This book is about fulfilling a dream that is at least three thousand years
old. It mainly has been dreamt by thinkers within the succession of
civilizations called "western", but by no means was it absent in other
cultures. It is the dream to understand and to explain things as they really
are, and not to be satisfied with a fabric of invented stories, passed on to
soothe the anxieties and discomforts of a life with no known purpose.
This dream, however, is quite different from today's holy grail of science:
grand unification, a mathematical construct designed to prove that all
phenomena can be reduced to one "mother of all equations". This may be
challenging to some. But it is like the challenge of a game of chess. It does
not touch on what counts in the reality of a mostly troubled human existence.
Besides, very likely, the mysteries of the universe are beyond reach of our
naturally evolved mind. They cannot be solved in a real sense because our brain
is not supernatural. It clicks away mechanically like the rest of that,
admittedly, marvelous enterprise of nature.
But the mysteries of the human condition are an entirely different matter. What
would count here are answers to questions like these: Why is human history such
a violent bloody mess? What can we do to make life more pleasant? Why is there
religion and why religious fanaticism? On a more abstract, but equally
important level are other questions: How can we know? What is truth? Does free
will exist? To consider these, cosmology will be found to have only marginal
value. Here the mechanics of evolution and of the brain are the obvious points
of departure and they are leading us to very surprising discoveries about
ourselves and our predicament.
In the current intellectual climate such questions make people throw up their
arms in bafflement. They generally are left to philosophers who talk much, but
do not answer them either. Let me call such issues existential questions. Real
answers, if any, can only come when all relevant results of the natural
sciences are recognized as building blocks of a unified theory of ourselves, of
our relation to the world and of our society. But such unified theory, today,
is in a very dismal state. Despite the phenomenal progress in the hard natural
sciences during this past century, there is no coherent view available that
takes full advantage of that huge body of knowledge. Instead one finds
philosophical haggling between adherents of various "schools of thought", by
specialists whose horizon by necessity has remained limited, because to
penetrate the depth of any advanced field today, already in itself is the work
of a lifetime. As a result we know a lot, but understand little.
In psychology not long ago the behaviorists still fought with the ethologists.
The former claiming the human mind to be a "clean slate" at birth, the latter,
on the contrary, studying innate (instinctual) behavior. Then sociobiology
wanted to supersede both, only to fall into the trap of genetic determinism.
Now the former behaviorists seem to have become "cognitive scientists" with an
equally vacuous fundamental belief - that the mind, somehow, (of all things!)
resembles a computer program.
In physics the great success of quantum theory and relativity has led to a kind
of epistemological sleep (with the exception of Gerhard Vollmer, whose work,
however, has largely remained unrecognized). As if the rigors of physical
research made obsolete any questions about the nature of physical insight and
its limits. This lack of epistemological contemplation has opened the gates to
"postmodernist" critique that has put itself completely outside of the rigorous
intellectual tradition of the past, drawing instead on the subjectivity of
existential philosophy and declaring science merely a "social construct". I
think this antirational fashion is a direct consequence of the lack of a
unifying synthesis.
The purpose of this book is to show that such a unifying synthesis is possible
and that the existential questions, today, for the first time may be given real
answers from the natural sciences. They quite naturally emerge from
evolutionary biology, animal behavior (ethology), ape research, neuroscience of
the brain and self adapting artificial neural networks. In this synthesis a
unifying conceptual framework may be seen in evolutionary epistemology.
Epistemology (or the theory of how we know) traditionally has been a branch of
philosophy and thus had to remain speculative at best. But now, following the
ideas of Konrad Lorenz and Donald T. Campbell, it has become possible to give
it an empirical foundation by studying the insightful adaptation in animals
throughout the ascending phyla. In this framework evolution can be seen as a
process of knowledge gathering, of which we are the ultimate and most advanced
heirs. That is why searching for pure knowledge - or shall I say self
orientation - is innate to the human species. This can be powerful enough that
Socrates choose to die for it, Galileo was put on trial, and others let
themselves be burnt at the stakes. This quest, so dominant in western
civilization, in our days, after two and a half thousand years of toil, finally
is nearing fulfillment. If that is so, we will have understood our predicament,
will have adapted to the realities of our existence and to the realities of our
small planet, and hence we will have added much to our survival fitness. Then
there will be a future for civilized humanity on Earth. Otherwise there will be
none.
So far, however, uncertainty reigns supreme in human matters, and new insights
are sorely needed. Our technology based, market driven civilization has
revealed some deep rooted problems. Cultural decline is observed worldwide and
the dangers of overpopulation and ecosystem collapse seem to be imminent.
Natural science has changed its purpose. Most researchers I know complain that
they do not work on what really would interest them, but where the money is.
Not the quest for knowledge drives today's science, but the "invisible hand" of
a technology driven market, whose values not necessarily are human. More and
more our fateful course begins to look like a Faustian bargain. What previously
were genuine seekers of truth are made to metamorphose into another type,
already cast by the genius of Goethe: Faust's assistant Wagner, the
intelligence with a narrow horizon, occupied with trivia that have no bearing
to the Promethean zeal of an ascending humanity.
In more detail, what are the main insights that have made the ultimate
evolutionary synthesis possible? The first actually comes from the
philosophical foundation to it all, that has been much strengthened by the
scientific progress of this century. It is best described by the word
physicalism which states that in understanding the workings of the universe,
and of ourselves, there is no inherent need for an agent or force outside of
the dynamic interactions experimentally studied in the physical sciences.
Nevertheless in the strict sense of Karl Popper's critique the above sentence
is not a statement of science, but has to remain a statement of a foundational
belief that is neither testable nor refutable in principle. As such it has been
attacked by spirit-matter dualists, who have the need to believe in a "prime
intelligence", a creator, or whatever mystical entity, that arranges or
intervenes, or has intervened in such a way as to make this miraculous
enterprise of cosmos and life work. Two typical representatives of such
Platonic dualism have been C.Lloyd Morgan (1852-1936), who believed that life
"emerges" from such realms of the eternal, and Henry Bergson (1859-1941), the
philosopher of "Vitalism".
Life, indeed, is such a complex, and at the same time a so beautifully ordered
system, that it is difficult to see that it all came about as a result of
merely physical dynamic. This intuitive difficulty has been the main pillar of
the critique of physicalism. But now the situation has very much changed with
the advent of simulations on fast computers. As it turns out, emergence of
ordered complexity, such as life, is an inherent characteristic of the dynamic
of systems of many interacting parts, also known as "complex systems". Even
such central features of life as sexual reproduction, parasitism and symbiosis
are seen to emerge spontaneously from the logic of simple rules. Thus the main
critique of physicalism has been invalidated, even though it (or any other
philosophical foundation) can never be proven with certainty. It can only be
strengthened, made more convincing. The present evolutionary synthesis intends
to further increase the level of confidence in physicalism: If all of life's
complexity, including human intelligence and art, even consciousness, can be
explained in principle on grounds of physicalism - wouldn't this amount to an
almost absolute level of confidence in the approach? My readers, indeed, should
expect this to be one of the results of carrying further this synthesis.
Since the reader is invited to participate in an intellectual journey through
many continents of knowledge, I include in Fig. 0.1 a road-map, a rough outline
how the synthesis will unfold in its major steps. This should help to visualize
what is being developed on the next two or three pages. It is also hoped that
later on, while studying this not undemanding text, my reader will occasionally
turn back and consult this map in order to take bearings as to how any
particular later topic will relate to the whole enterprise.
Any synthesis is built from parts and in steps. After an introduction to some
recent insights about self organization that shed new light on the physics of
life (chapter 1), I will begin by showing coherence, or continuity, of all
biological evolution up to the human level, especially of such mental
characteristics as cognition and will. This mainly will be based on ethology,
the study of animal behavior throughout the ascending phyla (chapters 2, 3, 4).
Particularly the insightful behavior of primates will form an important link
between animal and human minds.
The second and central building block of the synthesis is a global understanding of the mechanics of brain function (chapter 5). Here the results of neuroscience can be nicely sorted out and made coherent with the knowledge provided by ethology. After all, evolution of the brain and evolution of behavior go in parallel, and both can be studied in surviving species representing various stages of phylogeny. But the main revelation here comes from another application of fast computers: the amazing properties of artificial neural networks that mimic the real networks of the brain. It turns out that such networks have the ability, among other feats, to spontaneously self adapt to the task of recognizing and classifying externally provided information, as for instance coming from the sense organs. With this in mind, together with the first building block, careful study of brain function reveals the human being as a mechanically functioning entity, even if an enormously complex one, that has the ability to functionally adapt to the external world in order to survive in it and to master it. There also is an innate driving force, or "will" that has been phylogenetically acquired. This primarily resides in some genetically determined neural networks of the brain stem and from here exerts a certain amount of control over the process of adaptation. The cognitive, self adapting networks primarily reside in the neocortex. They can be considered intelligent, even though in the animal world they are subservient to the brain stem will. Therefore our individuality appears to be a twofold result of history: a millions of years old genetic history and a short personal history that, to some extent, shapes us according to the environment and culture we are born into. By the way: functional brain architecture provides the final resolution of the old nature versus nurture problem.
Ethology and brain science, together, can lay a better foundation to psychology (chapter 6). This is a third building block and next step in the evolutionary synthesis. Here an unexpected revelation occurs: The discoveries fit smoothly into psychoanalytic theory of the Jungian kind, as long as this is stripped of its mystical (dualist) component. This is highly satisfying and revealing of the powers of the human mind. It shows that this major and influential intellectual enterprise of a century has not been in vain, even though some dead ballast needs to be shed.
As for the objective biological foundations of human existence; with the inclusion of insights from ethology and neuroscience, at this point the evolutionary synthesis of human nature will have come full cycle. The physicalist assumption will have been lifted to a high degree of certainty by an overwhelming number of detailed results of experimental natural science, that all fit this larger and highly satisfying model. Human nature can be considered understood.
But beyond human nature, the second defining feature of humanity is that it generates culture and cultural tradition, of which religion is an important ingredient. Therefore the second part of this book is devoted to explain on the basis of the newly found understanding of human nature, why this is so, to explain the origins of cultural universals, of religion and why human history so far has been such an unfortunate and bloody affair (chapter 7). Ultimately this should lead to the discovery of what the good life may be, and how this may be fostered by better political design and through effectively spreading the new insights, together with their moral empowerment. This very much looks like the fulfillment of the long quest of western civilization.
In chapter 8 religion will be a major topic. Note that in Fig. 0.1 even from here an arrow feeds back, adding to confidence in the physicalist assumption. That is because religion is found to originate from an opposition between the ancient world of the innate brain stem will, and learned neocortical attachment to the present day world. No spiritualist assumptions are necessary. This affirms and explains the inner need for religion and defines its purpose. But it also strongly questions the prevailing view and practice of religion today. Nevertheless, I believe that some of the more radical theologians of the day may not find much ground to quarrel with my views.
With this in mind anyone should be awed by the Promethean dimensions of the evolutionary synthesis. It is risky and related to the mythologically forbidden fruit from the tree of knowledge. The path of humanity towards objective knowledge and enlightenment through the natural sciences calls for great courage and responsibility because traditional religion for many still is a life sustaining force. Any revolution that destroys, but does not have a better order to offer, actually would be a step backward.
However I myself have deeply experienced, and will try to demonstrate to my readers at the end of chapter 8, that the humanism that results from understanding ourselves objectively, as well as understanding our place as pinnacle of this mysterious emerging nature, that this causes a quasi religious conversion experience. This induces more ethical conviction and responsibility than any religion was ever able to muster before. Perhaps one should not lament too much about a possible demise of religion as we know it today. With it would disappear religious wars, murderous fanaticism, ugly intolerance, and an irresponsibility founded on the illusion that someone else will take care of things for us. I also think that creative religious minds may very well be able to assimilate yet another strong message from the world of objective knowledge, and find new ways to celebrate the uniqueness of the human spirit and its natural place of responsibility - without engaging in self deception. One striking example of such creativity is the German renegade catholic theologian Eugen Drewermann, who is hailed as a new Luther by some. Not only seem his views to be in harmony with what this book will develop from a completely different point of departure, but in the name of better self orientation he has called for a scientific synthesis of the kind presented here [Schönborn,F.von, (1993), p.100-104]. He even has outlined the main ingredients: complexity theory, ethology, neuroscience, depth psychology á la C.G.Jung and an explanation of human culture based on these. Not unexpectedly, however, Drewermann remains a spirit-matter dualist. Theology still has a long way to go before really assimilating science.
In order to further whet the readers appetite I will now give a preview of some of the central insights to be derived. There are two pillars on which all conclusions rest.
First Pillar
Human consciousness has evolved by Darwinian selection as an assembly machine of incomplete pieces of sensory information about the situation in the external world. The machine constructs a global picture that may be far from correct. Nevertheless this picture permits responses and actions that are more realistic then without it. This is the survival value of consciousness.
The neuro-psychologist Michael Gazzaniga has called this facility the "central interpreter - storyteller". In this book a different term is introduced: "the emotional puzzle assembler", because the global picture is like a puzzle assembled from pieces. Some are missing, others are made to fit by force. The assembler is "emotional", because the process is under the control of the basic survival will (in the brain stem) that is not rational, but instinctual, and the stories weaved have to have an emotional content, so that they can drive on to forceful action that insures survival.
This machine works according to principles known and well studied in self adapting artificial neural networks. Its working is associated with our inner experience of "being conscious". This experience is not different in principle from being hungry or cold, and as such can never be a subject of physics. Only the underlaying physiology can be studied by methods of natural science. It will be substantiated that nothing supernatural need to be associated with the existence of consciousness, nor is it necessary to invoke some of the mysteries of modern quantum physics, as some noted physicists presently are doing. They can only add to the prevailing confusion.
Second Pillar
The most basic functional dynamic in all animal brains that have sprouted a neocortex is based on a "dualism" or "antagonism" between brain stem and neocortex. This is a consequence of the fact that the brain stem was the much older and only organ of central control in early organisms. Here the responses were almost purely genetically determined and hardwired. They were "instinctual". The neocortex, on the other hand, came into existence as an organ of individual adaptation to the concurrent external world. Thus the center of the "will" remained in the brain stem, "cognition" with its associated memory and adaptive intelligence, mainly happen in the neocortex.
Even though this is an antagonism natural, functional and healthy in all brains that have developed a neocortex, in modern humans the balance has radically tilted in favor of the neocortex, particularly of the left hemisphere consciousness. This has happened because consciousness has become such an overwhelming success in mastering our physical environment through objective knowledge, tools and technology. We became entrapped by our own success and have lost the ability to properly reconnect to our inherited biological needs, hedonic wishes and instincts of the brain stem. As a result these remain in a state that is unmediated by reason and thus leads to chaos, violence and socio-cultural decline.
¶¶¶¶
In present day cultural evolution this dualism is the most urgent problem of adaptation. It needs to be resolved before any further progress of humanity can begin. It also is the neurological key to an objective psychology of the future, to the understanding of what has driven human history to become that bloody medley of violence and arrogance, and to what drives all religions. Our technology driven, free market civilization is strongly reinforcing that dualism. What often is referred to as an inner void is caused by it, and very likely the frustration over not being able to bridge it, leads to apocalyptic beliefs. The appearance of extreme religious sects is a direct indicator that the void is rapidly becoming unbridgeable in a significant part of the world's population.
Religion and the search for objective truth have one goal in common: to close the neurological dualism, to make the person whole. But while the former tries to restore a pre-schizoid paradisean mental condition, thus running opposite to the forward thrust of evolution, the latter relies on the new emerging powers of reason to heal through the ultimate objective insight about ourselves. If the former is comparable to folk medicine, than the latter would be the scientific medicine needed for an acute, life threatening disease.
Building on the two pillars, in the second part, "Beyond Human Nature", it will become possible to further refine and expand the coherent theory, to illustrate its explanatory power and introduce to the ethical challenges posed by it. Some of the most urgent and practical conclusions from such realistic understanding of human nature and culture are these (chapter 9):
1) Ever since the political theories of the enlightenment period, the most fundamental assumption about the nature of citizens forming the social contract was this: each individual is an autonomous, self responsible agent, possibly answerable to God only, whose will and pursuit of happiness has to be respected absolutely, as long as it is not harmful to others. This turns out to be badly flawed. We are far from being autonomous. Even though there is a certain genetically fixed inventory, upon whose fulfillment happiness depends, much of our wants are a result of programming of the neocortex by others, by common beliefs, state doctrines, advertising, technological super stimuli and the like. Especially in modern technological "media culture" this influence has become excessive and contrary to the desired state of well being. "Pursuing happiness", as it was meant by the founding fathers, today can lead to self destruction. Elaboration of this insight leads to the next points:
2) In the current situation, without a determined and systematic communal pursuit of the cultivation of objective truth, esthetic taste, and an effective hygiene of values, we are condemned to an existence not much above the level of apes, worse: apes that have guns, atom bombs, poison gas, and who thoughtlessly multiply, destroying the planet.
3) The social contract between government and citizen has to be re-engineered, so as to better insure such systematic pursuit, and thus to protect and foster creative cultural development, positive education, and hence more happiness for all.
Currently in the USA such statements are political anathema. But some European countries have de facto moved in the indicated direction. They have proven to be more pragmatic than the oldest working democracy which continues to proudly suffer from much unexamined deadweight dogmatism. Nevertheless the challenge remains enormous everywhere.
It may very well be that ultimately the impetus for change will arise through a new religious, or quasi religious paradigm. What is advocated in this book, however, is nothing less than a second and final stage in the political project of enlightenment, that 200 years ago had ushered in democratic systems of government. But today it is not anymore just "freedom and the pursuit of happiness" that are at stake, but the very survival of humankind. In the eighteenth century the enlightenment philosophers felt empowered by the success of Newton's physics, even though their knowledge was small as compared to what we know today. May the emerging comprehensive world view and self understanding give new empowerment to my fellow citizens of planet Earth to build a viable future.
Finally, a necessary word of advice to my readers concerning the nature of this book. It wants to give an outline of a system of connections between a vast number of specialties. Since it has to cover a broad spectrum, by necessity a compromise had to be made between breadth and depth. Without defeating its own purpose, this cannot be a textbook covering everything from physics to evolution, ethology and neuroscience. But on the other hand, in order to reach the general intelligent reader, some introduction to selected basics in these fields was necessary. Otherwise this synthesis would lack its building material. Therefore to scientist readers some sections or even chapters will appear pedestrian, if not superficial. If that happens, just skip the pages. Yet others may feel threatened by too much hard to understand detail. In this case please don't give up. It is in the nature of a progressing synthesis to shed light backwards on its own points of departure. By explaining how the parts fit into a larger whole, better insight will unfold about the parts in themselves.
But no true enlightenment can ever be obtained without a good measure of effort.
