J. H. van Hateren

This book provides a comprehensive overview of my recent theoretical work that aims to explain some of the more puzzling properties of life and mind, in particular agency, goal-directedness and consciousness. It contains published papers as well as new material. Table of contents: Preface - PART I: GROUNDWORK - 1. Introduction - 2. The basic mechanism - 3. Inclusive and extensive fitness - 4. Components of F and X - 5. The consequences: a preview - PART II: LIFE - 6. What qualifies as life? - 7. Biological meaning - 8. Biological functions - PART III: MIND - 9. Minimal agency, goal-directedness and value - 10. Intentionality and meaning - 11. Language - 12. Consciousness - 13. The human self - PART IV: PHILOSOPHY - 14. Strong emergence - 15. The real, the true and the good - 16. Philosophical problems of consciousness - Epilogue - Appendix A: Summaries of computational simulations - Appendix B: Examples of minimal intentionality - References.

The causal efficacy of a material system is usually thought to be produced by the law-like actions and interactions of its constituents. Here, a specific system is constructed and explained that produces a cause that cannot be understood in this way, but instead has novel and autonomous efficacy. The construction establishes a proof-of-feasibility of strong emergence. The system works by utilizing randomness in a targeted and cyclical way, and by relying on sustained evolution by natural selection. It is not vulnerable to standard arguments against strong emergence, in particular ones that assume that the physical realm is causally closed. Moreover, it does not suffer from epiphenomenalism or causal overdetermination. The system uses only standard material components and processes, and is fully consistent with naturalism. It is discussed whether the emergent cause can still be viewed as ‘material’ in the way that term is commonly understood.

A naturalistic theory of intentionality is proposed that differs from previous evolutionary and tracking theories. Full-blown intentionality is constructed through a series of evolvable refinements. A first, minimal version of intentionality originates from a conjectured internal process that estimates an organism’s own fitness and that continually modifies the organism. This process produces the directedness of intentionality. The internal estimator can be parsed into intentional components that point to components of the process that produces fitness. It is argued that such intentional components can point to mistaken or non-existing entities. Different Fregian senses of the same reference correspond to different components that have different roles in the estimator. Intentional components that point to intentional components in other organisms produce directedness towards semi-abstract entities. Finally, adding a general, population-wide means of communication enables intentional components that point to fully abstract entities. Intentionality thus naturalized has all of its expected properties: being directed; potentially making errors; possibly pointing to non-existent, abstract, or rigid entities; capable of pointing many-to-one and one-to-many; distinguishing sense and reference; having perspective and grain; and having determinate content. Several examples, such as ‘swampman’ and ‘brain-in-a-vat’, illustrate how the theory can be applied.

A recently developed computational and neurobiological theory of phenomenal consciousness is applied to a series of persistent philosophical problems of consciousness (in recent formulations by Tye, Searle, and Chalmers). Each problem has a clear solution according to this theory, as is briefly explained here. A slightly modified version of this paper can be found as Chapter 16 ('Philosophical problems of consciousness') in my book 'The estimator theory of life and mind: how agency and consciousness can emerge', see VANTET-8 at philpapers

A new theory that naturalizes biological function is explained and compared with earlier etiological and causal role theories. Etiological theories explain functions from how they are caused over their evolutionary history. Causal role theories analyze how functional mechanisms serve the current capacities of their containing system. The new proposal unifies the key notions of both kinds of theories, but goes beyond them by explaining how functions in an organism can exist as factors with autonomous causal efficacy. The goal-directedness and normativity of functions exist in this strict sense as well. The theory depends on an internal physiological or neural process that mimics an organism’s fitness, and modulates the organism’s variability accordingly. The structure of the internal process can be subdivided into subprocesses that monitor specific functions in an organism. The theory matches well with each intuition on a previously published list of intuited ideas about biological functions, including intuitions that have posed difficulties for other theories.

Living organisms appear to have agency, the ability to act freely, and humans appear to have free will, the ability to rationally decide what to do. However, it is not clear how such properties can be produced by naturalistic processes, and there are indeed neuroscientific measurements that cast doubt on the existence of free will. Here I present a naturalistic theory of agency, consciousness, and free will. Elementary forms of agency evolved very early in the evolution of life, utilizing an extension of the basic Darwinian scheme that combines and entangles deterministic and stochastic causation. The extension effectively produces an active form of causation, as well as meaning intrinsic to the organism. Consciousness arose when animals evolved advanced nervous systems and social lifestyles that enabled communication mutually affecting each animal’s intrinsic meaning. I argue that various forms of agency that subsequently arose in evolution, preconscious, conscious, intelligent, symbolic, and rational agency, still coexist in humans. This coexistence, combined with the fact that agency is not instantaneous but takes time to build up, makes simple interpretations of neuroscientific results on free will problematic. The conclusion of the study is that conscious free will, including a form of agent causation, is fully consistent with a naturalistic world-view and can be produced by the specific processes discussed. The result closely resembles existing approaches to life and mind that are inspired by phenomenology

The causal structure of Darwinian evolution by natural selection is investigated. Its basic scheme is reproduction resulting from a feedback loop driven by internal and external causes. Causation internal to the loop connects genotype, development, phenotype, and fitness, with environmental constraints on the latter preventing runaway reproduction. External causes driving the core loop are environmental change and genetic change. This basic causal structure is complicated by modern additions such as control of mutation rate, niche construction, interactions between evolution and development, and epigenetic effects. In this article it is argued that at least one of these additions, control of mutation rate, produces an additional feedback loop incorporating a continual, targeted modulation of stochasticity, and thereby produces an unusual form of causation. This form of causation entangles deterministic and stochastic causation in such a way that it imposes, in effect, an active, goal-driven role on the organisms in a line of descent. The goal is defined by the factor driving the stochasticity, which must be regarded as an intrinsic estimate made implicitly by the organism of its own fitness. The estimator itself is an evolved property of the organism, and is aligned with the apparent goal-directedness of natural selection

The origin and development of consciousness is poorly understood. Although it is clearly a naturalistic phenomenon evolved through Darwinian evolution, explaining it in terms of physicochemical, neural, or symbolic mechanisms remains elusive. Here I propose that two steps had to be taken in its evolution. First, living systems evolved an intrinsic goal-directedness by internalizing Darwinian fitness as a self-estimated fitness. The self-estimated fitness participates in a feedback loop that effectively produces intrinsic meaning in the organism. Second, animals with advanced nervous systems evolved a special form of communication that modifies the way each partner estimates fitness. The resulting change in intrinsic meaning is experienced subjectively as a primary form of consciousness. This primary form is subsequently used to generate, partly through internalized dialogue, more complex forms of consciousness, such as consciousness of the natural and social worlds, consciousness of the self, and language-dependent forms of consciousness. An updated version of the theory in this paper can be found as Chapter 12 ('Consciousness') in my book 'The estimator theory of life and mind: how agency and consciousness can emerge', see VANTET-8 at philpapers

Recently developed extensions of evolutionary theory are used to explain the human self as an evolved, unitary, and purposeful phenomenon. A basic mechanism that can generate life's agency and goal-directedness is combined with mechanisms that can account for awareness by and of the self, and for the social characteristics of humans. The new theory is largely consistent with major existing theories of the self, in particular theories centred on self-esteem, self-determination theory, and terror management theory. It can therefore be regarded as a meta-theory that brings these theories, and related ones, within a common evolutionary framework. The theory suggests two primary dimensions of the self, the depth of awareness of the self and the social extent of the self. A revised and updated version of this paper can be found as Chapter 13 ('The human self') in my book 'The estimator theory of life and mind: how agency and consciousness can emerge', see VANTET-8 at philpapers

Biological organisms appear to have agency, goals, and meaningful behaviour. One possibility is that this is mere appearance, where such properties are not real, but only ‘as if’ consequences of the physiological structure of organisms. Another possibility is that these properties are real, as emerging from the organism's structure and from how the organism interacts with its environment. Here I will discuss a recent theory showing that the latter position is most likely correct, and argue that the theory is largely consistent with the basics of the field of biosemiotics. The theory can be represented as a triad that resembles the semiotic triad proposed by Peirce, which connects a sign with its object through a process of interpretation. In the theory presented, the sign is an internalized version of fitness which refers to the true fitness through a feedback loop that in effect produces interpretation. The feedback loop entangles deterministic and stochastic forms of causation in such a way that genuine agency, goal-directedness, and their associated meaning emerge. It produces a strong form of emergence not reducible to its constituents. The result is that novel phenomena arise that are real and necessary components for a complete understanding of living organisms.

This Letter to the Editor is a comment on a paper by Rodríguez Higuera (Biosemiotics 9, 155–167, 2016) that refers to a paper by van Hateren (Biosemiotics 8, 403–419, 2015). The comment argues that semiosis (i.e., the making of meaning) has biological roots in an internal process X occurring within all forms of life. This internal process produces, in effect, an approximation (i.e., an estimate) of the fitness of an organism. X subsequently drives a purely stochastic process of structural change within the organism. This results in primordial forms of semiosos, agency, and aboutness. It is argued that the way this is produced should be regarded as a form of strong emergence, because it results in novel causal powers that are not equivalent to the combined causal powers of the composing parts of the system.