Do We Understand The Prefrontal Cortex?: Richard E. Passingham Hakwan Lau
Do We Understand The Prefrontal Cortex?: Richard E. Passingham Hakwan Lau
https://doi.org/10.1007/s00429-022-02587-7
REVIEW
Received: 2 October 2022 / Accepted: 17 October 2022 / Published online: 8 November 2022
© The Author(s), under exclusive licence to Springer-Verlag GmbH Germany, part of Springer Nature 2022
Abstract
Many suggestions have been made as to the functions of the prefrontal (PF) cortex. However, they involve labelling areas using
psychological terminology. But what we need to know is how the PF cortex operates. We argue that understanding this must start
with describing the flow of information. We illustrate this argument by considering three PF areas. Each has a unique pattern of
inputs and outputs, and we suggest that the implication is that each performs a unique transformation from the inputs to the outputs.
The caudal PF cortex transforms input that is maintained by attention or short-term memory into the target of the appropriate eye
movement. The mid-dorsal PF cortex transforms input concerning the order of objects or actions into the target of the appropriate
eye and hand movements, thus supporting sequences of action. The ventral PF cortex transforms input concerning an object or
sound into prospective activity that encodes the associated object or sound. However, it is important to appreciate that the mid-
dorsal and ventral PF cortex are specialized for encoding abstract transformations, irrespective of the specific actions or objects.
The advantage is that this enables generalization to novel problems that have the same underlying logic. We account for the dif-
ference between fast learning and slow learning in this way. The human brain has co-opted these mechanisms so as to support
intelligence. Non-verbal tests of IQ typically use sequences of letters, numbers or designs. These test the ability to understand the
abstract rules that apply. Here the activations lie in the mid-dorsal PF cortex. Verbal tests typically assess the ability to understand
semantic associations. These can be presented either in pictorial or verbal form. Here the activations lie in the ventral PF cortex.
Abbreviations Introduction
FEF Frontal eye field
LIP Lateral intraparietal cortex There has been a prolonged debate about the function of the
PF Prefrontal prefrontal (PF) cortex.
PFG Intermedial area in inferior parietal cortex Sixty years ago, Teuber (1964) thought it to be a ‘riddle’.
PG Posterior part of the inferior parietal cortex Then Goldman-Rakic (1995), Goldman-Rakic 1996) pro-
PreSMA Presupplementary motor cortex posed that it provided a mechanism for working memory,
SII Secondary somatosensory area and there are those who still support this view (Constanti-
STS Superior temporal sulcus nidis and Qi 2018; Miller et al. 2018). Others have suggested
TE Anterior inferotemporal cortex a role in response selection (Passingham 1993), conditional
TEO Posterior inferotemporal cortex learning on the basis of single events (Passingham and Wise
VIP Ventral intraparietal cortex 2012) or planning (Shallice 1982). And more generally it is
V4 Fourth area in the hierarchy of the ventral often said that the PF cortex has executive functions and acts
visual system in cognitive control (Menon and D'Esposito 2022).
Duncan (2010) has taken a different tack, arguing that
any proposals are misguided if they were based on a narrow
* Hakwan Lau
hakwan.lau@riken.jp choice of behavioural tasks. He suggests that in fact the PF
cortex is engaged by (Fedorenko et al. 2013) and can learn
Richard E. Passingham
dick.passingham@psy.ox.ac.uk (Duncan 2001) a very wide variety of tasks. He therefore
suggests that it should be regarded as a ‘multiple demand
1
Department of Experimental Psychology, University system’.
of Oxford, Oxford, UK
2
RIKEN Center for Brain Science, Wako, Japan
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A recent book has reviewed the literature at length (Pass- the goal of the action by which we mean the target of
ingham 2021) with the bold title ‘Understanding the Prefron- either an eye movement or a hand movement (Passingham
tal Cortex’. The present paper outlines one of the themes of and Wise 2012). For example, when a macaque monkey
the book, suggesting general principles on how the problem moves a cursor on a visual maze, the cell activity in the
should be approached. This is based on considering the ana- mid-dorsal PF cortex relates to the goal, not to the direc-
tomical properties of the brain. The conclusions explain how tion in which the joystick has to be turned for the cursor
the different account of the functions of the PF cortex out- to reach that goal (Mushiake et al., 2006).
lined above can be accounted for if this anatomical approach The final implication is that the fact that the PF cortex
is adopted. lies at the top of the sensory and action hierarchy means
that it can both select the sensory cues that are relevant for
the current task as well as selecting the goal of the action
Transformation for the motor system. As Shipp (2005) pointed out the
cortical feedback pathways are similar to the output path-
In cognitive neuroscience, functions are often described in ways—and unlike the feedforward pathways—in that they
psychological terms, rather as in phrenology. There are two do not project to layer 4 (Shipp 2005). The selection occurs
limitations. The first is that these terms were introduced to via the mechanism of attentional enhancement. Thus, the
explain performance on laboratory tasks, and these have PF cortex influences and enhances the activity in task-rele-
often taken no account of the ecological conditions in which vant sensory association areas via feedback pathways (Gee
the primates evolved. The second is that the aim of neurosci- et al. 2008; Heinen et al. 2014; Siegel et al. 2015). And
ence is not to simply label the brain, but to understand how similarly, it influences and enhances activity in the premo-
it works. tor association areas including the presupplementary motor
This involves describing the transformation that is per- cortex (preSMA) and anterior cingulate cortex via output
formed from the inputs of an area to its outputs. Each area pathways (Rowe et al. 2002a, b; Westendorff et al. 2016).
has a unique overall pattern of inputs and outputs (Passing-
ham et al. 2002). However, the transformation depends not
only on the extrinsic connectivity of the area but also on its
intrinsic connectivity, that is the internal wiring (Passingham Three subdivisions of the PF cortex
et al. 2002). Rather than describing the flow of information
in terms of black box models (Broadbent 1958), the aim is Since each area of the brain has a different overall pattern
to produce an account that describes the anatomical inputs of inputs and outputs (Passingham et al. 2002), the trans-
and thus the information that an area receives, specifying formation will differ from one area to another within the
how that is converted into the outputs and thus the influence PF cortex. To illustrate the transformations, the discussion
that the area exerts within the system. In the conclusions we that follows considers three broad regions of the PF cortex,
point to the need to produce models of how this conversion the caudal, mid-dorsal, and ventral PF cortex. These were
occurs, given the internal wiring of the area. chosen because the debate as described above has been pri-
There is an important advantage in viewing the problem in marily about the function of these areas.
terms of the transformation from inputs to outputs or compu- Figure 1 shows these areas for the brain of a macaque
tation. This is that it avoids positing a homunculus that acts as monkey.
a controller. Baddeley’s working memory model has several In the macaque monkey and human brain these subdivi-
components, a short-term buffer and a central executive for sions include the following areas as defined by cytoarchitec-
example. But as he admitted he could be criticised for treat- ture (Petrides and Pandya 1999) in the macaque and human
ing the central executive as a homunculus (Baddeley 1996). brains:
Yet the PF cortex is no homunculus. It lies at the top of
the sensory hierarchy and at the top of the action hierarchy (1) The caudal PF cortex (navy blue) includes areas 8B,
(Passingham and Wise 2012). There are three implications. 8Ad, 8Av and 45B.
The first is that the PF cortex is in a position to transform (2) The mid-dorsal PF cortex (pink) includes areas 9/46
sensory inputs, whether current or memory, into action. For and 46.
example, the inferotemporal cortex sends connections to the (3) The ventral PF cortex (light blue) includes areas 45B
ventral PF cortex (Webster et al. 1994), not the premotor and 47/12.
cortex, and this means that it is the PF cortex that transforms
visual information about the context into action. These areas have also been delineated using connectiv-
The second implication is that the PF cortex does not ity in the macaque and human brains (Neubert et al. 2014;
actually specify the movement itself. Instead, it specifies Sallet et al. 2013).
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These connections mean that it can transform an action as between a cell coding for a subgoal and another coding for
performed or viewed into the goal of the next hand move- the goal during the transformation from one goal to the next
ment (Borra et al. 2019; Gerbella et al. 2013). one in time (Sakamoto et al. 2008).
The original evidence that order was critical came from
a study of macaque monkeys with lesions in the dorsal PF
cortex; they made errors on reporting the order of items with Ventral PF cortex
which they have been presented (Petrides 1991). More recent
neurophysiological and fMRI studies have provided clues The ventral PF cortex differs yet again in that it associates
as to the mechanism. There are cells that are active while one member of a pair with the other (Passingham 2021).
monkeys view a sequence (Rodriguez et al 2022), or com- Area 47/12 has visual and tactile inputs concerning objects
mit a sequence of items to short-term memory (Lundqvist (Petrides and Pandya 2002; Saleem et al. 2008) whereas
et al. 2018; Miller et al. 2018). There is also cell activity area 45A also has auditory ones from the superior temporal
when they report the order of items in a sequence (Warden cortex and Broca’s 45B (Petrides and Pandya, 2002). The
and Miller 2010), and while they plan a sequence of goals ventral PF cortex can influence choice via indirect projec-
(Averbeck et al. 2006; Mushiake et al. 2006). tions to the premotor cortex via the preSMA (Takahara et al.
Similarly, there is activation while human subjects com- 2012). These connections mean that the ventral PF cortex
mit a sequence of items to short-term memory (Amiez can transform information about objects or sounds into the
and Petrides 2007), maintain the order before repeating it choice of objects or sounds.
(Pochon et al. 2001), and generate a sequence of actions on To put it another way, it can learn to associate items. And
a planning task (Rowe et al. 2001; Spreng et al. 2010; Unter- unlike the dorsal PF cortex it does so irrespective of the
rainer et al. 2005) or generate a random sequence of goals by order in which they are presented. Even though a delay is
monitoring what they have just done (Phillips et al. 2018). sometimes presented between each member of the associated
Furthermore, lesions that include the mid-dorsal PF cor- pair, this is not necessary: they can be presented simultane-
tex severely impair the ability of patients to repeat the order ously (Bussey et al. 2001; Rushworth et al. 1997; Wang et al.
in which items were presented (Ferreira et al. 1998). This is 2000). In other words, the animal can choose the correct
not due to a failure to maintain the items in memory since item while the sample item is still present with no require-
the patients can recognize the order if testing on a matching ment for learning a sequence.
design (Ferreira et al. 1998; Pochon et al. 2001). In other Figure 3 illustrates the activity of cell populations while
words, the problem is one of transforming the order of the macaque monkeys associate two pictures (Rainer et al.
items into a sequence of goals. 1999). After the presentation of picture A, there is prospec-
Sequences require the transformation from one item or tive activity that encodes picture B, and this increases up to
goal to the next one in time. Tsujimoto et al. (2008) found the time that picture B is presented. In other words, there
pairs of cells in the mid-dorsal PF cortex of macaque mon- is a transformation between the input for picture A and the
keys in which one coded for the previous goal and the other output of specifying picture B as the goal.
for the current goal. At the time that the animal chose the Inactivation and lesion studies show that the ventral PF
current goal there was transient synchrony between the cortex is critical for learning associations. Area 45A is spe-
activity of the cells representing the previous and current cialized for the association between faces and vocalizations
goal. On a planning task there is also maximal synchrony (Hwang and Romanski 2015). The ventral PF cortex can
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also associate items that are identical as in visual matching independently of the specific actions (Shima et al. 2007).
or are totally different, for example a visual cue with a spa- Figure 4 shows the population activity for cells firing in
tial target (Bussey et al. 2001; Wang et al. 2000). Freedman advance of sequences of four actions. The upper traces
et al. (2002) also found cells in the ventral PF cortex that show the activity for actions in which the animal had to
associated stimuli that were morphed so as to be similar but alternate what it did. The same cell populations did not
not identical, such as different cats or different dogs. These fire for sequences with a different structure, for example
cell populations act to classify objects (Cromer et al. 2010). repetition of actions.
However, the ventral PF contributes mainly to the learn- There are also cells in the ventral as well as the mid-
ing of new associate pairs because it has access to infor- dorsal cortex that code for abstract matching rules. These
mation about rewards via its connections with the orbital encoding whether the rule is matching or non-matching,
PF cortex (Petrides and Pandya 2002). There are cells that irrespective of the actual objects presented (Wallis et al.
encode these associations (Andreau and Funahashi 2011). 2001).
It appears to be less critical for the retrieval of overlearned The advantage of learning abstract rules is that it means
associates (Boettiger and D'Esposito 2005; Wang et al. that anthropoid primates can show transfer or generalize
2000). It is true that Bussey et al. (2001) reported an impair- from solving one problem to solving others if the underly-
ment in learning new visual-spatial associates, in spite of ing logic is the same (Harlow and Warren 1952) or related
training before surgery. One reason could be that the lesions (Warren 1974). In other words, they can develop a learn-
in this study included not only the ventral but also the orbital ing set. Rather than starting from scratch on each problem
PF cortex. (slow learning) they can show rapid improvement across
problems (fast learning).
The distinction between slow and fast learning was
Abstract rules and fast learning illustrated by a study in which macaque monkeys learned
visuo-spatial associations (Bussey et al. 2001). The ani-
Though the PF cortex transforms from sensory input to mals with ventral and orbital PF lesions could learn visuo-
action output, this cannot be the full story because rodents spatial associations over very many sessions, presumably
and other mammals can do this. Yet they lack a granular PF because there was still a visual input to the basal ganglia
cortex including the lateral PF areas described above (Preuss (Hoshi 2013). However, they showed no improvement
2007; Wise 2017). This raises the question as to what the at all on new visuo-spatial problems within a session.
granular PF cortex adds. Improvement within a session depends on learning the
The answer is that it supports the ability to learn abstract abstract rules ‘repeat-stay’ and ‘change-shift’, and Geno-
rules or transformations. It is in a position to do this because vesio and Wise (2008) have described subpopulations of
it lies at the top of the sensory and action hierarchies, and it cells in the PF that code for these abstract strategies.
is this hierarchical organization (Markov and Kennedy 2013) Fast learning involves the development of statistical
that allows the abstraction of specific features. For example, assumptions or priors (Botvinick et al. 2019; Costa et al.
the projections from the inferotemporal cortex to the perirhi- 2015). Wang et al. (2018) take the example of a two-bandit
nal cortex support view invariance of objects (Buckley and problem and suggest that, whereas the basal ganglia can
Gaffan 1998; Wang et al. 1998). Cadieu et al. (2007) pro- support slow learning via reinforcement, the dopamine
duced a model that was able to achieve invariance for posi- system also trains up the PF cortex so that it can operate
tion or shape by combining units in a hierarchical fashion. independently as an algorithm that supports fast learning.
There are cells in the mid-dorsal PF cortex that code They describe this as ‘meta-learning’.
for abstract sequences, that is the structure of sequences
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Selective advantage tested on a task such as the Raven’s Matrices (Crone et al.
2009). The reason why the activation is in the mid-dor-
Given that the granular PF cortex is unique to primates, it sal PF cortex is that the area is specialized for learning
is important to consider the selection pressures that led to abstract rules concerning sequences (Shima et al. 2007).
its evolution. Primates differ from other mammals in two Sequences are defined by order, and that is why there
critical respects. One is that they have hands with which is activation in the same area when subjects are required
to grasp their food. That is why the mid-dorsal and ventral to re-order or manipulate sequences of letters in their head
PF areas have outputs to the oculomotor system and hand (D'Esposito et al. 1999), calculate using numbers which lie
areas of the premotor system (Borra et al. 2019). on an ordinal scale or perform the n-back task in which the
The second difference is that their food sources exist correct response depends on the order in which the items are
in patches. The caudal PF cortex exists in prosimians as presented (Assem et al. 2020). All these tasks require the
well as monkeys and apes (Wise 2017), and it supports the subjects to appreciate the order in which A is followed by
ability to move the gaze within a patch (Collin et al. 1982). B and C, and 3 by 4 and 5. In other words, the alphabet and
The mid-dorsal and ventral PF cortex are unique to number are arranged in an ordinal sequence.
anthropoid primates (Wise 2017). The mid-dorsal PF cor- An alternative way of testing intelligence is to present
tex supports the ability to prospectively encode an ordered problems that assess semantic knowledge. Wendelken et al.
search using the eye and hand (Owen et al. 1990, 1996; (2008) presented problems in verbal form. For example, the
Passingham 1985). The ventral PF cortex differs in that subjects had to complete ‘brain is to thought as stomach is
it supports the ability to learn which types of fruit and to?’ and when they did so there was activation in the ventral
leaves should be the target for search, these being defined PF cortex. Price and Friston (1999) presented an adapta-
in terms of their look and feel (Passingham 2021). tion of the pyramid and palm trees test (Howard and Patter-
However, during the evolution of the anthropoid pri- son 1992) in which the subject has to decide which of two
mates the availability of particular fruits and leaves varied semantically similar pictures or words is closest to a third
dramatically within a year and from year to year (Chap- semantically related picture or word. The sample and choice
man et al. 1999; Janmaat et al. 2006). This meant that the items were presented simultaneously. The frontal activation
anthropoids faced challenges as the result of the volatility was in the left ventral PF cortex.
of resources. It was these challenges that led to selection However, Price and Friston (1999) argued that this acti-
pressures for the ability to learn abstract rules, and thus the vation was not necessary for correct performance because a
ability to solve novel problems rapidly if they shared an patient with a ventral PF lesion could succeed on the task.
underlying logic with previous problems. To put it another But the tasks were deliberately made easy. That difficulty
way, they promoted intelligence. matters was shown by a study in which rTMS was applied
to the left ventral PF cortex. The subjects were not impaired
if the correct associate ‘salt’ was ‘pepper’; but they were
impaired if the correct associate was ‘grain’ (Whitney et al.
Human intelligence 2010).
These tests of semantic knowledge assess the ability
Human intelligence depends on the fact that our brain has to appreciate associations, and that is why the activations
co-opted this system and has reused it for novel purposes. are in the ventral PF cortex. Just as there is cell activity in
Its potential has been greatly amplified by the fact that this area when macaque monkeys are tested on associative
language provides a tool for instruction and thus formal learning (Asaad et al. 1998; Rainer et al. 1999), so there are
education. The prolonged period of education further activations there when human subjects learn verbal paired
encourages the ability to transfer knowledge from one type associates (Fletcher et al. 1995). Tasks of this sort require
of problem to another. the transformation from A to X and B to Y.
Intelligence can, of course, be assessed by non-verbal
IQ tests. Solving these tests does not necessarily require
facility with language (Woolgar et al. 2018). Indeed a Objections and limitations
patient with severe aphasia and no inner speech could suc-
ceed on the Raven’s Matrices (Levine et al. 1982). It is important to consider possible objections to the
Typically tests of fluid intelligence present sequences approach recommended here. There are three.
of letters, numbers or designs and the task is to find the First, it could be argued that if area A performs a
abstract rule that the sequences obey. There is extensive unique transformation from its inputs to outputs, then
activation in the mid-dorsal PF cortex when subjects are areas X, Y and Z should not be able to take over after
a lesion in area A. Yet, we know that patients with
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