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ASSESSMENT OF SOVIET ELECTRICAL BRAIN
STIMULATION RESEARCH AND APPLICATIONS
SG1 I
Life Sciences Division
OSI/CIA
PREFACE
Electrical stimulation of the brain (ESB) is the process of applying
electrical current to the cortex and deep structures of the brain throug
electrodes implanted by means of stereotaxic surg@IL. The electrodes are
insulated except for a small area around the tip, and application of
electrical current allows the experimenter to stimulate a -red
of the brain. The subsequentiv evoked behavior is observed @nd any
ted to the effect
of the electrical stim-Wa-Umt. ESB is most frequently employed in the US
and Soviet Union to aid the neurological conditions of tremor and spasticity
found in patients with hyperkinesis, epilepsy and Parkinson's disease. The
Soviets are reported to have used ESB on "normal" subjects, those who are
not ill or otherwise, impaired, to elicit a behavior response. This stu
attempts to assess the status of Soviet research in this field and to gau c_ths@
progress, if any, they may have made in applying ESB t(@chniqwQs-Jo
controlling human behavior.
CONCLUSIONS
It is believed that in the USSR normal human
@eings have been used for electrical brain stimula-
tion experiments.
The Soviets appear to have less stringent regulations
on scientific experiments with normal human beings
than does the West and therefore have an advantage,
since an), breakthough in understanding how ESB
affccts complex human behavior will most likely result
from experiments with human subjects.
A survey of -Soviet research on electrical brain
stimu ation to ate as roducerl no ovidonve. that the
__@O_Victs have been able to develop methods of
2Tplex human behavior th 4,SB,
controlling__@ rough
nor that they have found significant applications of
electrical brain stimulation techniques beyond
standard therapeutic uses.
SUMMARY
In 1968 it was reported that the Soviets were The Soviets declared in 1951 that one aim of their
studying the effects of electrical stimulation on physiological research programs was to develop the
normal human brains. This report, and ensuing re- ability to damage, repair, and Control the central
ports, prompted speculation that the Soviets were nervous system at will. During the late 1.950s and early
attempting to develop methods of controlling an 1960s when Soviet scientific research changed rapidly,
individual's behavior or motor responses. it was noted that the Soviets revitalized their interest
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in the biophysics of behavior and were devoting a
larger portion of their resources to the study of human
behavior than was the West.
The method of chronic use of imbedded electrodes
in humans was introduced in the USSR in 1962 by Dr.
Natal'ya Bekhtercva, a leading Soviet neurophysiolog-
ist with an international reputation. In 1966 at a
meeting of French and Soviet scientists Dr. Bckhtereva
reported she was using over 200 human subjects to
study complex aspects of human behavior, memory,
and oncepbalographic measurement. At that time the
physical and mcntal health of the subjects was not
mentioned. In 1968, however, at an International
Symposium devoted to research on the Central
Nervous System, Bekhtereva and Dr. Natalya
Zavalova stated that normal humans had been
subjects in experiments employing depth electrode
implants. According to Bekhtereva, not all of the
human subjects for her experiments were ill or
otherwise impaired. Dr. Zavalova claimed to have
discovered that pilots look significantly less time in
correcting an emergency situation during flight when
electrodes implanted in their brains were stimulated.
In 1972 Dr. N/I.L. Shik, in studying animal physiology
and locomotion at the Gelfand institute, Moscow,
reported that electrical stimulation of the midbrain
evoked many complex motor behavior activities. Dr.
Shik expressed a worry that such research might be
misused by Soviet authorities to control human
behavior by appropriate application of brain
stimulation techniques.
The Soviets use basically the same surgical
techniques as the US for implanting electrodes and
positioning the electrodes in the brain.
Although Soviets scientists have observed a large
variety of responses from motor effects to emotional
reactions there is no evidence that they have
developed methods of controlling complex human
behavior through FSB.
DISCUSSION
Soviet experimentation on electrical stimulation of
the brain with normal human subjects has prompted
speculation that this technique is being developed as a
means of controlling behavior. On the one hand, there
is concern that the behavior of people might be shaped
by stimulation of brain areas controlling muscular
movements, while on the other hand, it is speculated
that the human capacity to resist control could be
effectively eliminated by the administration of
powerful rewards and punishments delivered
electrically directly to the brain. Although numerous
physiological laboratories are actively engaged in
studies of animal physiology involving electrical
stimulation experiments, the Institute of Experimental
Medicine in Leningrad is the only institute reported to
be studying the effects of electrical stimulation on
mentally and physically ill and normal human
subjects.
Although the status of ESB research on animals has
progressed steadily in the Soviet Union, such research
in humans has only recently been done. Prior to the
early 1960s there was virtually no research being
conducted in the Soviet Union on implantation of
recording or stimulating electrodes in the subcortical
regions of the human brain. This hesitancy was in part
possibly the result of an aversion to the type of medical
experiments performed by the Nazis during WWII.
Nevertheless, in 1951. the Soviets openly stated that
one aim of their physiological research programs was
to develop the ability to damage, repair, and control
the central nervous system at will.
During the late 1950s and early 1960s the nature of
Soviet scientific research changed rapidly. Growing
scientific interest in rnilitarv and civilian space
activities, along with an emphasis on scientific
competition with the US, gave impetus to more varied
scientific experiments. Soviet withdrawal from the
rigidly Pavlovian-bound research philosophy led to a
revitalized interest in the biophysics of behavior,
particularly with regard to the bioelectrical features of
subcortical areas of the brain. In the opinion of several
prominent Western scientists who attended a
symposium on Soviet research on the central nervous
system and behavior in 1958, the Soviets were
devoting a larger portion of their manpower, financial,
and institutional resources to the study of human
behavior than was the West. By the mid-1960s this
shift in emphasis of Soviet philosophy and
accompanying research was also reflected in the
widespread use of depth recording in humans. The
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dMONIM
method of chronic use of imbedded electrodes in
humans was introduced in the USSR by Leningrad
researcher Natalya Pctrovna Bekhtereva in 1962.
Since data obtained. in experimental studies in
animals cannot entirely explain the physiology of the
human brain, experiments done with human subjects
provide the most valid data. Most Western scientists
adhere to strict rules limiting their electrode
implantations for diagnostic purposes. Similarly,
much of the research on electrical stimulation of the
brain in the Soviet Union has been conducted
concurrently with the basic clinical activity of
diagnosing and treating patients, particularly those
suffering from severe movement disorders manifested
in Parkinsonism and epilepsy. In these cases,
electrodes are implanted to locate more precisely the
target site in order to make it possible to destroy
smaller amounts of brain tissue. One Soviet scientist
has allowed such electrodes to remain implanted for
periods of several months. A US scientist who visited a
physiology laboratory in Leningrad in 1968 and
observed a depth electrode implantation in a
Parkinsonian patient, reported that the depth
electrode implantations were left in place for up to 6
months. According to the scientist, this was stan ard
practice, Even though there have been cases in the US
in which electrodes have been left in place for 6
Months in treating Parkinsonian and epileptic
patients, it is not standard procedure. Usually the
electrodes are left in place no longer than a month on
the average.
Some of the most sophisticated brain implant work
is reportedly being done by Bekhtcreva, a specialist in
clectrooncephalography (EEG). During her career at
the Leningrad Neurosurgical Institute (from 1954-
1962), Bekhtercva used depth electrodes for EEG
analysis. While at the Neurosurgical Institute she
started using electrodes for stimulation of the brain. In
1.962 the Soviet Academy of Medical Sciences
transferred her to the Institute of Experimental
Medicine where she was placed in charge of the
Department for Applied Neurophysiology. She was
later appointed Director of the Institute and in 1972 it
was reported that she headed a research team of 100
professionals and several hundred technicians. There,
she has implemented a program which concentrates
on human brain work involving the implantation of
electrodes in the brain for varied periods of time.
The Soviets probably also with "normal subjects"-
those with no physical or mental impairment-to
assess the possibility of controlling behavior for other
than therapeutic purposes. Bckhtereva reported in
f966 at a meeting of French and Soviet scientists that
there were 200 human subjects at her Institute with
deep implanted electrodes participating in cxperi-
ments on stimulation control of human behavior,
memory and encephalographic measurement. Her
basic prcrnisc was that [be experimentation was
necessary for the study of illnesses. When questioned
on the number of subjects by a US scientist who
suggested that she meant 20 rather than 200, she
reportedly emphasized that the figure was in excess of
two hundred. When questioned again in 1968, at an
International Symposium on the Central Nervous
System, Bekhtereva would only reply that the subjects
were all Parkinsonian or epileptic patients and that the
number was in excess of 100. However, a distinguished
Western scientist reported that in an informal
discussion, Bekhtereva indicated that not all her
subjects were physically, ill or otherwise impaired.
In the opinion of a US neurophysiologist, if
Bekhtercva poses a requirement to the chairman of the
Soviet Academy of Medicine, the Academy could
arbitrarilv transfer the required number of patients to
her for research purposes. If in fact Bekhtereva has
experimented with normal human subjects, it is highly
improbable that these subjects were volunteers. Unlike
Western medicine, obtaining human subjects for
experimentation has not presented a problem in the
Soviet Union. In the late 1950s Vasi.hy V. Parin,
director of the institute of Normal and Pathological
Physiology, admitted to a visiting Western colleague
that obtaining human subjects for experiments was
absolutely no problem. The use of coercive, often
painful, ' medical treatment tinder the guise of
psychiatric rehabilitation reportedly has been
emploved in the Soviet Union to silence political
dissenters. Prisoners have been injected with drugs that
produce a variety of reactions from Parkinson's
syndrome to stupor. In addition, some prisoners are
reportedly threatened with the use of electrical-shock
11 therapy." Thus, it would probably not be unusual for
Soviet neurophysiologists to perform experiments with
electrical stimulation on human subjects from the
prison population.
The Soviets reportedly also are willing to use
military subjects for electrical stimulation of the brain
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experiments with military application. Dr. Natalva
Zavalova, a Soviet psychologist is reportedly in charge
of psychological testing and training for flight
personnel in the Soviet Air Force. At an International
Symposium devoted to research on the Central
Nervous System in the US in February 1968, Dr.
Zavalova reported that she had implanted electrodes
in the brains of jet pilots. Actually, Zavalova's
experiment was divided into two parts. The purpose of
the first phase of her experiment was to examine the
capability of aircraft pilots to make decisions under
stress. These pilots were placed in either aircraft or
simulators with a second pilot who had been directed
to maneuver the aircraft into dangerous flight
attitudes. The procedures the subject pilots were asked
to perform to correct the "emergency" were not pre-
announced and the "stress" situation in which they
found themselves was reportedly life threatening.
Assessments of their reaction times during response to
the emergency were recorded.
'rho second phase of the experiment was devoted to
examining the impact of electrical brain stimulation
on the capability of aircraft pilots to make decisions
under stress. The'exact same procedures were followed,
however, this time when the plane was maneuvered
into dangerous flight altitudcs, the electrodes in the
pilots brains were simultaneously stimulated.
Zavalova claimed that fear was controlled in the pilots
when the electrodes were stimulated and that this
control was indicated when pilot performance of
emergency procedure checks was reduced from 30 to 5
seconds.
Zavalova indicated that this experiment was
undertaken to aid in the development of reliable
methods for differentiating performance capabilities
of pilots. There was no indication of where the testing
took place. A Nostern scientist who talked to Zavalova
reported that she admitted that her experiments with
Soviet Air Force personnel were not well received by
the aviators. Even though the aviators complied with
all of her requests, there was a strong feeling among
the pilots that her activities were totally unnecessary.
In the open literature reprint of Zavalova's paper only
the first phase of the experiment was discussed. In the
opinion of a US neurophysiologist who knows both
Drs. Bekhtereva and Zavalova, the electrode implant
phase of the study was probably not actually
supervised by Zavalova but rather by Bekhtcrova or
one of hey colleagues at the Institute of Experimental
Medicine.
At the 19th International Astronautics Conference
in October 1-968 from which Zavalova was
conspicuously absent, it was rumored that she had
been temporarily exiled to the Crimea on a six to eight
month forced vacation. if true, it may suggest that she
presented too much information at the earlier
Conference and was in disfavor as was claimed by one
source. Thus the contradiction between the open
literature and what Zavalova reported informally,
along with the rumor of her exile, tends to reinforce
the speculation that Soviet electrical brain stimulation
research with normal subjects is being conducted and
may be partially classified in some instances.
Despite reported experiments with human subjects,
the mechanics of Soviet stcreotaxic surgery appear to
be basically the same as those applied in the US. At
present differences in technique are attributable to
I
the individual scientists' preference rather than a
serious lag in scientific know-how. The most obvious
technical difference is in the material used for the
electrodes. Although many Soviet scientists use
platinum or stainless steel electrodes as in the US,
Bekhtereva's group consistently uses gold. It appears
that they used a number of different metals such as
graphite, silver, and stainless steel before deciding on
gold. Bekhtereva has stated that the use of stainless
steel was discarded due to the high noise levels
associated with the metal. Since the use of stainless
steel has not posed a serious problem for US scientists
since about the 1950s it may be that Bekhtereva's
problem was due to the use of an inferior type of steel.
Electrodes used for stimulation and recording are
usually between 50400 microns in tip diameter.
Electrodes used for lesions may be of similar diameters
or much larger depending on the area to be destroyed.
Although recent US research shows a trend in
decreasing the size of the gross recording electrodes to
reduce trauma during implantation, US neurophysiol-
ogists for the most part use electrodes of approximately
the same tip diameter. Reportedly, in 1968 Bekhtcreva
used the same electrodes for recording and
stimulation. The main drawback with this procedure
is that using the same electrode for stimulation
produces a momentary depolarization thereby
temporarily destroying the effectiveness of the
electrode for recording. According to a US
neurophysiologist, Bekhtereva was aware of this
problem and indicated during an informal discussion
that the problem was "avoided as far as possible."
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Another US neurophysiologist who is well acquainted
with Bekhtercva's work reported in 1975 that most
likely Bekhtereva is using gold electrodes to evaluate
the oxygen content of the tissue and for recording but
that another metal is used for stimulation.
In both the US and Soviet Union, cerebral atlases
are normally used in preparing for the stcreotaxic
operations. In the mid-1960s, Bekhtereva's group
developed a technique for transfer of cartesian to polar
coordinates so that with the use of a computer the
depth and direction of the electrode could be
estimated during surgery. The first stop in the
implantation is to insert one electrode and take X-ray
pictures in several planes. Angles are measured on
these X-ray films and the data is fed to the computer.
The computer then provides an immediate answer
giving the necessary lengths and directions for all other
electrodes. This use of the computer to calculate
electrode coordinates serves not only to reduce the
time involved but also increases the reliability of
hitting preset brain structures with many electrodes
and thus provides comparability of results obtained on
different patients. According to open literature, the
computer used is the Minsk-1. The Minsk series of
computers are most commonly employed in scientific
research. Even though the Minsk-1 is limited in the
type and speed of data input and output and is not
solid-state, it is capable of performing the data
manipulations needed for the stereotaxic surgery.
Soviet scientists also use encephalography to assist
in electrode placement. With the use of an on-line
computer analysis of average EEG frequency the
scientist is able to pinpoint more precisely the position
of the electrodes. With this slight variation, the
contrast roentgenological exams after surgery confirm
the electrode position.
In general the Soviets allocate equipment in terms
of the priority of the research being done. According to
a western scientist who visited Soviet Brain Research
Facilities in 1972, the brain research laboratories bad
comparatively excellent equipment. Ile reported that
about half of the laboratory equipment was made in
Japan, especially the electron microscopes, while
oscilloscopes were of Czechoslovak origin. Hungary
supplied fine mechanical tooling, while most
photographic equipment and film came from East
Germany. Contrary to Bekhtercva's reported use of the
Minsk-1 computer, he reported that most of the brain
research computers were solid-state computers
manufactured in Yerevan, Armenia. The computers
the distinguished scientist saw may have been those
located in a central computer center servicing all the
physiology labs in the institutes and therefore capable
of performing functions other than the basic types of
computer analysis needed by Bekhtereva's group.
Since Bekhtereva is one of the top neurophysiologists
in Soviet electrical brain stimulation research, it is
quite probable that the lab within the Institute of
Experimental Medicine which does the ESB data
analysis has its own computer.
Soviet scientists performing electrical brain
stimulation research have observed both simple and
complex changes in mental activity during these
experiments. Some of these changes include
fluctuations in waking states, simple visual and
auditory hallucination, diverse psychosensory
disturbances and "body scheme" disorders, changes in
memory, mood fluctuations, and development of
attraction to repeated electrical stimulation inducing
pleasant emotions. in general, electrical stimulation of
the brain can produce a large variety of responses,
from motor effects to emotional reactions. Some of
these observations have raised questions among
scientists regarding whether humans can be
manipulated in such a manner that the), can be
transformed (in the words of one Soviet scientist), into
11 robots." This fear has been perpetuated by the fact
that the Soviets appear to have more of an opportunity
to experiment with normal human subjects rather than
any hard and fast statistics on their actual capabili 'ly
to control human behavior through application of
electrical brain stimulation.
Western scientists are in general agreement that
purposive, complex motor behavior cannot be
generated through electrical stimulation of the brain.
Soviet scientists at the Gelfand Institute of
Information Transmission Problems, however, in
studying the physiology of locomotion, have reported
that stimulation of the midbrain region evokes
locomotion in animals including many complex motor
behavior activities such as climbing, jumping,
running, and walking. Although their research does
not indicate that this complex behavior is purposive,
M. L. Shik, a member of Gelfand research team,
expressed fear that such research could be misused by
Soviet authorities.
Although Soviet brain stimulation studies may
provide some information about the way the brain is
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organized to control movements, the inability to
predict the sequeDcc of responses that will be elicited
indicates that this phenomenon has little practical
application. Most Western neurophysiologists believe
that even though the flexion of a limb could be radio
controlled and an emotional state artifically induced,
the sequences of responses and adaptation to the
environment depend on well established intraccrebral
mechanisms whose complexity cannot be duplicated
by electrical stimulation of the brain.
Unique possibilities for studying the ncurophysio-
logical bases of various mental phenomena are pro-
vided by the method of implanted electrodes. No
anatomical structures have been identified by either
US or Soviet scientists which "control" memory
thereby allowing localization of this center. The
currently favored Soviet position regarding the
location of memory is similar to that of the US,
namely, the "functional" centers of memory are
located in a variety of places in the brain and operate
in concert.
Bekhtereva reportedly has found, from stimulation
of the thalamic region, a tendency toward euphoria on
the part of patients which some have interpreted as the
opposite to a fear center. The experiment reported by
Zavalova in which purportedly the fear of pilots in
stressful situations was eliminated was most likely an
attempt to further corroborate evidence of a fear
center.
A neurophvsiologist who visited the Institute of
Experimental -Medicine in Leningrad reported in 1972
that Bekhtcreva's group was planning to treat mental
disorders with electrode implants and noted that this
was a toot of great potential danger. Bekhtereva has
recentlv stated that they arc treating schizophrenia
with efectrical stimulation of [be brain. During this
treatment, electrodes are implanted into the brains of
patient who then leaves the hospital for 6 months.
After the 6 month period, the patient returns for
necessary follow-up treatment. She mentioned that
epilepsy'may be treated by the same procedure. No
f urther' details were given.'Although electrodes have
been implanted in the brains of epileptic patients in
the US for treatment purposes, the implantation of
electrodes in the brains of patients suffering from
schizophrenia has thus far only been used in clinical
research to help clarify the nature of schizophrenia. in
essence, the use of ESB to "treat" schizophrenia is
without precedence in the West. (SECRET) (NO
FOREIGN DISSEM)
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