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7/28/2019 Aboitiz, F & Al -Language Origins - Catalogo- 3-5906 (0117) IMPRESION PENDIENTE
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Brain and Language 98 (2006) 40–56
www.elsevier.com/locate/b&l
0093-934X/$ - see front matter © 2006 Elsevier Inc. All rights reserved.
doi:10.1016/j.bandl.2006.01.006
Cortical memory mechanisms and language origins
Francisco Aboitiz ¤, Ricardo R. García, Conrado Bosman, Enzo Brunetti
Depto. Psiquiatría, Facultad de Medicina, Ponti Wcia Universidad Católica de Chile, Marcoleta no. 387 2o piso, Casilla 114-D Santiago 1, Chile
Accepted 12 January 2006
Available online 14 February 2006
Abstract
We have previously proposed that cortical auditory-vocal networks of the monkey brain can be partly homologized with language
networks that participate in the phonological loop. In this paper, we suggest that other linguistic phenomena like semantic and syntactic
processing also rely on the activation of transient memory networks, which can be compared to active memory networks in the primate.
Consequently, short-term cortical memory ensembles that participate in language processing can be phylogenetically tracked to more
simple networks present in the primate brain, which became increasingly complex in hominid evolution. This perspective is discussed in
the context of two current interpretations of language origins, the “mirror-system hypothesis” and generativist grammar.
© 2006 Elsevier Inc. All rights reserved.
Keywords: Broca’s area; Mirror neurons; Syntax; Wernicke’s area; Working memory
1. Introduction
In the last decade, there has been a growing interest in
short-term memory phenomena that maintain the neuronal
activation related to perceptual or long-term mnemonic
items, in order to execute a near-future response (Fuster,
1995a; Fuster & Alexander, 1971; Levy & Goldman-Rakic,
2000). In humans, this kind of memory has been termed
working memory (Baddeley, 1992; Baddeley & Hitch,
1974), and has been proposed to participate in several cog-
nitive mechanisms, including language acquisition and pro-
cessing (Baddeley, 1992, 2000, 2003; Baddeley, Papagno, &
Vallar, 1988; Caplan, Alpert, & Waters, 1998; Caplan,
Alpert, Waters, & Olivieri, 2000; Fiebach, Schelewsky, &Friederici, 2002; Fiebach, Schlesewsky, Lohmann, von Cra-
mon, & Friederici, 2005; Gathercole & Baddeley, 1990;
Gibson, 1998; Just & Carpenter, 1992; King & Kutas, 1995;
Müller & Basho, 2004). Furthermore, cognitive and neuro-
biological evidence suggests that the distinct aspects of lan-
guage processing, including phonological, lexical, semantic,
and syntactic domains, all rely importantly on short-term
memory mechanisms (Bookheimer, 2002; Caplan &
Waters, 1999; Hickock & Poeppel, 2000; Lieberman, 2002).
Working memory has been classically subdivided into a
general, all-purpose executive system that manipulates the
mnemonic items, and “slave” systems involved in sensori-
motor rehearsal. The latter have been further subdivided
into a visuospatial sketchpad, which maintains online visu-
ospatial information, and a phonological loop, that allows
internal rehearsal of phonological utterances (Baddeley &
Hitch, 1974). SpeciWcally, in humans, the phonological loop
has been anatomically identiWed (see below) and shown to
be important for language learning. For example, patients
with phonological working memory deWcits show impair-ments in long-term phonological learning, and a link has
been observed between performance in the phonological
loop and vocabulary level in children (Baddeley et al., 1988;
Gathercole & Baddeley, 1990). Furthermore, speciWc lan-
guage impairment, a developmental condition character-
ized by deWcits in language learning, appears to have as a
central characteristic a phonological working memory dys-
function (Webster & Shevell, 2004). According to Baddeley
(2000), this evidence suggests that the loop might have
evolved to enhance language acquisition.
* Corresponding author. Fax: +56 2 665 1951.
E-mail address: [email protected] (F. Aboitiz).
URL: http://www.neuro.cl (F. Aboitiz).
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F. Aboitiz et al. / Brain and Language 98 (2006) 40–56 41
However, cortical short-term memory mechanisms are
more diverse and involve other modalities or sensorimotor
domains than the phonological loop and the visuospatial
sketchpad (Fuster, 1995a). Furthermore, certain higher-
level cognitive phenomena such as attention also imply
short-term memory mechanisms that do not exactly Wt the
concept of “slave” sensorimotor systems (de Fockert, Rees,Frith, & Lavie, 2001). Although the concept of a central
executive that distributes resources in diV erent processing
domains might adequately grasp some of these phenomena,
the anatomical localization of this system in the dorsolat-
eral prefrontal cortex has been questioned by some authors
(Goldman-Rakic, 1996, 2000). Partly for this reason, we
consider that the more general, neurophysiological concept
of active memory (Fuster, 1995a; Fuster & Alexander,
1971) may be more appropriate in this context. This term
implies “a broad network of associative memory” which is
maintained “as a perceptual memory fragment in order to
execute a motor act in the near future” (Fuster, 1995b,
p. 64). In other words, active memory is a property of neu-
ronal ensembles that consists of the capacity to maintain an
activated state during the execution of a cognitive task, thus
holding information online for a brief time interval (Fuster,
1995a, 1995b). Nevertheless, more than being speciWc mem-
ory circuits, the above networks are elements that link sen-
sory and motor domains in the context of near-future
behavior. Furthermore, the fact that active memory ensem-
bles are associative as Fuster proposes implies that they are
changeable, plastic, and that these overlap and interact with
other active networks during the preparation and execution
of complex behaviors, thus generating larger ensembles
manipulating more than one memory item (for a more for-mal analysis, see Glassman, 2003). The mechanisms by
which these networks maintain their activated state are not
yet clear, but an intriguing possibility is that they do so
through the establishment of reciprocally connected ensem-
bles which oscillate synchronously (Engel, Fries, & Singer,
2001; Singer, 1999; Durstewitz, Seamans, & Sejnowski,
2000; Yuste, MacLean, Smith, & Lansner, 2005). There is
accumulating evidence indicating that neural synchrony
with a precision in the millisecond range participates in sev-
eral cognitive phenomena including working memory, in a
manner consistent with Hebb’s postulate of maintained
reciprocal activation. These studies show that short-term
storage mechanisms involve an increase in neural syn-
chrony between prefrontal cortex and posterior cortex,
together with enhancing the activation of long-term mem-
ory representations (Engel & Singer, 2001; Fingelkurts
et al., 2003; Palva, Palva, & Kaila, 2005; Ruchkin, Graf-
man, Cameron, & Berndt, 2003; Tallon-Baudry, Bertrand,
& Fischer, 2001; Tallon-Baudry, Mandon, Freiwald, &
Kreiter, 2004).
In this article, we propose (1) that the neural circuits that
participate in the phonological loop can be anatomically
described in incipient form in the non-human primate
brain, and that therefore these are homologous to the
human circuits (Aboitiz, 1995; Aboitiz & García, 1997);
and (2) that in part, language has evolved by virtue of an
expanding short-term memory capacity, which has allowed
the processing and manipulation of increasingly complex
sequences of sounds, conveying elaborate meanings and
eventually participating in syntactic processes. Thus, the
language-speciWc areas of the human brain may have ini-
tially evolved as a circuit for phonological rehearsalinvolved in learning relatively long phonological utter-
ances, which became conventionalized and acquired simple
meanings by associative interactions with other sensorimo-
tor domains. As the memory systems involved in this pro-
cess expanded, it became possible to activate more complex
memories representing several items that could be combi-
natorially manipulated (Glassman, 2003). This allowed
utterances and their meanings to become also increasingly
complex and speciWc. Eventually, primitive syntactic rules
appeared within the context of a highly intricate short-term
memory network that allowed to maintain previously per-
ceived lexical items on line while others were still being pro-
cessed. Although intuitively appealing, this proposal faces
other recent hypotheses. One of them is the “mirror-sys-
tem” hypothesis, which emphasizes the role of hand-grasp-
ing mirror neurons in language origins (Arbib & Bota,
2003; Rizzolatti & Arbib, 1998). Shortly, the hypothesis
suggests that the manual mirror-neuron system provided
the necessary plasticity for symbolic communication to
arise in a gestural domain, which was eventually overcome
by vocal communication. Although we feel that the concept
of mirror neurons is in general complementary to our
views, there are some points of disagreement which we will
discuss. Another proposal relates to Chomsky’s generativist
approach which claims that syntax, and speciWcally theoperation termed syntactic recursion (i.e., the ability to
recursively embed sentences within larger sentences; see
below), is the only faculty that is exclusive of human lan-
guage and unlikely to result from evolution by natural
selection (see Hauser, Chomsky, & Fitch, 2002). We claim
that linguistic recursion demands signiWcant working mem-
ory resources, and that at least partly, neural networks that
participate in recursion were gradually elaborated from
simpler networks involved in active memory in the primate
brain.
In the rest of the article, we will discuss evidence in favor
of our hypothesis. We will brieXy update evidence on the
location and connectivity of the human language areas and
of the phonological loop, and their presumed homologues
in the monkey. Then, we will face this evidence with the
mirror-system hypothesis. Finally, we will analyze the role
of short-term memory in syntactical processing, especially
in the case of recursive structures, and will propose a neuro-
biological substrate for it and its evolution.
2. Neuroanatomy of phonological working memory and
homologies between monkey and human
More than a century of analyses of focalized brain
lesions in humans has evidenced that cortical language
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42 F. Aboitiz et al. / Brain and Language 98 (2006) 40–56
networks minimally consist of a posterior component sur-
rounding the temporoparietal junction of the left hemi-
sphere (Wernicke’s area), that mediates speech perception
and aspects of phonological production; an anterior com-
ponent that includes Brodmann’s areas 44 and 45 or
Broca’s area, which processes motor output and aspects
of syntax, and a connection between these two compo-nents, which includes the arcuate fasciculus (although
importantly, surrounding regions also participate; Dron-
kers, Shapiro, Redfern, & Knight, 1992; Dronkers, Wil-
kins, Van Valin, Redfern, & Jaeger, 2004). This scheme
has been conWrmed and expanded by analyses of stimula-
tion brain mapping which have established that regions
essential for language processing are usually restricted to
one hemisphere and tend to locate in temporal, inferior
parietal and inferior frontal areas (although there is sub-
stantial variance in individual patterns of localization;
Ojemann, 1991, 2003), and by several imaging studies to
be reviewed below. In earlier articles (Aboitiz, 1995; Abo-
itiz & García, 1997), we tentatively proposed a framework
for homology between the classical human language areas
and their primate counterparts, based on the available evi-
dence at that time (for example, Barbas & Pandya, 1989;
Preuss & Goldman-Rakic, 1991a, 1991b, 1991c), which
has been recently updated according to new evidence
(Aboitiz, García, Brunetti, & Bosman, in press) (see
Fig. 1).
The auditory cortex, both in the human and the
macaque, is organized in a series of concentric rings (core,
belt, and parabelt; Hackett, Stepniewska, & Kaas, 1998)
from which two main streams emerge: a ventral one, run-
ning through the anterior superior temporal gyrus, con-
veying information about the intrinsic features of auditory
stimuli (the “what” pathway); and a dorsal one, projecting
to the inferior parietal lobe and involved with spatial and
dynamic processing (the “where,” or movement pathway;
Kaas & Hackett, 1999; Tian, Reser, Durham, Kustov, &Rauschecker, 2001; Zatorre & Belin, 2001). These two
pathways project to diV erent regions of the prefrontal cor-
tex: in the macaque, the “where” pathway ends mainly in
dorsolateral prefrontal areas (areas 8 and 46) which in part
relate to eye movement control; and the “what” pathway
ends in more ventrolateral areas (mainly 12 and 45, the lat-
ter related to Broca’s area in humans; Hackett, Step-
niewska, & Kaas, 1999; Rauschecker & Tian, 2000;
Romanski, Tian, Mishkin, Goldman-Rakic, & Raushec-
ker, 1999; Romanski, Bates, & Goldman-Rakic, 1999).
There is evidence indicating that these temporo-frontal
circuits subserve performance in auditory working mem-
ory tasks (Gottlieb, Vaadia, & Abeles, 1989; Pasternak &
Greenlee, 2005). Interestingly, an auditory domain has
been identiWed in the macaque areas 12 and 45, in which
most neurons prefer vocalizations than other acoustic
stimuli, while some neurons were also responsive to visual
stimuli (Romanski & Goldman-Rakic, 2002; Romanski,
Averbeck, & Diltz, 2005). This domain receives projections
from the anterior lateral belt auditory area, which has
more selectivity to calls than the more caudal area (Raus-
checker & Tian, 2000; Tian et al., 2001). In this region, a
specialization of “what” and “where” streams in responses
to complex sounds and localizations has not been yet con-
Wrmed (Romanski et al., 2005), and it remains to be deter-mined whether the dorsal stream contributes a diV erent
auditory domain in more dorsal frontal regions. Another
line of evidence has been provided by Petrides and Pandya
(1984, 1988, 1999, 2001; see also Petrides, in press) , who
proposed a similar scheme to the above, in which area 45 is
subdivided into areas 45A and 45B, and describe a dys-
granular area 44, adjacent to area 45B. Nevertheless, these
authors describe some projections from caudal auditory
regions (for example, area Tpt) to ventrolateral prefrontal
areas, indicating a degree of overlap between the “where”
and “what” streams (Petrides & Pandya, 1988).
In parallel to the auditory “what” and “where” path-
ways, the visual system shows a separation between a ven-
tral stream along the inferior temporal lobe, related to
object processing; and a dorsal stream directed to the parie-
tal lobe, that is related to spatial behavior. These pathways
tend to segregate in the inferior and superior aspects of the
frontal lobe, respectively (Bullier, Schall, & Morel, 1996;
Felleman & Van Essen, 1991). Nevertheless, projections
from the inferior parietal regions reach the inferior frontal
cortex of the monkey, where they converge with projections
from inferior temporal areas subserving object information
(Fig. 1). More speciWcally, the intraparietal (area 7ip) and
inferior parietal (area 7b) regions project to the anterior
and the posterior banks of the inferior arcuate sulcus,
Fig. 1. Some connections that have been described from temporoparietal
regions to the lateral and inferior frontal cortex of the monkey. In the
superior temporal lobe, areas AI, R, and RT of the auditory cortex make
up the auditory core, while areas RTM, RM, and CM correspond to the
medial belt and areas RTL, AL, ML, and CL represent the lateral belt.
The lateral parabelt consists of areas RP and CP, while area Tpt may be
adjacent to these. The caudal parabelt projects to dorsolateral prefrontal
areas, while the rostral parabelt projects to ventrolateral prefrontal
regions. Area TE, in the anterior temporal lobe, is related to visual recog-
nition and projects to ventral lateral cortex. In the intraparietal and infe-
rior parietal lobe, areas 7ip and 7b, respectively, project to ventrolateral
regions of the frontal cortex, among other regions. Numbers in the frontal
cortex indicate the respective Brodmann’s areas. For further explanation,
see text.
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F. Aboitiz et al. / Brain and Language 98 (2006) 40–56 43
respectively (Cavada & Goldman-Rakic, 1989; Petrides &
Pandya, 1984; Preuss & Goldman-Rakic, 1991a, 1991b,
1991c). Similarly, Petrides and Pandya (1984, 1999, 2001;
see also Petrides, in press) emphasize connections between
area 45 with the posterior inferior parietal lobe (area PG)
and area 44 with the intraparietal and anterior inferior
parietal lobe (areas AIP and PFG, respectively). Note thatperhaps more than spatial processing in the context of
behavioral orientation, inferior parietal regions participate
in tasks involving grasping and object manipulation (Riz-
zolatti & Arbib, 1998; see below). Their projections to the
inferior frontal lobe overlap with the object-processing
pathway from the inferior temporal lobe, contributing to
the integration of information between hand and object
(Nelissen, Luppino, VanduV el, Rizzolatti, & Orban, 2005).
As will be seen below, although the auditory dorsal path-
way (as said, roughly parallel to the visual parietal path-
way) is less likely to be involved in manipulative tasks, it
participates in processing the temporal dynamics of com-
plex sounds, which make it somewhat analogous to the
motion-sensitive regions of the parietal lobe.
In humans, a dorsal and a ventral stream for processing
sounds have also been identiWed (Belin & Zatorre, 2000;
Zatorre & Belin, 2001; see also Scott & Johnsrude, 2003). In
speech perception, the ventral stream participates in identi-
fying the speaker, while the dorsal stream is considered to
be primarily involved in perceiving the time-course of com-
plex sounds, a mechanism based on accurate time analysis
of spectral motion. This process might seem to be more
related to the “what” function of categorizing sounds, but
these authors claim that it is analogous to the function of
the motion-sensitive visual parietal area MT, in that thetime-course of the signal is an essential variable (Belin &
Zatorre, 2000; Zatorre & Belin, 2001). More than identify-
ing the speaker, this type of processing is especially well
suited to process complex vocalization sequences which
reXect motion of the vocal apparatus, and particularly
speech, where the time-course of the formant frequencies
contains most of the phonemic information. Romanski
et al. (2000) concur with these authors in that this general
form of ‘motion processing’ mechanism may be one of the
functions of the dorsal pathway, but can be used in service
of both auditory space perception and the perception of
complex vocalizations. Additional evidence indicates that
the temporal pathway for speech perception is subdivided
into a component directed along the supratemporal cortical
plane and linked to speech production rather than percep-
tion; and a component located in the posterior left superior
temporal sulcus, related to verbal recall (Wise et al., 2001).
The latter is considered to participate in verbal generation
and rehearsal (the phonological loop), and has been pro-
posed to participate in the acquisition of long-term memo-
ries of novel words. Finally, a recent study using diV usion
MRI tractography in humans detected both a ventral path-
way (via the uncinate fasciculus) and a dorsal pathway (via
the arcuate fasciculus and including connections with area
40 in the supramarginal gyrus), connecting the auditory
areas with the inferior frontal lobe (Parker et al., 2005).
Interestingly, these tracts were highly asymmetric, being
more robust on the left side.
Summarizing, the ventrolateral prefrontal region of the
monkey, including areas 44/45 (comparable to Broca’s
area), is a complex multimodal region receiving projections
from the auditory “what” stream (but also some projec-tions from the “where” stream), from the inferior temporal
region and from intraparietal/inferior parietal areas
(Fig. 1). In humans, anatomically similar regions have been
described to participate in the phonological loop, which
subserves phonological working memory. This loop has
been described to include a storage component located in
the left supramarginal gyrus of the inferior parietal lobe
(Brodmann’s area 40), and a rehearsal component involv-
ing Broca’s area (areas 44 and 45; Awh, Smith, & Jonides,
1995; Frackowiak, 1994; Habib, Demonet, & Frackowiak,
1996; Hickok, Buchsbaum, Humphries, & Muftuler, 2003;
Paulesu, Frith, & Frackowiak, 1993; Salmon et al., 1996;
see also reviews by Aboitiz & García, 1997; Baddeley, 2003;
Smith & Jonides, 1998). This is consistent with a recent
analysis of human cortical connectivity, indicating impor-
tant connections between Wernicke’s area and area 40
(Parker et al., 2005). More extensive evidence from lesion
studies has conWrmed that parietal lesions in humans lead
to sentence comprehension deWcits, by virtue of a rehearsal
disorder related to the interruption of the parieto-frontal
phonological loop, as occurs in conduction aphasia (Dron-
kers et al., 2004; see also Aboitiz & García, 1997; Smith &
Jonides, 1998). Furthermore, electrical stimulation brain
mapping techniques during awake neurosurgery have
determined that sites essential for recent verbal memory of names tend to be located in temporo-parietal sites (related
with storage) and in inferior frontal sites (related with
retrieval) (Ojemann, 1978, 1991, 2003; Ojemann & Mateer,
1979).
Based on this kind of evidence, we proposed that the supe-
rior temporal–inferior parietal–ventrolateral prefrontal path-
way that participates in the phonological loop could be
incipiently present in the non-human primate. In hominid
evolution, this pathway may have further diV erentiated into
a complex phonological device, involved in learning complex
vocal utterances by imitation and setting a Wrst stage in the
diV erentiation of language-speciWc areas in the left hemi-
sphere of the human brain (Aboitiz, 1995; Aboitiz & García,
1997; see also Fitch, 2000). The ventral auditory stream pos-
sibly represents a more ancient component of the vocaliza-
tion sensorimotor system, whose main function could be to
identify and assess the condition of the caller. As mentioned,
recent evidence suggests that in macaques this pathway is
more related to vocalizations than the dorsal stream, which
participates in spatial orienting for action (Romanski et al.,
2005). However, in primitive hominids in which vocalizations
became more plastic and conveyed longer and more elabo-
rate messages, the dorsal stream became progressively
involved in processing complex sequences of vocalizations,
recruiting inferior parietal areas (Aboitiz & García, 1997).
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44 F. Aboitiz et al. / Brain and Language 98 (2006) 40–56
The occipito-temporoparietal junction is an evolutionarily
expanding cortical region, and its growth may have facili-
tated the development of the dorsal auditory pathway and
the phonological loop. SpeciWcally, areas 40 and 39 of the
human inferior parietal lobe are probably new in phylogeny,
as they were not identiWed in the monkey (Brodmann, 1909).
(Nevertheless, it is not entirely clear that they are absent inthe chimpanzee; Gannon, Kheck, Braun, & Holloway, 2005.)
Furthermore, these areas were described to have “no sharp
boundaries” with the temporal region (with areas 22 and 37,
respectively; Brodmann, 1909). This suggests anatomical and
functional continuity between posterior temporal areas and
inferior parietal regions in humans, which is conWrmed by the
recently observed connections between Wernicke’s region
and area 40 (Parker et al., 2005). Thus, we claim that
although the human phonological loop may include new cor-
tical areas and connections, it derives from a preexisting
auditory-inferior frontal circuit that is present in the non-
human primate.
3. The phonological loop and mirror neurons
The working memory hypothesis has not been the only
neurobiological proposal to explain early language evolu-
tion. Based on the discovery of mirror neurons for grasping
(which become active both when performing the action and
when observing it) in a circuit involving the anterior intra-
parietal area and area F5c of the monkey ventrolateral pre-
frontal region, Rizzolatti and Arbib (1998), and later Arbib
and Bota (2003) and Arbib (2005) developed another
hypothesis for language origins. Considering the overlap of
these networks with the homologues of language-speciWcregions, the potential role of these neurons in imitative pro-
cesses (see also Miklósi, 1999; Rizzolatti & Arbib, 1999),
and the fact that in monkeys, vocalizations have little vol-
untary control, they claimed that the grasping mirror sys-
tem provided the scaV olding for imitative behavior and
voluntary control over communication. They proposed a
sequence of events for language origins starting from an
imitation system for grasping, followed by the elaboration
of complex gestural communication in which pantomime
permits to assign a primitive, conventionalized reference
system to speciWc gestures. This mode of communication
develops into a conventionalized manual-based communi-cation system (protosign) that disambiguates the contents
of pantomime. Subsequently, the manual communication
system evolves into “protospeech,” which gives the vocal
apparatus suYcient Xexibility, and eventually language
originates. In other words, the hand-based parieto-prefron-
tal imitation system provided the behavioral plasticity nec-
essary to generate a diversity of vocalizations which could
evolve into language. A related hypothesis has been put for-
ward by Corballis (2003), who claims that there was an ini-
tial stage in which communication was mainly vocal, then
became gestural and acquired symbolic characteristics, and
Wnally became vocal again. These hypotheses have been
partly supported by the observation of a mirror system in
relation to sounds caused by actions (Kohler et al., 2002;
see also Pizzamiglio et al., 2005), and in cells representing
lip and mouth movements (Ferrari, Gallese, Rizzolatti, &
Fogassi, 2003). The latter are especially important in the
context of a recent report indicating that the macaque area
44 is involved in orofacial motor responses, with only a few
neurons responding to combined manual and orofacialresponses (there was only one penetration site for combined
responses out of eight sites with orofacial speciWcity; Pet-
rides, Cadoret, & Mackey, 2005). Interestingly, chimpan-
zees are able to match vocalizations to gesturing faces, thus
visually recognizing other vocalizing individuals and assess-
ing their social situation (Izumi & Kojima, 2004). Although
this form of cross-modal capacity is considered to involve
widespread frontal, inferior parietal, and posterior tempo-
ral regions (Calvert et al., 1999), it may also be related to
associations between orofacial mirror neurons and vocali-
zation-sensitive neurons in the inferior frontal region.
Furthermore, a mirror system has been proposed to be
involved in the generation of primitive concepts that serve
as cognitive requisites for a lexicon of action-related utter-
ances (Gallese, 2003), and evidence indicates that hand-ges-
turing is related to conceptual learning (Goldin-Meadow &
Wagner, 2005). There is also evidence of overlap between
Broca’s area and the frontal representation of actions.
Areas 44 and 45 have been observed to be active during
action observation in humans (Rizzolatti & Craighero,
2004), and a recent report in the monkey indicates that area
45 is a region in which the integration of object and action
information occurs, which may have served as a prelinguis-
tic link between verb and object (Nelissen et al., 2005). A
related interpretation is that in humans, area 44 is moreinvolved in linguistic and non-linguistic communication
processes that are expressed in the control of various
aspects of the body, especially orofacial movements; while
area 45 relates more closely to syntactic and semantic pro-
cesses that are not directly expressed in motor control (Pet-
rides, in press; Petrides et al., 2005; nevertheless, other
evidence points to a role of human area 44 in syntactical
and phonological working memory; Fiebach et al., 2005).
Other lines of evidence also support a close relation
between hand control and communication ability. In pri-
mates, there is a clear relation between handedness and lan-
guage lateralization. Most apes tend to be right-handed,
even for hand-signing (Hopkins & Leavens, 1998; Hopkins
et al., 2005), and the perception of vocalizations is lateral-
ized to the left hemisphere at least in monkeys (Hamilton &
Vermeire, 1988). Aphasic patients and stutterers seem to
beneWt from pointing and from hand gestures (Hanlon,
Brown, & Gerstmen, 1990; Mayberry, Jacques, & DeDe,
1998), although it is not yet clear whether they do so simply
because a manual system is the only one they have avail-
able. Finally, pointing is a behavior that may originally
derive from a grasping action, has a clear communicative
intention, and appears in children before speech (Feyere-
sien & Havard, 1999), which underlines the interdepen-
dence between gestural and vocal communication.
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F. Aboitiz et al. / Brain and Language 98 (2006) 40–56 45
The concepts of a mirror system and of the role of imita-
tion in language origins are quite complementary to our
proposals (see also Arbib, 2005). We consider that gestural
and vocal communication coevolved to a large extent, and
have already put emphasis on the development of imitative
abilities in early language evolution (see Aboitiz & García,
1997; Aboitiz, García, Brunetti, & Bosman, 2005; Bosman,García, & Aboitiz, 2004; Bosman, López, & Aboitiz, 2005).
Nevertheless, we are somewhat cautious about the necessity
to postulate a speciWc stage in which gestural, signing lan-
guage was the main modality of symbolic communication,
that preceded the origin of speech. In the next section, we
will discuss this issue in some detail.
4. Vocalizations and gestures in non-human primates
A Wrst question in relation to the hand-signing hypothesis
is concerned with how relevant is signing versus vocaliza-
tions in primates. Some authors claim that in wild non-
human primates including chimpanzees, spontaneous
hand-signing is more limited than vocal communication
(Acardi, 2003; Seyfarth & Cheney, 2003), which is compati-
ble with a continuity in vocal communication in human
evolution. Other studies have indicated that chimpanzees
and other apes engage in both gestural and vocal communi-
cation, with vocal communication being more common in
arboreal species (who have less visual contact) and in
instances in which there is no eye contact, and gestural
communication is more common in terrestrial species and
in instances of social proximity (Pika, Liebal, Call, & Tom-
asello, in press; Vogel, 1999; Hostetter, Cantero, & Hop-
kins, 2001 for studies in captive chimpanzees).Furthermore, ape vocalizations tend to be highly ritualized
and related to evolutionarily urgent behaviors, such as
defense, food Wnding, and group traveling, while gestures
are performed in less stringent situations such as playing,
and used quite Xexibly (Acardi, 2000; Liebal, Call, & Toma-
sello, 2004; Pika et al., in press). There is evidence of
regional variability in the types of vocalizations emitted by
wild chimpanzees, but this has been considered to depend
on ecological factors and diV erences in body size rather
than on social learning (Mitani, Hunley, & Murdoch, 1999).
However, in populations of captive chimpanzees, group
diV
erences in vocalizations have been attributed to sociallearning since individuals within each group have diV erent
origins but nevertheless have little within-group variability
and high intergroup variability (Marshall, Wrangham, &
Acardi, 1999). Direct reference to objects or situations has
been hard to evidence, both in gestural or vocal communi-
cation, but there is some evidence of referential gestures in
relation to food (Pika et al., in press), and of the use of gaze
alternation between the referred object (usually food) and a
human experimenter (Leavens & Hopkins, 1998; Leavens,
Hopkins, & Thomas, 2004). Although in vocal communica-
tion there is even less evidence for referential communica-
tion, it has been observed that bonobos (a variety of
chimpanzee) are able to produce acoustically distinct
screams during agonistic interactions, depending on the
role they play in conXict (victim versus aggressor). The
authors suggest that these scream variants are promising
candidates for functioning as referential signals (Slocombe
& Zuberbuhler, 2005). Summarizing, although there is both
vocal and gestural communication in non-human primates,
in neither case they use symbols of the human kind (Pikaet al., in press). Thus, both modalities of communication are
equally distant from human language. Although gestural
communication is more plastic, vocal communication has
in its favor that it uses the same sensorimotor circuit as spo-
ken language (which is a strong argument for its evolution-
ary continuity), and as will be discussed below, making this
system more plastic would not be a diYcult evolutionary
step.
The fact that apes can be taught on sign language and
not on vocal communication has been claimed to support
the notion that non-human primates lack the required vol-
untary control over vocalizations. Therefore, speech may
have not evolved without the aid of the hand-grasping sys-
tem (Corballis, 2003). It seems that in this reasoning, a lim-
ited capacity for ontogenetic learning is being used as an
argument precluding the possibility of phylogenetic change
towards increasing plasticity and voluntary control. In our
view this makes little evolutionary sense. There is no a pri-
ori reason why a selective trend could not have originated
towards increasing plasticity and control of the vocal tract,
leading to the same or even more behavioral Xexibility
(including combinatorial abilities) than that observed in
hand coordination. Vocal imitation and plasticity has been
observed in species such as elephants, seals, and dolphins
(Janik, 2000; Poole, Tyack, Stoeger-Horwath, & Watwood,2005; Shapiro, Slater, & Janik, 2004), suggesting that a
hand-grasping system is not a prerequisite for the acquisi-
tion of voluntary control of the vocal system and imitative
capacity (elephants have a grasping trunk, but what about
seals and dolphins?). More generally, in animals, mirror
neurons and the ability to recognize and imitate actions
may not be restricted to the hand-grasping system (Bosman
et al., 2004; Miklósi, 1999). Thus, we concur with Rizzolatti
and Arbib (1999) in that “the F5 ‘mirror’ mechanism repre-
sents a particular variant of an ancient mechanism that
underlies a variety of behaviors” (p.152).
5. The neural substrates
Let us examine more closely the neuroanatomical and
neurophysiological control of the vocal apparatus. Arbib
and Bota (2003) assert that in non-human primates, the
cortical control of vocalizations is strongly dependent on
the anterior cingulate, while the homologue of human
Broca’s area is proposed to be related to hand control, with
its extensive connections with the inferior parietal lobe.
First, we would like to point that cingulate control for
vocalizations is found in monkeys and humans, and in both
cases its function has to do with motivation rather than
processing (Aboitiz et al., 2005; Paus, 2001). A second issue
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46 F. Aboitiz et al. / Brain and Language 98 (2006) 40–56
relates to the proposed role of the inferior parietal lobe in
both hand control and human linguistic processes (Rizzol-
atti & Arbib, 1998). We already mentioned that the inferior
parietal regions (including area 40) of the human are prob-
ably more complex than the monkey inferior parietal and
intraparietal areas (Castiello, 2005). Furthermore, in
humans, the functions of hand control and linguistic pro-cessing could be segregated in the inferior parietal lobe.
Patients with circumscribed lesions of areas 39 and 40 show
severe deWcits for imitation of meaningless gestures (Gold-
enberg, 1997; Goldenberg & Hagmann, 1997). An imaging
study indicated area 40 and parietal area MT/V5 in imita-
tion of hand postures (Goldenberg, 2001), although
another report found activation only in area MT/V5 (Peig-
neux et al., 2000). A more recent analysis of visually guided
grasping detected activity in the anterior intraparietal sul-
cus, involving mostly the dorsal aspect of area 40 (Frey,
Vinton, Norlund, & Grafton, 2005; see also Castiello, 2005).
On the other hand, the phonological storage function
involves mainly the more ventral supramarginal gyrus
(Smith & Jonides, 1998).
The third issue in this context relates to the role of the
inferior frontal areas in hand grasping and language pro-
cessing. As mentioned, there is human evidence suggesting
that the representation of these functions overlaps in this
region (Rizzolatti & Craighero, 2004). In the monkey, area
45 has been shown to participate in the recognition of hand
grasping (Nelissen et al., 2005), but the study by Petrides
et al. (2005) indicates that area 44 is almost devoid of hand-
grasping neurons but rather contains orofacial motor neu-
rons. More importantly, exponents of the hand-signing
hypothesis have underlined the presumed absence of volun-tary, prefrontal control over vocalizations in monkeys,
which would suggest that these areas are mainly related to
hand control (Arbib & Bota, 2003; Corballis, 2003). How-
ever, as we mentioned above, the ventrolateral prefrontal
cortex of monkeys contains a vocalization-sensitive domain
(Romanski & Goldman-Rakic, 2002; Romanski et al.,
2005) and a motor representation of the larynx (Jürgens,
2003). Electrical stimulation of the latter can elicit vocal
fold movements (Hast, Fischer, Wetzel, & Thompson,
1974), and cortical lesions in the supplementary motor area
can signiWcantly reduce the total number of vocalizations
emitted by monkeys (Gemba, Miki, & Sasaki, 1997; Kirzin-
ger & Jürgens, 1982), indicating a degree of prefrontal con-
trol over the vocal apparatus. Previously, we suggested that
the prefrontal, vocalization-sensitive neurons described
above represent the phylogenetic precursors of a vocaliza-
tion mirror system (Bosman et al., 2004). All that is needed
is that these neurons participate in articulatory processes,
which would not be a diYcult evolutionary step. An elabo-
ration of this auditory-vocalization circuit may have been
suYcient to develop imitative vocal behavior, leading to an
incipient phonological loop. In humans, a fronto-parietal-
temporal network that responds both to perception and
oral production of sounds including speech and tonal pro-
duction has been identiWed (Hickok et al., 2003), and a
recent fMRI study has demonstrated that listening to
speech activates a superior portion of the ventral premotor
cortex that largely overlaps with a speech production
motor area (Wilson, Saygin, Sereno, & Iacoboni, 2004).
This evidence is consistent with the existence of a human
vocalization mirror system, partly derived from the vocali-
zation-sensitive regions above described in the monkeyfrontal cortex. In this context, another organ that is essen-
tial for human speech is the tongue. Interestingly, there is a
phylogenetic trend towards the strengthening of cortico-
hypoglossal projections (involved in tongue control) from
non-primate mammals via non-human primates to humans
(Jürgens & Alipour, 2002), which is consistent with the
independent development of cortical control over the
vocalization apparatus in the human lineage. The tongue is
used in other functions such as swallowing, but these main-
tain their reXex nature and are presumably conserved
among primates. Speech is perhaps the function that most
beneWts from a movable and voluntarily controlled tongue.
6. Why developing a plastic vocalization system?
The exquisitely Wne-tuned movements that characterize
speech production require a delicate control of the vocal
apparatus and of the lips, tongue, jaw, and larynx (Dron-
kers & Ogar, 2004). In humans, motor control over this sys-
tem is partly located in the precentral gyrus of the insula
(Dronkers, 1996) and in the inferior frontal gyrus (Hillis
et al., 2004). If as mentioned, primate vocalizations are used
in evolutionarily “urgent” functions (Pika et al., in press), it
is reasonable to consider that in hominid evolution they
suV ered a higher selective pressure than gestures. In somecircumstances, increasing vocal plasticity and cortical con-
trol over the phonatory apparatus may have been selective
beneWt, as they allowed to convey more detailed informa-
tion about evolutionarily urgent issues. One possibility is
that prosodic and gestural markings permitted a stronger
mother-and-child relation, and other kinds of social bond-
ing that enhanced group cohesiveness and cooperation
(Kuhl, 2003; Falk, 2004). More speciWcally, early hominin
mothers engaged in reciprocal vocal (and gestural) interac-
tions with their progeny (infants or children). In this way,
both became “locked” in a mutual dynamics where the
child gradually generated a template of his/her mother’sgestures and vocalizations that permitted the maintenance
of mutual communicative interactions, largely conveying
emotional information (Aboitiz & Schröter, 2004). In these
circumstances, there was a selective prize for those individ-
uals with an increased vocal motor control, and eventually,
with an increased memory span to remember complex
sequences of utterances in order to facilitate recognition
and maintain the reciprocity in social interactions (this does
not exclude the parallel development of gestural communi-
cation). In this line, the evolution and development of bird-
song provides a useful model for early phonological
acquisition. Birds able to learn and transmit more complex
songs have a selective beneWt over those who develop less
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F. Aboitiz et al. / Brain and Language 98 (2006) 40–56 47
elaborate sequences (Gil-da-Costa et al., 2004; Doupe &
Kuhl, 1999; Okanoya, 2004; Jarvis, 2004; see also Kuhl,
2003 for the social signiWcance of early language).
The plasticity of the vocalization apparatus posed it as a
good candidate to communicate referential associations
that became conventionalized in the community. Thus,
complex vocalizations may have been related Wrst to highlyemotional situations, and were accompanied by gestures
including facial movements and ritualized pantomine.
These complex, multimodal communication signals became
associated to speciWc events, generating the most basic
forms of conventionalized reference. Eventually, and with
the further evolution of the phonological capacity, these
multimodal signals became dominated by vocalizations,
but never (not even in present-day human communication)
entirely lost their multimodal, gestural-vocal nature.
A Wnal issue relates to imitative abilities. In macaques,
there is evidence for cognitive imitation (Subiaul, Cantlon,
Holloway, & Terrace, 2004), and natural imitation is
strongly facilitated by joint attention (Kumashiro et al.,
2003). In another study, it was found that neonatal chim-
panzees were able to recognize and imitate human facial
gestures, but this ability is lost after 2 months of age; on
the other hand, in humans imitation gestures appear at
approximately 8–12 months (Myowa-Yamakoshi, Tomo-
naga, Tanaka, & Matsuzawa, 2004). This evidence sug-
gests that the capacity to imitate is either ancient or has
appeared more than once in primate evolution, and is not
a uniquely human characteristic. However, all these stud-
ies have been performed in controlled laboratory condi-
tions. Another issue is whether chimpanzees and other
primates imitate in natural conditions. There has beenmuch controversy as to whether apes are able to transmit
behavioral patterns by imitation or by processes like ritu-
alization, in which stereotyped behaviors are used to
anticipate to initiate play or mating with another individ-
ual (for review see Vogel, 1999). Some evidence suggests
that in apes, ritualization is a major element in socially
transmitted behavior (Pika et al., in press), and several
gestural behaviors including pointing and some forms of
pantomime may be conceived as originating in this man-
ner. Nevertheless, other evidence indicates that chimpan-
zees and other apes are also able to learn by social
imitation. Recently, Whiten, Horner, and de Waal (2005)
trained some captive chimpanzees in one of two tech-
niques to obtain food from a box. Subsequently, these
individuals transmitted this behavior to the other mem-
bers of the community. Furthermore, animals that had
learn one technique but the majority in their group had
learned the other, eventually changed to the majority
behavior. The emerging picture is that apes are able of
imitation, but within a repertoire of several social learning
mechanisms, and in a much more limited form than
humans (Whiten, 2005). Thus, we agree with Arbib (2005)
in that these forms of imitation are diV erent from the com-
plex imitation capacity involved in pantomime and other,
human forms of imitation, but consider that these provide
a starting point for the development of more complex imi-
tative capacities, leading to more elaborate forms of com-
munication.
After all this discussion, we consider that parsimony
indicates that the most likely situation is that both, gestural
and vocal communication coevolved intimately, as they still
do now, but we see no grounds or evidence supporting thepresumed ancestral, symbolic signing stage (Aboitiz et al.,
in press; Bosman et al., 2004; and in press). In this sense,
our position is somewhat close to Arbib’s (2005), who sug-
gests an “expanding spiral” in which gestural communica-
tion including complex pantomime coevolved with vocal
communication, each potentiating the development of the
other. It diV ers, however, from Corballis’ (2003) position,
proposing a speciWc stage in which symbolic communica-
tion was predominantly hand-gestural, which was eventu-
ally “taken over” by vocal communication. SpeciWcally, we
consider unlikely that such a stage became an evolution-
arily stable condition, able to diversify and propagate.
Hands are used for other behaviors such as tool use and
carrying objects, and do not appear as optimal communica-
tion devices as long as they require that individuals stay in
front of each other doing nothing else with their hands. So,
this modality might work in idle situations but not so much
in circumstances of behavioral coordination. Furthermore,
there is no evidence that gestural communication was ever
more developed than it is now in spoken languages, lacking
several of the crucially deWning characteristics of language
(note that human sign languages are usually derived from,
or arise within the context of a vocal-communicating com-
munity). Thus, even if voluntary control was initially more
developed for hand control than for vocal communication,the most likely interpretation is that gestural communica-
tion never reached a symbolic stage without the aid of an
elaborate vocal communication system.
7. Syntax: Memory and recursion
Phonology is not the only linguistic function that makes
use of short-term memory. Lexical processing, in which the
phonological representation of a word becomes associated
with a meaning, also implies the transient coactivation of the
respective mnemonic representations. Abundant evidence
suggests that lexical memories consist of activated associativenetworks involving say, object- or motor-speciWc regions (in
the cases of names for objects and action words, respec-
tively), with language-speciWc regions (Damasio & Tranel,
1993; Damasio, Grabowski, Tranel, Hichwa, & Damasio,
1996; Pulvermüller, 1999, 2005; Pulvermüller, Lutzenberger,
& Preissl, 1999; see also Fuster, 1995a, 1995b, 2003). Never-
theless, and in accordance with the concept of associative
memory, naming networks are not likely to be rigid modules
or hardwired centers; they should rather be conceived as
highly modiWable by experience (Damasio et al., 1996; Fus-
ter, 1995a, 2003). This evidence conWrms Geschwind’s (1965)
early proposal that the human brain was unique in its ability
to perform cross-modal cortical associations, ant that this
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48 F. Aboitiz et al. / Brain and Language 98 (2006) 40–56
enabled it to the development of a naming system. This
capacity is related with the development of posterior tempo-
ral lobe and inferior parietal areas, which show great individ-
ual variability in their morphology and have been also
related to the generation of the phonological loop (Ide, Rod-
ríguez, Zaidel, & Aboitiz, 1996; Ide et al., 1999).
Furthermore, the processing of more complex linguisticitems, such as syntactical structures, is also strongly depen-
dent on short-term memory. As Fuster (1995a) puts it,
“ƒlanguage, especially when it is new, complex, and
extended in time, makes constant use of those functions of
memory and set. As I speak, I need to keep track of what I
just said a few moments ago and, at the same time, prepare
for saying what is in accord with that. The predicate is
dependent on the subject, the verb on the subject and the
predicate, the dependent clause on the larger sentence, and
so on. All these are, in essence, cross-temporal contingen-
cies, and in speech there is a running reconciliation of these
contingencies that constantly change, interleaved and
embedded within another. It is the dorsolateral prefrontal
cortex that normally eV ects that reconciling, with its grasp
of the short-term past and the short-term future” (pp. 280–
281; see also Fig. 2). This comment, although strongly
appealing, is perhaps too coarse-grained for the purposes of
this paper. In the following sections, we will intend to dis-
sect some of the complex linkages that exist in diV erent
memory domains during language processing.
According to Pinker and JackendoV (2005), syntax con-
sists of the principles by which words and morphemes are
concatenated into sentences, helping to determine how the
meanings of words are combined into the meanings of
phrases and sentences. Syntax consists of several elements,one of which is word order, in which the distinct elements
are conventionally arranged in a speciWc order in each lan-
guage; another component is agreement, marking inXec-
tions in verbs or adjectives for number, person, gender, and
other features of related nouns; and yet another is case-
marking (nominative, accusative, and others). A fourth
component of syntax consists of the hierarchical construc-
tion of phrases, in which each phrase corresponds to a spe-
ciWc constituent of meaning. Furthermore, one
fundamental property of this hierarchical arrangement is
its recursivity. Generally speaking, recursion consists of the
application of some function onto itself (phrases may be
composed of nested phrases), which permits to iterate this
function endlessly, thus generating diV erent hierarchical
levels according to the iteration sequence, and permitting
the manipulation (movement) of the elements in this hierar-chy (Chomsky, 1991; Hauser et al., 2002; see also Fitch &
Hauser, 2004). An important element in the generation of
recursive structures is the so-called long-distance dependen-
cies between words, which bracket phrases embedded
within larger phrases (Chomsky, 1991). Thus, embedded
phrases can be moved to diV erent positions within a sen-
tence, changing the canonical order of the original phrase
to transform it into say, a passive sentence or a wh-ques-
tion. Moved phrases can be tracked to their original posi-
tions by a “trace” that connects the new position with the
extraction site. Some authors in the chomskyan tradition
claim that recursivity is the most fundamental property of
human language, is modularly separate from other cogni-
tive functions, and is highly unlikely to result from the
process of natural selection. This ability is claimed to be
non-existent in primates, as tamarin monkeys were shown
not to be able to learn a quite simple recursive language,
consisting of n instances of a symbol A followed by n
instances of symbol B (Fitch & Hauser, 2004). Nevertheless,
Pinker and JackendoV (2005) reply that it is not clear that
this symbol sequence represents a truly linguistic structure,
as no known language shows this kind of recursivity. As
will be discussed below, we consider that the capacity for
linguistic recursion originated in the context of an expand-
ing working memory capacity that permitted to manipulatethe diV erent items composing a complex sequence of words
(or phrases). In primates, this capacity is highly limited due
to the relatively poor development of cortico-cortical asso-
ciations compared to humans, but with increasing brain
size and subsequent cultural evolution, these networks
became robust enough to manipulate more complex items.
Our proposal is that recursivity and movement of phrase
components can only exist if backed by a strong short-term
memory mechanism that allows one to keep track of the
Fig. 2. Highly schematic concept of cortical interactions between networks of posterior and frontal cortices in the construction of a simple phrase. This
implies the coactivation of several short-term memory networks, each representing a phonological representation (squares) and a lexical representation
(circles), which although are activated in sequence, they need to be maintained in memory and associated as the phrase is being processed. Once the mean-
ing of the phrase has been extracted, it is bound or integrated as a semantic “chunk” that can be mentally manipulated in the context of a larger sentence
(Gibson, 1998; Hagoort, 2005). In this context, it is of interest to mention Glassman’s (2003) conception of two phenomenal levels during working memory
operation, binding together of many attribute representations within each respective memory “chunk,” and then the combinatorial play among three or
four distinct chunk representations. Anatomical details are not intended to be speciWc. The Wgure is a modiWcation and composite of Fuster’s (2003)
Fig. 7.9 and Pulvermüller’s (2005) Fig. 1.
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F. Aboitiz et al. / Brain and Language 98 (2006) 40–56 49
long-distance dependencies present in both embedded
phrases and syntactic movement (see also Pinker, 1995).
Short sentence processing imposes a rather small load on
working memory capacity, and does not require a special-
ized or too elaborate short-term memory network. Process-
ing simple but relatively long, canonical sentences, in which
head-dependent relations have to be maintained for sometime until the phrase ends being processed, impose an addi-
tional load on memory and require relatively more robust
networks. Finally, transformational movement imposes even
higher memory loads, thus requiring the activation of more
complex networks. In human evolution, those individuals
able to develop more robust short-term neuronal networks
were able to mentally manipulate the components of a sen-
tence, thus communicating more complex messages, and
selecting what to communicate in diV erent circumstances.
This permitted them to cooperate better and to establish
stronger social bonds. An “expanding spiral” developed
between increased working memory capacity and more
complex communication, resulting in the evolution of rela-
tively intricate recursive abilities. Nevertheless, it is necessary
to note that perhaps not all syntactically ordered languages
have the properties of recursion claimed by Hauser et al.
(2002). The amazonian language Piraha has been claimed to
lack any evidence of recursion (Everett, 2004; see also Pinker
& JackendoV , 2005) but has a clear phonology, morphology,
syntax, and sentence organization. It is not clear if this lan-
guage never had recursion or lost it, but in the case that this
Wnding is conWrmed, it would indicate that syntactic lan-
guages may exist in which there are no recursion rules. Thus,
it is conceivable that modes of communication with primi-
tive syntactic rules, not including recursion (in the sense of phrase movement properties), but being speciWc on other
attributes such as word order and agreement, preexisted to
more complex languages. With the involvement of increas-
ing working memory resources, these languages tended to
evolve toward more complex, recursive grammars.
8. Models and experimental studies on working memory and
syntactical movement
In the past, short-term memory was seen by some scholars
to be a mere constraint that puts limits to syntactic process-
ing (Miller & Chomsky, 1963), while more recent authorsconsider that it has a much more active role in parsing (Gib-
son, 1998; Just & Carpenter, 1992; King & Just, 1991; King &
Kutas, 1995; see also Müller & Basho, 2004). In fact, it has
been proposed that short-term memory mechanisms make it
possible to maintain distinct linguistic elements on line while
a larger structure is being processed (Gibson, 1998, 2000; Just
& Carpenter, 1992). In these views, syntactical parsing
involves two kinds of processes: integration and short-term
memory. Integration refers to the cost of integrating distant
head-dependent relations in a phrase, which may neuro-
physiologically relate to a “binding” mechanism that glues
perceptual (lexical) elements into a coherent frame (Hagoort,
2003, 2005; Schoenemann, 1999; see Fig. 2). Interestingly,
beside language, Broca’s area has been also involved in musi-
cal processing, and the integrative mechanisms involved have
been proposed to be similar to those for syntactic parsing
(Patel, 2003; Patel, Gibson, Ratner, Besson, & Holcomb,
1998; although some argue that they are perhaps not so simi-
lar to the linkage of phonology to the lexicon or the way in
which syntax supports a compositional semantics). Gibson(1998) also claims that there are memory costs associated
with the resources required to store the incomplete current
input string as it is being processed, in order to appropriately
assign thematic roles onto syntactic constituents. Gibson
hypothesizes that each element that does not yet have a the-
matic role (such as “agent,” “patient,” etc.) while the sen-
tence is being processed imposes a burden on working
memory. As we have discussed above, the neural networks
involved in these processes include language-related areas
(especially Broca’s area and its vicinities), but are also highly
widespread by virtue of the associative nature of these mem-
ories. In this line, intracranial recording studies have revealed
that neurons that participate (but are not necessarily essen-
tial) in verbal short-term memory are widely spread in both
hemispheres (Ojemann, SchoenWeld-McNeill, & Corina,
2002). Furthermore, individual neurons usually relate to only
one mnemonic function and are surrounded by nearby neu-
rons having diV erent relationships, which suggests the exis-
tence of interlacing networks, especially well suited for
associative interactions (Ojemann, 2003).
Interestingly, Broca’s aphasics seem to have a speciWc
impairment in tracking the traces that connect components
with their extraction sites during syntactical movement
(Grodzinsky, 2000). Some authors claim that the inability
of Broca’s aphasics to track traces may reXect a workingmemory deWcit (for example, Hickok, 2000; Müller, 2000;
Stowe, 2000; Szelag & Pöppel, 2000). Furthermore, recent
imaging analyses have shown that diV erent forms of syntac-
tic movement speciWcally activate the same cortical regions:
the left inferior frontal gyrus and bilaterally, the posterior
superior temporal cortex (Ben-Shachar, Hendler, Kahn,
Ben-Bashat, & Grodzinsky, 2003; Ben-Shachar, Palti, &
Grodzinsky, 2004), which is anatomically consistent with
the activation of an auditory short-term memory circuit
(Gottlieb et al., 1989; Pasternak & Greenlee, 2005; Roman-
ski, Bates, et al., 1999; Romanski, Tian, et al., 1999). Other
functions, regulating intra-sentential dependencies that are
diV erent from syntactic movement, seem to be related to
activation of other regions such as the anterior insula, ven-
tral precentral sulcus, and the superior frontal gyrus (Grod-
zinsky, in press). Much recent evidence indicates that
Broca’s area is speciWcally activated with syntactic move-
ment and during processing of long-distance dependencies,
which are considered to imply working memory costs
(Caplan & Waters, 1999; Caplan et al., 1998, 2000; Cooke
et al., 2002; Fiebach et al., 2002; Friederici, 2004; Kaan &
Swaab, 2002; King & Kutas, 1995; Stromswold, Caplan,
Alpert, & Rauch, 1996). For example, in an fMRI study,
Cooke et al. (2002) report that the left inferior frontal cor-
tex is recruited to support the cognitive resources required
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50 F. Aboitiz et al. / Brain and Language 98 (2006) 40–56
to maintain long-distance syntactic dependencies during
the comprehension of complex grammatical sentences. Fie-
bach et al. (2002) were able to dissociate memory and inte-
gration costs by using subject-initial and object-initial, long
and short wh-questions. Object-initial sentences were
highly dependent upon the subject that would be encoun-
tered later, while subject-initial sentences do not depend of the later appearance of an object argument. Thus, long,
object-initial sentences required a higher memory load but
the same integration costs as long, subject initial sentences.
In these conditions, the authors reported a sustained nega-
tivity over the left frontal scalp that was maximal for long
object wh-questions. In a subsequent study, the same
authors found that Broca’s area (particularly area 44) was
especially activated when processing complexly embedded
sentences, in comparison with similar grammatical struc-
tures which put less load on working memory (Fiebach
et al., 2005). These authors conclude that this evidence
strongly supports the role of Broca’s area in syntactical
working memory processes.
Summarizing, evidence suggests that short-term memory
mechanisms do more than putting limits to syntactical pro-
cessing; they rather play an important role in this phenome-
non. Furthermore, we concur with Fuster (1995a, 1995b)
and others in that the kind of memory involved in syntacti-
cal processing is based on the transient activation of associa-
tive networks in the cerebral cortex, and is in principle not
diV erent than other forms of cortical memory, whose precur-
sors can be found in the monkey brain. Admittedly, we are
not claiming that language and syntax can be fully explained
by memory mechanisms. There are many elements of pho-
nological, lexical, and syntactical processing such as the met-rical structure of words, inXectional rules, recognition of
syntactic components and other phenomena that may well
be language-speciWc, and are not easily explained by mem-
ory mechanisms or by current cognitive theories (Pinker &
JackendoV , 2005). Language is clearly a complex adaptation
involving specializations in perception, production, and pro-
cessing at several levels. Other cognitive phenomena, such as
the ability to recognize actions, categorizing, or problem-
solving, are strongly implicated as well and may have served
as prerequisites for linguistic evolution (Fadiga & Craighero,
2004; Gallese, 2003; Langacker, 1987, 2000; Mandler, 2004;
Nelissen et al., 2005). Nevertheless, we mentioned above that
active memory is deWned in the context of near-future
behavior, i.e., implies manipulation of cognitive items to
attain a Wnal goal. In a similar way, it permits to manipulate
the distinct components of a sentence in diV erent ways in
order to extract meaning. Thus, processes such as categoriza-
tion and problem-solving, although not identical to working
memory mechanisms, are also highly dependent on the on-
line maintenance of information.
9. Modularity or associative networks for working memory?
In the context of this discussion, there have been recent
controversies about the modular nature of the memory
mechanisms involved in syntactical processing. Some
authors contend that the system for syntactical processing
is separate from the phonological, lexical or semantic
domains (Caplan, 1987; Caplan & Waters, 1999; Ferreira &
Clifton, 1986; Martin & SaV ran, 1997; Martin, 1987), while
others consider that grammar is intrinsically linked to them
(Langacker, 2000; Lieberman, 2002). In our view, the verbalworking memory system is not a single indissociable ele-
ment, but on the other hand each component (phonologi-
cal, lexical, and syntactic) is not independent but highly
interacting with the others. This is to be expected if active
memories are essentially associative (Fuster, 1995a). Thus,
there are diV erent but partially overlapping network sys-
tems related to each domain involved in language process-
ing, which is consistent with neurobiological evidence
(Fuster, 1995a, 2003; King & Kutas, 1995; Levy & Gold-
man-Rakic, 2000; Pasternak & Greenlee, 2005; Romanski,
Tian, et al., 1999). This view agrees with fMRI results iden-
tifying three relatively separate regions of functional spe-
cialization in the inferior frontal gyrus: phonology, syntax,
and semantics (for review, see Bookheimer, 2002). There-
fore, lexical networks are diV erent but overlap in important
aspects with other kinds of networks involved in phonolog-
ical and in syntactical processing, which explains why in
some instances increasing syntactic load interferes with
phonological working memory and vice versa (Just & Car-
penter, 1992). In fact, we consider that it is precisely the
overlap between these networks that allows to process sen-
tences as integrated phonological, lexical, and syntactic uni-
ties from which a single meaning can be extracted. Putting
it another way, syntactical working memory needs to be
‘anchored’ in lexical working memory networks in order toidentify the words, their meaning, and their grammatical
properties, while lexical working memory needs to be
‘anchored’ in phonological representations that contain the
acoustic and motor dimensions of the diV erent words. In
the words of Lieberman (2002), “verbal working memory
appears to be an integral component, perhaps the key com-
ponent, of the human functional language system, coupling
speech perception, production, semantics, and syntax” (p.
70). Again, the integration of these diV erent processing lev-
els may be conceived as a “binding problem” in which the
activities associated to each mechanism become coordi-
nated and interdependent (Hagoort, 2005; Singer, 2001).
This view is thus in an intermediate position between those
who consider a separate neural subsystem for each process-
ing domain (Caplan, 1987) and cognitive approaches that
consider grammar and meaning as inseparable components
of language (Langacker, 2000).
10. Discussion
In this article, we have updated some of our previous
proposals (Aboitiz, 1995; Aboitiz & García, 1997) in which
we proposed that the language regions arose as a specializa-
tion of auditory-vocal working memory networks which in
a Wrst instance elaborated into a primitive phonological
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F. Aboitiz et al. / Brain and Language 98 (2006) 40–56 51
loop. Eventually, this apparatus recruited additional mem-
ory networks representing meaning, contributing to the
development of increasingly complex forms of social com-
munication. The expansion of this system allowed the man-
agement of complex utterances in speciWc orderings such as
to convey more detailed meanings and to avoid ambiguity
in communication. The brain regions supporting languageare known to be more extense than the relatively narrow
circuits that we have pointed in this article (Dronkers &
Ogar, 2004; Dronkers et al., 1992; Kaan & Swaab, 2002),
and a more complete discussion of primate–human homo-
logues would, ideally, include these areas too. However, at
this point this would be a too ambitious project and we
have preferred to restrict our analysis to the regions that
have been classically involved with language processing.
The networks involved in syntactical processing are con-
ceived to be more extended than the phonological loop (as
they need to maintain online items more complex than just
phonological representations), but the evidence discussed
suggests that they are still partly restricted to the language-
speciWc regions (especially in the frontal lobe). Our hypoth-
esis is that in the non-human primate, there are much
simpler but comparable networks, which have not acquired
the robustness necessary to maintain and manipulate the
complex information items required for syntactical- and
even less for recursive sentence processing. In other words,
we claim that the issue of the appearance of some syntacti-
cal rules, including the recursive properties in language pro-
cessing, were behavioral innovations that became possible
due to the elaboration on preexisting neural networks,
whose function was (and is) to maintain items online dur-
ing the execution of a speciWc behavior. In order to developthese more stable and robust networks, a conversational
ability must have existed in which individuals were able to
engage in reciprocal phonological (and meaningful) inter-
actions for suYcient time, to permit the maintenance of a
“state of mind” that captured attentional and memory
resources. Cultural evolution may have provided a means
for increasing the complexity of these networks. The mod-
ern human brain had already acquired its actual size about
195,000 years ago (MacDougall, Brown, & Fleagle, 2005),
long before there were any signs of cultural activity indicat-
ing complex symbolic thinking, which date from about
75,000 years ago (Henshilwood, d’Errico, Vanhaeren, van
Niekerk, & Jacobs, 2004). This suggests that increasing
brain size was not suYcient for a fully developed language,
and that further cultural evolution was essential for lan-
guage acquisition. The developing cerebral cortex is capa-
ble of incredible plastic rearrangements in response to
environmental (and social) stimuli (Krubitzer & Kahn,
2003). Thus, cultural selection of behaviors including
increasingly more sophisticated social interactions, tool
manipulation, and other elaborate conducts may have
provided the means to develop increasingly elaborate
short-term memory network systems, linking phonology,
meaning, and syntax (Aboitiz, 1988). On this point, we may
agree with Arbib (2005), who makes the explicit claim that
human brain size evolution was not driven by the need for
syntax, but only by the demands of protolanguage, with
syntax being the fruit of cultural evolution. Nevertheless,
this does not exclude the possibility of continuing genetic
selection for the development of highly tuned sensorimotor
circuits, which permitted better cortical control and more
eYcient memory networks within the context of a Wxedbrain size (Aboitiz, 1988, 1995). Finally, there is recent evi-
dence in humans of rapid adaptive evolution of at least two
genes controlling brain size, which suggests that genetic
evolution of the human brain is still an undergoing process
(Evans et al., 2005; Mekel-Bobrov et al., 2005).
The present perspective has been discussed in the context
of two current hypotheses on language evolution. The Wrst
comes from students of mirror neurons for grasping, who
claim that a mirror system was essential for the evolution of
a brain that could support language. As mentioned, we
agree that a mirror system may have been especially impor-
tant for recognizing actions and for the development of imi-
tative capacities, which in turn were essential for the
development of a phonological loop and other cognitive and
linguistic capacities. We are more wary on the assumption
that there was an initial, symbolic hand-signing stage prior
to the origin of speech. We consider that this presumed stage
is not yet backed by suYcient evidence and there are simpler
alternatives, such as the acquisition of a vocalization mirror
system in early hominids within the context of a multimodal
vocal–gestural communication system. In this sense, the
recent Wnding by Petrides et al. (2005) of orofacial neurons
in the macaque’s area 44 may point to a brain location in
which associations between speciWc vocalizations and facial
gestures are performed. Furthermore, even in the case thathand-signing served as an initial scaV olding for the develop-
ment of vocal linguistic abilities, the subsequent evolution of
the language areas was in our view, highly dependent of the
development of auditory-vocal short-term memory net-
works that are present in non-human primates. The second
perspective relates to the generativist approach whose expo-
nents, in their latest writings, have proposed that the capac-
ity for recursion is unique to human language (which might
be correct), and is unlikely to have originated by natural
selection since it is a single characteristic, not arising as the
result of sequential steps (Hauser et al., 2002; this perspec-
tive has been contested by Pinker & JackendoV , 2005; and
see reply by Fitch, Hauser, & Chomsky, 2005). In our view,
whether the behavioral phenomenon of recursion is indeed
unique to human language, and whether there are simpler
and more complex (derived) forms of recursion in diV erent
languages remain as empirical questions. However, we also
consider that the acquisition of recursion has been only pos-
sible through the increasing complexity of the short-term
memory networks involved in meaningful communication,
which most likely has been a gradual process (via either cul-
tural or genetic evolution).
There have been other neurobiological theories of early
speech evolution, and we will mention only a few of them.
The motor theory of speech perception claims that the
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52 F. Aboitiz et al. / Brain and Language 98 (2006) 40–56
listener processes speech by comparing the input with a
motor template for speech production (Liberman & Mat-
tingly, 1985). Another proposal is the concept of categori-
cal perception, where speech sounds are not directly
translated into their acoustical parameters but rather are
labeled within distinct phonological categories (Kuhl,
1992). These two theories are entirely consistent with theexistence and evolution of a phonological loop (see Lie-
berman, 2002). Finally, there is the concept of selection
for precise motor timing which permitted the complex
articulation of speech movements (Dronkers & Ogar,
2004), which were related with the acquisition of other
Wne motor tasks such as object manipulation and stone
throwing (Calvin, 1983). Again, this idea is complemen-
tary to our proposals, although as said we are not sure
that control of hand coordination was a strict requisite
for the evolution of vocal communication. Rather, the
two evolved together, in an intimate relationship.
Finally, although relying on relatively few genetic
changes (Culotta, 2005), language and human communi-
cation involve modiWcations at several functional levels,
including gross morphology, motor control, perceptual
mechanisms, and the elaboration of speciWc neural net-
works participating in higher aspects of phonological, lex-
ical, and semantic processing. Our emphasis in this article
has been to point to neural structures and networks that
participate in certain aspects of language processing, and
tracking these to more simple networks in the primate
brain, which have a similar topographic organization as
in the human and participate in similar processes. We
consider that this evidence makes a case for evolutionary
continuity (homology) between the respective neural sys-tems.
Acknowledgment
This work was supported by the Millennium Nucleus for
Integrative Neuroscience.
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