The Prefrontal Cortex and Neurological Impairments of Active Thought

PS69CH07-Shallice ARI 8 November 2017 10:22
Annual Review of Psychology
The Prefrontal Cortex and

Neurological Impairments
of Active Thought
Annu. Rev. Psychol. 2018.69:157-180. Downloaded from www.annualreviews.org
Tim Shallice1,2 and Lisa Cipolotti3,4

Access provided by University of Sevilla on 04/01/19. For personal use only.
1
Institute of Cognitive Neuroscience, University College London, London WC1E 6BT, United
Kingdom; email: [email protected]
2
Cognitive Neuropsychology and Neuroimaging Lab, Scuola Internazionale Superiore di Studi
Avanzati (SISSA), 34136 Trieste, Italy
3
Neuropsychology Department, National Hospital for Neurology and Neurosurgery, London
WC1N 3BG, United Kingdom; email: [email protected]
4
Dipartimento di Psicologia, University of Palermo, 90133 Palermo, Italy
Annu. Rev. Psychol. 2018. 69:157–80 Keywords

First published as a Review in Advance on August active thought, neuropsychology, prefrontal cortex, supervisory system,
16, 2017
reasoning, lateralization of function
The Annual Review of Psychology is online at
psych.annualreviews.org Abstract
https://doi.org/10.1146/annurev-psych-010416- This article reviews the effects of lesions to the frontal cortex on the ability to
044123
carry out active thought, namely, to reason, think flexibly, produce strategies,
Copyright c 2018 by Annual Reviews. and formulate and realize plans. We discuss how and why relevant neuropsy-
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chological studies should be carried out. The relationships between active
thought and both intelligence and language are considered. The following
basic processes necessary for effective active thought are reviewed: concen-
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REVIEWS Further tration, set switching, inhibiting potentiated responses, and monitoring and
Click here to view this article's checking. Different forms of active thought are then addressed: abstraction,
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deduction, reasoning in well-structured and ill-structured problem spaces,
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than networks, especially information concerning prefrontal lateralization
of function. We present a synthesis of the respective roles of the left and
right lateral prefrontal cortex in active thought.
157
Contents
INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158
Overall Perspective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158
Why Neuropsychology? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159
The Neuropsychological Approach to Frontal Functions . . . . . . . . . . . . . . . . . . . . . . . . . 160
BROAD-BRUSH ASPECTS OF ACTIVE THOUGHT . . . . . . . . . . . . . . . . . . . . . . . . . . . 163
Dual System Brain-Based Models of Cognitive Control . . . . . . . . . . . . . . . . . . . . . . . . . . . 163
Active Thought and Intelligence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163
Active Thought and Language . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164
ESSENTIAL PREREQUISITES FOR ACTIVE THOUGHT . . . . . . . . . . . . . . . . . . . . . 166
Volition and Concentration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166
Set Switching and Response Inhibition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 167
Active Monitoring and Checking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 167

Working Memory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168

FORMS OF ACTIVE THOUGHT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169
Abstraction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169
Deduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170
Reasoning in Well-Structured and Less Well-Structured Problem Spaces . . . . . . . . . 170
From Lateral Transformations to Strategy Shifts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171
Planning for Future Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172
THEORETICAL CONCLUSIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173
INTRODUCTION
Overall Perspective
This review is concerned with what neuropsychological findings can tell us about the cognitive
processes underlying active thinking. By active thinking, we refer to mental processes that allow
us to confront situations where we do not respond routinely to the environment but, rather,
effectively address problems that can be big or small. Active thinking entails a set of complex mental
processes, for example, those involved in abstraction, deduction, and other forms of reasoning
between alternative possibilities, switching lines of thought, selecting strategies, inhibiting obvious
responses, and formulating and realizing plans. For example, organizing a dinner party would entail
many active thinking processes, whereas daydreaming or implicit processes like priming would
not be considered active thinking.
A number of well-known neuropsychological tests designed to assess prefrontal function re-
quire active thinking. Typical examples are tests such as Wisconsin Card-Sorting (switching lines
of thought), Proverb Interpretation (abstraction), Stroop (inhibition), Tower of Hanoi (plan-
ning), and tests of fluid intelligence such as Progressive Matrices or Cattell Culture Fair (reaso-
ning between alternative possibilities). Following frontal lobe lesions, performance on these tests
is typically impaired. This suggests that the frontal lobes are critically involved in active thinking.
Impairments in active thinking are also exemplified by a number of frontal lobe syndromes that
involve release of irrelevant environmentally triggered actions. Examples include the grasp reflex,
where the patient whose palm is being stroked by a doctor grasps the doctor’s fingers despite being
repeatedly instructed not to (De Renzi & Barbieri 1992), or the somewhat analogous situation
158 Shallice · Cipolotti

where the patient is instructed not to move their eyes to a distracting light but does so anyway (Paus
et al. 1991). At a higher level, there is utilization behavior, originally described by Lhermitte (1983).
In this case, the patient makes a standard afforded action to one of the objects surrounding him, such
as dealing from a pack of cards, without being told to do so or, in the so-called incidental form, when
explicitly told to do something else (Shallice et al. 1989). These examples highlight behaviors that
occur when active thinking processes are absent or impaired through brain injury. Interestingly,
these syndromes have been most frequently described in patients with lesions involving medial
frontal areas (see De Renzi & Barbieri 1992).
Prefrontal functions are involved in many different cognitive domains. They have been well
reviewed fairly recently by Szczepanski & Knight (2014). This review, therefore, focuses only
on those cognitive domains we consider critical for active thinking. Thus, we discuss individual
cognition rather than social cognition and ongoing reasoning rather than (long-term) memory,
learning, motivation, and emotion.
Our review is structured in the following fashion. The Introduction considers why we have
chosen neuropsychological evidence, out of the many cognitive neuroscience techniques available,
to be used for the review of the cognitive processes underlying active thinking. We then address
the methodological approaches adopted for the neuropsychological investigation of prefrontal
functions. The second section briefly outlines our theoretical framework for active thinking, which
is largely based on the Norman & Shallice (1986) supervisory system model of prefrontal cortex
(PFC) functioning. We also consider the relationship between active thinking and potentially
overlapping cognitive domains such as intelligence and language. The third section will deal with
processes that are prerequisites for active thinking, namely concentration, set shifting, thought
inhibition, and monitoring and checking. In the fourth section, we discuss different types of core
active thinking processes, including abstraction, deduction, novel strategy selection, insight, and
planning. The final section aims to produce an overall theoretical synthesis.
Why Neuropsychology?
As cognitive processes become more abstract and distant from sensory and motor processes, it
becomes increasingly difficult to investigate them adequately using behavioral means alone. Thus,
discussing theorists working on reasoning about syllogisms, Khemlani & Johnson-Laird (2012,
p. 453) wrote, “Thirty-five years ago they had only heuristic accounts that explained biases and
errors, and so the domain appeared to be an excellent test case for cognitive science. There are now
12 sorts of theories of syllogisms and monadic inferences, and so skeptics may well conclude that
cognitive science has failed.” A more powerful source of empirical findings seems to be required.
Methodologies related to the brain are obvious candidates.
Within human cognitive neuroscience, there are two main classes of methodologies. The
oldest class consists of those methodologies derived from lesion studies of neurological patients,
which have recently been supplemented by transcranial magnetic stimulation (TMS) and, some-
what more conceptually distantly, by the study of the cognitive effects of individual differences in
brain structure across the normal population. The second class consists of those methodologies
where on-line measures are taken of brain processes while normal subjects carry out tasks;
these methodologies include positron emission tomography (PET), functional magnetic reso-
nance imaging (fMRI), electroencephalography (EEG), magnetoencephalography (MEG), and
so on.
If one’s aim is to provide accurate anatomical correspondences for known cognitive processes or
to provide real-time information on processing, the second class is much to be preferred. Despite
www.annualreviews.org • Impairments of Active Thought 159

this clear advantage of the second class of methodology, the first class, especially neuropsychology,
has complementary advantages for the development of cognitive theory. There are at least five
reasons for this:
If one takes cognitive theory to refer to models like classic box-and-arrow information-
processing ones, then neuropsychological data can speak directly to cognitive theory. Ap-
propriate inferences are derived from a set of simple assumptions, first formalized by
Caramazza (1986). They are based on the idea of subtraction of components from an overall
system. Of course, subtraction in reality is complicated by complex processes related to the
recovery process (see Henson et al. 2016 for a good example). However, to a first approx-
imation, subtraction is a plausible characterization of the effect of a brain lesion. So, this
approach was much used in the heyday of cognitive neuropsychology. Moreover, the same
set of assumptions can be used to relate such data to connectionist models, as well (Shallice
& Cooper 2011). By contrast, methodologies of the second type require complex bridging
assumptions, based on physics and physiology, to relate their data to cognitive theory.
It is generally accepted that activation-based findings do not necessarily imply causal efficacy
(see Gilaie-Dotan et al. 2015 for a particularly clear example). This possibility is of particular
concern for lateralization of function. Thus, neuropsychological data show language func-
tions to be strongly lateralized. Crossed aphasia is very rare. In a consecutive series of over
1,200 aphasics with unilateral lesions, only 4% had right-hemisphere lesions (Croquelois &
Bogousslavsky 2011). However, neuroimaging studies of language processing often report
bilateral activation patterns, although they are somewhat smaller in size in the right hemi-
sphere ( Jung-Beeman 2005). So, considering merely the presence or absence of activation
may, in effect, hide real lateralization of function.
Neuropsychological data provide additional sources of behavioral evidence that are not
generally available from other cognitive neuroscience methods, namely, the nature of the
responses and, in particular, the errors made. These can be very informative for specifying
the function damaged. Below, we consider two examples, the concrete interpretation of
proverbs and strategy-reflecting responses.
When carrying out a cognitive neuroscience experiment on neurologically intact subjects,
the investigators are entirely reliant on their own theoretical framework to set up the study.
Neurological patients can produce behaviors that strikingly challenge theoretical precon-
ceptions. Phineas Gage and HM are the most famous such cases, but there are many others.
They facilitate serendipity.
Some problem solving situations involve a single step change, where the subject makes a
change in strategy in one trial. Examples are those involving insight (see the section titled
From Lateral Transformations to Strategy Shifts). They cannot be effectively studied using
standard activation-based methods that require summing over multiple trials because the
critical situations cannot be reproduced; a repeat would no longer be novel. Instead, damage
to the relevant systems may prevent strategy change occurring, thus allowing relevant
investigation.
We therefore primarily address findings from neuropsychological studies and consider other
methodologies where their findings help interpret the results of such studies. Of course, neuropsy-
chological methods have their own limitations, which we discuss in the next section.
The Neuropsychological Approach to Frontal Functions

Researchers concerned with making inferences about normal cognitive function from neuropsy-
chological data have used three main approaches: the single case study (including its close relation,

the multiple single case study), the case series, and the group study. In the first approach, individ-
ual patients are selected for study depending on their theoretical interest. In the second and third
approaches, all patients who fit the appropriate criteria are reported. In the second approach, each
patient is treated as a separate test of relevant theories, whereas in the third approach, results are
averaged across all patients in a group.
Historically, researchers have tended to favor one approach and reject others. In contrast,
Shallice (2015) has argued that all three approaches are legitimate but have different potential
problems and so are more powerful in combination. This statement needs to be qualified as far
as prefrontal functions are concerned. Often, performance on paradigms sensitive to prefrontal
lesions can have a large range in the normal population—consider, as an example, the Stroop test.
Impairment, then, becomes more easily detected using group studies due to variance reduction
with increased n.
In practice, the anatomically based group study, where the patient is allocated to a group
according to their site of lesion, is the most widely used method for studying prefrontal func-
tions. This type of study comes in two forms. In the more traditional approach, the anatom-
ical regions are decided a priori. In the oldest such version, the classical approach, there is a
simple comparison between patients with unilateral left and right frontal lesions. In a more
refined approach (the Stuss-Alexander method), patients with frontal lesions are divided into
those with left lateral, right lateral, superior medial, and inferior medial (including orbital)
frontal lesions, this division being based partly on statistical grounds and partly on clinical
ones (Stuss et al. 1998). In the modified Stuss-Alexander method, the two medial groups are
combined.
The alternative approach (the critical lesion localization method) uses the range of performance
produced by patients in a series. It determines whether there are patients with lesions in a particular
region who perform worse than those with lesions elsewhere without specifying the region in
advance. A package such as voxel-based lesion symptom mapping (VLSM)—now sometimes called
lesion behavior mapping (Bates et al. 2003, Rorden & Karnath 2004)—is used.
Recently, Mah et al. (2014) have criticized existing methods of this type, which make the
simplifying assumption that damage to any voxel is independent of that to any other voxel. Unfor-
tunately, the assumption is flawed when applied to brain lesions caused by stroke. In this case, the
arterial tree structure of the vascular system means that there will be a high correlation between
damage to functionally critical and noncritical regions fed by the same artery. Mah et al. (2014)
advocated a high-dimensional multivariate approach. However, to our knowledge, this approach
has yet to be applied in an analysis of the effects of prefrontal lesions. Related criticisms may apply
to brain tumors, but if they do, then the associated noncritical regions will not be the same as those
for vascular damage. This makes replication, especially across etiology, very useful. This is also
the case for a second problem—the existence of large silent regions due to insufficient patients for
complete coverage.
In fact, for the purpose of drawing inferences about the separability of executive systems,
the precise anatomical location of a critical area is not important. Performance on a given test
requires many subprocesses. So, the inferential logic of cognitive neuropsychology depends on
the relative performance of the patient across multiple tests. We adopt an analogous approach
using groups. If the critical areas for one test do not overlap with those of another, then we
take this as evidence that the two tests do not rely on the same set of subsystems. As we dis-
cuss in the section titled From Lateral Transformations to Strategy Shifts, two tests that appear
to involve inhibition—the Stroop and the Hayling B Sentence Completion Test—lateralize dif-
ferently in the PFC, and, therefore, the most critical processes for performing the two tests
differ.

By contrast, lesions to an area can affect performance on more than one test. This, then, puts
on the intellectual agenda the possibility that the resources required by test performance may
overlap cognitively as well as anatomically. For example, Tsuchida & Fellows (2013) used VLSM
on the performance of 45 frontal patients on three tests—task-switching, the Stroop, and a spatial
search task. The authors found that similar left ventrolateral regions were critical for the first two
tasks. A different, more medial region was critical for the spatial search task. The authors held
that the existence of a common critical area for the first two tasks meant that “they are likely to
be related to disruption of a single underlying process” (Tsuchida & Fellows 2013, p. 1797). We
consider that this result provides suggestive evidence only.
Adopting a group study methodology is, however, beset with a host of methodological prob-
lems. Typically, patients differ widely in age and premorbid cognitive abilities. In addition, lesions
vary greatly in etiology and size. Moreover, these two types of factors can interact in a complex fash-
ion. Thus, Cipolotti et al. (2015b) examined two tests sensitive to prefrontal damage—Advanced
Progressive Matrices and Stroop. Increasing age was found to exacerbate the effects of frontal
damage, as measured using age-specific norms. This exacerbated age effect on executive perfor-
mance in frontal patients was not ameliorated by proxies of cognitive reserve such as education or
IQ (Macpherson et al. 2017). This suggests that any behavioral effect that a lesion has can only
manifest itself when influenced by many strong confounding factors. Large samples of patients
and well-matched subgroups are therefore required.
How, then, is one to proceed in practice? One approach is to limit the sample by, say, re-
stricting selection to a particular type of etiology, such as vascular lesions. Thus, patients in
subgroups should be better matched. In support of this view, Karnath & Steinbach (2011) ar-
gue that it is best to restrict patient samples to those suffering strokes and reject other etiolo-
gies, in particular, tumors. The authors suggest that the effects of tumors are too diffuse and
not well localized. In fact, there are clear examples showing that postoperative tumors can give
strong localization effects (for a particularly clear example, see Papagno et al. 2011). Moreover,
if one was to include only patients with vascular lesions, collecting a large sample of frontal
patients with well-matched subgroups for a new set of tests would, in practice, take much too
long.
A common practice, therefore, is to mix different etiologies in the patient sample to obtain a
large enough group. But are the effects of, say, strokes and tumors even roughly equivalent when
affecting similar parts of the cortex? To answer this question, Cipolotti et al. (2015a) compared
100 frontal patients with four different types of etiology on four frontal executive tasks (Advanced
Progressive Matrices, Stroop Color-Word Test, Letter Fluency-S, Trail-Making Test Part B).
The four groups consisted of one vascular group and three with different types of tumor–high-
grade gliomas, low-grade gliomas, and meningiomas. The groups did not differ significantly in
size or location of lesion. Strong behavioral effects on performance of the frontal tests were found
for age and premorbid cognitive abilities. However, only on one test—Trail-Making Part B—
was a significant difference between etiologies obtained when age was partialed out in an analysis
of covariance. Critically, the significance did not survive Bonferroni correction, as there was no
reason to consider Trail-Making, which later research has shown to be not specific to frontal
lesions (Chan et al. 2015), to be more susceptible to differences in etiology than the other three
tests. We therefore conclude that it is acceptable practice to mix etiologies to overcome the great
variability in the population under study.
We therefore include all types of neuropsychological methods in our review but concentrate
on the a priori groups approach. We note the number of relevant patients, as the results of studies
with small group sizes are especially likely to be biased by the idiosyncrasies of a few patients or
by imperfect matching across subgroups.

BROAD-BRUSH ASPECTS OF ACTIVE THOUGHT
Dual System Brain-Based Models of Cognitive Control

Within the literature on reasoning, a variety of so-called dual system models have been put forward.
Most of them differentiate between a fast, automatic, and unconscious mode of processing and a
slow, deliberate, conscious one (Kahneman & Frederick 2002). In the reasoning field, the two are
often called the products of system 1 and of system 2, respectively (Stanovich 1999).
Before the development of dual system models of reasoning, the Russian neuropsychologist
Alexander Luria (1966) argued that neuropsychological evidence supports a theoretical frame-
work in which the PFC contains a system for the programming, regulation, and verification of
activity—adopting the terminology of the reasoning literature, a system 2. This prefrontal system
implements its functioning by calling upon a more posterior system in the cortex—a system 1. A
number of neuroscientists have adopted a related type of dual system model framework for con-
ceptualizing PFC function in information processing terms (see Shallice 1982, Miller & Cohen
2001, Duncan 2010). In this review, we adopt Norman & Shallice’s (1986) framework.
Contention scheduling—the system 1 of this framework—is the lower-level control system
that can effect routine thought and action operations. It operates in a production-system fashion,
including selecting action and thought schemas involving more posterior dedicated processing
systems and connections (Cooper & Shallice 2000). The syndromes discussed in the Introduction
as examples of nonactive thought, such as utilization behavior, represent contention scheduling
operating in isolation.
If contention scheduling cannot cope with a nonroutine situation, a second, higher-level control
system comes into play, the supervisory system, believed to be in the PFC. The supervisory
system is responsible for the control mechanisms that modulate contention scheduling top down
by boosting relevant action and thought schemas to allow novel goal-directed behavior. The
supervisory system is loosely equivalent to the executive system or control processes in other
theoretical frameworks. Where it differs is in being more specific about what it modulates and
how. It is the key system involved in active thinking.
Another major brain-based model descending intellectually from Luria’s ideas is the multiple
demand network approach of Duncan (2010). Using neuroimaging, Duncan & Owen (2000) found
that more difficult tasks in many different domains—such as perception, response selection, and
working memory—activate the same set of regions, mainly in the frontal and parietal cortices,
so-called multiple demand regions. These regions are held to have the function of programming
other regions of the brain to carry out nonautomatic tasks. This is a similar function to that held to
be carried out by a supervisory system. Duncan (2013, p. 41) also argues that “the fMRI literature
contains little consensus on clear repeatable functional distinctions” between different regions
within the multiple demand network. We address how the neuropsychological evidence relates to
the two models and to equipotentiality below.
Active Thought and Intelligence

Duncan et al. (2000) also argued that the multiple demand regions are the seat of fluid intelligence,
g. Thus, they made a major link to another cognitive domain, intelligence, and aimed to support
g as a solid scientific concept.
The neuropsychological literature does not support the idea that a reduction in g is sufficient
to explain frontal patients’ executive impairments. Roca et al. (2010) showed that it is for some
tests (e.g., Wisconsin Card-Sorting). However, for others, such as the Hayling B, both Roca et al.
(2010) and Cipolotti and colleagues (2016) have demonstrated that frontal patients’ impairment

cannot be fully explained by reduced g. Similarly, impairments in other executive tests, such as
Stroop and Proverb Interpretation, were shown to be not accounted for by an effect on g.
However, Duncan & Owen’s (2000) claim about g related specifically to multiple demand
regions. To test this claim, Woolgar et al. (2010) gave the Cattell Culture Fair IQ test to 80
patients with cortical lesions. The volume of lesions both in multiple demand regions and outside
those regions was assessed. For the group as a whole, there was a significant correlation between
the IQ score and multiple demand volume, and the result remained highly significant when total
lesion volume was partialed out. However, for the 44 pure frontal patients, the correlation was
no longer significant if non–multiple demand volume was partialed out. So, as far as the PFC is
concerned, the theoretical claim was not strongly supported by evidence from neuropsychology.
Active Thought and Language

Thought and language processes are intertwined in numerous complex ways (Gentner & Goldin-
Meadow 2003), but in the mature adult brain, how independently can active thought take place
without language? One potential line of evidence comes from aphasia: Can aphasics reason?
This has been investigated in quite a number of aphasic patients in whom relatively preserved
reasoning has been shown (Varley 2014). However, studies have tended to be rather loose, relying
on essentially clinical reports or on a fairly crude analysis of the processing problems of the patients.
An exception is the study of Varley et al. (2005), where three patients with severe problems
in comprehension and production of syntax were given a variety of arithmetic and calculation
tasks. Two of the patients were near ceiling on some calculation tasks with quasisyntactic aspects,
such as three-figure subtraction, including problems with negative answers. They also performed
adequately, but not perfectly, on problems involving interpretation of brackets. Thus, it appeared
that the understanding and execution of syntactic operations could be relatively preserved in
arithmetic when such operations were severely impaired in language.
Grammatical encoding is, however, part of what Levelt (1989) characterized as the formula-
tor stage of language production. It can be inferred from such studies that the formulator and
articulator stages operate relatively specifically within the language domain as opposed to the
thought domain. The key issue, therefore, relates to the so-called conceptualizer stage, which
precedes them in language production. It produces what Levelt (1989) calls the preverbal mes-
sage, which, in our approach, requires active thought. However, can active thought occur without
the involvement of conceptualizer-stage processes?
A relatively little-known aphasia syndrome bears on this question. This syndrome, called dy-
namic aphasia, is a subtype of the clinical category of transcortical motor aphasia and was first
described by Luria (1970). He described two patients who could answer questions but were inca-
pable of narrative speech. In dynamic aphasia, the inner mechanics of the language system—the
formulator and articulator stages—appear to operate relatively normally, but the patient says little,
especially in spontaneous speech. For instance, patient ROH of Costello & Warrington (1989),
when asked to describe his last holiday, produced, in 30 s, only “I’m . . .” Typically, in sentence gen-
eration tasks, the patient failed to produce a response or was extremely slow. However, some direct
questions could be answered appropriately, and any sentence that was produced was lexically, syn-
tactically, and morphologically correct. What appears to be impaired is the conceptualizer stage.
About 10 other patients of this type have been described as single cases. A massive influence
on the performance of these patients is the range of alternatives that are potentially available
to the speaker (Robinson et al. 1998). When this is high, the dynamic aphasia patient typically
cannot respond. But when the situation allows only a very restricted set of possibilities, the patient
typically produces a correct sentence. For instance, patient ANG of Robinson et al. (1998) was

given a range of tasks that involved this contrast. Thus, when she was asked to produce a sentence
including a common object, such as a telephone, that was shown as a picture, she scored 0/6. On
the other hand, when presented with a simple scene to describe (e.g., a girl ice skating), she scored
34/34. When asked to produce a sentence including a single proper name (e.g., Hitler) she scored
26/28, saying, for instance, “Hitler is one of those wicked people that should never have been
born.” But given a single common word (e.g., sea), where the range of alternatives is greater, she
scored only 14/28, saying, in this case, “No idea.”
Related results were obtained at the same time by Thompson-Schill et al. (1998), using a task
in which patients were asked to generate a verb given a noun. Nouns were divided into two groups
according to the diversity of responses given by controls. Four patients with posterior left inferior
frontal lesions had significantly more difficulty with high-selection (i.e., inconsistent) verbs than
with low-selection verbs, compared with controls. Nine patients with lesions elsewhere in the
frontal lobes did not have this problem.
ANG, too, had a left inferior frontal gyrus lesion. This localization of the main form of dynamic
aphasia was supported by a group study. Robinson et al. (2010) found that a subgroup of 12 patients
with lesions involving the left inferior frontal gyrus performed significantly worse than 35 patients
with other frontal lesions and normal controls in generating a sentence from a high-frequency
word but not in generating a sentence from low-frequency words, where there would be fewer
selection requirements.
These findings all fit with the idea that the dynamic aphasic patient is impaired in constructing
the preverbal message at the conceptualizer stage. This shows up behaviorally when the process
is at all difficult, such as when there are many alternative possibilities. Is this a problem that
affects active thought processes in situations where language is not required? Individual dynamic
aphasic patients can apparently perform much better on reasoning tasks. For instance, patient CH
(Robinson et al. 2005), a patient with dynamic aphasia similar to that of ANG, although somewhat
less severe, performed in the high average range on the IQ test Advanced Progressive Matrices
and in the superior range on WAIS Block Design. However, such a comparison involves many
disparate cognitive components. It is not comparable to the Varley et al. (2005) study of syntactic
aspects of arithmetic, where there was excellent matching between verbal and nonverbal tasks.
One type of task that requires active thought and has been studied in both verbal and nonverbal
forms in the same patients is that of fluency—generation of items defined by a particular criterion.
Phonemic fluency, i.e., generating as many words as possible in a fixed time beginning with a
particular letter, has been extensively studied by neuropsychologists since the pioneering work of
Brenda Milner (1964). This type of fluency is usually much impaired in dynamic aphasic patients.
In Robinson et al.’s (2012) study, performance on this test was compared with that on seven other
fluency tasks. In a sample of 40 frontal patients, out of the 11 who performed worse than any
healthy control on phonemic fluency, 6 had left inferior frontal gyrus lesions, as one would expect
if dynamic aphasia leads to poor phonemic fluency.
Patients with left lateral lesions in this sample did not generally have word production impair-
ments. On a naming test, their scores were similar to those of right lateral lesion patients and not
significantly different from those of normal controls. Yet, on phonemic fluency, they produced
only just over 50% of the number of words that right lateral patients did. By contrast, on a task
requiring them to produce as many designs as they could given certain constraints, they performed
equally well as right lateral patients. Thus, CH, for instance, was well within the normal range.
Even more surprising, the left lateral patients performed similarly to the right lateral patients in
the ideational fluency task—e.g., “How many uses you can think of for a brick?” In comparison
with right lateral lesion patients, their fluency deficit was restricted to verbal material. We assume
that a phonemic fluency deficit, if word production processes are intact, is a sign of impairment in

the production of the preverbal message by the conceptualizer stage. Thus, it would appear that
this process, at least in part, is purely in the language domain and not basically reliant only on
general active thought processes.
ESSENTIAL PREREQUISITES FOR ACTIVE THOUGHT
Volition and Concentration

In this section, we deal with the processes that might be considered the nuts and bolts of active
thought. We start with the most basic prerequisites for active thought, volition and concentration.
Clinically, syndromes such as apathy and akinetic mutism, the failure to initiate actions or speech
(Cummings 1993), which represent the extreme loss of volition, have been associated with lesions
to the medial PFC.
Formal neuropsychological testing supports the idea of a weakening of processes underly-
ing volition in superior medial prefrontal lesions. In the so-called ROBBIA set of studies (Stuss
& Alexander 2007, Shallice & Gillingham 2012), the Stuss-Alexander subdivision of the frontal
cortices was adopted with approximately 40 frontal patients. These studies included simple reac-
tion time, two versions of choice reaction time, task switching, and go-no-go. In none of these
paradigms was the left or right lateral or the inferior medial group significantly slower than the
normal controls. In all of them, however, the members of the superior medial group were sig-
nificantly slower than normal subjects and, in most, significantly slower than the other patient
groups. Moreover, the effects were large. Thus, in one task, the healthy control group took, on
average, 607 ms, and three of the four frontal patient groups took from 533 to 643 ms, but the
superior medial group took 821 ms. In addition, in the more difficult conditions, such as the switch
condition in task switching, which is more difficult than the repeat condition, the superior medial
group were disproportionately slowed.
Stuss et al. (1995, 2005) argued that the primary impairment of the superior medial group in
these tasks is one of energization. They argued that, in the supervisory system model, contention
scheduling operating alone would not be optimal in reaction time tasks. For instance, a selected
schema would gradually lose activation over several seconds. Thus, for better performance, top-
down boosting of lower-level action schemas would be needed. Energization, then, is seen as the
process required to initiate supervisory system operations. This closely corresponds to a number
of characterizations of the function of the anterior cingulate derived from functional imaging,
such as those of Posner & DiGirolamo (1998) and Kerns et al. (2004). Energization may be seen
as the material substrate of volition and the basis of concentration.
In this approach, impairments following superior medial lesions should be found much more
widely, even on cognitively simple tasks. They are. Thus, MacPherson et al. (2010) investigated
the performance of 55 frontal patients, subdivided into subgroups with medial, orbital, and lateral
damage, on the Elevator Counting subtest (Manly et al. 1994). This test assesses the ability to
sustain attention by presenting a long series of tones at a slow rate. Optimally, one simply counts
the tones. The medial and left lateral groups were significantly impaired on the task compared
to healthy controls, with the medial group making errors 13% of the time in comparison to the
controls’ 1.6% error rate. In contrast, the right lateral patients were not impaired.
Energization impairments could also account for certain medial frontal findings reported in
some studies discussed above. In Robinson et al.’s (2012) fluency study, discussed in the previous
section, the medial frontal group, unlike the lateral frontal groups, was impaired on all eight
fluency tasks, so an energization account is more plausible than a purely cognitive one. Medial
frontal lesions are also the predominant site for the grasp reflex and utilization behavior, discussed

in the Introduction, where the task is simple and all that is required is to realize the will to carry
it out. In lay terms, the superior medial region can be seen as the locus of the system producing
volition and concentration.
Set Switching and Response Inhibition

A second prerequisite for active thought is flexibility. Classically, the best-known deficit following
prefrontal lesions was, indeed, difficulty switching sets. This deficit leads to a consequent increase
in perseveration, as in the Wisconsin Card-Sorting test, which loads heavily on the ability to switch
from responding to one perceptual dimension to another (Milner 1963).
Such clinical tests are, however, complex and have multiple components, including discovery.
Much cleaner are so-called task switching paradigms, in which two simple tasks that use the
same stimuli are carried out repeatedly in a rapid random ordering. Three studies have used such
paradigms with 35 or more frontal patients (Aron et al. 2004, Shallice et al. 2008, Tsuchida &
Fellows 2013). All three studies showed left frontal patients to have either increased error rates
early in learning (Shallice et al. 2008) or increased reaction times each time the task switched. Aron
et al. (2004) suggested that what is impaired in these patients is top-down (supervisory) control of
task set (action schema). Regarding the critical anatomical areas, a VLSM analysis carried out by
Tsuchida & Fellows (2013) was in agreement with a meta-analysis of functional imaging studies
carried out by Derrfuss et al. (2005), suggesting that the left inferior frontal junction is critical for
task switching.
However, Aron et al. (2004) also reported increased error rates in task switching in patients with
right ventrolateral lesions. They attributed this to impairment in response inhibition. However,
no such effect was found by either Tsuchida & Fellows (2013) or Shallice et al. (2008). Aron
et al. (2003) had previously used a standard response inhibition task from human experimental
psychology, namely, the stop signal task, with the same 17 right frontal patients but, unfortunately,
no other frontal group. For five right frontal subregions, the correlation between amount of
damage to the subregion and poor performance on the task was examined. For three of the
regions, the correlation was significant, but for one—the inferior frontal gyrus—it was very high.
The authors argued that this was the critical region involved in response inhibition, with the other
significant effects arising due to correlations between the amount of damage in a region and that
in its neighbor.
Very different results were, however, obtained by Picton et al. (2007), who studied 43 frontal
patients with another response inhibition task—go-no-go. They found that the critical areas for
false alarms were left areas 6 and 8, areas Aron et al. (2003) did not investigate. The four patients
with lesions in these areas made 30% false alarms. By comparison, the 13 patients with right
ventrolateral lesions made only 12% false alarms, not significantly different from the controls
(8%). Moreover, the effects found in Aron et al.’s (2004) right frontal patients did not replicate
in the two other task switching studies. The neuropsychological evidence fits better overall with
a different perspective from neuroimaging that suggests that the role of the right inferior PFC
in such tasks is bottom-up attention rather than inhibition (Hampshire et al. 2010). When a stop
signal occurs after the initiating stimulus, attention must then be switched to the new stimulus.
This is not required in go-no-go tasks.
Active Monitoring and Checking

Error detection is an ubiquitous aspect of human active thought, especially when a new skill is being
acquired. It begins with a mismatch between actuality and expectation, but this can be detected

by a variety of means, some very subtle (Rizzo et al. 1995). Thus, monitoring and checking are
basic processes late in the time course of active thought. Neuropsychologically, these processes
have long been thought to be controlled by dorsolateral PFC systems (Petrides 1994).
Neuropsychological evidence suggests that they are at least partly lateralized to the right. Stuss
et al. (2005) asked 38 frontal patients, divided into groups based on the four Stuss-Alexander
anatomical regions, to carry out reaction time tests in which the stimulus was preceded by a
warning signal that occurred randomly from 3 s to 7 s before. For the simple reaction time
condition, controls responded 30 ms to 40 ms more rapidly to the long than to the short warning
intervals—the so-called foreperiod effect. This is to be expected, as the conditional probability
of the stimulus occurring in a particular interval increases with the foreperiod. Three of the four
frontal patient groups behaved in an identical fashion. The one exception was the right lateral
group, which was actually slower in the long foreperiod condition. By contrast, when the foreperiod
was fixed over a block of trials, the right lateral group behaved normally. Stuss et al. (2005) argued
that, in the variable foreperiod condition, the right lateral group failed to monitor the fact that no
stimulus had occurred and so did not increase preparation. When monitoring was not required
because the foreperiod was constant over a block, they behaved normally. Thus, active monitoring
was held to occur in the right lateral frontal area.
Qualitatively similar results have been obtained by Vallesi et al. (2007b) in a TMS study in which
stimulation of the right dorsolateral PFC was contrasted with stimulation of the left dorsolateral
PFC and the right angular gyrus. In a more direct attempt to replicate the precise paradigm used
by Stuss et al. (2005), Vallesi et al. (2007a) studied 58 patients with fairly focal tumors. They
obtained a partial replication. Premotor patients and parietal patients had foreperiod effects of the
order of 30–55 ms both before and after operation, the same as normal controls. Left prefrontal
patients showed a reduced foreperiod effect of 15–25 ms both before and after operation. The
right prefrontal patients, however, were completely normal before operation, with a foreperiod
effect of 55 ms, but this was drastically reduced to 10 ms after operation.
A number of neuroimaging studies point to a similar conclusion with respect to the involvement
of the right rather than left PFC. Thus, Fleck et al. (2006) found that the right lateral PFC was
also more active in low-confidence judgements, where more monitoring was needed, than in high-
confidence ones in both memory and perceptual tasks (see also Sharp et al. 2004, Chua et al. 2006,
Yokoyama et al. 2010; for another neuropsychological example, see Reverberi et al. 2005; note
that only Sharp et al. and Reverberi et al. find a specifically lateral localization within the right
PFC). Overall, there is some support for the idea that lateral regions within the right PFC are the
most critical for active monitoring processes.
Working Memory
The reader may be surprised that an obvious requirement for active thought that has not yet been
mentioned is working memory. Working memory has been associated with the lateral PFC since
the neurophysiological work of Fuster & Alexander (1971) and Goldman-Rakic (1988). However,
these classic neurophysiological experiments typically involved a monkey holding one position in
space for up to a minute. Human working memory tasks involve the subject making operations
on the much greater contents of a short-term store.
When short-term memory tasks are given to patients with frontal lesions, they can exhibit
no deficits if operations do not need to be carried out on the contents of the relevant short-term
memory store. Thus, D’Esposito & Postle (1999) reviewed all the studies they could find that com-
pared groups of patients with lateral frontal lesions with normal controls on tasks that only loaded
on short-term store capacity and did not involve operations. There were eight such studies for

digit span and four for spatial span; none showed a significant difference between the two groups.
Thus, although working memory tasks can produce deficits in frontal patients, the impairment
does not appear to be one of storage, but rather one of monitoring or manipulation, as argued by
Petrides (1994). We discuss monitoring in the previous section. In the next section, we discuss
how manipulation can take different forms, each associated with different prefrontal regions.
FORMS OF ACTIVE THOUGHT
Abstraction
A key human ability for much higher-level thinking is the ability to abstract. Goldstein (1936),
having worked with soldiers with war wounds, particularly wounds affecting the frontal cortex,
described them as having a loss of abstract attitude. Goldstein’s concept abstract attitude was rather
complex. However, it can be operationalized with a clinical test: the interpretation of proverbs.
Murphy et al. (2013) tested 46 patients with frontal lesions, subdivided into groups with left
lateral, right lateral, and medial lesions, using a proverb interpretation test (PIT) adapted from
Delis et al. (2001). This test assesses the ability to interpret a statement in an abstract rather than
a concrete sense. Thus, for “Rome was not built in a day,” a generalized understanding is that any
great achievement takes patience and time to complete. A concrete understanding may refer to
the time it takes to complete buildings or infrastructure or even to establish the Roman Empire.
Medial frontal patients were the only frontal subgroup significantly impaired on the PIT relative
to healthy controls. However, their most frequent responses were partially correct ones (e.g.,
“Things take time, but you will get there in the end”), so an energization deficit seems plausible.
However, of the errors made by the left lateral group, 45% were concrete, indicating an inability
to produce an abstraction. By contrast, only 12% of right lateral errors and 8% of those made by
healthy controls were concrete. McDonald et al. (2008) made the related finding that epileptic
patients with a left frontal focus produced poorer abstraction responses on this test than those
with a right frontal focus. The left lateral region seems to be critical for abstraction, at least in the
verbal domain.
Neuropsychological studies have not yet produced a tighter localization of any abstraction
process in the comprehension of so-called figurative language. Imaging studies are not entirely
consistent, but the most common site is the left inferior frontal gyrus (e.g., Rapp et al. 2004; see also
Papagno et al. 2009 for convergent TMS evidence). Shallice & Cooper (2013) have argued that the
representation of abstract concepts requires a neural architecture that supports the construction
of hierarchical structures and that this is carried out in the left inferior frontal gyrus.
Of course, abstraction also occurs in nonverbal domains. For instance, it is an important com-
ponent process in carrying out nonverbal IQ tests, such as the Progressive Matrices or the Cattell
Culture Fair. However, tackling these tests requires many other processes, as well, so they cannot
easily be used to localize nonverbal abstraction. One study that begins to address this issue is that
of Reverberi et al. (2005). They tested 40 frontal patients on the Brixton task (Burgess & Shallice
1996a), where subjects must abstract the rules of how a blue circle moves across successive cards,
each containing a 2 × 5 array of circles. Left lateral patients were impaired even with good working
memory, but this was not the case for the other frontal groups. Recently, Urbanski et al. (2016)
used analogy tasks, which are somewhat simpler than g tests but require abstraction. Patients were
requested to find an analogy between a source set and one of two candidate sets of colored letters
of varying size. Using VLSM, the critical region for impairment was found to be the anterior
lateral PFC, again on the left. However, only 27 patients were included in this study, so coverage
of the frontal lobes was rather patchy.

Deduction
Induction is the process by which one produces a novel conclusion from the information currently
available, prototypically in the articulation of a new scientific theory. Producing a novel abstrac-
tion, the process discussed in the previous section, is a key aspect of induction. The complement to
induction within reasoning is deduction, where conclusions follow logically and certainly from the
assumptions, or premises. Deduction is, however, somewhat difficult to isolate neuropsycholog-
ically, as tests typically involve multiple premises. So, in addition to language comprehension, it
relies heavily on working memory. Although the effect of this factor can be mitigated by allowing
premises to remain visible, it is difficult to eliminate completely.
With functional imaging, the complex stages of processing involved in deduction can be tracked
over time. Thus, Reverberi et al. (2010) used a clever complex design to attempt to isolate the mo-
ment in time when subjects, following interpretation of premises, were making logical inferences.
Activation increased particularly in left areas 44 and 45. This result is broadly consistent with
earlier functional imaging studies of deduction (e.g., Goel et al. 2000). However, the complexity
of this study would make converging neuropsychological data valuable. Yet lesions to the puta-
tively critical areas typically produce aphasic problems, which interfere with the interpretation of
individual premises. Probably one of the most extensive studies of classical deduction in frontal
patients was conducted by Reverberi and colleagues (2009), who tested 36 frontal patients on
their ability to process one-, two-, or three-premise syllogisms. However, aphasic patients were
excluded, and this resulted in no patients having lesions overlapping the critical left areas 44 and
45. Notably, however, the performance of right lateral patients was indistinguishable from healthy
controls, unlike that of left lateral and medial patients. Deduction, like abstraction, is a left frontal
process, at least when the stimuli used are verbal.
Reasoning in Well-Structured and Less Well-Structured Problem Spaces

A well-structured problem space is one where, as in games like chess or puzzles like the Tower of
Hanoi, the start position and goal are clearly specified. The consequences of selecting one from
the finite set of alternatives available at any stage of problem solution are also well specified in
advance. By contrast, a less well-structured problem space, more typical of real life, is a problem
situation where at least one of these conditions does not hold, as in planning the cooking of a meal
for guests.
Tower tasks involve moving balls on pegs to achieve a goal position in the minimum number of
moves. They constitute a nonverbal well-structured domain and have been extensively investigated
neuropsychologically. The two studies involving the most patients are a Tower of London study
by Shallice (1982), with 61 patients, and a Tower of Hanoi study by Morris et al. (1997), with 59
patients. Both tasks included conflict situation trials in which, early in the solution, the subject must
move a ball in the opposite direction of its eventual goal peg. The two studies used the classical
group approach, and both found a selective impairment in left frontal patients. Of particular
interest, in the Morris et al. (1997) study, the impairment was found only for conflict situation
trials occurring relatively early in the testing period.
Tasks such as these require what Petrides (1994) called manipulation of working memory
contents, which he localized in the dorsolateral PFC. In particular, these tasks involve, among
other processes, updating the contents of working memory (Miyake & Friedman 2012). The
two Tower studies discussed in the previous paragraph do not speak to the specific localization
within the left frontal lobe. More recently, functional imaging studies of these tasks have generally
supported Petrides’ view (Kaller et al. 2011, Crescentini et al. 2012). Thus, processes that are
different from those underlying verbal deduction are presumably involved.

If we return to the issue of less well-structured problem spaces, Goel et al. (2007) used tasks
that either were explicitly spatial or could be mapped onto a spatial dimension through the use
of ordinal scale comparisons, such as, “Mary is smarter than John. John is smarter than Michael.
Mary is smarter than Michael. Does it follow?” For half of the problems, the conclusion did
not follow. Of these, half again were indeterminate, e.g., “Sarah is prettier than Heather. Sarah
is prettier than Diane. Diane is prettier than Heather.” The problems were given to 18 frontal
patients. Goel and colleagues (2007) found that, for the determinate problems, both valid and
invalid (e.g., Michael is smarter than Mary), the left frontal group performed worse than either
healthy controls or the right frontal group. However, for the indeterminate problems that were
not well structured, it was the right frontal group that performed much worse than either of the
other two groups, which did not differ.
Goel et al. (2007) used the mental models approach of Johnson-Laird (1983) and held that the
indeterminate problems require the construction of at least two models for the alternative possibil-
ities, as well as holding the information that one or the other can be correct. They further argued
that the left frontal lobe is adept at constructing determinate and unambiguous representations,
whereas the right frontal lobe is needed to maintain “fluid, indeterminate, vague and ambiguous
representations” (Goel et al. 2007, p. 2249). The study of Goel et al. is rather small for strong the-
oretical conclusions, but, as we discuss in the next section, its results resonate with other findings.
From Lateral Transformations to Strategy Shifts

In a single case study of an architect who had had a right frontal meningioma removed, Goel &
Grafman (2000) made a different, if related, contrast between the functions of the left and right
PFC. Despite having an IQ of 125 and a maintained ability to carry out the basic skills of his
profession, the patient was unable to operate effectively as an architect. Goel & Grafman (2000)
argued that he had retained the ability to make what they called vertical transformations, namely,
more detailed versions of the same idea. What he had lost was held to be the ability to make lateral
transformations, where one moves from one idea to a different type of idea, which the authors
held to be a function of the right frontal lobe.
Support for a similar idea comes from a rather surprising source. In an attempt to develop a
task requiring cognitive inhibition, Burgess & Shallice (1996b) invented the Hayling Sentence
Completion Test. In section B of this test, subjects are presented with a sentence frame, such as
“The ship sank very close to the . . .” The task of the subject is to give a word unrelated to the
completion of the sentence or to any word in the sentence. “Banana” would be an example of
such a word. In an initial study of 91 patients, the Hayling B test proved to be highly sensitive to
frontal lesions. Patients with anterior lesions produced more than double the error score of either
posterior-lesioned patients or healthy controls. No significant lateralization effects were found.
This result looks like a difficulty with inhibition. However, it was noted that, after a few trials,
healthy controls tended to develop a strategy of looking around the room to select an object or of
making an association with their previous response. Their aim was to produce a word before the
sentence frame was presented. They then no longer had to inhibit the completion; they merely
had to check that their already generated word did not, by chance, relate to the sentence frame.
Anterior-lesioned patients gave far fewer responses that fitted either of these two strategies than
did posterior-lesioned patients or healthy controls. They did not generate an effective strategy to
circumvent the difficulty of the task.
Three studies have indicated surprising right frontal involvement in this entirely verbal task.
Roca et al. (2010) examined the extent to which g scores could explain frontal deficits in several
tasks with 44 frontal patients. As discussed above, they found that, for five tasks, one of which was

a much shortened version of the Hayling test, the frontal deficit could not be explained merely as
a consequence of impairment in fluid IQ. Six patients performed particularly badly on this set of
tasks. Five of them had right frontal lesions.
In another study using the full Hayling test, Volle et al. (2012) tested 45 patients with focal
cortical lesions. They then used two critical lesion localization procedures. For both clinical
measures of Hayling B, that of reaction time and that of errors, the critical lesion sites were in the
right frontal lobe. For the more sensitive lesion localization procedure, the reaction time slowing
localized to right lateral areas 45 and 47 and increased errors to right orbitofrontal area 11.
Robinson et al. (2015) gave the Hayling test to 90 focal frontal lesion patients and used the
Stuss-Alexander grouping method. On the reaction time measure, it was the right lateral group
that were grossly slow—performing more than four times worse than the healthy control group—
while the left lateral group did not differ from controls. On the error measure, the right lateral
group was, again, the only patient group that performed significantly worse than controls, with
an error score more than three times as high as that of the control. Moreover, they made very
few responses indicating use of an effective strategy. More specifically, the difference between the
effects of left and right lesions lay, again, in the inferior lateral frontal cortex.
In a different, smaller set of right frontal patients, those with lateral lesions were compared on
the Hayling test to those with orbitofrontal lesions. Right lateral patients were found to make many
suppression errors, to produce very few strategy-connected words, and to require longer thinking
times, all measures known to correlate with fewer strategy responses. In contrast, the orbitofrontal
group performed normally. This supports the notion that it is the inferior right lateral cortex rather
than the orbitofrontal cortex that is involved in strategy production (Cipolotti et al. 2015c).
A general inhibition problem is an implausible explanation of the right lateral impairment.
Cipolotti et al. (2016) tested 30 frontal patients on both the Hayling task and the Stroop. The
right frontal group performed much worse than the left frontal one on the Hayling task, but for
the Stroop, there was an insignificant effect in the other direction.
By contrast, the notion that the right inferior lateral regions are critical for novel strategy
production in problem solving has been supported by two studies, one employing functional
imaging and the other cortical thickness differences across normal subjects. Both studies used
problem solving tasks that involved an insightful lateral move to produce a novel strategy. One
used Guilford’s matchstick task (Goel & Vartanian 2005), and the other the so-called Nim or
Subtraction game (Seyed-Allaei et al. 2017). Both found the critical area to be right area 47.
Whether its role lies in the creation of a novel structure or plan or the realization of the inadequacy
of an earlier strategy remains to be established.
Planning for Future Action

Reasoning needs to be implemented in action, often after a gap in time. Intentions need to be
set up and then realized later. Typically, other tasks have to be carried out in the interval. Thus,
planning for future action typically leads to a multitasking situation. Shallice & Burgess (1991)
described three frontal patients who performed well on a wide range of clinical tests of frontal
lobe function but were specifically impaired when given two tests of multitasking. Each of these
tests—Six Elements and Multiple Errands—required patients to organize themselves to interleave
a number of different tasks without cues as to when to switch, while obeying a set of simple rules
written on a card in front of them. This study showed that multitasking was a separable frontal
function. The one patient, AP, in whom the lesion could be well localized had a bilateral lesion
of the frontopolar cortex (areas 10 and 11) (Shallice & Cooper 2011). Burgess et al. (2000) used
another multitasking test, the Greenwich, which required three different tasks to be interleaved

over 10 minutes. When memory was not impaired, poor overall performance was associated with
lesions to the more polar and medial aspects of areas 8, 9, and 10. Area 10 appears to be critical.
Roca et al. (2011) compared seven frontal patients with area-10 damage to eight patients without
this damage. The patients with area-10 damage were more impaired in multitasking but less so
on response inhibition and abstract reasoning.
That the temporal aspect of setting up and realizing intentions may indeed be the core deficit
of the multitasking impairment is shown by a study by Volle et al. (2011). With the assistance
of a stopwatch, 45 patients with focal lesions had to press a spacebar every 30 s while carrying
out another task. The eight patients with area-10 lesions pressed the spacebar once every 48 s, in
comparison with the rate of once every 32 s for the other patients. On control tasks not involving
time, the area-10 patients were unimpaired.
Functional imaging studies, too, have given strong parallel evidence for the involvement of
bilateral area 10 in multitasking and, in particular, in the generation and realization of intentions
(Koechlin et al. 1999; Burgess et al. 2001, 2011).
THEORETICAL CONCLUSIONS
In this review, we have focused on neuropsychological group studies of what we termed active
thought and on the localization of the principal processing components of a variety of tasks
involving it. We have assumed that different localizations imply different computational functions.
The most basic conclusion one can draw from the neuropsychological literature is that the PFC
has a complex computational structure with a large set of subsystems combining to realize active
thought. This is because impairments at the supervisory level differ qualitatively on at least some
combinations of lateral versus medial, left versus right, anterior versus posterior prefrontal, and
dorsal versus ventral.
In addition, most frontal tasks involve many components. Thus, the complexity of the neu-
rocognitive architecture could well be greater than neuropsychological group studies alone cur-
rently indicate. This is because these pick out one or a very few critical regions. For instance, we
have shown that right lateral frontal systems for novel strategy selection are important in carrying
out the Hayling task. Yet Robinson et al. (2016) have recently described two patients with dif-
ferent types of difficulty completing the task, with one type of difficulty being clearly related to
inhibition. Both had left frontal lesions! The task undoubtedly involves multiple systems relevant
for active thought.
In this case, why are neuropsychological studies valuable? They clearly show that the affected
systems are crucial. In addition, though, they complement functional imaging findings informa-
tively with respect both to lateralization of function and to the role of networks or their constituent
subsystems. Regarding lateralization of functions, one frequently obtains the impression from the
imaging literature that the two frontal cortices have basically equivalent functions; activation is
often bilateral. The neuropsychological literature provides a different perspective. The two lateral
PFCs appear to have markedly different functions with respect to active thought.
There are a number of different ways in which these contrasting functions have been charac-
terized. Thus, Stuss & Alexander (2007) and Shallice & Gillingham (2012) contrast task setting
and setting up a program (left lateral frontal region) with active monitoring (right lateral frontal
region). The latter is well supported by the currently reviewed studies, the former by the Morris
et al. (1997) study of the Tower of Hanoi task. Goel and colleagues (2000, 2007), instead, made
the contrast between vertical operations in a well-structured problem space (left) and lateral ones
in an ill-structured space (right). This fits the results on deduction and Tower tasks (left) and
Hayling tasks well.

Computationally, one can combine these two sets of contrasts. The left lateral region becomes
the site where Duncan’s serially operating program is realized; this fits, too, with the task switching
studies. The program then runs on systems in premotor and posterior cortices. By contrast, the
right lateral region would be where processes operate in parallel either separately, to detect any
of a range of potential errors (active monitoring), or in combination, to produce a novel strategy.
This would fit with the left lateral region having a much higher degree of internal inhibition than
the right because, at each stage, the left lateral region selects, top down, one from a range of
possible thought and action schemas.
Within the left lateral frontal lobe, the contrasting localizations of deduction (ventrolateral)
and Tower task operations (dorsolateral) fit roughly with a Petrides-like anatomical perspective.
Cognitively, the contrast supports the view that rule-based mental logic and mental model–based
reasoning both exist but rely on anatomically different systems (Goel 2007). As far as mental
model–based reasoning is concerned, Knauff (2013) has argued that the model itself is parietally
located, and the existence of a qualitatively organized representation of objects in space in the
right parietal lobe (Buiatti et al. 2011) supports this.

Regarding the contrast between the findings of neuropsychology and those of functional imag-
ing on the role of networks or their constituent subsystems, imaging provides evidence on the
network of systems involved in task execution. Focal lesion patients provide evidence more often, if
the lesion is small, on single systems. From this perspective, Duncan & Owen’s (2000) frontopari-
etal multiple demand network may be seen as composed of a variety of special-purpose subsystems
that combine to realize, for instance, mental model–based reasoning in tests of fluid IQ.
The clearest example of this functional distinction between parts of the network is the contrast
between lesions to lateral and superior medial frontal regions. Both contain parts of the multiple
demand network. However, lesions affect the two regions differently across a range of neuropsy-
chological tests, including reaction time, fluency, and reasoning tasks. In the current approach,
the superior medial PFC energizes supervisory operations, but the lateral PFC implements them;
the two regions have different functions.
The impaired performance on different tasks demonstrated by patients with lesions in the same
region can also give rise to theoretical questions. Consider the left inferior frontal region. We
argue that it is involved in constructing the preverbal message but also in the representation of
abstraction. Both of these require hierarchically organized structures relating to language. But do
they involve the same system? We will not know until it is investigated whether dissociations can
exist between tasks involving the two regions.
Neuropsychological findings on active thought do not just show that certain brain systems
are critical for task execution. They also complement findings from functional imaging in two
different ways. First, rather than giving information on whole networks, they highlight the role of
the systems of which these networks are composed. Second, rather than downplaying differential
lateralization of function, they emphasize it. Whether they can also help answer the key question
of how these supervisory subsystems interact remains to be seen.
SUMMARY POINTS
1. For active thought processes, neuropsychology provides valuable evidence on underlying
functional subsystems and their lateralization.
2. For the medial PFC, the subsystems to which such evidence relates are critical for ener-
gizing supervisory processes.

3. For the left lateral PFC, these subsystems are critical for top-down schema activation,
updating, deduction, and, more anteriorly, abstraction.
4. For the left ventrolateral PFC, these subsystems help to construct preverbal messages.
5. For the right lateral PFC, these subsystems underpin active monitoring and, more infe-
riorly, are critically involved in the production of novel strategies.
6. For the frontopolar PFC, these subsystems play a key role in the setting up and mainte-
nance of intentions.
FUTURE ISSUES
1. For models of frontoparietal control networks, of which the multiple demand network is
one, are the frontal components functionally different or functionally equivalent to the
parietal components?
2. Does the left lateral PFC have stronger inhibition internal to the region than the right
lateral PFC, as suggested above?
3. For some claimed processes (e.g., active monitoring) and even some tasks (e.g., Hayling
B), there is a broad agreement across studies about which frontal lobe plays the more
critical role, but there is disagreement over the specific parts of the lobe responsible. Is
this due to variations across samples of patients tested or due to subtle differences in the
cognitive processes employed to perform the particular version of the task used?
4. Abstraction and formation of a preverbal message both involve more anterior parts of the
inferior left lateral frontal lobe. Do they have any processes in common? For instance,
extrapolating from Hagoort’s (2013) ideas on localization of so-called unification pro-
cesses, could the region be required for the construction of multilevel structures (Shallice
& Cooper 2013)?
5. Are impairments following lesions to the inferior lateral right frontal region in tasks like
the stop task due to impairments to systems controlling response inhibition or to those
controlling bottom-up attention?
6. What is the involvement of the right frontal region in novel strategy attainment tasks,
such as Hayling B? Does this region contain systems that create a novel structure or
plan, or systems that determine that the preceding strategy was inadequate and thus
needs changing? Are there yet further possibilities?
DISCLOSURE STATEMENT
The authors are not aware of any affiliations, memberships, funding, or financial holdings that
might be perceived as affecting the objectivity of this review.
ACKNOWLEDGMENTS
We would like to thank Edgar Chan for his comments on an earlier version of the paper and Sara
Gharooni for her assistance in preparing the paper. L.C. is supported by the Biomedical Research
Centre of the National Institute for Health Research and University College London Hospitals.

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Multistable Perception and the Role of Frontoparietal Cortex
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Neuro-, Cardio-, and Immunoplasticity: Effects of Early Adversity
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Cognitive Foundations of Learning from Testimony
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Gender Stereotypes
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vi
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Persuasion, Influence, and Value: Perspectives from Communication

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Social Mobilization
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Developmental Origins of Chronic Physical Aggression:
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Improving Student Outcomes in Higher Education: The Science
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Why Social Relationships Are Important for Physical Health: A Systems

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Principles and Challenges of Applying Epigenetic Epidemiology
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Meaghan J. Jones, Sarah R. Moore, and Michael S. Kobor p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p 459
Psychology, Science, and Knowledge Construction: Broadening
Perspectives from the Replication Crisis
Patrick E. Shrout and Joseph L. Rodgers p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p 487
Psychology’s Renaissance
Leif D. Nelson, Joseph Simmons, and Uri Simonsohn p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p 511
Indexes
Cumulative Index of Contributing Authors, Volumes 59–69 p p p p p p p p p p p p p p p p p p p p p p p p p p p 535

Cumulative Index of Article Titles, Volumes 59–69 p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p 540
Errata
An online log of corrections to Annual Review of Psychology articles may be found at

http://www.annualreviews.org/errata/psych
Contents vii

The Prefrontal Cortex and Neurological Impairments of Active Thought

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PS69CH07-Shallice ARI 8 November 2017 10:22

Annual Review of Psychology

The Prefrontal Cortex and

Tim Shallice1,2 and Lisa Cipolotti3,4

Annu. Rev. Psychol. 2018. 69:157–80 Keywords

Active Monitoring and Checking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 167

Working Memory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168

158 Shallice · Cipolotti

www.annualreviews.org • Impairments of Active Thought 159

The Neuropsychological Approach to Frontal Functions

160 Shallice · Cipolotti

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162 Shallice · Cipolotti

BROAD-BRUSH ASPECTS OF ACTIVE THOUGHT

Dual System Brain-Based Models of Cognitive Control

Active Thought and Intelligence

www.annualreviews.org • Impairments of Active Thought 163

Active Thought and Language

164 Shallice · Cipolotti

www.annualreviews.org • Impairments of Active Thought 165

ESSENTIAL PREREQUISITES FOR ACTIVE THOUGHT

Volition and Concentration

166 Shallice · Cipolotti

Set Switching and Response Inhibition

Active Monitoring and Checking

www.annualreviews.org • Impairments of Active Thought 167

168 Shallice · Cipolotti

FORMS OF ACTIVE THOUGHT

www.annualreviews.org • Impairments of Active Thought 169

Reasoning in Well-Structured and Less Well-Structured Problem Spaces

170 Shallice · Cipolotti

From Lateral Transformations to Strategy Shifts

www.annualreviews.org • Impairments of Active Thought 171

Planning for Future Action

172 Shallice · Cipolotti

www.annualreviews.org • Impairments of Active Thought 173

right parietal lobe (Buiatti et al. 2011) supports this.

174 Shallice · Cipolotti

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lesions. Neuropsychologia 34(4):263–72

176 Shallice · Cipolotti

Goel V, Tierney M, Sheesley L, Bartolo A, Vartanian O, Grafman J. 2007. Hemispheric specialization in

www.annualreviews.org • Impairments of Active Thought 177

four general conclusions. Curr. Dir. Psychol. Sci. 21(1):8–14

178 Shallice · Cipolotti

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180 Shallice · Cipolotti

Volume 69, 2018

How We Hear: The Perception and Neural Coding of Sound

Persuasion, Influence, and Value: Perspectives from Communication

Judith M. Harackiewicz and Stacy J. Priniski p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p p 409

Why Social Relationships Are Important for Physical Health: A Systems

Cumulative Index of Contributing Authors, Volumes 59–69 p p p p p p p p p p p p p p p p p p p p p p p p p p p 535

An online log of corrections to Annual Review of Psychology articles may be found at

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