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J. ALLAN HOBSON, MD
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v
Introduction xi
1 What is dreaming? 1
6 Disorders of dreaming 88
Conclusion 158
Index 161
vii
1 Does everyone dream? 11
4 Do animals dream? 57
viii
1 The Nightcap 14
ix
1 Two models that offer different explanations of the altered
state of dreaming 18
X
D
reaming has fascinated humankind since the dawn of
r e c o r d e d history. As dreaming is so vivid, so c o m p l e x ,
and so e m o t i o n a l , it has inspired religious m o v e m e n t s ,
artistic representations, and introspective scientific theories. All
of these p r e - m o d e r n expressions have b e e n based on the idea
that dreams contain messages that cannot be delivered in any
other way.
Thus, it was thought by the early Judaeo-Christians that G o d
communicated his intentions via certain prophets to his human
subjects. This c o n c e p t was the c e n t r e p i e c e of medieval dream
theory with its postulates of the ' G a t e s of H o r n and I v o r y ' .
Religious r e f o r m e r s such as E m m a n u e l Swedenburg w e r e able to
m e e t G o d ' s angels in dreams and he thereby received instruc-
tions about founding the C h u r c h of the N e w J e r u s a l e m .
Early W e s t e r n artists, such as G i o t t o , used dreaming as a
vehicle for the pictorial representation of prophetic inspiration.
Sleeping saints and c h u r c h m e n are shown in the same pictorial
frame as the visions that their dreams inspired. In m o d e r n art,
the surrealists expressed through their wild paintings the convic-
tion that dreaming was a m o r e authentic state of consciousness
than waking. Salvador Dali, M a x E r n s t , and R e n e M a g r i t t e all
painted in dream language. Dali was the m o s t surreal, E r n s t the
most psychoanalytic, and M a g r i t t e the m o s t neuropsychological
of these artists.
xi
Introduction
xii
I
What is dreaming?
W
hat causes dreaming? W h y are dreams so strange?
W h y are they so hard to r e m e m b e r ? A t r u e s c i e n c e
of dreaming requires a reliable definition that can
lead to the reliable identification of this state and m e t h o d s of
measuring its properties. During the c o u r s e of w o r k on the
brain, which led to the suspicion that it might be brain activation
in sleep that causes dreaming, we realized that the m o s t scien-
tifically useful way to define and measure dreaming was to focus
on the formal features rather than the c o n t e n t b y this is m e a n t
the perceptual (how we p e r c e i v e ) , cognitive (how we t h i n k ) , and
emotional (how we feel) qualities of dreaming, whatever the
details of the individual stories and scenarios might b e .
T h e radical change in emphasis, from the analysis of c o n t e n t
to the analysis of f o r m , exemplifies what scientists call a para-
digm shift (a rapid change in pattern or t h e o r y ) . T h r o u g h a
formal approach, we found an entirely n e w and different way of
looking at a familiar p h e n o m e n o n . W h e r e a s previously students
i
What is dreaming?
2
What is dreaming?
have any blue rooms). The paint sprayer is a tank device of the type used
to apply copper sulphate to grapevines or to exterminate cockroaches.
Suddenly, the paint is being sprayed not only on the wall but upon a
painting hanging on the wall.
My fears are confirmed. I yell at Richard to bid his friend stop.
3
W h a t is dreaming?
4
W h a t is dreaming?
5
What is dreaming?
6
What is dreaming?
7
What is dreaming?
10
W h a t is dreaming?
11
What is dreaming?
13
What is dreaming?
(b)
Eyelid
movements
Head
movements
4
W h a t is dreaming?
Summary
It is ironic to note that the first task of a science of the m i n d t o
describe, define, and measure polar states of consciousness such
as waking and dreaminghas only recently assumed a serious
status. Although artists and poets have long championed this
approach and have appropriately celebrated the differences
between conscious states, scientists have shied away from their
study because they had no objective measures of subjective
e x p e r i e n c e and because subjective e x p e r i e n c e was considered to
15
W h a t is dreaming?
16
2
A
lthough there w e r e a few i m p o r t a n t predecessors of the
formal approach to dreaming described in Chapter 1,
most dream theorists preferred to focus on c o n t e n t .
Impressed with the apparent unintelligibility of dreams, these
theorists assumed that there was a rebus, or transformational set
of rules (algorithm), which presented the d e e p e r meanings of
the dream in disguised symbolic, metaphorical, and sensory
t e r m s . Interpretation has always b e e n the main goal of c o n t e n t
analysis, whether for medical diagnosis (in the hands of the early
G r e e k s ) , fortune telling (in the w o r k of A r t e m i d o r u s ) , religious
prophecy (in the B i b l e ) , or psychological divinations (in the
proto-scientific schema of Sigmund F r e u d ) .
As he was so close to us in t i m e and spirit, and because our
brain-based theory is so different from his, in this chapter we
focus on Freud's psychoanalytic m o d e l as it was developed in his
Project for a Scientific Psychology ( 1 8 9 5 ) and The Interpretation of
Dreams ( 1 9 0 0 ) . Freud wanted his psychology to have a solid
17
W h y did the analysis of dream content fail to become a science?
D L P F C , dorsolateral prefrontal c o r t e x .
18
Why did the analysis of dream content fail to b e c o m e a science?
19
W h y did the analysis of dream content fail to become a science?
20
Why did the analysis of dream content fail to b e c o m e a science?
'Why does the eye see a thing more clearly in dreams than when
awake?'
naturalistic answer:
2 I
Why did the analysis of dream content fail to become a science?
23
Why did the analysis of dream content fail to become a science?
26
Why did the analysis of dream content fail to b e c o m e a science?
27
W h y did the analysis of dream content fail to become a science?
t h
the 1 9 c e n t u r y , famous as the father of British Associationism.
Associationism asserts that m e m o r y is organized according to
categorical similarities among o b j e c t s , people, ideas, and so on,
to every category of c o n t e n t . A good e x a m p l e , from my Richard
Newland dream in Chapter 1, is the associative linking of spray
painting with sulphating of grapevines. Although the purposes
are very different, the processes are s i m i l a r t o cover a large
surface area with liquid, it is useful to turn the liquid into tiny
particles and to spread these via a pressurized vapour system.
A n o t h e r e x a m p l e , in the R e d Car dream, is the association of the
hallucinated car crash with my son's accident.
28
Why did the analysis of dream content fail to b e c o m e a science?
29
W h y did the analysis of dream content fail to become a science?
30
Why did the analysis of dream content fail to b e c o m e a science?
32
Why did the analysis of dream content fail to b e c o m e a science?
13
Why did the analysis of dream content fail to b e c o m e a science?
34
3
C
onsciousness is so rapidly and dramatically reduced dur-
ing sleep that it was natural to assume that the brain
simply turned off at sleep onset and t u r n e d on again j u s t
before awakening. Indeed, s o m e people do sleep all night in that
deep, oblivious, and uninterrupted way. S o m e , but by no m e a n s
all. And no one sleeps that way all the t i m e . T h e r e are periods of
life change and stress when mental activity seems to go on all
night. Are these to be attributed to our n o t really being able to
sleep at such times? Perhaps. But what about dreaming? H o w
could such elaborate and exciting mental activity arise in an
inactive brain?
This question was answered in a wide variety of e r r o n e o u s
ways. As dream recall was generally p o o r and n e e d e d awakening
to be present at all, many scientistsSigmund Freud among
t h e m w r o n g l y assumed that dreaming o c c u r r e d only in the
instant before awakening. N o w it is certainly true that dreaming
can o c c u r just before awakening. And we have already n o t e d that
J5
How is the brain activated in sleep?
36
How is the brain activated in sleep?
17
How is the brain activated in sleep?
39
How is the brain activated in sleep?
4
How is the brain activated in sleep?
Behaviour
Awake
Polygraph
EMG
EEG
EOG
Sensation and
perception
Thought
Movement
41
How is the brain activated in sleep?
42
How is the brain activated in sleep?
43
How is the brain activated in sleep?
44
How is the brain activated in sleep?
45
How is the brain activated in sleep?
46
How is the brain activated in sleep?
to the succession of slides of large slabs of the cliff side. Each time I take a
step, some of the granite falls away. These huge chunks of rock make not a
sound as they fall, out of view, to my left. Finally, with relief, I am at the
summit, which is a grill-like threshold on to which I level myself with two
hands. I thank my benefactresshostess (C.?)for having prepared me
to cope with this hazardous ascent.
47
How is the brain activated in sleep?
48
How is the brain activated in sleep?
49
How is the brain activated in sleep?
50
How is the brain activated in sleep?
51
How is the brain activated in sleep?
52
4
B
y 1 8 9 0 , the scientific world was aware that the brain
consisted of billions of individual cells called neurons
( 1 0 0 billion at the last c o u n t ) . In the first half of the
twentieth century, while sleep and dream science w e r e being
prepared at the m o r e global level of the e l e c t r o e n c e p h a l o g r a p h
( E E G ) , neurobiologists w e r e learning m o r e about neurons than
had even b e e n imagined in anyone's speculative p h i l o s o p h y
and that anyone includes Sigmund Freud, Charles S h e r r i n g t o n ,
and Ivan Pavlov.
Among other things, by 1 9 5 0 it had b e c o m e clear that, as
each neuron was bounded by a s e m i p e r m e a b l e m e m b r a n e , it had
the capacity to c o n c e n t r a t e an electrical charge across that m e m -
brane by actively pumping ions such as sodium, potassium, and
chloride in and out of the cells. This m e m b r a n e potential, as it
was called, could be raised (inhibition) or lowered ( e x c i t a t i o n ) as
a result of the influence of chemical m o l e c u l e s s e c r e t e d by
neighbouring neurons, which delivered their influences via
5i
Cells and molecules of the dreaming brain
SS
Cells and molecules of the dreaming brain
56
Cells and molecules of the dreaming brain
Do animals dream?
All mammals have the same kind of brain activation during sleep
as humans. W h e t h e r or not they dream is another question,
which can be answered only by posing another one: Do animals
have consciousness? The answer to that question has been hotly
debated. Many scientists today feel that animals probably do
have a limited form of consciousness, quite different from ours
in that it lacks language and the capacity for propositional or
symbolic thought.
57
Cells and molecules of the dreaming brain
58
Cells and molecules of the dreaming brain
59
Cells and molecules of the dreaming brain
60
Cells and molecules of the dreaming brain
61
Cells and molecules of the dreaming brain
62
Cells and molecules of the dreaming brain
63
Cells and molecules of the dreaming brain
64
Cells and molecules of the dreaming brain
and fill in the dots with a host of questions that are designed to
express your curiosity about as-yet unexplained details, and
defend yourself against the humiliation of having your dreaming
reduced to a brain state? You k n o w that you are m o r e than a
brain state, d o n ' t you? But how do you k n o w that? By your
65
Cells and molecules of the dreaming brain
66
Cells and molecules of the dreaming brain
Chemical microstimulation
Once the behaviour of the serotonin- and noradrenaline-
containing neurons of the brain s t e m had b e e n r e c o r d e d with
m i c r o e l e c t r o d e s and charted across the sleep c y c l e , it was nat-
ural to wonder what would happen if we c o n d u c t e d m o r e active
experiments by intentionally interfering with their natural pro-
pensities. T h e e x p e r i m e n t a l technique called c h e m i c a l m i c r o -
stimulation was devised, and it proved to be highly successful in
studying yet another neuromodulatory system of the brain s t e m ,
the cholinergic system, so named because its effects on target
neurons are mediated by acetylcholine, a m o l e c u l e long k n o w n
to effect m o v e m e n t by changing the charge of ( i . e . depolarizing)
muscle fibres and causing t h e m to c o n t r a c t and m o v e our limbs.
As it turned out, acetylcholine was a p r i m e m o v e r n o t only
67
Cells and molecules of the dreaming brain
68
Cells and molecules of the dreaming brain
69
Cells and molecules of the dreaming brain
7
5
W
e have already given our answer to the question of
why we dream based on physiological m e c h a n i s m s :
because the brain self-activates in sleep. We have
already hinted that dreaming itself may be an e p i p h e n o m e n o n of
brain self-activation, so dreaming may o c c u r for reasons that are
quite different from those that we would infer from the psycho-
logical study of R E M sleep dreaming.
In the last chapter we n o t i c e d , moreover, that rapid eye
m o v e m e n t ( R E M ) sleep always involves intense brain self-
activation, occurs in all mammalian species, and is carefully
controlled by a genetically regulated c h e m i c a l system. T h i s
means that, without a doubt, R E M sleep is i m p o r t a n t to m a m -
malian biology. It is highly conserved across species, quantita-
tively regulated within species, and varies with the stages of
brain development. In this chapter, we e x a m i n e the last t w o
points by considering the changes that o c c u r during develop-
m e n t , and the effects of upsetting the system by making R E M
sleep impossible or, at least, very difficult.
71
W h y dream? T h e functions of brain activation in sleep
Do babies dream?
T h e human n e w b o r n baby offers o n e of the best opportunities
to o b s e r v e R E M behaviour directly. This is not only because
R E M o c c u r s at sleep onset (as Eugene Aserinsky noticed in the
young participants in his studies), but also because the move-
m e n t s associated with the pulse-like aspects of brain activation
are m o r e intense and less c o m p l e t e l y inhibited than they are in
adults. Consequently, n o t just humans, but n e w b o r n s of all
species show dramatic muscle twitches of the limbs and trunk,
together with highly expressive contractions of the facial
muscles: as if dream e m o t i o n s w e r e being read out directly.
Babies show pleasure, fear, surprise, and disgust in the facial
expressions of R E M sleep. Do they feel these emotions? Are
these e m o t i o n s the building blocks of dreams? In short, do
babies dream? O u r scientific answer to these rhetorical ques-
tions must be ' W e d o n ' t (and c a n ' t ) k n o w ' . But our personal
inclination might well be 'why n o t ? ' .
T h e human fetus begins to show highly organized and spon-
taneous m o v e m e n t very early in its uterine life. By 30 weeks of
gestation, these movement patterns within the organism
include the eyes ( R E M s ) , the face (early or primordial e m o -
t i o n ? ) , and the limbs (primordial l o c o m o t i o n ? ) . All of these
findings have profound implications for our c o n c e p t of the
brainmind and how it develops. Clearly, nature has provided its
m o s t elaborate c r e a t i o n t h e human brainmindwith its own
means of self-activation. In his r e c e n t b o o k , I of the Vortex, the
neurophysiologist Rodolfo Llinas has suggested that endogenous
motility c o n t r i b u t e s to the fundamental sense of agency that is
the essence o f self-hood!
So we sleep, perchance to d r e a m . And we dream, perforce
Why dream? T h e functions of brain activation in sleep
73
Why dream? The functions of brain activation in sleep
74
Why dream? The functions of brain activation in sleep
panels,from the outside. 1 noticed that wooden wedges had been inserted
between the window frames and the panels, an elaborate contrivance for
which the function was not apparent. It seemed odd that the panels
would be so spaced rather than fitting flush.
I gave up on the shortcut exit plan and started back to the lobby.
Then the scene shifted to a classical temple, Greek or Egyptian.
There was a narrow stair passing below a stone arch with a prominent
keystone. I remarked how one of the pleasures of working at Harvard
was exposure to beauty. This seemed to explain the strange scene shift
adequately.
But, abruptly, I was walking on a Vermont hillside, covered with
snow, looking for an old woman. The snow was slightly off-white mak-
ing me wonder if there were fresh manure just under the surface. Despite
the risk, I decided to eat some snow to quench my thirst. It was tasteless.
I was then talking with someone like Marshall Newland about the
old woman whom I had not yet reached. He offered an aphorism that
seemed, in typical Vermont fashion, to sum up the situation:
7 may be bard to find, but when you get there, you can count on
my presence.'
This seemed to mean that reliability was the reward of persistence.
7S
W h y dream? T h e functions of brain activation in sleep
Do fetuses dream?
In the w o m b ( o r u t e r u s ) , at 30 w e e k s ' gestation, the human fetus
is spending almost 24 hours of each day in a brain-activated
state that constitutes a first level of R E M sleep. At birth, an
unequivocal R E M sleep state occupies at least half of not less
than 16 hours of sleep each day. This guarantees at least eight
hours of automatic, off-line brain activation each and every day.
Ask y o u r s e l f why? And let your answer run its full course: to
develop the human brain. To make up the m i n d i n a word
to b e c o m e an increasingly effective mover and an increasingly
distinctive self.
S o , it probably d o e s n ' t really m a t t e r whether babies dream
e x c e p t in so far as subjectivity must develop part and parcel
with m o v e m e n t c o m p e t e n c e , i f the hypothesis o f m o v e m e n t -
agencyself is to have any credibility at all. By now, we can
certainly r e j e c t as gratuitous any assumption that infantile
dream c o n t e n t is meaningful or fulfils wishes in a psychoanalytic
sense. Far from indicating psychological defensiveness, the early
o c c u r r e n c e of m o t i o n and e m o t i o n in R E M sleep argue for the
opposite: a redundant, reliable, and remarkable offence
designed to self-organize behaviour and tie it to subjectivity.
Figure 5 illustrates the dramatic changes that o c c u r in sleep and
waking during the human life c y c l e .
W h y do babies have so m u c h R E M sleep? W h a t shuts the
system down as d e v e l o p m e n t proceeds? T h e s e important ques-
tions have n o t yet b e e n answered definitively because the study
of sleep d e v e l o p m e n t is still (please pardon the expression) in
76
Why dream? The functions of brain activation in sleep
1. The brain stem: as the seat of the most primordial (first-line) regula-
tory systems (temperature, cardiovascular, and respiratory to
name three), the brain stem must develop earlier than the upper
brain, in particular earlier than the part of the brain housing the
thalamus and cortex (thalamocortical brain) which will later
support the emergence of consciousness.
2. The cholinergic system of the brain stem: as the mediator of internal
bodily (endogenous) activation, this system must develop earlier
than the serotoninergic and noradrenergic systems (i.e. systems
involving the chemicals serotonin and noradrenaline), which will
be needed as the individual shifts priority from sleeping to waking.
3. Later development of the other systems of chemicals known as amin-
ergic systems (chemicals include histamine and dopamine) is what
77
Why dream? T h e functions of brain activation in sleep
78
Why dream? T h e functions of brain activation in sleep
79
W h y dream? The functions of brain activation in sleep
80
Why dream? The functions of brain activation in sleep
81
W h y dream? T h e functions of brain activation in sleep
82
Why dream? T h e functions of brain activation in sleep
83
W h y dream? T h e functions of brain activation in sleep
84
Why dream? The functions of brain activation in sleep
85
W h y dream? T h e functions of brain activation in sleep
86
Why dream? The functions of brain activation in sleep
87
6
Disorders of dreaming
I
n this chapter, we l o o k at the way in which the brain systems
mediating dreaming can b e c o m e exaggerated or distorted,
with u n w e l c o m e c o n s e q u e n c e s . H e r e , we are on the edge of
the m e d i c i n e of sleep disorders, a topic of great interest to
m o d e r n sleep s c i e n c e .
88
Disorders of dreaming
89
Disorders of dreaming
Time (minutes)
90
Disorders of dreaming
Sleep walking
Sleep walking, sleep talking, and t o o t h grinding are three of the
so-called parasomnias, m o v e m e n t ( o r m o t o r ) behaviours that
o c c u r unexpectedly during sleep. W h e n we recall that the
answer to so many of our questions has b e e n brain activation in
sleep, it will not be surprising to n o t i c e that all three of these
m o t o r behaviours are a function of the activation of the m o v e -
m e n t systems in subcortical brain t i s s u e t h e m o t o r pattern
generators (or M P G s ) that are referred to in Chapter 4. T h e
m o t o r systems that are activated are activated over and above
the ability of the brain to quell motor output through
inhibition.
During R E M sleep, one o f the m o s t c o m m o n dream
experiences is of imagined m o t i o n . To ensure that we do n o t
move, the system has to run an inhibitory, or b l o c k a d e , process
to stop the m o t o r c o m m a n d s , which are hallucinated by us as
dream m o v e m e n t , from resulting i n actual m o v e m e n t . O n e o f
the ways in which the brain guarantees no m o v e m e n t during
91
Disorders of dreaming
92
Disorders of dreaming
Post-traumatic dreams
W h a t effect does trauma have on dreams? T h e r e are t w o para-
doxically contradictory answers to this question: e n o r m o u s
impact and very little. We d o n ' t understand why, in s o m e cases,
the trauma is almost always dominant and, in o t h e r s , it has such
a small role to play in the shaping of dreams. O n e answer may
be that victims of trauma, e.g. post-traumatic stress disorder
patients w h o have had violent e x p e r i e n c e s in war, have a specific
kind of awakening e x p e r i e n c e . T h e i r sleep is i n t e r r u p t e d by
terrors akin to the night t e r r o r s of children, and, like in the
night t e r r o r s of children, these do n o t o c c u r in R E M sleep w h e n
normal dreaming takes place. Instead, they o c c u r in N R E M
sleep, the phase of sleep in which the brain is less c o m p l e t e l y
activated, but in which powerful e m o t i o n s can nevertheless
make themselves felt.
Individuals w h o have had intrusive and disruptive trauma
may have intrusive and disruptive e m o t i o n a l e x p e r i e n c e s during
sleep, which create states of brain activation of their o w n . T h i s
encapsulation of trauma leaves intact the n o r m a l physiological
process of brain activation in sleep that results in dreaming. This
could help us account for the fact that many individuals w h o
have had traumatic e x p e r i e n c e s (and I am one of t h e m ) never
93
Disorders of dreaming
94
Disorders of dreaming
9S
Disorders of dreaming
96
7
I
f dreaming and the psychosis of waking life are n o t dynamic-
ally interchangeable in the sense of F r e u d ' s m o d e l , h o w
should we conceive of the compelling analogy that exists
between them? After all, dreaming is a psychotic state, and it is as
psychotic a state as we ever e x p e r i e n c e while awake. T h e intern-
ally generated perceptions have the hallucinatory p o w e r n e e d e d
to make us hopelessly delusional. In the face of their detail and
the powerful takeover of our minds, dream hallucinations make
it impossible for us to realize that we are in the grasp of an
altered state of consciousness. We are sure we are awake and
believe our sensesand the associated e m o t i o n s d e s p i t e the
incongruities and discontinuities of dream bizarreness, w h i c h ,
were they to o c c u r in waking, would immediately tip us off.
If these emotions o c c u r r e d while we really w e r e awake, o u r
first reaction to improbable or impossible dream scenarios
would be to say 'Pinch m e , I must be dreaming!'. If that didn't
work, we might try to wake ourselves up. N e x t , we might
97
Dreaming as delirium: sleep and mental illness
98
Dreaming as delirium: sleep and mental illness
99
Dreaming as delirium: sleep and mental illness
age. Suddenly we find out that it happens to all of us, every night
of our lives, and probably m o r e w h e n we are being g o o d than
when we are being bad, and m o r e w h e n we are young than
when we are old!
T h e good news is that all we n e e d to do to cure ourselves of
dream delirium is to wake up. This is a c o m f o r t i n g thought in
m o r e ways than o n e . It means that we can stop the m u s i c if we
d o n ' t like it (as therapists treating anxiety disorders and depres-
sion have discovered), but it also means that the c o n c e p t of
chemical balance, always so seductive and powerful, but, until
now, so vague, can finally be specified. M e n t a l state is a c o n -
stantly negotiated c o m p r o m i s e b e t w e e n the poles of waking
sanity and dreaming madness. T h e following d r e a m shows just
how delirious my own mind can b e c o m e w h e n my brain is
inhibited by the aminergic system and overstimulated by the
cholinergic o n e .
101
Dreaming as delirium: sleep and mental illness
the 'boy' was Ian and that I should not be angry because of his
handicap. He had that professional, holier-than-thou sort of patience
that I myself some days evince when faced with irritated parents of
troublesome children.
'He is around here somewhere.'
He was not but there was an abundance of well-meaning clinical
types, a veritable workshop of do-gooders all of whom were discussing
the wonders of kindness and love. This disarmed me only slightly. I was
still concerned about the fire and eager to punish the fire setter.
Suddenly, there was a complete scene shift. Beside a stream, with
rapid current and much white water, a ball (orange) is seen to shoot out
into the maelstrom. It will certainly be lost if it reaches the waterfall. 1
call out to Julia, who is immobilized, at least to go to high ground so as
to plot the course of the ball. (She has been playing with Karen Lavie
who arrived that day with an orange ball.) Instead, she plunges into the
stream and, with a manly swimmer's stroke, knifes through the current,
seizes the ball, and carries it out the opposite bank. This seems, at once,
miraculous and normal.
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8
S
leep lab dream research very quickly reached a point of
diminishing returns. This was because the one-to-one
dream content theory was too ambitious and too
unscientific to guide a physiological p r o g r a m m e that was t o o
superficial to provide detailed data about the brain. T h e result
was a contentious and unproductive period of sleep and dream
research lasting from about 1 9 7 5 to 1 9 9 5 . Understandably dis-
appointed, the grant c o m m i t t e e s of the A m e r i c a n National Insti-
tutes of Health began to cut funding for sleep labs, especially
those that w e r e engaged in descriptive, correlative work on
dreaming.
D u r i n g this same period, neurophysiological work on sleep
in animals was proceeding apace, providing details about the
brain that could only be tentatively matched with human psy-
chology using the dream f o r m theory. This failed to satisfy many
psychologists, w h o w e r e understandably nervous about the
applicability to humans of cellular and molecular evidence
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T h e new neuropsychology of dreaming
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T h e new neuropsychology of dreaming
IIO
(a) Waking
Posterior Dorsolateral
cingulate prefrontal
cortex
Posterior Dorsolateral
cingulate prefrontal
cortex
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The new neuropsychology of dreaming
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The new neuropsychology of dreaming
I recall saying 'Now, wake up so that you can recall this remark-
able scene!'
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The new neuropsychology of dreaming
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The new neuropsychology of dreaming
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The new neuropsychology of dreaming
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9
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Dreaming, learning, and memory
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Dreaming, learning, and m e m o r y
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Dreaming, learning, and m e m o r y
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Dreaming, learning, and memory
suggested, the previous day, that planes sometimes landed in high moun-
tain Alpswhich I doubted).
As one helicopter neared the uneven ground I noticed that the
pilot was Roger Horn (exhibit designer for Dreamstage)! I cried out
in that silent way of dreamsto him to be careful and suddenly, very
suddenly, the helicopter became a tractor, a farm tractor with big wheels
which, on hitting the ground, flew apart, one large wheel rolling wildly
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Dreaming, learning, and memory
downhill while the rest of the tractor veered to the left with Roger now
running behind.
Like a Chaplin film, it was all very choppy and comicalbut
frightening at the same time. Roger and the tractor now parted com-
pany and I watched as Roger ran headlong into the wall of a shed which
he thumped with his noggin giving a resounding crack and then a
reeling recoil of a dazed Roger.
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10
Dream consciousness
I
n his approach to dream interpretation, F r e u d ' s emphasis
was on the unconscious mind, w h e r e that m e n t a l agency was
viewed as a constantly threatening, barely restrained c o l l e c -
tion of socially and psychologically unacceptable desires. In turn-
ing this idea on its head, and viewing the unconscious mainly as
an ally, and a guide to survival and socially sensible r e p r o d u c t i o n ,
we are redefining the unconscious in a way that demands a n e w
view of consciousness in general and of dream consciousness in
particular. This chapter is designed to describe how m o d e r n
sleep science has contributed to the dramatic progress of the last
decade in understanding the brain basis of consciousness, and
how that understanding has caused us to shift our m o d e l of
dreaming in the direction of altered states of consciousness that
have b e e n r e c o g n i z e d a n d c e l e b r a t e d s i n c e the psychedelic
era of the 1 9 6 0 s .
Before taking up these two t h e m e s , we need to define c o n -
sciousness in a way that is compatible with the formalist
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Dream consciousness
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Dream consciousness
Dream consciousness
W h a t does dream consciousness tell us about all of this? It tells
us, beyond the shadow of a doubt, that our brains are capable of
an impressively r i c h state of consciousness without the aid of
any instantaneous input from the world or output to the world.
Again we know, beyond the shadow of a doubt, that the state of
dream consciousness depends on brain activation in s l e e p
activation, including its p r o p e r t i e s of high-frequency synchron-
ization and c h e m i c a l neuromodulation, which is best provided
by R E M sleep, a brain state that exists before waking and upon
which waking always depends. Of course, the converse is also
t r u e a t least as far as dream c o n t e n t is c o n c e r n e d . We need
conscious e x p e r i e n c e in waking to represent it as such in our
dreams, and we n e e d language to give dream consciousness its
narrative character and to make dream reporting possible.
Dream consciousness
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Dream consciousness
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11
A
s this b o o k has p r o c e e d e d , I have first k n o c k e d Freud
down, then picked him up again, dusted him off, and put
him back on a pedestal. B u t it is n o t the same pedestal on
which I would want to place our own dream t h e o r y . H o w can we
now summarize the similarities and differences of the views of
m o d e r n neuroscience with those of Freudian psychoanalysis? My
colleague B o b Stickgold puts it well when he says, ' F r e u d was
SO per cent right and 1 0 0 p e r c e n t w r o n g ' . In this final chapter
we unpack this paradox, hoping to make clear what speculative
philosophy can and cannot do, and to show that only e x p e r i -
mental brain science can hope to c o r r e c t any picture of ourselves
based on intuition alone.
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The interpretation of dreams
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The interpretation of dreams
Limp legs: I first heard the French expression for this on the day
that I went to a romantic rondezvous that needed to be discreet, to
the Hotel de Beaux-Arts in Villefranche. When I returned to the
lab, Jouvet said that I looked like I had les jambes coupeesan
expression used to describe one who is sexually exhausted. My
excuse to Jouvet for leaving the lab had been to meet my old friend
D.B. at the main university library. I told Jouvet that D.B. had
developed a foot fetish attachment to J . S . and that there were jokes
about D.B.'s homosexuality. But there was nothing homosexual
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T h e interpretation of dreams
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T h e interpretation of dreams
Dream science
T h e scientific m e t h o d was designed to p r o t e c t us from these
e r r o r s of p r o j e c t i o n . A scientific e x p e r i m e n t is an exercise in
the elucidation of cause and the best e x p e r i m e n t s unmask false
causation as m u c h as they demonstrate true causation. In so far
as our n e w dream theory is t r u e , we can predict that brain
activation of a given c h e m i c a l and regional type will always
produce hallucinosis, hyperassociativity, hyperemotionality,
false beliefs, and o t h e r cognitive e r r o r s . This is as far as scientific
prediction can n o w go with dreams, but i t ' s far enough to put
the formal psychological analysis of dreams out of the reach of
c o n t e n t analysis.
We do n o t dream because our unconscious wishes or drives
would, if undisguised, wake us up. We dream because our brains
are activated during sleep, and we do so even if our primitive
drives are turned on by that activation. In fact, such drives are
n o t c o n c e a l e d . Rather, they are revealed in dreams. It is the
specific neurophysiological details of that activation process, not
psychological defence m e c h a n i s m s , that d e t e r m i n e the distinct-
ive nature of dream consciousness.
D r e a m interpretation extends beyond its own narrow bor-
ders. We are all engaged in a kind of dream interpretation all
the t i m e . W h y did so and so say such and such? W h y do I feel
anxious when I pick up the telephone? W h y do I b e c o m e angry
at my daughter-in-law? O u r e x p e r i e n c e with the interpretation
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The interpretation of dreams
I
f the question is how do we understand the mystery of
dreams, the simple answer is that there is no longer any
m y s t e r y a t least no mystery worthy of the creation of
mystical dream theories of the past. Surely, the work of sleep
science is i n c o m p l e t e . We still do n o t know enough about how
the brainmind reorganizes itself during sleep and how dreams
might be used for b e t t e r understanding of this function. But,
clearly, we know that these details are far m o r e likely to reveal
progressive, adaptive information processing during sleep than
we have previously imagined possible.
In the place of dream mystique, we aim to install dream
science. And the dream science we intend to install has a solid
and broad base in neurobiology. T h e r e c e n t development of
dynamic brain imaging t e c h n o l o g y , especially magnetic reson-
ance imaging ( M R I ) , makes this project particularly promising.
For the first t i m e in human history, we can see the regional
activity of the brain as people wake, sleep, and dream. This is a
t r u e renaissance, a genuine revolution, and a major shift in the
scientific theory of the brain and mind is to be anticipated.
As I have endeavoured to point out, nothing less is at stake than a
scientific theory of human consciousness. As we already know that con-
sciousness is a brain Junction, and that the state of the brain determines
the kind of consciousness we experience, we can begin to build a model of
conscious state determination on our solid and broad base in brain
.58
Conclusion
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Conclusion
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