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“Was the first craniate on the road
to cognition?”
Evolution and Cognition 2003; 9(2):142-156.
Fredric J. Heeren (Page 3)
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Top-Down Evolution
The appearance of chordates at this early
date adds to the evidence for what Berkeley paleobiologist
James VALENTINE and his colleagues call a “topdown”
pattern in the fossil record (ERWIN/VALENTINE/ SEPKOWSKI 1987).
In the most published diagram in the history of evolutionary
biology (and the only diagram in On
the Origin of Species), DARWIN
illustrated what became the standard, bottom- up view of how
new taxa evolve (DARWIN 2000, pp514–515). Beginning with
small variations, evolving organisms diverge further from the
original ancestor, eventually diversifying into new species,
then new genera, new families, new orders, and the splitting
continues until the highest taxa are reached, which are
separated from one another by the greatest differences (DARWIN,
p120, p128; SIMPSON 1953, pp383–384).
“The textbooks all teach that
evolution takes place when a new species appears, when the
morphology is very close”, said CHEN in a talk titled
“Top-Down Evolution and the Fossil Record” (CHEN
1999). “But that story is not true, according to our
fossil finds”, he told the assembled scientists.
“The new phyla make their start in the early days,
instead of coming at the top”. He pointed to a very
different-looking diagram of his own to illustrate the fact
that morphological gaps among animals were greater near the
beginning and less significant later (LEWIN 1988; ARTHUR 1977,
pp81– 82; SCHWARTZ 1999, p3) (Figure 4).
After listening to CHEN’s
“top-down” talk, paleontologist David BOTTJER said,
“I think the Cambrian explosion is going to tell us
something different about evolution, in the sense that
it’s not the same story that we have always been
taught” (BOTTJER personal communication). BOTTJER
can’t argue with the top-down pattern: “After the
concentration of phyla first showing up in the Cambrian”,
he said, “then we see classes, then orders, families, and
that’s where much of the action is later on, after the
Cambrian. So there is that kind of a pattern. And the question
is, why is that happening?” Participants in the Kunming
symposium came prepared to propose new, sometimes non-
DARWINIAN mechanisms to explain the relatively abrupt
appearance of the phyla.
New explanations included: saltatory
evolution as a reaction to submarine hydrothermal eruptions
(YANG et al. 1999); a “Cambrian substrate revolution”
in which burrowing animals destroyed the microbial mat habitat
of others, resulting in new environments and extensive
adaptations (BOTTJER 1999); a billion years of genetic
preadaptations for complex metazoans through “set-aside
cells” (DAVIDSON 1999); “intelligent design”,
the inference that the preadaptations and “appearance of
design” point to an actual design by an intelligent
entity, whether that entity be explained by directed
panspermia, a Platonic demiurge, a theistic deity, or some
other, unknown intelligent cause (NELSON 1999; WELLS 1999); the
evolution of Platonic forms as a vitalistic process, i.e., the
suggestion that evolution is driven by a controlling force or
principle within organic forms that cannot be reduced to
physics and chemistry alone (DENTON 1999); and top-down
evolution, in which laws of harmony play at least as great a
role in evolution as competition (CHEN 1999).
Contingency
Returning to our original three
hypotheses, we now ask: How do findings surrounding the
earliest known craniate affect probabilities for the evolution
of cognition? Cephalization prior to the development of an
internal body support structure might suggest a body plan in
which the head is in some sense dominant. Observing the
top-down pattern in the subsequent fossil record, some might
further see in this a law-like process dictating an early
appearance of brainy chordates among the body plans. But what
kind of natural law would demand that, of all the evolving
phyla, one of them would necessarily develop a conspicuous
brain, ready to be subsequently supported by the vertebrate
structure?
Worse, what kind of law would demand that
such a pre-backbone craniate would necessarily survive what
Stephen Jay GOULD calls “the Burgess decimation”?
(GOULD 1989, pp233–239). In Wonderful
Life, he suggests that “a 90
percent chance of death would be a good estimate for major
Burgess [Cambrian] lineages” (p47). In recent years,
Peter WARD and Donald Brownlee have stirred up controversy
about the odds against complex life (even as complex as a
flatworm) evolving on another planet. In their book Rare Earth, they
argue that complex life in the galaxy may be rare, mainly
because of the small number of planets that provide enough time
and the right conditions for its evolution (WARD/ BROWNLEE
2000). They also believe that the Cambrian explosion of so many
new, widely separated, complex animal groups didn’t have
to happen. Neo- DARWINISM doesn’t predict such an event.
And the fact that virtually no new animal phyla have evolved in
the 530 million years since should give us pause (VALENTINE
1995).
The new discoveries in China take this
concern a step further, demonstrating that even a
“charmed place” like Earth, apparently ideal for
life, is not necessarily good enough to produce advanced intelligence.
First we learn that chordates, like the other animal phyla,
must evolve early to evolve at all (since new phyla don’t
keep appearing after the Cambrian). Then we learn that major
groups did not survive the Cambrian, though we know of no
reason why they were less fit than chordates. The first fact
(all body plans forming close together in time) has a law-like
quality about it, while the second (extinctions) appears highly
stochastic.
GOULD may have been overenthusiastic in
his use of the term “Cambrian decimation” (GOULD
1989, p47), and we should not infer that chordates only had
once chance in ten to survive the Cambrian. To say that most
lineages disappeared is not to say that most phyla disappeared.
We do not know that the Cambrian ended with a massive
extinction event, as we do about the end of five other periods.
However, some analyses show that more disappearances occurred
by the end of the Cambrian than at the end of any of the
“Big Five” extinctions (WARD/BROWNLEE 2000,
p184)—even the Permian, usually declared to be the most
catastrophic. According to independent studies by
paleontologists Helen Tappan and Norman Newell, about 60
percent of marine families went extinct in the Cambrian,
compared to about 55 percent in the Permian” (Ibid).
What we can say with certainty is that
craniates had their birth in the most dangerous possible period
in the history of metazoan life. As has long been known, in
only one period do the number of animal phyla decrease: the
Cambrian, and in that period they decrease drastically
(DOBZHANSKY et al. 1977, pp421–23). Cambrian researchers
say that this period was by far the riskiest because species
diversity within each phylum was at an all-time low, making it
easier for changing environmental conditions to destroy an
entire phylum merely by eliminating a few species (GOULD 2002,
p1315). But as geologic time progresses, there is a pattern of
increasing diversity at lower taxonomic levels relative to the
higher taxa. Today there are far fewer classes and orders than
existed four- to five-hundred million years ago, while there
are probably eight to ten times the number of species
(Dobzhansky et al. 1977, p428).
Thus the same phenomenon that gives rise
to the top-down pattern in the fossil record also helps to
explain why GOULD considered the chordate’s Cambrian
survival a momentous event, like winning the lottery. And what
reason can we give for expecting our winning streak to hold up
through all the subsequent chancy events, including at least
five major extinctions? Perfectly fit species were caught by
chance at the wrong time, belonging to groups that would not
otherwise have gone extinct, but that simply happened to be at
a low point in species numbers (since species numbers fluctuate
randomly over time) (GOULD 2002, pp1312–1317). The K-T
impact that was apparently ultimately responsible for
exterminating the dinosaurs 65 million years ago happened to
work in favor of small mammals. But what if that
extraterrestrial impactor had missed the Earth? Might dinosaurs
have ruled the planet for another 200 million years, preventing
the evolution of cognition?
The Principle of Mediocrity
Such an idea appears to challenge the
Principle of Mediocrity (also known as the Copernican
Principle), the assumption that there is nothing special about
our place in the universe. After all, the universe does not
revolve around Earth. Our planet, our solar system, even our
galaxy is but one of billions. Applied to our subject, the
Principle of Mediocrity implies that if human-level cognition
exists here, it must exist commonly throughout the universe.
What astronomers know by principle and by
multiple proofs, biologists are anxious to demonstrate too.
Suspecting that we self-aware beings shouldn’t be
exceptional, biologists and paleontologists are beginning to
contemplate new ways to beat the odds. A few even wonder if the
game is somehow rigged. This seems to be Jun-Yuan CHEN’s
position, and a theme of his “top-down” talk at the
Kunming conference: the fossil record demonstrates something
more than accidental progress by a series of flukes.
Rather than seeing a gradual accumulation
of small modifications that finally added up to widely
separated animal groups, CHEN observes an explosive appearance
of particular forms—sophisticated, widely separated
animal groups, right from the start. Diagnostic characters did
not accrue over time, but showed up with their first appearance
in the form of Bauplans, including our own (CHEN 1999;
BERGSTRÖM 1994). To say that this was not in some sense
“meant to be” would seem to be a denial of this
important, Copernican axiom of science.
Cognition in Other Body Plans?
Haikouella demonstrates
that the basic body plan that sets us so far apart from
mollusks and arthropods was in place at the beginning of the
animal fossil record. Chordates, named for the notochord that would eventually be
largely replaced and surrounded by the vertebral column, seem
ideally suited to provide the structure required to put sensory
organs up high, where they can help an animal get the best
perspective on surroundings. Other design requirements for
brainy wannabees naturally follow: the brain needs to be near
these sensory organs, to minimize reaction time, and the whole
should be protected by an encasement. A distinct head is thus a
part of the package, which CHEN and SHU claim to have found in
these earliest “craniates”. But again, the very
considerations that make this animal appear to be optimally
placed also make its position look tenuous.
Consider a world where chordates had gone
extinct with other Cambrian animals. GOULD considers this to be
a likelier scenario, a world without fish, birds, reptiles and
mammals. Instead, lots of sea stars, crustaceans, insects, and
worms. But, we ask, couldn’t chordates have re-evolved
later? Not when we recall that, with the possible exception of Bryozoa (“moss
animals”), no new animal phylum has ever evolved since
the Cambrian period (VALENTINE 1995). If advanced intelligence
was to evolve after that, it would have had to take a radically
different form.
In that case, wouldn’t another
animal group have filled our niche to eventually develop the
ability to compose literature and do math? Again, not likely.
Biologists have reasons to doubt that other phyla are so well
suited to developing large brains situated in a commanding
position. For a simple thought experiment, readers should try
to picture a sea star, bug or worm with a big head. Or, more to
the point, readers might try to think of a member of a
non-chordate phylum on this planet that did develop a written
language and technology, given 500 million years to do so.
Paleobiologist Michael BENTON points out
that “the vertebrate design lends itself to the
development and protection of a brain. This organ is present in
other animals, but there are limits on its growth—one of
them imposed very early in the history of life, when animals
were first developing basic equipment like a front and a back,
sense organs, and the ability to use information from the sense
organs …” (BENTON 1993). BENTON notes the
importance of the right architecture to create space available
for the cluster of nervous tissue where data arrive and orders
depart. While vertebrates separate this central ganglion from
the rest of the body, arthropods and mollusks wrap it around
their gut. Observes BENTON: “Any tendency for this tissue
to grow is likely to squeeze the tube of the gut and constrict
the supply of food. This is a contradiction that the arthropod
design has never resolved…” (Ibid).
What if chordates survived, but not
mammals or primates? Some might argue that, given more time,
dinosaurs themselves could have developed high intelligence.
Paleobiologists, however, say that a wholly different kind of
skull would be required. “You cannot simply grow a giant
brain in a dinosaur like Velociraptor: you have to reconstruct
the skull”, writes Richard FORTEY. “Consciousness
is not a clever trick to be whipped up from any set of neurons
like a soufflé from an egg” (FORTEY 1998).
Partly because our present existence
appears to depend upon a long string of unpredictable
accidents, biologists know of no fundamental “law of
progress” to show them why the path should have led to
anything like Homo sapiens. Biologist C. O. LOVEJOY writes that “the
evolution of cognition is the product of a variety of
influences and preadaptive capacities, the absence of any one
of which would have completely negated the process”
(LOVEJOY 1981). He notes that the human’s complex nervous
system is actually a reproductive liability, requiring a longer
gestation period and a longer time to train the young. LOVEJOY
concludes: “It is evident that the evolution of cognition
is neither the result of an evolutionary trend nor an event of
even the lowest calculable probability, but rather the result
of a series of highly specific evolutionary events whose
ultimate cause is traceable to selection for unrelated factors
such as locomotion and diet” (Ibid).
“If intelligence has such high
value”, writes Ernst MAYR, “why don’t we see
more species develop it?” (MAYR 1996). He contrasts the
singular development of high intelligence with the repeated
evolution of sight, which occurred at least 40 times
(SALVINI-PLAWEN/MAYR 1977). He calls the search for
extraterrestrial intelligence “hopeless” and
“a waste of time”, concluding that “for all
practical purposes, man is alone” (MAYR 2001, p263).
The list of leading biologists and
paleontologists on record for defending this
intelligence-by-fluke position is impressive, including
SIMPSON, DOBZHANSKY, FRANCOIS, AYALA, and GOULD (BARROW/ TIPLER
1986, p133). British astronomer John BARROW and American
physicist Frank TIPLER note that “there has developed a
general consensus among evolutionists that the evolution of
intelligent life, comparable in information-processing ability
to that of Homo sapiens, is so improbable that it is unlikely to have
occurred on any other planet in the entire visible
universe” (Ibid).
Many astronomers who once took optimistic
positions on the probability of finding signals from an
extraterrestrial intelligence are adjusting their predictions.
Forty years of null SETI results may have even taken their toll
on optimist Robert JASTROW, director of the Mt. Wilson
Observatory. Though he once told this writer,
“We’ll be hearing from those guys soon”, he
has since modified his statement to “If life is common, we’ll
be hearing from those guys soon” (JASTROW personal
communication). Even this guarded claim shows an
astronomer’s willingness to believe that the route from
life to intelligence is an obvious one, which, as we have seen,
is disputed by most biologists and paleontologists schooled in
the Modern Synthesis.
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