Julio Alejandro Verde Arregoitia

002861 059

dhd271

A description, synthesis and critique of the mainstream physical approaches to the

explanation of consciousness made by emergence theory involving both classical and
quantum physics.

Abstract

Human consciousness can be studied under the realm of physics, particularly biophysics with an
obvious focus on complex systems and computation theory. Emergence and chaos, two
fundamental phenomena of complexity theory, are utilized to explain elements of consciousness.
An approach taken is electronic engineering and computer design to attempt to find analogies in
structure and results. Neurons, the basic functional elements of the brain are described. Within
these neurons are components which are speculated to function as cellular automata; switching
matrices with computational capabilities. Penrose and Hameroff have formulated a model of the
mind which involves quantum physics within these strucures. This model is viewed in detail.

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 CONTENTS

COVER PAGE AND ABSTRACT………………………………………………………….1

INDEX……………………………………………………………………………………….2

INTRODUCTION…………………………………………………………………………... 3

1.0.THE HUMAN BRAIN…………………………………………………………...............4

1.1THE BRAIN AS A COMPLEX SYSTEM……………………………………………...4

1.1.2.WEAK AND STRONG EMERGENCE…………………………………………....5

2.0.COMPUTATION……………………………………………………………………...…6

2.1.LOGIC GATES AND TRANSISTORS………………………………………....6

2.2NEUROMORPHIC ARCHITECTURES AND MEMRISTORS………………..7

2.3GODEL’S INCOMPLETENESS THEOREM AND THE MIND……………….7

3.0.QUANTUM MODEL OF CONSCIOUSNESS…………………………………….........8

3.1.MICROTUBULES IN THE NEURONAL CYTOSKELETON………………....8

3.2. THE TUBULIN LATTICE AS A CELLULAR AUTOMATON………………10

3.3. QUANTUM GRAVITY AND ORCHESTRADED WAVEFUNCTION-

REDUCTION IN THE MICROUBULE
MODEL………………………………………………………………………………10

1.B.MORE ON COMPLEXITY – CHAOS, COMBINATORIAL EXPLOSION, AND

ABSTRACTION FROM PHYSICAL COMPONENTS…………………………………….11

CONCLUSION………………………………………………………………………………12

BIBLIOGRAPHY……………………………………………………………………………13

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INTRODUCTION

Consciousness and Physical Monism

Consciousness is not a concept that has a formal definition as of today. Its meaning can be only
be explained, and intuitively grasped by a being in possession of it. An adequate way to describe
it would be as the subjective experience that humans (to avoid speculation) have of their
surroundings or inner mental processes. Another way to make its meaning clearer is to outline
what I am not referring to, which is the concept of self-awareness or of a moral consciousness.
This consciousness is not dependent on a physical environment or external stimuli 1. For the rest
of this text, the words consciousness and mind can be considered interchangeable.

Before the topic of the mind became subject of the exact sciences, a philosophical current
existed (and still exists) which separates the mind from the body. That is to say, the mind is of a
substance different to that of the body. It resides in a different realm of existence. The epitome of
this view is the mind-body dichotomy proposed by Renée Descartes (1596 – 1650) in which
these two entities have a bilateral effect on each other. This view can be described as dualism of
the mind. Its antithesis is monism of the mind, and in this case refers to the mind as only a
property which arises from physical elements of the body.

As of today, a wholly satisfactory elucidation to the physical basis of consciousness is elusive,

and has not been yet found nor does its finding seem close at hand. For this reason, the study of
the physical phenomena that give rise to it is a fascinating topic.

Also, the implications of a physicalistic explanation of consciousness are enormous on several

levels:

The mere fact of accepting consciousness as a product of the physical being impacts
greatly on religious and philosophical issues. For example, the existence the soul and
transcendence of the being would be put at stake. Also, it would further mankind’s
ever-increasing belief in an absolutely materialistic reality.
 Depending on the specifications of the finding, the human mind might be transformed
into a simple algorithmic machine, governed by its environment and the laws of the
universe. Within this view, free will is rendered non-existent and illusory.
 A full understanding of consciousness could lead to asserting its existence in living
beings other than humans, as well as its replication man-made creations.

Even though mental phenomena take place in biological systems and many interpretations
surrounding consciousness are mainly philosophical, I believe that profound answers exist at
levels and scales which can be found within the realm of physics.

1
Avicenna (980 - 1037) proposed the gedankenexperiment of imagining oneself floating in the air, completely
isolated from sensory inputs, and its implications are self-evident; one is still conscious during this process.

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The approach I will take is one of biophysics, in which the behavior of certain biological systems
is reduced to the physical laws or phenomena governing them. I will compliment this complexity
theory applied to physical systems, and comparisons to electronic technology, taking into
consideration the inherent philosophical issue at hand.

1.THE HUMAN BRAIN

Let us focus on the mammalian and specifically the human brain for the purpose of clarity. The
brain is composed of specific yet varied forms of a cell called neurons. The neurons are
connected to one another via dendritic and axonal synapses. As of today, the human brain is
believed to have approximately 1011 neurons with about 103 synapses per neuron, which
generate roughly 1014( ten to the fourteen) connections in the brain [1,19]. And so, the brain
works by the transmission of electrochemical impulses throughout this web, and it is believed
that because of this, the brain is able to generate consciousness.

1.1The brain as a complex system

A system is formally thought to be complex when it is comprised of connected, interacting,

diverse, and adapting entities [8]. Complex systems are staggeringly numerous and exist in all
scales of reality, in many varieties (such as social networks, culture, systems within and among
organisms, and computers, to name just a few).

These systems show some truly amazing properties, an extremely relevant one being
emergence. A nonlinear system is one where one or more of its properties are not a direct
derivation of those of its constituents, this meaning that new, unpredictable properties appear at
the higher levels of the system. Emergence is a fascinating property of these systems, and arises
from the collective dynamics (the interaction of the constituent components over time) of the
system.

This behavior happens in systems of every kind, but we are interested in physical systems. An
example of these systems would be heat. There exists inter or intra-particle kinetic energy at the
atomic level, but as one “zooms out”, it is a property of matter that has characteristics entirely
new to the characteristics of its components. Another simple example could be the malleability
of gold; each atom comprising it has specific properties such as valence, structure, etc., yet at the
macroscopic level the properties of the atoms create something entirely new. Within reality,
emergent properties can occur on many levels, one upon another.

Currently, emergence is the most accepted phenomenon used to explain consciousness.

Modern neuroscientists ascribe consciousness to the interaction between the extremely
interconnected complex system of brain cells interacting with one another. Yet, is simply stating
this a proper explanation of consciousness?

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1.1.2 Weak and strong emergence

In complexity theory, emergent behavior can be described as either weak or strong. Weak
emergence is an unexpected yet explainable behavior at a system’s higher level. This means that
it can be understood and explained in terms of the properties and dynamics of the lower-level
entities. Strong emergence is an unexpected higher-level property in a system which cannot be
explained in terms of the interactions of its constituents[8].

An example of strong emergence is John Conway’s “Game of Life”. This is a form of cellular
automata, a concept important for further in the essay. Cellular automata are n-dimensional
arrays of cells which have a defined number of identical neighbors. The system evolves in
discrete time steps and works functions under specific neighbor-based rules. Cellular automata
can be used as a computational system, since small inputs can develop under certain parameters
to yield processed results.

The rules for Conway’s “Game of Life” are the following:

1. Any live cell with fewer than two live neighbours dies, as if caused by under-population.
2. Any live cell with two or three live neighbours lives on to the next generation.
3. Any live cell with more than three live neighbours dies, as if by overcrowding.
4. Any dead cell with exactly three live neighbours becomes a live cell, as if by
reproduction. [21]

[22]

This is an example of how the system would evolve per time step from initial conditions at
frame 1 to frame 10.

It is known that neurons communicate to one another by means of sodium and potassium ions
and neurotransmitters across synapses and we even know specific functions of area-specific
neurons, but as of today, consciousness remains a manner of strong emergence; science has not
yet described fully how the interactions of neurons give rise to consciousness.

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2.COMPUTATION

Since the computer revolution in the 20th century, the brain has been likened to such machines
in terms of its functioning. The most basic suggestions involve the brain as hardware which
receives external inputs in the form of stimuli, algorithmically processes them in a manner
analogous to software, and generates an output. Though an overly simplistic model, it is
reasonable to approach consciousness studies in a manner of imitation and comparison with
artificial technologies.

Computational devices advanced astonishingly since their inception. To give a brief

introduction to electronic computation, we can say that it uses binary digits as “currency”. These
binary digits -0 or 1- represent a pulse of electrical current or the absence of one. Through sheer
combination of the logical operations that can be applied to an input, computers are able to
produce a processed output.

2.1 Logic gates and transistors

The most basic principle of digital computers is the use of logic gates in circuits. Logic gates are
physical parts of an electrical circuit which perform logical operations upon single or multiple
inputs. As of today transistors (an electronic component used to as amplifiers or switches for
signals) are the dominant constituents of logic gates. A logic gate can be built with around 20 of
these. Integrated circuits, also known as microchips or chips, can contain thousands of millions
of transistors[13], and it is through this mean that digital computers are able to process
information.

Now, it is known that the brain works in a way somewhat analogous to the binary system.
Neurons are members of the group of excitable cells; eukaryotic cells which can experience the
phenomenon of action potential. Action potential refers to a potential difference (a voltage)
inside and outside a given cell membrane. It happens in interconnected systems of cells by means
of ion channels, and is the means of communication among neurons. An action potential spike is
the equivalent of the electric pulse in electronic systems, and could in fact be represented with
binary digits.

Because of these similarities, it would be simple to assume that the brain is just a very
powerful version of a logic-gate-based computer. If so, then it is the complexity and sheer power
of the brains “wetware” (biological hardware) that give rise to the emergence of consciousness.
Accepting this, the emergence of consciousness thus becomes a matter of a “complexity
threshold”.

Although it is for the moment impossible to create firm quantitative comparisons between
biological and electronic system, as today some supercomputers in the world have numbers of
transistors which amount to staggering numbers, which sometimes even surpass the number of
neurons in the relevant areas of the brain. Yet, the interconnectedness of these systems is quite
inferior to that of neurons, and it would be over simplistic to only take this figure into
consideration.

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The calculated computational power of the human brain is of around 10 17 bit states per second
[1].

2.2 Neuromorphic architectures and memristors

Another interesting field of computing is the current development of neuromorphic computers.

These seek to mimic the architecture of the brain with the aim of replicating mammalian
intelligence. In a recent publication, scientists at HP explained an ongoing project to build a
computer out of memristors. Memristors are a relatively new electronic component. They are a
form of variable resistors which depends on voltage, comprised of an oxide between two metallic
wires. The important characteristic of memristors is their ability to “remember” the last
configuration of the oxygen in the oxide, and thus the resistivity. Here we find a new analogy
with the brain. Neurons work in a similar way, since synapses do in fact record an indicator of
the last item of information passed through them, and in a way, perform a computation during
the electric transfer itself [12].

This goes to show that classical forms of computing are being complimented with variances
tending towards the biological brain. If these approaches were to yield superior performance or
novel characteristics, it would mean that the brain is far more sophisticated than a standard
electronic computer.

2.3 Gödels incompleteness theorem and the mind

In 1930 the Austrian logician Kurt Gödel, in response to David Hilbert´s statement that there
were no problems that could not be proved or disproved, generated a theorem with which to
construct mathematical statements which could not be proved or disproved. This is known as
Gödel´s incompleteness theorem. Roger Penrose, in his book The Emperor’s New Mind, shows
that this theorem could be applied to say that there are things such as mathematical problems
solvable by a human, which could not simply be computed by the brain, and so the human mind
must possess qualities other than a classical computer [19]. This is further evidence of how the
mind might differ to conventional artificial systems of computation.

From observation and analysis, it is clear that several aspects of human consciousness are very
different to existing models of computing.

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3.QUANTUM MODEL OF CONSCIOUSNESS

3.1Microtubules in the neuronal cytoskeleton

Roger Penrose and Stuart Hameroff developed a model which involves quantum physics, in
which data is also processed within elements of the neuron itself.

An important component of neurons to take into consideration is the cytoskeleton. The

cytoskeleton is a skeletal-like structure comprised of differentiable components; microtubules,
neurofilaments, and microfilaments, all held together by Microtubule-Associated Proteins
(MAP’s) [4]. The part we are interested in are the microtubules. These are cylindrical polymers
25 nm in diameter, comprised of tubulin protofilaments. The protein tubulin in the microtubules
exists as a peanut shaped dimer2 of a volume of about
200nm3 and a mass of roughly 55,000 Daltons3[4]. 4

Microtubule structure from x-ray

crystallography (Amos and Klug,
1974) [7]

Figure 1.1
[4]

2
“A compound whose molecules are composed of two identical monomers” [17]
3
Dalton: Atomic Mass Unit, approximately the same as 1 proton or neutron
4
Appendix, figures 2,3

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Let us consider figure 1.2, where we can see the shape and distribution of tubulin dimers in the
microtubule.

Figure 1.2
[1]

These dimers are dipolar molecules; their alpha and beta regions have different charge. Within
the dimers, there are central regions of non-polarity, these containing hundreds of electrons
which can group or disperse by London Dispersion Forces 5. Whether these electrons are
dispersed or grouped determines the conformational state6 of the protein dimer. Tubulin can exist
in open or closed conformational states, which will be relevant in its function as an element of a
cellular automaton, which will be explained shortly.

Herbert Fröhlich (1968) proposed that a set of dipoles within a same electric field, when
supplied with energy, will oscillate coherently [1]. This means that the cluster of electrons
determining the conformational state of the protein could in fact be described by a single wave
function7. If the electron cloud is in fact in a condensate phase, it would be possible to call it a
quantum state. This quantum state, if it doesn´t collapse, could be in superposition of both of its
possible states, which would imply that the protein dimer is both open and closed at the same
time.

5
London Forces, or London Dispersion forces, are polarities which can be caused by the arranging of electrons
within an object
6
The physical 3-dimensional structure of the protein[11]
7
The Bose-Einstein condensate is the fifth state of matter. It occurs when a cluster of particles can be described and
in turn affected by the same wavefunction. Usually, B-E condensates are generated artificially through the
implementation of extremely low temperatures. Although only bosons satisfy the conditions to condense into this
state, electrons, which are fermions, can couple together into Cooper pairs, and thus act like bosons.[15]

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3.2The Tubulin Lattice as a Cellular Automaton

As described earlier, the tubulin dimers are arrayed in a form of a hexagonal two-dimensional
lattice around a cylindrical shape, with each dimer having six neighbors. The conformational
state of a protein could influence its neighbors’ states, and there are proposed models in which
this behavior leads the MT to act like a switching matrix [1]. In such case the proteins act as cells
in an automaton system, and their conformational states correspond to “currency” for the
propagation of signal. As a tubulin dimer switches state, it will influence (by means of its dipole
strength) its six neighbor’s conformational state. As one can imagine, this can lead to complex
interactions and switching patterns which can propagate across the cytoskeleton.

The microtubules, acting as cellular automata, generate further computation along with neuronal
synaptic connections. Taking into consideration the additional computational capacity of the
mind with microtubule automata, the processing power is calculated at 10 27 (ten to the twenty
seven) bit states per second!

Yet, increased computational power does not equate to explanation of consciousness. It

perhaps only greatly increases the threshold of complexity needed for certain higher-level
phenomena to arise.

3.3Quantum Gravity and Orchestrated Objective Wavefunction-Reduction in the

Microtubule Model

Traditionally, wavefunctions of quantum states collapse into a classical state by means of

measurement, (i.e. interaction with a classical system). The biologically-induced condensates
proposed in this model are speculated to thrive in heat8 and to be shielded from decoherence (or
wavefunction collapse) by several resources of the organism9.

How then, do the conformational superpositions collapse to give a defined state? That is where
Penrose Objective Reduction comes in. Penrose suggests that it is possible for a quantum system
to objectively collapse. He describes a situation in which the coherence of a quantum system
grows to a critical threshold until it automatically collapses by means of quantum gravity 10. This
reduction is hence objective.

The Orchestrated component of this theory involves the actual synaptic inputs to the
cytoskeleton’s neuron. These inputs in theory coordinate the wavefunction reductions across the
tubulin dimers.

. The advocates for these quantum dynamics emphasize non-classical characteristics such as
the unity of the mind (through non-locality of the dimer condensates) and non determinism
through the objective reduction approach. These speculations are very tempting and coherent, but
the quantum mind model is not yet fully functional or irrefutable.

8
This is rather counter-intuitive, as conventional Bose-Einstein Condensates need temperatures close to 0K to exist.
9
“Debye screening, coherent pumping and topological quantum error correction.”[1]
10
Simplified into this model, simply regarding the effects of gravity in a discrete quantized way in the model of the
graviton

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1.B.MORE ON COMPLEXITY

Chaos, Combinatorial Explosion, and Abstraction from Physical Components

Even regarding the brain as simple wetware which algorithmically processes inputs and output,
we can find solace by means of chaos theory.

In a complex system, chaos is the measure of how sensitive a system is to initial conditions
during its development. A chaotic system can show staggeringly diverse behavior from initial
conditions with minimal changes. Chaotic systems occur when the index of interconnectedness
among the constituents is very high. [2,3,8] The brain’s functional components, whether they be
only neurons, or neurons and MT automata, are extremely interconnected.

In addition to this, consciousness is clearly not a two-level phenomenon. The cellular automata
in the cytoskeleta coordinate with one another, and neurons form functional clusters which can
form functional superclusters and so on to a finite level on to the highest functions of human
cognition.

Because of the susceptibility of the each level in the system, changes in one level lead to
tremendous variance in the next one. This results to a combinatorial explosion, which yields a
highest-level entity (the mind) of absolutely staggering complexity, diversity, and abstraction
from the constituent physical components.

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CONCLUSION

So, how complete is the picture described by today’s physics at explaining the phenomenon of
human consciousness?

The principle behind all of accepted consciousness physics is undoubtedly emergence. What
varies is the description of how the particular brain dynamics give rise to this emergent mind.

Classical approaches in the theoretical sense are more description than true explanation. I
believe classical emergence is simply a fitting approximation ascribed to the mind. “Quantum
mind” models are promising. Created and supported on basis of their implications on the system,
they try to explain observed qualities of consciousness with suitable quantum phenomena. The
problem is, these model are too young and speculative, and need further study.

Conventional electronic creations lack the sophistication necessary to compare them with the
human mind. Yet, engineering approach (seeking to simulate or copy properties of the physical
brain) is a very solid way of understanding consciousness. New computing architectures show
promise, and were they to function in the desired manner, would confirm aspects of brain
biophysics.

But, from what has been established, it is possible to conclude, that none of the theories
presented above can give a reductionist view of consciousness or even change its status to a
behavior of weak emergence.

It is possible that current physical principles have not been adequately applied to explain the
wonderful phenomenon of the mind, but it is more probable that a full elucidation of
consciousness will appear along with a further understanding of the physics behind reality.
Consciousness is an extremely, if not the most difficult topic of scientific study as of today. This
is mainly because of the enormous subjectivity of consciousness (, ironically sometimes
referred to as subjective awareness).

Even so, the physical study of the mind is a rich field of study brimming with potential. It can
and should be studied from different perspectives and with different approaches, be they
theoretical, experimental, or of engineering.

In fact, I believe that the strongest candidate of a process for elucidating consciousness is a
convergent one. This process refers to the generation of artificial machines with progressive
advances in capabilities and power, and with built with different and varying principles of
computation, that might at some point have properties which may seem to converge with those
observed in the human mind. This process would not involve only engineering, but also the
application of new scientific theory, e.g. the application of a perfected quantum computer.

I can even say without hesitation, that if consciousness is in fact a product of our empirical
reality, it is only a matter of time before science can properly explain rather than describe its
generation.

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