The Emerging Nature of Mind:

2. The Emerging Nature of Mind: Intellect, emotion, values: Some speculations and provocations George Ellis, University of Cape Town From Stars to Brains: Canberra, June 2006

3. 1: The brain The brain is the most complex system known to us. Brain function is based on mechanisms allowing information storage, processing, and usage, mainly through the electrochemical properties of neurons (the cells that are the basic computational units in the brain), which are connected together in immensely complex ways. Neurons are made up of a cell body together with long branching extensions (dendrites and axons). Information flows down dendrites to the cell body, where summation of inputs is performed and the output is sent down numerous axons to meet dendrites of other neurons at synapses. Here the incoming information is transferred by neurotransmitters from the axon to the dendrite, which are separated there by a small gap. A single neuron may be connected in this way to hundreds or even thousands of other neurons. This connectivity is the crucial brain structure determining its functioning.

4. The brain is made of interconnected neurons • Information flows: dendrites to nucleus to axon to synapse • and on to another neuron

5. The complexity of real neurons ….

6. neurons The secret lies in the connections between neurons

7. Hierarchical structure of the brain: Components ------------------------------------------------------------------------------- The brain:Brain stem, cerebellum, neocortex, spinal cord Neocortex:Frontal, Temporal, Parietal, Occipital lobes Neural networks:1011 neurons each with 102 to103 connections The neuron:Axons, body, dendrites, synapses Axons: Nerve fibre, sheath (myelin) Biochemical molecules: Proteins, nucleic acids Organic molecules: Bases, Amino Acids, Sugars, Phosphates Atoms: Nucleus, electrons ------------------------------------------------------------------------------- • Each level of structure in the hierarchy carries out a different function, described in a different language

8. Neurons are clumped together in major functional areas. Some brain regions are dedicated to automatic (instinctual) functions, some are the seat of our inherited primary emotions, while some are dedicated to analysis of sensory input, to higher cognitive functions, and to handling motor output. Bottom-up and top-down action combine to create consciousness - an emergent feature, based on the physical and chemical interactions underlying the functioning of the complexly interconnected neurons. The neurological details of these mechanism are relatively well understood at a micro level, and the broad ways brain areas function is understood at a macro level, showing how various brain areas correlate with various aspects of consciousness. Nevertheless, the way that consciousness itself is generated is simply not understoodNor do we understand the relation between the mind and the brain: how matter is able to support self-transcendence.

9. 2: Basic features Neural nets with plasticity as basis Can be simulated on digital computer Basic function: Pattern recognition Bayesian statistics and basic prediction Complex associations Higher functions: Top down processing Associative recall Abstract concepts These underlie basic interrelated macro features: Perception, Learning, Cognition Qu: What is a necessary and sufficient set of basic operations?

10. The major role of vision in evolution Key role of Evolutionary Development of Eyes [In the Blink of an eye, Andrew Parker] - the Cambrian explosion resulted from the development of eyes with the associated need for much enhanced processing power: the capacity to perceive and classify objects - this requires modeling their behaviour to some degree “The Cambrian explosion was triggered by the sudden evolution of vision. All animals needed to evolve to be adapted to vision before they were eaten, or before they were outwitted by their prey. The early Cambrian thus became a race for adaptation to vision” [Parker p. 297]

11. The key role of vision in brain development This is plausibly the basis also for brain development: all thinking is basically perceptual in nature and other thinking processes evolve from it [Visual Thinking: Rudolf Arnheim] Fundamental processes of vision involve mechanisms typical of reasoning, developed to understand the scene viewed: Active exploration, selection, grasping of essentials, simplification, abstraction, analysis and synthesis, completion, correction, comparison, problem solving, as well as combining, separating, and putting in context [p. 13]: “These operations are not the prerogative of any one mental function; they are the manner in which the minds of both man and animal treat congitive material at any level.”

12. The key role of vision in brain development • Vision therefore comes before abstract analytic reasoning and language, which develop out of it • “Our perceptual response to the world is the basic means by which we structure events and from which we derive ideas and therefore the need for language. The ancient dichotomy between perceiving and reasoning is false and misleading.” • “An abstractive grasp of structural features is the very basis of perception and the beginning of all cognition” [p. 161] • - May be true both in evolutionary terms and developmentally. • Mathematically: Geometry comes before analysis • Abstraction proceeds from geometrical modelsplus numbers

13. The key role of language • Symbolic systems enable abstract reasoning and planning [Terrence Deacon: The symbolic species]: • Bees and symbolic understanding [wonderful experiments!] • Birds and recursion • Power of social symbolic systems: guiding action (Roederer) • Ability to store and transmit information over time and space • Mathematics (the language of quantitative science) and abstract symbolic systems: the basis of organisation and technology • But is there a language module [Pinker]? • - Not very likely.

14. 3: Neural Darwinism • Biological Complexity is generated in each individual by a developmental process based on reading the genetic informationstored in the sequence of bases in DNA: • - Creates a highly structured organism out of differentiated cells • Influenced byinformation from the environment. • Gerald Edelman: Principles of Darwinian natural selection apply when utilising genetic information in each individual for brain development (hence Neural Darwinism): • both because the stored information is far too little to control brain development by itself, Cf. the Human Genome Project: 40,000genes but 1013 cells and 1011 neurons • even if read multiple times and in different combinations • and because this allows the brain to optimally adapt to the local environment: provides the needed plasticity of response

15. Affective Neural Group Selection • In the cortex, broad functional areas are determined; then neurons send out random connections to other neurons • Those that have a positive survival value are strengthened, • others are killed off or allowed to decay • [hence Neural Darwinism: Edelman and Tononi] • A value system is required to decide which should be regarded as `positive’ or `good’ from a survival viewpoint • This is provided by the primitive emotions whose seat is the • pre-cortical area of the brain, sending out neuro-transmitters • characterised in detail by Jaak Panksepp • [Affective Neuroscience: 1998]

16. ‘The initial set of relatively non-specific synaptic connections • are refined to produce a precise pattern of connectivity’ • Neurotransmitters alter gene expression • thereby providing plasticity

17. From Edelman and Tononi Neurotransmitters spread to entire brain Value system Source is in the Limbic system Noradrenaline, Dopamine, Serotonin

18. Intellect Emotion Instinct The value system originates in the limbic (affective) system

19. The basic (primitive) values The basic emotional systems identified by Panksepp (1998), based on structures in the limbic system, are the following: E1: The SEEKING system: general motivation, seeking, expectancy E2: The RAGE system: rage/anger E3: The FEAR system: fear/anxiety E4: The LUST system: lust/sexuality E5: The CARE system: providing maternal care/nurturance E6: The PANIC system: panic/separation, need of care E7: The PLAY system: roughousing play/joy On the present view: it is the basic emotional systems [particularly the SEEKING system] that underlie brain development and intellect - relates to evolutionary development and to animal behaviour

20. The basic hypothesis Hypothesis: The basic emotional systems E1-E7 identified by Panksepp, together with inputs from the endocrine and immune systems, are necessary and sufficient to provide the value system of neural Darwinism identified by Edelman and Tononi. On this view, the primary emotions E1 to E7 characterised above [with endocrine and immune system inputs] become the lynch-pin linking neurophysiology to experience and the social and physical environment. They link macro-events to neural micro-structure by top-down action from the macro to the micro scale. Consequently they are a key both to brain physiological development and to evolutionary development of secondary emotions and higher cognitive functions. The assumption is that nothing else is left out: this is the total value system[if you disagree: then what else?]

22. An integrative hypothesis … This proposal links macro effects (psychological behaviour) to micro structure (neural connections) in an integrative way, linking neurology to psychology, learning theory, child development, ethology, genetics, and evolutionary history. It fleshes out aspects of views of Damasio et al on the importance of emotions on the one hand, inbuilt by evolution for precisely this purpose; - and clarifies the nature of the `value system’ of Edelman and Tononi on the other – a key component of their view. Answers the question: What is it that guides neuronal plasticity? • Details: see “Neural Development: Affective and Immune system Influences”, G Ellis and J Toronchuk, in Consciousness and Emotion: Ed R Ellis and N Newton (John Benjamins, 2005).

23. Kandel’s principles • All mental processes derive from operations of the brain • Genes determine neuronal functioning • Social and developmental factors contribute importantly to the variance in mental illness. These factors express themselves in altered gene expression. Nurture is ultimately expressed as nature. Erik Kandel, Am Journ Psych156: 505-524 (1999)

24. Kandel’s principles(AND) • All mental processes derive from operations of the brain • Genes determine neuronal functioning • Social and developmental factors contribute importantly to the variance in mental illness. These factors express themselves in altered gene expression via emotions and associated neurotransmitters. Nurture is ultimately expressed as nature.

25. Kandel’s Principles • Altered gene expression induced by learning gives rise to changed patterns of neuronal connections, which give rise to different forms of thinking and behaviour. • Psychotherapy produces changes in long-term behaviour by learning which produces changes in gene expression, and hence changes in neuronal interconnection. [Erik Kandel, Am Journ Psych156: 505-524 (1999)]

26. Kandell’s Principles(AND) • Altered gene expression induced by learning associated with emotionsgives rise to changed patterns of neuronal connections, which give rise to different forms of thinking and behaviour. • Psychotherapy produces changes in long-term behaviour by learning which produces changes in gene expression via neurotramsitters associated with emotions, and hence changes in neuronal interconnection.

27. Primary and Secondary Emotions It is clearly crucial to clarify which are secondary and which are primary emotions. Damasio suggests primary emotions are, P1. happiness, P2. sadness, P3. fear, P4. anger, P5. surprise, P6. disgust, and characterises developmentally emergent secondary emotions as, S1: embarrassment, shame, guilt; S2: contempt, indignation; S3: sympathy, compassion; S4: awe/wonder/elevation, gratitude, pride; S5: jealousy, envy.

28. Revised proposal (Ellis and Toronchuk) INDIVIDUAL NEEDS Basic Functioning E0: Pleasure/Distress system (Liking/fulfilment/satiation) Leads to learning: identification of needs E1 :Seeking/Wanting System (Arousal/excitement/seeking) Satisfying needs: engagement, searching Basic Survival E2: Disgust system(repulsion: physical safety) Avoiding harmful foods/ environments E3: Rage system - Defense: aggression E4: Fear System - Defense: flight Learning E5: Play system (physical/imaginative; fun) Problem rehearsal, Creativity, Aesthetics

29. Revised proposal (Ellis and Toronchuk) SOCIAL NEEDS Reproduction E6: Lust system (sexual desire, satiation) Ensuring procreation Group cohesion: Social Bonding E7: Need/attachment system Creates bonding through need for others E8: Care/nurturance system Caring for others, particularly children Group function: Regulating conflict E9: Rank system (dominance/submission) Controlling aggression in society [Territorial desires (physical/social/ideas) Owning/possessing: basis of self identity]

30. 5: Relation to the Immune System It is known that the immune system and the brain interact with each other at multiple levels and in a bi-directional manner (see Esther Sternberg, The Balance Within). There are an immense variety of immune molecules, with many used both in the immune and nervous systems. It is known that some affect neuronal function at the cellular level and may also modify structural relationships between neurons. If one accepts that the emotional neurocircuitry of the brain play a role in shaping higher order brain functions during the evolutionary process, then it is not unreasonable to propose that the immune system may have evolutionarily played a similar role in setting emotional brain systems.

31. Relation to the Immune System The issue here is not how the different emotional systems became differentiated, but rather how any emotional system at all came into being. This is a crucial step on the way to full consciousness. The key system could have been the disgust system developing via immune moleculelinks to the immune system. The feeling of disgust might have been the first felt emotion. Once the basic capacity was there, it could evolve to respond to the major environmental issues confronting the individuals in a population, resulting in the basic affective reactions. That capacity would then evolve to the present primary emotional systems that are indeed genetically laid down and realised in response to the local environment during embryonic development.

32. Relation to the Immune System Once a first set of such affective states had come into existence, they could have been adapted and developed into the full set E1-E7 because of the evolutionary advantage they provided through acting as a value system. Neural Darwinism in the individual would have proved itself to be a winning strategy and hence could have developed further affective capacities in an efficient way. Conjecture:It was through this process of immune system interaction with the CNS that neural Darwinism came into being as a brain-structuring mechanism in the course of evolutionary history. This suggestion has the potential to explain why some molecules are both immune system molecules and also neurotransmitters. It could conceivably even help explain how chemical synapses came into being in the first place, or at least why they are so common.

33. The major Interactions: Cognition, Feeling Secondary Emotions Primary emotional Neural Systems Immune System

34. 5: Some macro issues • Relation of rationality to faith, hope, emotions and values • Factors affecting the brain: genetics and environment • Symbolic causation and physics • How does the brain apprehend a platonic reality?

35. Ethics, Aesthetics The Mind Society Perception, Risk Faith, Hope Rationality Intuition, Imaginatiom Emotion Primary Genetic/biological Secondary: Social/cultural The individual mind: Each of Emotions,Rationality, Faith/Hope, Perception, attitudes to risk, Intuition, Imagination, Aesthetics, and Ethics are causally effective. They are modulated by the society in which we live: they cannot be understood in isolation.

36. Social environment: Genetic inheritance: - effect of society - effect of biology Personal Choice: - causal effectiveness of consciousness/will • Mind, underlying • consciousness • and personality The nature-nurture issue: three main factors that contribute to the development of the mind

37. Symbolic causation • Symbolic systems Causally effective: e.g. signs, money, physics theories • Socially created and transmitted: • Affect brain structuring (e.g. language) • Not within the conceptual domain of physics • Not explainable by physics per se

38. Human thought and physics : • Human thoughts can cause real physical effects • This is a top-down action from the mind to the physical world • This is not included in what physics deals with • For example: Chess • Physics cannot predict the movement of chess pieces as that involves human volition – it cannot predict the choices that will be made • Physics cannot even characterize the origin of the possibility space for chess pieces – the set of allowed moves – as that derives from social agreements • There is no charge and force field for each kind of chess piece.

39. `Fundamental physics’

40. `Fundamental physics’ • Human thought and physics : • Human thoughts can cause real physical effects • This is a top-down action from the mind to the physical world • This is not included in what physics deals with • For example: Chess • Physics cannot predict the movement of chess pieces as that involves human volition – it cannot predict the choices that will be made • Physics cannot even characterize the origin of the possibility space for chess pieces – the set of allowed moves – as that derives from social agreements • There is no charge and force field for each kind of chess piece.

41. Cognition and Platonic Existence • Platonic World Mathematical reality • explored not created • [Roger Penrose, Alain Connes] • causally effective by discovery and utilisation • can be displayed • used in science • used in technology

42. H = hypotenuse Y = height R = radius A = area X = base H2 = X2 + Y2 A = π R2 (Pythagoras) π = 3.1415926535897932 …….. (universal constant) The basic geometrical features The same results will be discovered near Alpha Centauri or the Andromeda Galaxy

43. Mandelbrot set Mandelbrot set

44. Mandelbrot set Mandelbrot set (detail)

45. Mandelbrot set Julia set

46. Platonic Existence • How does the mind apprehend it? • By discovery not experiment [Conversations in Mind, Matter and Mathematics: Jean-Pierre Changeux and A Connes] • Cumulative understanding built up by society over centuries of underlying features of reality • Mathematics, • Laws of physics ? • Ethics/meaning ??

47. Conclusion • Brain is based in physics • But can comprehend and be affected by abstract entities • These develop over time in the expanding universe • Some of them are discovered not invented • The mind can interact with platonic worlds, i.e. with entities of a non-physical nature

48. Fine tuning: Just Six Numbers [Martin Rees] • 1. N = electrical force/gravitational force =1036 • 2. E = strength of nuclear binding = 0.007 • 3.  = normalized amount of matter in universe = 0.3 • 4. = normalised cosmological constant = 0.7 • 5. Q = inhomogeneous seeds for cosmic structures = 1/100,000 • 6. D = number of spatial dimensions = 3

49. Rembrandt self-portrait