoyment of poetry and fiction, on the organisation of the brain. Language plays such a role in our lives, even sexuality, as we see in the language of swearing. Natasha Mitchell: You start The Stuff of Thought with a $3.5 billion battle over, in fact, the toppling of the World Trade Centre, which is one of countless linguistic problems with surprisingly enormous consequences. What´s the story there? Steven Pinker: There was a debate between opposing lawyers in a set of insurance cases after 9/11 over whether the events in Manhattan that morning comprised one event or two events. It´s an open semantic dispute because you could define an event in terms of a plan being carried out, namely al-Qaeda´s plan to destroy the World Trade Centre, in which case there´d be one event; or you could define it in physical terms, in terms of salient changes to hunks of matter, in which case there was one building that was hit and then another building that was hit. The reason for the debate is that the lease-holder for the World Trade Centre held insurance policies that entitled him to $3.5 billion per destructive event, so if 9/11 was two events he stood to gain $7 billion, and if it was one event only $3.5 billion. So the value of a semantic distinction in this case can actually be given a precise number; $3.5 billion. One of the reasons there´s still a hole in the ground in lower Manhattan instead of the so-called Freedom Tower is that it took the opposing lawyers years and years to iron this out. Natasha Mitchell: Did they turn to linguists? Steven Pinker: They ought to have. I think they reached a stalemate and they came up with a figure of $4.25 billion. I don´t know if that means that they decided that it was one-and-a-third events or whether they just had staked out positions that defined the end points of the range and finally just haggled over an agreement that both could live with. Natasha Mitchell: But this really says that linguistic problems can have enormous consequences. Steven Pinker: Indeed, because we negotiate our social arrangements through language. It´s also in issue in murder cases; who is responsible for someone´s death is a very similar question to when do we use a causal verb. There´s a difference between killing someone and causing them to die. That´s a linguistic difference but I think it reflects a cognitive and moral difference over who we believe to be morally responsible. Just causing someone to die is not a crime but killing someone is. Bill Crosby: [from Bill Crosby Collection CD] You take an Englishman who´s supposed to be very intelligent. English people speak the way they do because the suits they wear don´t bend too good and they have to stand up straight. You see, their bottom lip is not as developed as ours. You see, their bottom lip...[makes exaggerated English accent sounds]. English people are conceited. You ever hear `em? They love to listen to themselves, they say everything twice. Hear, hear! Natasha Mitchell: You make a key distinction between language itself and the language of thought. Some people think in fact language drives thought. So what´s the distinction you´re making there? Steven Pinker: Language drives thought in the sense that you acquire a lot of your thoughts from other people through language, but thought is not the same thing as language. Stretches of sound that we call sentences have meanings and those meanings themselves are part of a huge database of our understanding of the world and reality and ourselves. Language is just a tip of the iceberg of what´s going on in the mind. This is a necessary assumption to explain how children learn language in the first place. They´re born, clearly, without language, they´ve got to learn it, they can´t be learning to think at the same time as they´re learning to speak because how would they learn to speak if they had no ability whatsoever to think? Experiments show that babies surely think about the world, as do non-human animals. Likewise, as adults, once we have a language we can translate from one language to another, we can identify two sentences that have the same meaning, we can identify a single sentence that has two meanings; such as `visiting professors can be boring´ which can either mean that the professors are boring or the visits are boring. In order for a given sentence to have two meanings there have to be meanings that are separate from the sentences themselves, and we often know that words can be inadequate to the thoughts that we have. We struggle to put our thoughts into words. And in experiments you find, say, the human memory very quickly sloughs off the exact wording of a passage of prose and the only thing that stays is something much more abstract; the gist or content of what you´re read. Natasha Mitchell: A great way where our language doesn´t actually reflect what we´re thinking is a subject of great fascination to you...you´re struck by just how indirect our language can be in so many social interactions. `Do you want to come up and see my etchings?´ is just one example of that, that´s just the tip of the iceberg, isn´t it. Steven Pinker: Indeed, very often we don´t just blurt out our intentions in so many words but we veil them in innuendo and count on our listeners to read between the lines to figure out what we really mean. There are others, like a veiled bribe, `Gee officer, is there some way to take care of the traffic ticket here without going to court or doing any paperwork?´ Even polite requests, `If you could pass the salt that would be brilliant.´ When you think about it, that doesn´t make a whole lot of sense but we instantly recognise it as a polite request. I think it´s because language has to do two things at once; it has to convey content, a promise, a proposition, a command; and at the same time it´s got to ratify or change a relationship type because people aren´t just modems downloading information into each other´s brains. We always have a social relationship with the person we´re talking to and the content of our conversation can affect that relationship. Natasha Mitchell: So is this a linguistic case of politeness, of saving face, in effect, that we don´t literally speak our mind? Steven Pinker: Very much, and what politeness largely consists of is maintaining a relationship type, in order to reassure the listener that you want the damn salt but you don´t think of them as some kind of underling, you veil it as a hypothetical, like `if you could pass the salt that would be awesome´, or a question `do you think you could pass the salt?´ and other ways of achieving both goals at once. Natasha Mitchell: There´s an incredible inefficiency in indirect speech, though, isn´t there. Steven Pinker: Yes, there´s not only the extra words and the beating around the bush, and there´s also some chance that your message will be lost on your listener. Excerpt from Seinfeld: JERRY: You´re still thinking about this? GEORGE: She invites me up at twelve o´clock at night for coffee, and I don´t go up. `No thank you. I don´t want coffee. It keeps me up.´ People this stupid shouldn´t be allowed to live. I can´t imagine what she must think of me. ELAINE: It´s all in your head. All she knows is she had a good time. I think you should call her. GEORGE: She´s gonna think I´m too needy. Women don´t wanna see need. They want a take-charge guy, a colonel, a Kaiser, a tsar. ELAINE: All she´ll think is that you like her. Steven Pinker: And in fact at times that ambiguity is the reason that we resort to indirect speech such as in tendering a bribe to a policeman or a sexual come-on to a partner who may or may not be interested, especially in cases where the listener´s intentions are uncertain, as in you don´t know whether you´re going to have an honest cop who´s going to arrest you for bribery or a dishonest cop who will accept the bribe; or whether you have a willing partner who will come up for sex or an unwilling one, in which case you couldn´t pretend to be friends anymore. So there is a kind of calculated vagueness in some of these. Natasha Mitchell: I was really struck by one of your comments and that is, `language is not just a window on to human nature but a fistula, an open wound through which our innards are exposed to an infectious world´. That, in a sense, says language is at once both deeply social and also a deeply private affair. Steven Pinker: That´s right, and I think it comes from a very profound and paradoxical feature of information and rationality, namely it´s not always good to have more information. Sometimes you´re better off if you don´t know something. The Godfather made famous the phrase, `I´ll make him an offer he can´t refuse.´ The humour of that is if you don´t understand the language in which the threat was issued you´re actually better off because then you can´t be compelled, by your own self-interest, to do what the threatener wants. There are many other cases where you´re better off not hearing something. If, for example, a prestigious job opens up, if someone asks, `Are you interested?´ if you say `yes´ you´re setting yourself up for humiliation if you don´t get the job, if you say `no´ you might take yourself out of the running, and if you say `no comment´ then that´s a confession that the answer is `yes´ because otherwise why would you have to say `no comment´. Likewise, politicians when they say `no comment´ realise that often either answer will get them into trouble and they would have been better off not having been asked the question in the first place. Natasha Mitchell: One of the most delicious pleasures in all great literature is of course metaphor, but we spend a lot of time also talking in metaphor, and this particularly fascinates you. Why? Steven Pinker: Metaphor saturates our language, as in what I just said, `metaphor saturates our language´, as if language is a sponge or a container and the constructions are a kind of fluid that fills them. It´s almost hard to find a passage of everyday speech that doesn´t contain metaphor. `My spirits are up but the economy is down´, `I had to force myself to get out of bed this morning to drag myself to work,´ all of these things involve quite bizarre images if you were to take them literally. It raises the question; for all of the brilliant abstraction that the human mind is capable of—philosophy and law and science and government and so on—is it all a coopting of mental structures that are much more concrete and physical; and is metaphor...not in the sense of a literary ornament but metaphor in the sense of these unconscious analogies, metaphors that fill our speech, is that a fundamental mechanism that allows us to apply Stone Age ways of thinking to abstract subject matters? Natasha Mitchell: Some people think that metaphors have really no special place in the mind, that they just would have been dubbed semantic fossils or ornamental flourishes of languages. You think they´re killjoys. Steven Pinker: Yes, well, I set up two extreme positions. One of them, when you just alluded to the killjoy position, was that metaphor was alive in the mind of the coiner back in the mists of history but that we´ve been dumbly memorising them ever since without ever thinking about what they refer to. That clearly has to be true some of the time because we use mixed metaphors, like `when you open a can of worms they always come home to roost´, where the person who uttered that couldn´t possibly have thought through to what those metaphors allude to. There are dead metaphors, like `the situation is coming to a head´. I don´t think anyone would use that if they really knew where the metaphor arose, namely the build up of pus in a pimple. And there are inadvertently tasteless metaphors, like I heard a radio psychotherapist once say, `For many patients, cancer can be a growth experience.´ Bad choice of words. So clearly not all metaphors are processed as metaphors. At the other extreme there´s the position that George Lakoff... Natasha Mitchell: You are thick in the linguistic wars with George Lakoff, aren´t you. Steven Pinker: Yes. Lakoff I think stakes out the other position, namely that all abstract thought is metaphorical, the way we think about the world depends on the metaphors that get stamped into our brain by sheer repetition... Natasha Mitchell: He thinks that we think entirely through metaphor. Steven Pinker: Well, other than actual physical experiences which we´re born with, sights and sounds and emotions and bodily sensations, pretty much everything other than those he believes is metaphorical; that we actually at some level think of language as a container and its constructions as a kind of fluid. Or we think of love as a journey when we say things like `look how far we´ve come´, `it´s been a rocky road´, `don´t bale out now´, with implications that whoever controls the metaphors controls people´s political understanding, which is why he has been a consultant to the Democratic Party in the United States, trying to advise them on how to recapture metaphors in political discourse. So those are the two extremes, and clearly the truth has to be somewhere in between. So I think Lakoff has uncovered a very profound fact about our psychology, namely that we can often effortlessly go from a concrete image to a more abstract way of thinking, but I think he takes it too far. Natasha Mitchell: You think metaphors provide a way, as you put it, `to eff the ineffable´. Steven Pinker: Yes, there are many things that we can´t express very easily through words because there are emotions, there are creative thought processes that are very difficult to express in ordinary language. But skilled writers can use metaphor to do their best to push the outside of the envelope of what language can express, to try to convey what it´s like to have a mathematical insight come looming into your mind if you´re a mathematician, or compose a melody if you´re a composer, or to be in the throes of an unspeakable sexual urge. Great writers like Nabokov, Ian McEwan and so on are able to press language into service by the use of metaphor. George Carlin: We have more ways to describe dirty words than we actually have dirty words; dirty, filthy, foul, vile, vulgar, coarse, in poor taste, unseemly, street-talk, gutter-talk, locker room language, barracks-talk, bawdy, naughty, saucy, raunchy, rude, crude, lewd, lascivious, indecent, profane, obscene, blue, off-colour, risqué, suggestive, cursing, cussing, swearing, and all I could think of was... Natasha Mitchell: Let´s come to one of my favourite topics and it´s perhaps the most entertaining chapter in The Stuff of Thought, the semantics of swearing and taboo language. What´s the delight for you in taking on rude words? Steven Pinker: Part of it is a strictly linguistic puzzle, that a lot of our obscene expressions make no sense literally and have a bizarre syntax. Natasha Mitchell: That´s your excuse! Steven Pinker: I insist that I´m not actually swearing, I´m writing about swearing. That´s why we have quotation marks. Also it´s a strange psychological and even biological phenomenon that, for example, when some misfortune befalls us, if we slice our thumb together with the bagel or knock a glass of wine into our laps, the topic of our conversation abruptly switches to theology or excretion or sexuality. And of course there´s the phenomenon of people who can´t seem to get a sentence out without three or four uses of the F word or the word `bloody´ which used to be highly inflammatory but... Natasha Mitchell: Yes, I did note you pointed out that Australians were particularly adept at that. Steven Pinker: Yes, it´s sometimes called the great Australian adjective. Now of course it´s much more acceptable, but in, say, 1913 when Pygmalion the Shaw play was first performed and Eliza Doolittle said, `Not bloody likely,´ it was meant to cause a sensation among her fictitious tea party companions, but it also caused a sensation among theatre audiences who´d never heard that word uttered in public before. Of course times have changed. Natasha Mitchell: But you point to what you suggest is the illogic and hypocrisy of linguistic taboos. Why hypocrisy? Steven Pinker: Everyone knows what the words are, you can put a fig leaf over the word with a few asterisks, even though by historical standards we have unprecedented freedom of speech...you can call the leader of your country a liar and a moron and you won´t be thrown in a dungeon or burned at the stake, but if you use certain words for excretion and sexuality then the full might of the government will come crashing down on you. At least in America, radio and TV stations can almost be put out of business by the ruinous fines that have recently been written into law. Natasha Mitchell: But in fact legislators in the States have really struggled, haven´t they, to linguistically define or encapsulate the full extent of swear words. Steven Pinker: Yes. In fact I reproduce verbatim a bill that was introduced in congress called the Clean Airwaves Act which tried to close a loophole in the existing radio and television regulations. At one point when Bono from the U2 group said, `This is really freakin´ brilliant,´ on the air (although he didn´t use the word `freakin´!) legally it was okay because it wasn´t technically referring to sexuality. A congressman introduced a bill to close this loophole that is so filthy that you couldn´t read the bill over the air. In fact the bill would make it illegal to read itself over the air. He did his best in his grammatically illiterate way to stipulate all of the bad words and all the contexts in which you couldn´t use them. I just downloaded it directly from the US government website and reproduced it in the book. I point out that the irony is that he tried to list every part of speech, the participle, the gerund and compound to rule out every possible case, and he left out the actual one that was the bone of contention in the Bono case, namely in `freakin brilliant´...`freakin´ is an adverb, and adverb was the one part of speech he forgot to include in his list. Natasha Mitchell: So it was a grammatically incorrect piece of legislation anyway. Beautiful, beautiful. Steve, you´ve looked to the brain for an explanation. What do we know about how swearing engages the brain? Steven Pinker: Swearing taps into different parts of the brain than ordinary articulate speech. This has been known for quite some time because often neurological patients who suffer a stroke to the parts of the brain that underlie language and become aphasic, unable to speak fluently, have no trouble with swearing. They can swear like a sailor even though they can´t put an articulate sentence together. Neuro imaging studies have shown that taboo words light up primitive parts of the brain like the amygdala which responds to threatening stimuli, like an angry face or a dangerous animal. Also the right hemisphere which we know plays less of a role in articulate language...typically, strokes to the right hemisphere don´t make a person aphasic, but the right hemisphere seems to be more involved in swearing than the left hemisphere. It suggests that basically taboo words activate brain areas that are associated with negative emotion, disgust, with hatred, with revulsion at sexual depravity, with awe and fear of deities, and all of the topics that get turned into swear words in different languages all have something to do with strongly felt emotion. Natasha Mitchell: That said, though, why would any word associated with sex that´s been turned into a swear word...I love the fact that we can have a conversation about swearing without actually swearing, but anyway...why would a word associated with sex that´s been turned into a swear word present a sort of negative challenge to the brain? Steven Pinker: There are sexual taboos and hang-ups in all human cultures, and it´s not surprising to a biologist because sexuality is the very stuff of evolution, although since the 60s we´ve had a romantic view of sex as a wholesome pleasure between two mutually consenting adults. But that characterises a fraction of the sexual encounters of the human species because there´s also exploitation and cuckoldry and rape and harassment and child abuse, and many instances of sexuality are not so benign. There are parents who might have an arranged marriage in mind, there´s the community that has to figure out what to do with the babies that might come from a consensual sexual act, there´s a community that worries about the sexual competition and posturing that accompany sexual freedom. So it´s a highly charged emotional activity, and it´s not surprising that words for the activity should also carry an emotional charge. Natasha Mitchell: So your sense is that swearing and our response to it emerges from a deep and ancient part of the brain. Steven Pinker: Yes, from the neurobiological work that suggests that swearing taps into structures like the amygdala, the basal ganglia and even the right hemisphere which is more involved in negative emotion than the left hemisphere, suggests that there is some primitive grounding in it, especially in the one kind of swearing, the one that I call cathartic swearing, that is when you suddenly injure yourself or make an error and you blurt out a word for sex or a deity or excretion. We have a lot of euphemisms like `shucks´, `golly´, `geez´ and `fiddlesticks´. But I think that they are rooted in what biologists call the rage circuit, which is found throughout mammals, namely when an animal is suddenly injured or confined it will erupt in a furious struggle accompanied by an ear-splitting screech or howl. So if you´ve ever sat down on your pet cat you´ll be familiar with this reflex. In the case of humans we don´t just let out a yelp but we articulate it with a word filled with negative emotion that we ordinarily inhibit ourselves from making. So I think it´s a peculiar hybrid of a human language and a primitive mammalian reflex. Natasha Mitchell: And yet we´ve become incredibly creative in swearing, haven´t we. So what about arrangements like `abso-bloody-lutely´? And it can actually express great joy, a good bout of swearing. Steven Pinker: Indeed, there´s a lot of poetry that goes into another kind of swearing; abuse swearing, where we tap the emotional power of swear words to intimidate or humiliate someone. Natasha Mitchell: The story of how new words come into being is particularly interesting in your book The Stuff of Thought, and there´s a conversation about Sniglets, for example. Steven Pinker: A Sniglet is a term introduced by an American comedian, Rich Hall, for a word that should exist but doesn´t or a concept that needs a word. So a Sniglet, by the way, is an example of itself, although I think he got the concept from John Lloyd and Douglas Adams, who had a delightful book called The Meaning of Liff, and he coined hundreds of them, like `perpetate´ which is to take an item in a supermarket and put it in your shopping cart and then decide you don´t want it and put it on some random other shelf; like a `hextable´ for the one record in someone´s collection that convinces you that you could never go out with them. For years I was worried that my copy of... Natasha Mitchell: That´s so true. They found your Phil Collins... Steven Pinker: Yes, exactly, my copy of Gordon Lightfoot Greatest Hits would scare away any potential romantic partner. Or a `lamlash´ which is the folder on hotel dressing tables full of astoundingly dull information. But it shows that you can have far more... Natasha Mitchell: None of these words seem to stick though, do they, and that´s your point. Steven Pinker: They don´t stick, that´s right, exactly, that most new coinages don´t stick, and that the ones that do are often completely unpredictable. I don´t think anyone could have predicted that the term for bulk email would be `spam´ based on the Monty Python skit. Excerpt from Monty Python skit Spam: MAN: Morning! WAITRESS: Morning! MAN: What´ve you got then? WAITRESS: Well, there´s egg and bacon; egg sausage and bacon; egg and spam; egg bacon and spam; egg bacon sausage and spam; spam egg spam spam bacon and spam; spam spam spam spam spam spam baked beans spam spam spam and spam...or lobster thermidor aux crevettes with a mornay sauce garnished with truffle pate, brandy and with a fried egg on top and spam. WIFE: Have you got anything without spam in it? WAITRESS: Well, there´s spam egg sausage and spam, that´s not got much spam in it. WIFE: I don´t want any spam... Steven Pinker: This silly mindless repetition reminded some hacker in the 1980s of identical postings to a news group, and the usage escaped from the community of computer programmers to the population at large. And I think that typifies the history of words, namely not only are there concepts that need a word that somehow remain nameless, they come out of nowhere, they catch on, it´s a kind of popular fad or craze that people can´t see coming and that follow some kind of chaotic dynamics. Natasha Mitchell: Is there any way we can predict whether a new word will take hold? Steven Pinker: I think not, because there are people who try to do it. Dialectologists every year will nominate their ten words of the year, and you go back after a decade and generally none of them catch on. If you go back to the early 90s there were words like `Infobahn´ for the internet and `information superhighway´, Al Gore made that popular, but you´d feel rather silly saying, `I need to log on to the information superhighway´ these days. Natasha Mitchell: I want to come to this final question and that is one of the criticisms of your arguments in the past has been...particularly your argument that we´re born into the world with a mind that´s already shaped to some extent by our genetic heritage, is that it´s a constraining sort of view of human nature and the possibilities for us as we enter the world and become adults. So I´m intrigued by your argument in this book that language in fact offers us the clearest window on how we might transcend our cognitive limitations. What are you getting at there? Steven Pinker: Clearly we have done unprecedented things with respect to the history of our species. We figured out how a lot of the world works through science, we have remarkably productive economies through economic institutions, we have governance structures that more or less work in large parts of the world, liberal democracy. How do we get these from a backdrop of minds that can only count up to three, that are habitually prone to feuding and warfare, that are filled with ignorance and superstition? I think we do it partly by this mechanism of metaphor, that is we take mental structures that were designed to reason about throwing rocks and dragging branches along the ground and apply them to abstract domains, which is why so much of the language of science is metaphorical; evolution as a kind of selection, genetic material as a code. We take everyday concepts and give them new meanings because we can carry over some of their structure. The ability to assemble complex thoughts out of simple thoughts by words, exactly analogous to how we assemble sentences out of words using rules in language allows us to build bigger and bigger cognitive structures or more and more complex ideas out of simple ideas. And then I think we also have a social apparatus that specifically inhibits some of our social instincts, like in nepotism or in cronyism and dominance. We stipulate exactly where we can and can´t apply those and get social institutions that transcend the historic limitations of people hiring their friends or their brother-in-law—exerting sheer brute force strength over others. Our institutions like science, democracy, journalism, government hinge on rewiring our social instincts, not making them go awa
