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States of Consciousness in Sleep, Dream, and Beyond: a Biothermodynamic and Neurocybernetic Evolutionary Study

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States of Consciousness in Sleep, Dream, and Beyond: a Biothermodynamic and Neurocybernetic Evolutionary Study States of Consciousness in Sleep, Dream, and Beyond: A Biothermodynamic and Neurocybernetic Evolutionary Study Prasun K. Royl,2+ and D. Dutta Majumder2,3* ^Neurobiology Division, LSA-129, University of California, Berkeley, CA 94720, USA;2tNeuro-imaging program, ECSU, Indian Statistical Institute, Calcutta-700 035, India;3 World Organization of Systems & Cybernetics, 2 rue de Voiulle, Paris 75015, France. ABSTRACT We study the inter-relationship between the states of sleep, dream, and wakefulness vis-a-vis the evolution of human brain. Various states and transformations of human consciousness are described in terms of the cognitive activation or entropy-production continuum. The evolutionaiy appearance of sleep, dream and allied states in the animal kingdom can be phylogenetically graded at each interval of about 125 million years (MY), as: Anabiosis Hibernation —> Torpor -* Sleep —• Dream -*· Lucidity Lucidity has three phases of increasing cognitive or information-processing levels: Lucid dream —• Luminous lucidity Ecstasic lucidity. Ecstasic lucid dream is the somnolent counterpart of the hyperarousal state of wakefulness called Ecstasis. Luminous lucidity is the intermediary state, generating the entoptic sensation of colored radiance. Prigogine-Zotin's non-equilibrium biothermodynamic Principle of Evolution accounts for our formalism, by taking the brain as a self-adaptive energy-dissipative structure. The equation for evolution of cognitive activation (ψ) in dream or lucid ecstasis is derived as ψ = ψ0 [1+A exp (at)]. We propose a heuristic neurocybernetic basis of dream/lucidity evolution using concepts of Short and Long-term memories, complex programming process, stochastic resonance and fuzzy periodicity. Corresponding author fax: +91(33) 245-7456/337-6926 e-mail: [email protected]; *[email protected] 57 Vol. 10, No. I, 2000 Evolution of Sleep, Dream and Beyond KEYWORDS evolution; dream; sleep; thermodynamics; lucid dream; consciousness; cybernetics " Very little attention is paid to the fact that we are endowed with two naturally recurring forms of consciousness, one experienced during the waking state, the other during the course of sleep. "—Montague Ullman (1999). 1. INTRODUCTION The evolution of the human brain and mind is a culminating landmark development of the biological evolutionary process which began with the primordial soup of self-organizing and self-replicating biotic polymers, thereby initiating the evolutionary chain: unicellular organisms, multicellular organisms, vertebrates, primates, and finally man with his own civilization, culture, and psyche and encompassing his various cognitive states and transformations. As the evolutionary process was actuated by increased supply of energy, the discipline of bioenergetics or biothermodynamics can furnish suitable approaches to help develop the theoretical foundations as relevant to state of the neural infrastructure, the nervous system, the brain and the mind. The newer discipline of non-equilibrium thermodynamics has been found to be a new paradigm to analyze the fundamental phenomenology of biological evolution (Zotin 1990; Brooks & Wiley 1988; Abraham & Gilgen, 1995) as well as that of psychological evolution or transformation (Roy et al., 1992, 1993a, 1993b, 1995; Badalamenti & Langs, 1992). The development of irreversible or non-equilibrium thermodynamics so as to elucidate biological processes was pioneered by Onsager (1968) and Prigogine (1976, 1977). A number of biologists and psychologists have used the paradigm of non-equilibrium dynamics and entropy production or the related techniques of bifurcation and stability theory to analyze various problems in behavioral systems, developmental physiology, psychodynamics, and bioregulation (Kugler et al., 1983; Murray, 1995). In the course of evolution, a gradual increase in the complexity of the organismic processes occurred, along with the ascendance of organization, regulation, control, and cognition. The higher the cognitive metabolic level or energy dissipation, the 58 P.K. Roy and D.Dutta Majumder Journal of Intelligent Systems higher the evolutionary advancement toward intelligence, and the more the organism departs from equilibrium. This is the well-known concept of "Dissipative Structure", as elucidated by the Brussels school of Glansdorff, Prigogine, and Nicolis, whereby energy dissipation, i.e. entropy production, becomes a fundamental locomotive of evolution, as shown in Schema-I below: Non-equilibrium Threshold Intestability through Fluctuations t EVOLUTION Energy Dissipation of Entropy Production Schema-I: "Dissipative Structure" concept: Energy dissipation or Entropy production generates Evolution The development of dreaming and sleeping at widely separated eras during vertebrate evolution were two significant land-marks in the development of higher animals and respectively related to information reprogramming and to homeostatic adaptive control (thermoregulation or warm-bloodedness). Dream and sleep are the two major States of Consciousness (SoC), besides the so-called waking normal state of consciousness (NSC). Various SoC have recently been the subject of considerable scholarly investigations (Kokozska, 1990; Rose, 1998; CIBA Foundation, 1993). We propose here that there are plausibly more states of consciousness in night sleep that could be the gateway to further newer states of consciousness. Analyzing experimental evidence, we propose that there is a continuum of further evolutionary and cognitive states in night sleep, beyond dream. This continuum is the Lucidity phenomenology, consisting of Lucid dream proper, Luminous lucidity, and Ecstasis lucidity, that are successively associated with increasingly more information-processing, cognitive activation, and energy- dissipative structuration'. 'Clarification of certain issues of lucidity in this paper is available at URL: www.luciditv.cora the website of lucidity research of the Stanford University Sleep Research Center, The Lucidity Institute—Stanford and Stanford Research Institute (SRI), a well recommended visit for the reader. The term 'Dreamlight' can be taken as an alternate word for Luminous lucidity (Gillespie, 1987; Gackenbach & Bosveld, 1990). LaBerge and Levitan (1995) used the word Dreamlight for photic-modulated lucidity; Hewitt (1988) and Gackenbach and Bosveld (1990) originated the term "Ecstatic lucid dream". 59 Vol. 10, No. 1, 2000 Evolution of Sleep, Dream and Beyond From paleozoological evidence we show that the resting phase or 'sleep' process is actually a series of evolutionary transformations across a geo- biological time span of almost a billion years as per the following sequential stages, each stage occurring at an approximate constant time interval of 125 ±5 MY (Schema-II): Δ»125χ106 yr A»125xl06yr A«125xl06yr A«125xl06yr A«125xl06yr Anabiosis —> Hibernation -> Torpor -» Sleep —> Dream —> Lucidity Schema-IIa: Development of the resting phase in animal evolution with the corresponding geobiological periods and organisms; energy dissipation of the phases are given as percentage of the dissipation at basal waking level. Note the gradual increase of energy dissipation factor consistent with a 'dissipative structure' interpretation of evolution of resting phase. Anabiosis or dormant state (625x 106 yr ago, at Precambrian era in nematode worms) (ψ=0.15%) ^Hibernation state (500x106 yr ago, at Cambrian era, in molluscs) (ψ=2%-5%) ^ Torpor (375xl06 yr ago, at Devonian era, in lung fishes) (ψ=10%-15%) ^ Sleep: Slow wave sleep (ψ=60%-70%) (250x 106 yr ago, at Permian era, in warm-blooded reptiles) ^ Dream: REM or Active Sleep (125xl06 yr ago, at Cretaceous era, in mammals) (ψ=95%-115%) ^ Lucidity:(0.1 χ40 10 Hz6 y r +ago K-complexed, at Quaternar overshooty era, in REMman) (ψ= 120%-130%) Schema-lib: The various resting phases and the corresponding biological conditions that necessitated the evolution of those phases. Anabiosis [for Desiccation] Hibernation [for Cold Acclimatization] Torpor [for Land Colonization] Sleep [for Energy Containment] Dream [for Memory Consolidation] Lucidity [for Thalamocortical Expansion] 60 P.K. Roy and D.Dutta Majumder Journal of Intelligent Systems We call this important evolutionary temporal unit of 125 MY as a 'somnochron' from the Greek root words of sleep and time. In the following sections we develop the thermodynamic and cybernetic foundations of the research problem. We elaborate the experimental and experiential evidence available and also elucidate the theoretical methodology derived from an information processing, bioenergetic, and neurocognitive approach. One of the central concerns of this paper is to develop the non-equilibrium dynamic equation of activation, entropy production or energy dissipation, during the gamut of evolution of consciousness, whether during the evolutionary development of vertebrates over millions of years, or during development of ecstasis, lucidity, or dream over few hours or minutes. Such universality of mathematical entropy production formalism is an expression of the ubiquity of thermodynamics from neuronal processes in brain to the evolution of life in biosphere. Nicolis and Prigogine (1977) have corroborated our point. We show that a similar mathematical formalism, based on statistical fluctuation theory, can unify these diverse types of evolution of consciousness, thereby emphasizing the universality and applicability of bioenergetics and thermo- dynamics to the study of consciousness. 2. CYBERNETICS: A BRIDGE TO THEORETICAL PSYCHOLOGY
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