diff --git "a/source/geb.txt" "b/source/geb.txt" new file mode 100644--- /dev/null +++ "b/source/geb.txt" @@ -0,0 +1,31746 @@ +-1 DOUGLAS R. HOFSTA DTER + +godel,escher,bach + +I AN ETERNAL GOLDEN BRAID + +A METAPHORICAL FUGUE ON MINDS AND MACHINES, IN THE SPIRIT OF LEWIS CARROLL + +Contents + +Overview viii + +List of Illustrations xiv + +Words of Thanks xix + +Part I: GEB + +Introduction: A Musico-Logical Offering 3 + +Three-Part Invention 29 + +Chapter I: The MU-puzzle 33 + +Two-Part Invention 43 + +Chapter II: Meaning and Form in Mathematics 46 + +Sonata for Unaccompanied Achilles 61 + +Chapter III: Figure and Ground 64 + +Contracrostipunctus 75 + +Chapter IV: Consistency, Completeness, and Geometry 82 + +Little Harmonic Labyrinth 103 + +Chapter V: Recursive Structures and Processes 127 + +Canon by Intervallic Augmentation 153 + +Chapter VI: The Location of Meaning 158 + +Chromatic Fantasy, And Feud 177 + +Chapter VII: The Propositional Calculus 181 + +Crab Canon 199 + +Chapter VIII: Typographical Number Theory 204 + +A Mu Offering 231 + +Chapter IX: Mum on and Godel 246 + +Part II EGB + +Prelude ... 275 + +Chapter X: Levels of Description, and Computer Systems 285 + +Ant Fugue 311 + +Chapter XI: Brains and Thoughts 337 + +English French German Suit 366 + +Chapter XII: Minds and Thoughts 369 + +Aria with Diverse Variations 391 + +Chapter XIII: BlooP and FlooP and GlooP 406 + +Air on G's String 431 + +Chapter XIV: On Formally Undecidable Propositions of TNT and Related Systems 438 + +Birthday Cantatatata ... 461 + +Chapter XV: Jumping out of the System 465 + +Edifying Thoughts of a Tobacco Smoker 480 + +Chapter XVI: Self-Ref and Self-Rep 495 + +The Magnfierab, Indeed 549 + +Chapter XVII: Church, Turing, Tarski, and Others 559 + +SHRDFU, Toy of Man's Designing 586 + +Chapter XVIII: Artificial Intelligence: Retrospects 594 + +Contrafactus 633 + +Chapter XIX: Artificial Intelligence: Prospects 641 + +Sloth Canon 681 + +Chapter XX: Strange Foops, Or Tangled Hierarchies 684 + +Six-Part Ricercar 720 + +Notes 743 + +Bibliography 746 + +Credits 757 + +Index 759 + +Overview Part I: GEB + +Introduction: A Musico-Logical Offering. The book opens with the story of Bach's Musical +Offering. Bach made an impromptu visit to King Frederick the Great of Prussia, and was +requested to improvise upon a theme presented by the King. His improvisations formed the basis +of that great work. The Musical Offering and its story form a theme upon which I "improvise" +throughout the book, thus making a sort of "Metamusical Offering". Self-reference and the +interplay between different levels in Bach are discussed: this leads to a discussion of parallel +ideas in Escher's drawings and then Godel’s Theorem. A brief presentation of the history of logic +and paradoxes is given as background for Godel’s Theorem. This leads to mechanical reasoning +and computers, and the debate about whether Artificial Intelligence is possible. I close with an +explanation of the origins of the book-particularly the why and wherefore of the Dialogues. + +Three-Part Invention. Bach wrote fifteen three-part inventions. In this three-part Dialogue, the +Tortoise and Achilles-the main fictional protagonists in the Dialogues-are "invented" by Zeno (as +in fact they were, to illustrate Zeno's paradoxes of motion). Very short, it simply gives the flavor +of the Dialogues to come. + +Chapter I: The MU-puzzle. A simple formal system (the MIL'-system) is presented, and the reader +is urged to work out a puzzle to gain familiarity with formal systems in general. A number of +fundamental notions are introduced: string, theorem, axiom, rule of inference, derivation, formal +system, decision procedure, working inside/outside the system. + +Two-Part Invention. Bach also wrote fifteen two-part inventions. This two-part Dialogue was written +not by me, but by Lewis Carroll in 1895. Carroll borrowed Achilles and the Tortoise from Zeno, +and I in turn borrowed them from Carroll. The topic is the relation between reasoning, reasoning +about reasoning, reasoning about reasoning about reasoning, and so on. It parallels, in a way, +Zeno's paradoxes about the impossibility of motion, seeming to show, by using infinite regress, +that reasoning is impossible. It is a beautiful paradox, and is referred to several times later in the +book. + +Chapter II: Meaning and Form in Mathematics. A new formal system (the pq-system) is +presented, even simpler than the MlU-system of Chapter I. Apparently meaningless at first, its +symbols are suddenly revealed to possess meaning by virtue of the form of the theorems they +appear in. This revelation is the first important insight into meaning: its deep connection to +isomorphism. Various issues related to meaning are then discussed, such as truth, proof, symbol +manipulation, and the elusive concept, "form". + +Sonata for Unaccompanied Achilles. A Dialogue which imitates the Bach Sonatas for +unaccompanied violin. In particular, Achilles is the only speaker, since it is a transcript of one +end of a telephone call, at the far end of which is the Tortoise. Their conversation concerns the +concepts of "figure" and "ground" in various +contexts- e.g., Escher's art. The Dialogue itself forms an example of the distinction, since +Achilles' lines form a "figure", and the Tortoise's lines-implicit in Achilles' lines-form a "ground". + +Chapter III: Figure and Ground. The distinction between figure and ground in art is compared to +the distinction between theorems and nontheorems in formal systems. The question "Does a +figure necessarily contain the same information as its ground%" leads to the distinction between +recursively enumerable sets and recursive sets. + +Contracrostipunctus. This Dialogue is central to the book, for it contains a set of paraphrases of +Godel’s self-referential construction and of his Incompleteness Theorem. One of the paraphrases +of the Theorem says, "For each record player there is a record which it cannot play." The +Dialogue's title is a cross between the word "acrostic" and the word "contrapunctus", a Latin word +which Bach used to denote the many fugues and canons making up his Art of the Fugue. Some +explicit references to the Art of the Fugue are made. The Dialogue itself conceals some acrostic +tricks. + +Chapter IV: Consistency, Completeness, and Geometry. The preceding Dialogue is explicated to +the extent it is possible at this stage. This leads back to the question of how and when symbols in +a formal system acquire meaning. The history of Euclidean and non-Euclidean geometry is given, +as an illustration of the elusive notion of "undefined terms". This leads to ideas about the +consistency of different and possibly "rival" geometries. Through this discussion the notion of +undefined terms is clarified, and the relation of undefined terms to perception and thought +processes is considered. + +Little Harmonic Labyrinth. This is based on the Bach organ piece by the same name. It is a playful +introduction to the notion of recursive-i.e., nested structures. It contains stories within stories. The +frame story, instead of finishing as expected, is left open, so the reader is left dangling without +resolution. One nested story concerns modulation in music-particularly an organ piece which +ends in the wrong key, leaving the listener dangling without resolution. + +Chapter V: Recursive Structures and Processes. The idea of recursion is presented in many +different contexts: musical patterns, linguistic patterns, geometric structures, mathematical +functions, physical theories, computer programs, and others. + +Canon by Intervallic Augmentation. Achilles and the Tortoise try to resolve the question, "Which +contains more information-a record, or the phonograph which plays it This odd question arises +when the Tortoise describes a single record which, when played on a set of different +phonographs, produces two quite different melodies: B-A-C-H and C-A-G-E. It turns out, +however, that these melodies are "the same", in a peculiar sense. + +Chapter VI: The Location of Meaning. A broad discussion of how meaning is split among coded +message, decoder, and receiver. Examples presented include strands of DNA, undeciphered +inscriptions on ancient tablets, and phonograph records sailing out in space. The relationship of +intelligence to "absolute" meaning is postulated. + +Chromatic Fantasy, And Feud. A short Dialogue bearing hardly any resemblance, except in title, to +Bach's Chromatic Fantasy and Fugue. It concerns the proper way to manipulate sentences so as +to preserve truth-and in particular the question +of whether there exist rules for the usage of the word "arid". This Dialogue has much in common +with the Dialogue by Lewis Carroll. + +Chapter VII: The Propositional Calculus. It is suggested how words such as ,,and" can be +governed by formal rules. Once again, the ideas of isomorphism and automatic acquisition of +meaning by symbols in such a system are brought up. All the examples in this Chapter, +incidentally, are "Zentences"-sentences taken from Zen koans. This is purposefully done, +somewhat tongue-in-cheek, since Zen koans are deliberately illogical stories. + +Crab Canon. A Dialogue based on a piece by the same name from the Musical Offering. Both are so +named because crabs (supposedly) walk backwards. The Crab makes his first appearance in this +Dialogue. It is perhaps the densest Dialogue in the book in terms of formal trickery and level- +play. Godel, Escher, and Bach are deeply intertwined in this very short Dialogue. + +Chapter VIII: Typographical Number Theory. An extension of the Propositional Calculus called +"TNT" is presented. In TNT, number-theoretical reasoning can be done by rigid symbol +manipulation. Differences between formal reasoning and human thought are considered. + +A Mu Offering. This Dialogue foreshadows several new topics in the book. Ostensibly concerned +with Zen Buddhism and koans, it is actually a thinly veiled discussion of theoremhood and +nontheoremhood, truth and falsity, of strings in number theory. There are fleeting references to +molecular biology-particular) the Genetic Code. There is no close affinity to the Musical +Offering, other than in the title and the playing of self-referential games. + +Chapter IX: Mumon and Godel. An attempt is made to talk about the strange ideas of Zen +Buddhism. The Zen monk Mumon, who gave well known commentaries on many koans, is a +central figure. In a way, Zen ideas bear a metaphorical resemblance to some contemporary ideas +in the philosophy of mathematics. After this "Zennery", Godel’s fundamental idea of Godel- +numbering is introduced, and a first pass through Godel’s Theorem is made. + +Part II: EGB + +Prelude ... This Dialogue attaches to the next one. They are based on preludes and fugues from +Bach's Well-Tempered Clavier. Achilles and the Tortoise bring a present to the Crab, who has a +guest: the Anteater. The present turns out to be a recording of the W.T.C.; it is immediately put +on. As they listen to a prelude, they discuss the structure of preludes and fugues, which leads +Achilles to ask how to hear a fugue: as a whole, or as a sum of parts? This is the debate between +holism and reductionism, which is soon taken up in the Ant Fugue. + +Chapter X: Levels of Description, and Computer Systems. Various levels of seeing pictures, +chessboards, and computer systems are discussed. The last of these is then examined in detail. +This involves describing machine languages, assembly languages, compiler languages, operating +systems, and so forth. Then the discussion turns to composite systems of other types, such as +sports teams, nuclei, atoms, the weather, and so forth. The question arises as to how man +intermediate levels exist-or indeed whether any exist. + +...Ant Fugue. An imitation of a musical fugue: each voice enters with the same statement. The +theme-holism versus reductionism-is introduced in a recursive picture composed of words +composed of smaller words, etc. The words which appear on the four levels of this strange picture +are "HOLISM", "REDLCTIONIsM", and "ML". The discussion veers off to a friend of the +Anteater's Aunt Hillary, a conscious ant colony. The various levels of her thought processes are +the topic of discussion. Many fugal tricks are ensconced in the Dialogue. As a hint to the reader, +references are made to parallel tricks occurring in the fugue on the record to which the foursome +is listening. At the end of the Ant Fugue, themes from the Prelude return, transformed +considerably. + +Chapter XI: Brains and Thoughts. "How can thoughts he supported by the hardware of the brain is +the topic of the Chapter. An overview of the large scale and small-scale structure of the brain is +first given. Then the relation between concepts and neural activity is speculatively discussed in +some detail. + +English French German Suite. An interlude consisting of Lewis Carroll's nonsense poem +"Jabberwocky' 1 together with two translations: one into French and one into German, both done +last century. + +Chapter XII: Minds and Thoughts. The preceding poems bring up in a forceful way the question +of whether languages, or indeed minds, can be "mapped" onto each other. How is communication +possible between two separate physical brains: What do all human brains have in common? A +geographical analogy is used to suggest an answer. The question arises, "Can a brain be +understood, in some objective sense, by an outsider?" + +Aria with Diverse Variations. A Dialogue whose form is based on Bach's Goldberg Variations, and +whose content is related to number-theoretical problems such as the Goldbach conjecture. This +hybrid has as its main purpose to show how number theory's subtlety stems from the fact that +there are many diverse variations on the theme of searching through an infinite space. Some of +them lead to infinite searches, some of them lead to finite searches, while some others hover in +between. + +Chapter XIII: BIooP and FlooP and GIooP. These are the names of three computer languages. +BIooP programs can carry out only predictably finite searches, while FlooP programs can carry +out unpredictable or even infinite searches. The purpose of this Chapter is to give an intuition for +the notions of primitive recursive and general recursive functions in number theory, for they are +essential in Godel’s proof. + +Air on G's String. A Dialogue in which Godel’s self-referential construction is mirrored in words. +The idea is due to W. V. O. Quine. This Dialogue serves as a prototype for the next Chapter. + +Chapter XIV: On Formally Undeeidable Propositions of TNT and Related Systems. This +Chapter's title is an adaptation of the title of Godel’s 1931 article, in which his Incompleteness +Theorem was first published. The two major parts of Godel’s proof are gone through carefully. It +is shown how the assumption of consistency of TNT forces one to conclude that TNT (or any +similar system) is incomplete. Relations to Euclidean and non-Euclidean geometry are discussed. +Implications for the philosophy of mathematics are gone into with some care. + +Birthday Cantatatata ... In which Achilles cannot convince the wily and skeptical Tortoise that today +is his (Achilles') birthday. His repeated but unsuccessful tries to do so foreshadow the +repeatability of the Godel argument. + +Chapter XV: Jumping out of the System. The repeatability of Godel’s argument is shown, with +the implication that TNT is not only incomplete, but "essentially incomplete The fairly notorious +argument by J. R. Lucas, to the effect that Godel’s Theorem demonstrates that human thought +cannot in any sense be "mechanical", is analyzed and found to be wanting. + +Edifying Thoughts of a Tobacco Smoker. A Dialogue treating of many topics, with the thrust being +problems connected with self-replication and self-reference. Television cameras filming +television screens, and viruses and other subcellular entities which assemble themselves, are +among the examples used. The title comes from a poem by J. S. Bach himself, which enters in a +peculiar way. + +Chapter XVI: Self-Ref and Self-Rep. This Chapter is about the connection between self-reference +in its various guises, and self-reproducing entities e.g., computer programs or DNA molecules). +The relations between a self-reproducing entity and the mechanisms external to it which aid it in +reproducing itself (e.g., a computer or proteins) are discussed-particularly the fuzziness of the +distinction. How information travels between various levels of such systems is the central topic of +this Chapter. + +The Magnificrab, Indeed. The title is a pun on Bach's Magnifacat in D. The tale is about the Crab, +who gives the appearance of having a magical power of distinguishing between true and false +statements of number theory by reading them as musical pieces, playing them on his flute, and +determining whether they are "beautiful" or not. + +Chapter XVII: Church, Turing, Tarski, and Others. The fictional Crab of the preceding Dialogue +is replaced by various real people with amazing mathematical abilities. The Church-Turing +Thesis, which relates mental activity to computation, is presented in several versions of differing +strengths. All are analyzed, particularly in terms of their implications for simulating human +thought mechanically, or programming into a machine an ability to sense or create beauty. The +connection between brain activity and computation brings up some other topics: the halting +problem of Turing, and Tarski's Truth Theorem. + +SHRDLU, Toy of Man's Designing. This Dialogue is lifted out of an article by Terry Winograd on +his program SHRDLU: only a few names have been changed. In it. a program communicates +with a person about the so-called "blocks world" in rather impressive English. The computer +program appears to exhibit some real understanding-in its limited world. The Dialogue's title is +based on Jesu, joy of Mans Desiring , one movement of Bach's Cantata 147. + +Chapter XVIII: Artificial Intelligence: Retrospects, This Chapter opens with a discussion of the +famous "Turing test"-a proposal by the computer pioneer Alan Turing for a way to detect the +presence or absence of "thought" in a machine. From there, we go on to an abridged history of +Artificial Intelligence. This covers programs that can-to some degree-play games, prove +theorems, solve problems, compose music, do mathematics, and use "natural language" (e.g., +English). + +Contrafactus. About how we unconsciously organize our thoughts so that we can imagine +hypothetical variants on the real world all the time. Also about aberrant variants of this ability- +such as possessed by the new character, the Sloth, an avid lover of French fries, and rabid hater of +counterfactuals. + +Chapter XIX: Artificial Intelligence: Prospects. The preceding Dialogue triggers a discussion of +how knowledge is represented in layers of contexts. This leads to the modern A1 idea of "frames". +A frame-like way of handling a set of visual pattern puzzles is presented, for the purpose of +concreteness. Then the deep issue of the interaction of concepts in general is discussed, which +leads into some speculations on creativity. The Chapter concludes with a set of personal +"Questions and Speculations" on A1 and minds in general. + +Sloth Canon. A canon which imitates a Bach canon in which one voice plays the same melody as +another, only upside down and twice as slowly, while a third voice is free. Here, the Sloth utters +the same lines as the Tortoise does, only negated (in a liberal sense of the term) and twice as +slowly, while Achilles is free. + +Chapter XX: Strange Loops, Or Tangled Hierarchies. A grand windup of many of the ideas +about hierarchical systems and self-reference. It is concerned with the snarls which arise when +systems turn back on themselves-for example, science probing science, government investigating +governmental wrongdoing, art violating the rules of art, and finally, humans thinking about their +own brains and minds. Does Godel’s Theorem have anything to say about this last "snarl"? Are +free will and the sensation of consciousness connected to Godel’s Theorem? The Chapter ends by +tying Godel, Escher, and Bach together once again. + +Six-Part Ricercar. This Dialogue is an exuberant game played with many of the ideas which have +permeated the book. It is a reenactment of the story of the Musical Offering, which began the +book; it is simultaneously a "translation" into words of the most complex piece in the Musical +Offering: the Six-Part Ricercar. This duality imbues the Dialogue with more levels of meaning +than any other in the book. Frederick the Great is replaced by the Crab, pianos by computers, and +so on. Many surprises arise. The Dialogue's content concerns problems of mind, consciousness, +free will. Artificial Intelligence, the Turing test, and so forth, which have been introduced earlier. +It concludes with an implicit reference to the beginning of the book, thus making the book into +one big self-referential loop, symbolizing at once Bach's music, Escher's drawings, and Godel’s +Theorem. + +CHAPTER N: Introduction: A Musico-Logical Offering + +FREDERICK THE GREAT, King of Prussia, came to power in 1740. Although he is +remembered in history books mostly for his military astuteness, he was also devoted to +the life of the mind and the spirit. His court in Potsdam was one of the great centers of +intellectual activity in Europe in the eighteenth century. The celebrated mathematician +Leonhard Euler spent twenty-five years there. Many other mathematicians and scientists +came, as well as philosophers-including Voltaire and La Mettrie, who wrote some of their +most influential works while there. + +But music was Frederick's real love. He was an avid flutist and composer. Some of his +compositions are occasionally performed even to this day. Frederick was one of the first +patrons of the arts to recognize the virtues of the newly developed "piano-forte" ("soft- +loud"). The piano had been developed in the first half of the eighteenth century as a +modification of the harpsichord. The problem with the harpsichord was that pieces could +only be played at a rather uniform loudness-there was no way to strike one note more +loudly than its neighbors. The "soft-loud", as its name implies, provided a remedy to this +problem. From Italy, where Bartolommeo Cristofori had made the first one, the soft-loud +idea had spread widely. Gottfried Silbermann, the foremost German organ builder of the +day, was endeavoring to make a "perfect" piano-forte. Undoubtedly King Frederick was +the greatest supporter of his efforts-it is said that the King owned as many as fifteen +Silbermann pianos! + +Bach + +Frederick was an admirer not only of pianos, but also of an organist and composer by the +name of J. S. Bach. This Bach's compositions were somewhat notorious. Some called +them "turgid and confused", while others claimed they were incomparable masterpieces. +But no one disputed Bach's ability to improvise on the organ. In those days, being an +organist not only meant being able to play, but also to extemporize, and Bach was known +far and wide for his remarkable extemporizations. (For some delightful anecdotes about +Bach's extemporization, see The Bach Reader, by H. T. David and A. Mendel.) + +In 1747, Bach was sixty-two, and his fame, as well as one of his sons, had reached +Potsdam: in fact, Carl Philipp Emanuel Bach was the Capellmeister (choirmaster) at the +court of King Frederick. For years the King had let it be known, through gentle hints to +Philipp Emanuel, how +pleased he would be to have the elder Bach come and pay him a visit; but this wish had +never been realized. Frederick was particularly eager for Bach to try out his new +Silbermann pianos, which lie (Frederick) correctly foresaw as the great new wave in +music. + +It was Frederick's custom to have evening concerts of chamber music in his court. +Often he himself would be the soloist in a concerto for flute Here we have reproduced a +painting of such an evening by the German painter Adolph von Menzel, who, in the +1800's, made a series of paintings illustrating the life of Frederick the Great. At the +cembalo is C. P. E. Bach, and the figure furthest to the right is Joachim Quantz, the +King's flute master-and the only person allowed to find fault with the King's flute +playing. One May evening in 1747, an unexpected guest showed up. Johann Nikolaus +Forkel, one of Bach's earliest biographers, tells the story +as follows: + +One evening, just as lie was getting his flute ready, and his musicians were ssembled, +an officer brought him a list of the strangers who had arrived. With his flute in his hand +he ran ever the list, but immediately turned to the assembled musicians, and said, with a +kind of agitation, "Gentlemen, old Bach is come." The Hute was now laid aside, and old +Bach, who had alighted at his son's lodgings, was immediately summoned to the Palace. +Wilhelm Friedemann, who accompanied his father, told me this story, and I must say +that 1 still think with pleasure on the manner in which lie related it. At that time it was +the fashion to make rather prolix compliments. The first appearance of J. S. Bach before +se great a King, who did not even give him time to change his traveling dress for a +black chanter's gown, must necessarily be attended with many apologies. I will net here +dwell en these apologies, but merely observe, that in Wilhelm Friedemann's mouth they +made a formal Dialogue between the King and the Apologist. + +But what is mere important than this is that the King gave up his Concert for this +evening, and invited Bach, then already called the Old Bach, to try his fortepianos, +made by Silbermann, which steed in several rooms of the palace. [Forkel here inserts +this footnote: "The pianofortes manufactured by Silbermann, of Frevberg, pleased the +King se much, that he resolved to buy them all up. He collected fifteen. I hear that they +all now stand unfit for use in various corners of the Royal Palace."] The musicians went +with him from room to room, and Bach was invited everywhere to try them and to play +unpremeditated compositions. After he had gene en for some time, he asked the King to +give him a subject for a Fugue, in order to execute it immediately without any +preparation. The King admired the learned manner in which his subject was thus +executed extempore: and, probably to see hew far such artt could be carried, expressed +a wish to hear a Fugue with six Obligato parts. But as it is not every subject that is fit +for such full harmony, Bach chose one himself, and immediately executed it to the +astonishment of all present in the same magnificent and learned manner as he had done +that of the King. His Majesty desired also to hear his performance en the organ. The +next day therefore Bach was taken to all the organs in Potsdam, as lie had before been +to Silbermann's fortepianos. After his return to Leipzig, he composed the subject, which +he had received from the King, in three and six parts, added several artificial passages +in strict canon to it, and had it engraved, under the title of "Musikalisches Opfer" +[Musical Offering], and dedicated it to the Inventor.' + +Introduction: A Musico-Logical Offering + +When Bach sent a copy of his Musical Offering to the King, he included a dedicatory +letter, which is of interest for its prose style if nothing else rather submissive and +flattersome. From a modern perspective it seems comical. Also, it probably gives +something of the flavor of Bach's apology for his appearance. + +In deepest humility I dedicate herewith to Your Majesty a musical offering, the +noblest part of which derives from Your Majesty's own august hand. With awesome +pleasure I still remember the very special Royal grace when, some time ago, during +my visit in Potsdam, Your Majesty's Self deigned to play to me a theme for a fugue +upon the clavier, and at the same time charged me most graciously to carry it out in +Your Majesty's most august presence. To obey Your Majesty's command was my most +humble dim. I noticed very soon, however, that, for lack of necessary preparation, the +execution of the task did not fare as well as such an excellent theme demanded. I +resoled therefore and promptly pledged myself to work out this right Royal theme +more fully, and then make it known to the world. This resolve has now been carried +out as well as possible, and it has none other than this irreproachable intent, to glorify, +if only in a small point, the fame of a monarch whose greatness and power, as in all +the sciences of war and peace, so especially in music, everyone must admire and +revere. I make bold to add this most humble request: may Your Majesty deign to +dignify the present modest labor with a gracious acceptance, and continue to grant +Your Majesty’s most august Royal grace to Leipzig, July 7 1747 + +Your Majesty's most humble and obedient servant, +THE AUTHOR + +Some twenty-seven years later, when Bach had been dead for twentyfour years, a Baron +named Gottfried van Swieten-to whom, incidentally, Forkel dedicated his biography of +Bach, and Beethoven dedicated his First Symphony-had a conversation with King +Frederick, which he reported as follows: + +He [Frederick] spoke to me, among other things, of music, and of a great organist +named Bach, who has been for a while in Berlin. This aitist [Wilhelm Friedemann +Bach] is endowed with a talent superior, in depth of harmonic knowledge and power +of execution, to any I have heard or can imagine, while those who knew his father +claim that he, in turn, was even greater. The King +is of this opinion, and to prove it to me he sang aloud a chromatic fugue subject which +he had given this old Bach, who on the spot had made of it a fugue in four paits, then +in five parts, and finally in eight parts.' + +Of course there is no way of knowing whether it was King Frederick or Baron van +Swieten who magnified the story into larger-than-life proportions. But it shows how +powerful Bach's legend had become by that time. To give an idea of how extraordinary a +six-part fugue is, in the entire Well-Tempered Clavier by Bach, containing forty-eight +Preludes and Fugues, only two have as many as five parts, and nowhere is there a six-pait +fugue! One could probably liken the task of improvising a six-part fugue to the playing of +sixty simultaneous blindfold games of chess, and winning them all. To improvise an +eight-part fugue is really beyond human capability. + +In the copy which Bach sent to King Frederick, on the page preceding the first sheet of +music, was the following inscription: + +dTVcyis lam (untie El Jvl icjua Gnoi lica A rtc ^Rdolula . + +("At the King's Command, the Song and the Remainder Resolved with Canonic Art.") +Here Bach is punning on the word "canonic", since it means not only "with canons" but +also "in the best possible way". The initials of this inscription are + +RICERCAR + +-an Italian word, meaning "to seek". And certainly there is a great deal to seek in the +Musical Offering. It consists of one three-part fugue, one six-part fugue, ten canons, and a +trio sonata. Musical scholars have concluded that the three-part fugue must be, in +essence, identical with the one which Bach improvised for King Frederick. The six-pait +fugue is one of Bach's most complex creations, and its theme is, of course, the Royal +Theme. That theme, shown in Figure 3, is a very complex one, rhythmically irregular and +highly chromatic (that is, filled with tones which do not belong to the key it is in). To +write a decent fugue of even two voices based on it would not be easy for the average +musician! + +Both of the fugues are inscribed "Ricercar", rather than "Fuga". This is another +meaning of the word; "ricercar" was, in fact, the original name for the musical form now +known as "fugue". By Bach's time, the word "fugue" (or fuga, in Latin and Italian) had +become standard, but the term "ricercar" had survived, and now designated an erudite +kind of fugue, perhaps too austerely intellectual for the common ear. A similar usage +survives in English today: the word "recherche" means, literally, "sought out", but carries +the same kind of implication, namely of esoteric or highbrow cleverness. + +The trio sonata forms a delightful relief from the austerity of the fugues and canons, +because it is very melodious and sweet, almost dance- +able. Nevertheless, it too is based largely on the King's theme, chromatic and austere as it +is. It is rather miraculous that Bach could use such a theme to make so pleasing an +interlude. + +The ten canons in the Musical Offering are among the most sophisticated canons Bach +ever wrote. However, curiously enough, Bach himself never wrote them out in full. This +was deliberate. They were posed as puzzles to King Frederick. It was a familiar musical +game of the day to give a single theme, together with some more or less tricky hints, and +to let the canon based on that theme be "discovered" by someone else. In order to know +how this is possible, you must understand a few facts about canons. + +Canons and Fugues + +The idea of a canon is that one single theme is played against itself. This is done by +having "copies" of the theme played by the various participating voices. But there are +means' ways to do this. The most straightforward of all canons is the round, such as +"Three Blind Mice", "Row, Row, Row Your Boat", or " Frere Jacques". Here, the theme +enters in the first voice and, after a fixed time-delay, a "copy" of it enters, in precisely the +same key. After the same fixed time-delay in the second voice, the third voice enters +carrying the theme, and so on. Most themes will not harmonize with themselves in this +way. In order for a theme to work as a canon theme, each of its notes must be able to +serve in a dual (or triple, or quadruple) role: it must firstly be part of a melody, and +secondly it must be part of a harmonization of the same melody. When there are three +canonical voices, for instance, each note of the theme must act in two distinct harmonic +ways, as well as melodically. Thus, each note in a canon has more than one musical +meaning; the listener's ear and brain automatically figure out the appropriate meaning, by +referring to context. + +There are more complicated sorts of canons, of course. The first escalation in +complexity comes when the "copies" of the theme are staggered not only in time, but also +in pitch; thus, the first voice might sing the theme starting on C, and the second voice, +overlapping with the first voice, might sing the identical theme starting five notes higher, +on G. A third voice, starting on the D yet five notes higher, might overlap with the first +two, and so on. The next escalation in complexity comes when the speeds of the different +voices are not equal; thus, the second voice might sing twice as quickly, or twice as +slowly, as the first voice. The former is called diminution, the latter augmentation (since +the theme seems to shrink or to expand). + +We are not yet done! The next stage of complexity in canon construction is to invert the +theme, which means to make a melody which jumps down wherever the original theme +jumps up, and by exactly the same number of semitones. This is a rather weird melodic +transformation, but when one has heard many themes inverted, it begins to seem quite +natural. Bach was especially fond of inversions, and they show up often in his work-and +the Musical Offering is no exception. (For a simple example of +inversion, try the tune "Good King Wenceslas". When the original and its inversion are +sung together, starting an octave apart and staggered with a time-delay of two beats, a +pleasing canon results.) Finally, the most esoteric of "copies" is the retrograde copy- +where the theme is played backwards in time. A canon which uses this trick is +affectionately known as a crab canon, because of the peculiarities of crab locomotion. +Bach included a crab canon in the Musical Offering, needless to say. Notice that every +type of "copy" preserves all the information in the original theme, in the sense that the +theme is fully recoverable from any of the copies. Such an information preserving +transformation is often called an isomorphism, and we will have much traffic with +isomorphisms in this book. + +Sometimes it is desirable to relax the tightness of the canon form. One way is to allow +slight departures from perfect copying, for the sake of more fluid harmony. Also, some +canons have "free" voices-voices which do not employ the canon's theme, but which +simply harmonize agreeably with the voices that are in canon with each other. + +Each of the canons in the Musical Offering has for its theme a different variant of the +King's Theme, and all the devices described above for making canons intricate are +exploited to the hilt; in fact, they are occasionally combined. Thus, one three-voice canon +is labeled "Canon per Augmentationem, contrario Motu"; its middle voice is free (in fact, +it sings the Royal Theme), while the other two dance canonically above and below it, +using the devices of augmentation and inversion. Another bears simply the cryptic label +"Quaerendo invenietis" ("By seeking, you will discover"). All of the canon puzzles have +been solved. The canonical solutions were given by one of Bach's pupils, Johann Philipp +Kirnberger. But one might still wonder whether there are more solutions to seek! + +I should also explain briefly what a fugue is. A fugue is like a canon, in that it is +usually based on one theme which gets played in different voices and different keys, and +occasionally at different speeds or upside down or backwards. However, the notion of +fugue is much less rigid than that of canon, and consequently it allows for more +emotional and artistic expression. The telltale sign of a fugue is the way it begins: with a +single voice singing its theme. When it is done, then a second voice enters, either five +scale-notes up, or four down. Meanwhile the first voice goes on, singing the +"countersubject": a secondary theme, chosen to provide rhythmic, harmonic, and melodic +contrasts to the subject. Each of the voices enters in turn, singing the theme, often to the +accompaniment of the countersubject in some other voice, with the remaining voices +doing whatever fanciful things entered the composer's mind. When all the voices have +"arrived", then there are no rules. There are, to be sure, standard kinds of things to do-but +not so standard that one can merely compose a fugue by formula. The two fugues in the +Musical Offering are outstanding examples of fugues that could never have been +"composed by formula". There is something much deeper in them than mere fugality. + +All in all, the Musical Offering represents one of Bach's supreme accomplishments in +counterpoint. It is itself one large intellectual fugue, in +which many ideas and forms have been woven together, and in which playful double +meanings and subtle allusions are commonplace. And it is a very beautiful creation of the +human intellect which we can appreciate forever. (The entire work is wonderfully +described in the book f. S. Bach's Musical Offering, by H. T. David.) + +An Endlessly Rising Canon + +There is one canon in the Musical Offering which is particularly unusual. Labeled simply +"Canon per Tonos", it has three voices. The uppermost voice sings a variant of the Royal +Theme, while underneath it, two voices provide a canonic harmonization based on a +second theme. The lower of this pair sings its theme in C minor (which is the key of the +canon as a whole), and the upper of the pair sings the same theme displaced upwards in +pitch by an interval of a fifth. What makes this canon different from any other, however, +is that when it concludes-or, rather, seems to conclude-it is no longer in the key of C +minor, but now is in D minor. Somehow Bach has contrived to modulate (change keys) +right under the listener's nose. And it is so constructed that this "ending" ties smoothly +onto the beginning again; thus one can repeat the process and return in the key of E, only +to join again to the beginning. These successive modulations lead the ear to increasingly +remote provinces of tonality, so that after several of them, one would expect to be +hopelessly far away from the starting key. And yet magically, after exactly six such +modulations, the original key of C minor has been restored! All the voices are exactly one +octave higher than they were at the beginning, and here the piece may be broken off in a +musically agreeable way. Such, one imagines, was Bach's intention; but Bach indubitably +also relished the implication that this process could go on ad infinitum, which is perhaps +why he wrote in the margin "As the modulation rises, so may the King's Glory." To +emphasize its potentially infinite aspect, I like to call this the "Endlessly Rising Canon". + +In this canon, Bach has given us our first example of the notion of Strange Loops. The +"Strange Loop" phenomenon occurs whenever, by moving upwards (or downwards) +through the levels of some hierarchical system, we unexpectedly find ourselves right +back where we started. (Here, the system is that of musical keys.) Sometimes I use the +term Tangled Hierarchy to describe a system in which a Strange Loop occurs. As we go +on, the theme of Strange Loops will recur again and again. Sometimes it will be hidden, +other times it will be out in the open; sometimes it will be right side up, other times it will +be upside down, or backwards. "Quaerendo invenietis" is my advice to the reader. + +Escher + +To my mind, the most beautiful and powerful visual realizations of this notion of Strange +Loops exist in the work of the Dutch graphic artist M. C. Escher, who lived from 1902 to +1972. Escher was the creator of some of the +most intellectually stimulating drawings of all time. Many of them have their origin in +paradox, illusion, or double-meaning. Mathematicians were among the first admirers of +Escher's drawings, and this is understandable because they often are based on +mathematical principles of symmetry or pattern ... But there is much more to a typical +Escher drawing than just symmetry or pattern; there is often an underlying idea, realized +in artistic form. And in pailicular, the Strange Loop is one of the most recurrent themes in +Escher's work. Look, for example, at the lithograph Waterfall (Fig. 5), and compare its +six-step endlessly falling loop with the six-step endlessly rising loop of the "Canon per +Tonos". The similarity of vision is +remarkable. Bach and Escher are playing one single theme in two different "keys": music +and art. + +Escher realized Strange Loops in several different ways, and they can be arranged +according to the tightness of the loop. The lithograph Ascending and Descending (Fig. 6), +in which monks trudge forever in loops, is the loosest version, since it involves so many +steps before the starting point is regained. A tighter loop is contained in Waterfall, which, +as we already observed, involves only six discrete steps. You may be thinking that there +is some ambiguity in the notion of a single "step"-for instance, couldn't Ascending and +Descending be seen just as easily as having four levels (staircases) as forty-five levels +(stairs). It is indeed true that there is an inherent +haziness in level-counting, not only in Escher pictures, but in hierarchical, many-level +systems. We will sharpen our understanding of this haziness later on. But let us not get +too distracted now' As we tighten our loop, we come to the remarkable Drawing Hands +(Fig. 135), in which each of two hands draws the other: a two-step Strange Loop. And +finally, the tightest of all Strange Loops is realized in Print Gallery (Fig. 142): a picture +of a picture which contains itself. Or is it a picture of a gallery which contains itself? Or +of a town which contains itself? Or a young man who contains himself? (Incidentally, the +illusion underlying Ascending and Descending and Waterfall was not invented by Escher, +but by Roger Penrose, a British mathematician, in 1958. However, the theme of the +Strange Loop was already present in Escher's work in 1948, the year he drew Drawing +Hands. Print Gallery dates from 1956.) + +Implicit in the concept of Strange Loops is the concept of infinity, since what else is a +loop but a way of representing an endless process in a finite way? And infinity plays a +large role n many of Escher's drawings. Copies of one single theme often fit into each' +other, forming visual analogues to the canons of Bach. Several such patterns can be seen +in Escher's famous print Metamorphosis (Fig. 8). It is a little like the "Endlessly Rising +Canon": wandering further and further from its starting point, it suddenly is back. In the +tiled planes of Metamorphosis and other pictures, there are already suggestions of +infinity. But wilder visions of infinity appear in other drawings by Escher. In some of his +drawings, one single theme can appear on different levels of reality. For instance, one +level in a drawing might clearly be recognizable as representing fantasy or imagination; +another level would be recognizable as reality. These two levels might be the only +explicitly portrayed levels. But the mere presence of these two levels invites the viewer to +look upon himself as part of yet another level; and by taking that step, the viewer cannot +help getting caught up in Escher's implied chain of levels, in which, for any one level, +there is always another level above it of greater "reality", and likewise, there is always a +level below, "more imaginary" than it is. This can be mind-boggling in itself. However, +what happens if the chain of levels is not linear, but forms a loop? What is real, then, and +what is fantasy? The genius of Escher was that he could not only concoct, but actually +portray, dozens of half-real, half-mythical worlds, worlds filled with Strange Loops, +which he seems to be inviting his viewers to enter. + +Godel + +In the examples we have seen of Strange Loops by Bach and Escher, there is a conflict +between the finite and the infinite, and hence a strong sense of paradox. Intuition senses +that there is something mathematical involved here. And indeed in our own century a +mathematical counterpart was discovered, with the most enormous repercussions. And, +just as the Bach and Escher loops appeal to very simple and ancient intuitions-a musical +scale, a staircase-so this discovery, by K. Godel, of a Strange Loop in +mathematical systems has its origins in simple and ancient intuitions. In its absolutely +barest form, Godel's discovery involves the translation of an ancient paradox in +philosophy into mathematical terms. That paradox is the so-called Epimenides paradox, +or liar paradox. Epimenides was a Cretan who made one immortal statement: "All +Cretans are liars." A sharper version of the statement is simply "I am lying"; or, "This +statement is false". It is that last version which I will usually mean when I speak of the +Epimenides paradox. It is a statement which rudely violates the usually assumed +dichotomy of statements into true and false, because if you tentatively think it is true, +then it immediately backfires on you and makes you think it is false. But once you've +decided it is false, a similar backfiring returns you to the idea that it must be true. Try it! + +The Epimenides paradox is a one-step Strange Loop, like Escher's Print Gallery. But +how does it have to do with mathematics? That is what Godel discovered. His idea was to +use mathematical reasoning in exploring mathematical reasoning itself. This notion of +making mathematics "introspective" proved to be enormously powerful, and perhaps its +richest implication was the one Godel found: Godel's Incompleteness Theorem. What the +Theorem states and how it is proved are two different things. We shall discuss both in +quite some detail in this book. The Theorem can De likened to a pearl, and the method of +proof to an oyster. The pearl is prized for its luster and simplicity; the oyster is a complex +living beast whose innards give rise to this mysteriously simple gem. + +Godel's Theorem appears as Proposition VI in his 1931 paper "On Formally +Undecidable Propositions in Principia Mathematica and Related Systems I." It states: + +To every w-consistent recursive class K of formulae there correspond recursive +class-signs r, such that neither v Gen r nor Neg (v Gen r) belongs to Fig (K) (where v +is the free variable of r). + +Actually, it was in German, and perhaps you feel that it might as well be in German +anyway. So here is a paraphrase in more normal English: + +All consistent axiomatic formulations of number theory +include undecidable propositions. + +This is the pearl. + +In this pearl it is hard to see a Strange Loop. That is because the Strange Loop is buried +in the oyster-the proof. The proof of Godel's Incompleteness Theorem hinges upon the +writing of a self-referential mathematical statement, in the same way as the Epimenides +paradox is a self-referential statement of language. But whereas it is very simple to talk +about language in language, it is not at all easy to see how a statement about numbers can +talk about itself. In fact, it took genius merely to connect the idea of self-referential +statements with number theory. Once Godel had the intuition that such a statement could +be created, he was over the major hurdle. The actual creation of the statement was the +working out of this one beautiful spark of intuition. + +We shall examine the Godel construction quite carefully in Chapters to come, but so that +you are not left completely in the dark, I will sketch here, in a few strokes, the core of the +idea, hoping that what you see will trigger ideas in your mind. First of all, the difficulty +should be made absolutely clear. Mathematical statements-let us concentrate on number- +theoretical ones-are about properties of whole numbers. Whole numbers are not +statements, nor are their properties. A statement of number theory is not about a. +statement of number theory; it just is a statement of number theory. This is the problem; +but Godel realized that there was more here than meets the eye. + +Godel had the insight that a statement of number theory could be about a statement of +number theory (possibly even itself), if only numbers could somehow stand for +statements. The idea of a code, in other words, is at the heart of his construction. In the +Godel Code, usually called "Godel-numbering", numbers are made to stand for symbols +and sequences of symbols. That way, each statement of number theory, being a sequence +of specialized symbols, acquires a Godel number, something like a telephone number or a +license plate, by which it can be referred to. And this coding trick enables statements of +number theory to be understood on two different levels: as statements of number theory, +and also as statements about statements of number theory. + +Once Godel had invented this coding scheme, he had to work out in detail a way of +transporting the Epimenides paradox into a numbertheoretical formalism. His final +transplant of Epimenides did not say, "This statement of number theory is false", but +rather, "This statement of number theory does not have any proof". A great deal of +confusion can be caused by this, because people generally understand the notion of +"proof" rather vaguely. In fact, Godel's work was just part of a long attempt by +mathematicians to explicate for themselves what proofs are. The important thing to keep +in mind is that proofs are demonstrations within fixed systems of propositions. In the case +of Godel's work, the fixed system of numbertheoretical reasoning to which the word +"proof" refers is that of Principia Mathematica (P.M.), a giant opus by Bertrand Russell +and Alfred North Whitehead, published between 1910 and 1913. Therefore, the Godel +sentence G should more properly be written in English as: + +This statement of number theory does not have any proof in the system of Principia +Mathematica. + +Incidentally, this Godel sentence G is not Godel's Theorem-no more than the Epimenides +sentence is the observation that "The Epimenides sentence is a paradox." We can now +state what the effect of discovering G is. Whereas the Epimenides statement creates a +paradox since it is neither true nor false, the Godel sentence G is unprovable (inside +P.M.) but true. The grand conclusion% That the system of Principia Mathematica is +"incomplete"-there are true statements of number theory which its methods of proof are +too weak to demonstrate. + +But if Principia Mathematica was the first victim of this stroke, it was certainly not the +last! The phrase "and Related Systems" in the title of Godel's article is a telling one: for if +Godel's result had merely pointed out a defect in the work of Russell and Whitehead, then +others could have been inspired to improve upon P.M. and to outwit Godel's Theorem. +But this was not possible: Godel's proof pertained to any axiomatic system which +purported to achieve the aims which Whitehead and Russell had set for themselves. And +for each different system, one basic method did the trick. In short, Godel showed that +provability is a weaker notion than truth, no matter what axiomatic system is involved. + +Therefore Godel's Theorem had an electrifying effect upon logicians, mathematicians, +and philosophers interested in the foundations of mathematics, for it showed that no fixed +system, no matter how complicated, could represent the complexity of the whole +numbers: 0, 1, 2, 3, ... Modern readers may not be as nonplussed by this as readers of +1931 were, since in the interim our culture has absorbed Godel's Theorem, along with the +conceptual revolutions of relativity and quantum mechanics, and their philosophically +disorienting messages have reached the public, even if cushioned by several layers of +translation (and usually obfuscation). There is a general mood of expectation, these days, +of "limitative" results-but back in 1931, this came as a bolt from the blue. + +Mathematical Logic: A Synopsis + +A proper appreciation of Godel's Theorem requires a setting of context. Therefore, I will +now attempt to summarize in a short space the history of mathematical logic prior to +1931-an impossible task. (See DeLong, Kneebone, or Nagel and Newman, for good +presentations of history.) It all began with the attempts to mechanize the thought +processes of reasoning. Now our ability to reason has often been claimed to be what +distinguishes us from other species; so it seems somewhat paradoxical, on first thought, +to mechanize that which is most human. Yet even the ancient Greeks knew that reasoning +is a patterned process, and is at least partially governed by statable laws. Aristotle +codified syllogisms, and Euclid codified geometry; but thereafter, many centuries had to +pass before progress in the study of axiomatic reasoning would take place again. + +One of the significant discoveries of nineteenth-century mathematics was that there are +different, and equally valid, geometries-where by "a geometry" is meant a theory of +properties of abstract points and lines. It had long been assumed that geometry was what +Euclid had codified, and that, although there might be small flaws in Euclid's +presentation, they were unimportant and any real progress in geometry would be +achieved by extending Euclid. This idea was shattered by the roughly simultaneous +discovery of non-Euclidean geometry by several people-a discovery that shocked the +mathematics community, because it deeply challenged the idea that mathematics studies +the real world. How could there be many different kinds of "points" and "lines" in one single reality? Today, the solution to the dilemma +may be apparent, even to some nonmathematicians-but at the time, the dilemma created +havoc in mathematical circles. + +Later in the nineteenth century, the English logicians George Boole and Augustus De +Morgan went considerably further than Aristotle in codifying strictly deductive reasoning +patterns. Boole even called his book "The Laws of Thought"-surely an exaggeration, but +it was an important contribution. Lewis Carroll was fascinated by these mechanized +reasoning methods, and invented many puzzles which could be solved with them. Gottlob +Lrege in Jena and Giuseppe Peano in Turin worked on combining formal reasoning with +the study of sets and numbers. David Hilbert in Gottingen worked on stricter +formalizations of geometry than Euclid's. All of these efforts were directed towards +clarifying what one means by "proof". + +In the meantime, interesting developments were taking place in classical mathematics. +A theory of different types of infinities, known as the theory of sets, was developed by +Georg Cantor in the 1880's. The theory was powerful and beautiful, but intuition-defying. +Before long, a variety of set-theoretical paradoxes had been unearthed. The situation was +very disturbing, because just as mathematics seemed to be recovering from one set of +paradoxes-those related to the theory of limits, in the calculusalong came a whole new +set, which looked worse! + +The most famous is Russell's paradox. Most sets, it would seem, are not members of +themselves-for example, the set of walruses is not a walrus, the set containing only Joan +of Arc is not Joan of Arc (a set is not a person)-and so on. In this respect, most sets are +rather "run-of-the-mill". However, some "self-swallowing" sets do contain themselves as +members, such as the set of all sets, or the set of all things except Joan of Arc, and so on. +Clearly, every set is either run-of-the-mill or self-swallowing, and no set can be both. +Now nothing prevents us from inventing R: the set of all run-o,-the-mill sets. At first, R +might seem a rather run-of-the-mill invention-but that opinion must be revised when you +ask yourself, "Is R itself "a run-of-the-mill set or a self-swallowing set?" You will find +that the answer is: "R is neither run-of-the-mill nor self-swallowing, for either choice +leads to paradox." Try it! + +But if R is neither run-of-the-mill nor self-swallowing, then what is it? At the very +least, pathological. But no one was satisfied with evasive answers of that sort. And so +people began to dig more deeply into the foundations of set theory. The crucial questions +seemed to be: "What is wrong with our intuitive concept of 'set'? Can we make a rigorous +theory of sets which corresponds closely with our intuitions, but which skirts the +paradoxes?" Here, as in number theory and geometry, the problem is in trying to line up +intuition with formalized, or axiomatized, reasoning systems. + +A startling variant of Russell's paradox, called "Grelling's paradox", can be made using +adjectives instead of sets. Divide the adjectives in English into two categories: those +which are self-descriptive, such as "pentasyllabic", "awkwardnessful", and "recherche", +and those which are not, such +as "edible", "incomplete", and "bisyllabic". Now if we admit "non-selfdescriptive" as an +adjective, to which class does it belong? If it seems questionable to include hyphenated +words, we can use two terms invented specially for this paradox: autological (= "self- +descriptive"), and heterological (= "non-self-descriptive"). The question then becomes: +"Is 'heterological' heterological?" Try it! + +There seems to he one common culprit in these paradoxes, namely self-reference, or +"Strange Loopiness". So if the goal is to ban all paradoxes, why not try banning self¬ +reference and anything that allows it to arise? This is not so easy as it might seem, +because it can be hard to figure out just where self-reference is occurring. It may be +spread out over a whole Strange Loop with several steps, as in this "expanded" version of +Epimenides, reminiscent of Drawing Hands: + +* The following sentence is false. + +* The preceding sentence is true. + +Taken together, these sentences have the same effect as the original Epimenides paradox: +yet separately, they are harmless and even potentially useful sentences. The "blame" for +this Strange Loop can't he pinned on either sentence-only on the way they "point" at each +other. In the same way, each local region of Ascending and Descending is quite +legitimate; it is only the way they are globally put together that creates an impossibility. +Since there are indirect as well as direct ways of achieving self-reference, one must figure +out how to ban both types at once-if one sees self reference as the root of all evil. +Banishing Strange Loops + +Russell and Whitehead did subscribe to this view, and accordingly, Principia +Mathematica was a mammoth exercise in exorcising Strange Loops from logic, set +theory, and number theory. The idea of their system was basically this. A set of the +lowest "type" could contain only "objects" as membersnot sets. A set of the next type up +could only contain objects, or sets of the lowest type. In general, a set of a given type +could only contain sets of lower type, or objects. Every set would belong to a specific +type. Clearly, no set could contain itself because it would have to belong to a type higher +than its own type. Only "run-of-the-mill" sets exist in such a system; furthermore, old R- +the set of all run-of-the-mill sets-no longer is considered a set at all, because it does not +belong to any finite type. To all appearances, then, this theory of types, which we might +also call the "theory of the abolition of Strange Loops", successfully rids set theory of its +paradoxes, but only at the cost of introducing an artificial-seeming hierarchy, and of +disallowing the formation of certain kinds of sets-such as the set of all run-of-the-mill +sets. Intuitively, this is not the way we imagine sets. + +The theory of types handled Russell's paradox, but it did nothing about the Epimenides +paradox or Grelling's paradox. For people whose +interest went no further than set theory, this was quite adequate-but for people interested +in the elimination of paradoxes generally, some similar "hierarchization" seemed +necessary, to forbid looping back inside language. At the bottom of such a hierarchy +would be an object language. Here, reference could be made only to a specific domain- +not to aspects of the object language itself (such as its grammatical rules, or specific +sentences in it). For that purpose there would be a metalanguage. This experience of two +linguistic levels is familiar to all learners of foreign languages. Then there would be a +metametalanguage for discussing the metalanguage, and so on. It would be required that +every sentence should belong to some precise level of the hierarchy. Therefore, if one +could find no level in which a given utterance fit, then the utterance would be deemed +meaningless, and forgotten. + +An analysis can be attempted on the two-step Epimenides loop given above. The first +sentence, since it speaks of the second, must be on a higher level than the second. But by +the same token, the second sentence must be on a higher level than the first. Since this is +impossible, the two sentences are "meaningless". More precisely, such sentences simply +cannot be formulated at all in a system based on a strict hierarchy of languages. This +prevents all versions of the Epimenides paradox as well as Grelling's paradox. (To what +language level could "heterological" belong?) + +Now in set theory, which deals with abstractions that we don't use all the time, a +stratification like the theory of types seems acceptable, even if a little strange-but when it +comes to language, an all-pervading part of life, such stratification appears absurd. We +don't think of ourselves as jumping up and down a hierarchy of languages when we speak +about various things. A rather matter-of-fact sentence such as, "In this book, I criticize +the theory of types" would be doubly forbidden in the system we are discussing. Firstly, it +mentions "this book", which should only be mentionable in a + +metabook"-and secondly, it mentions me-a person whom I should not be allowed to +speak of at all! This example points out how silly the theory of types seems, when you +import it into a familiar context. The remedy it adopts for paradoxes-total banishment of +self-reference in any form-is a real case of overkill, branding many perfectly good +constructions as meaningless. The adjective "meaningless", by the way, would have to +apply to all discussions of the theory of linguistic types (such as that of this very +paragraph) for they clearly could not occur on any of the levels-neither object language, +nor metalanguage, nor metametalanguage, etc. So the very act of discussing the theory +would be the most blatant possible violation of it! + +Now one could defend such theories by saying that they were only intended to deal +with formal languages-not with ordinary, informal language. This may be so, but then it +shows that such theories are extremely academic and have little to say about paradoxes +except when they crop up in special tailor-made systems. Besides, the drive to eliminate +paradoxes at any cost, especially when it requires the creation of highly artificial +formalisms, puts too much stress on bland consistency, and too little on the +quirky and bizarre, which make life and mathematics interesting. It is of course important +to try to maintain consistency, but when this effort forces you into a stupendously ugly +theory, you know something is wrong. + +These types of issues in the foundations of mathematics were responsible for the high +interest in codifying human reasoning methods which was present in the early part of this +century. Mathematicians and philosophers had begun to have serious doubts about +whether even the most concrete of theories, such as the study of whole numbers (number +theory), were built on solid foundations. If paradoxes could pop up so easily in set +theory-a theory whose basic concept, that of a set, is surely very intuitively appealing- +then might they not also exist in other branches of mathematics? Another related worry +was that the paradoxes of logic, such as the Epimenides paradox, might turn out to be +internal to mathematics, and thereby cast in doubt all of mathematics. This was especially +worrisome to those-and there were a good number-who firmly believed that mathematics +is simply a branch of logic (or conversely, that logic is simply a branch of mathematics). +In fact, this very question-"Are mathematics and logic distinct, or separate%"-was the +source of much controversy. + +This study of mathematics itself became known as metamathematics-or occasionally, +metalogic, since mathematics and logic are so intertwined. The most urgent priority of +metamathematicians was to determine the true nature of mathematical reasoning. What is +a legal method of procedure, and what is an illegal one? Since mathematical reasoning +had always been done in "natural language" (e.g., French or Latin or some language for +normal communication), there was always a lot of possible ambiguity. Words had +different meanings to different people, conjured up different images, and so forth. It +seemed reasonable and even important to establish a single uniform notation in which all +mathematical work could be done, and with the aid of which any two mathematicians +could resolve disputes over whether a suggested proof was valid or not. This would +require a complete codification of the universally acceptable modes of human reasoning, +at least as far as they applied to mathematics. + +Consistency, Completeness, Hilbert's Program + +This was the goal of Principia Mathematica, which purported to derive all of mathematics +from logic, and, to be sure, without contradictions! It was widely admired, but no one +was sure if (1) all of mathematics really was contained in the methods delineated by +Russell and Whitehead, or (2) the methods given were even self-consistent. Was it +absolutely clear that contradictory results could never be derived, by any mathematicians +whatsoever, following the methods of Russell and Whitehead? + +This question particularly bothered the distinguished German mathematician (and +metamathematician) David Hilbert, who set before the world community of +mathematicians (and metamathematicians) this challenge: to demonstrate rigorously-perhaps following the very methods outlined by Russell +and Whitehead-that the system defined in Principia Mathematica was both consistent +(contradiction-free), and complete (i.e., that every true statement of, number theory could +be derived within the framework drawn up in P.M.). This was a tall order, and one could +criticize it on the grounds that it was somewhat circular: how can you justify your +methods of reasoning on the basis of those same methods of reasoning? It is like lifting +yourself up by your own bootstraps. (We just don't seem to be able to get away from +these Strange Loops!) + +Hilbert was fully aware of this dilemma, of course, and therefore expressed the hope +that a demonstration of consistency or completeness could be found which depended only +on "finitistic" modes of reasoning, "these were a small set of reasoning methods usually +accepted by mathematicians. In this way, Hilbert hoped that mathematicians could +partially lift themselves by their own bootstraps: the sum total of mathematical methods +might be proved sound, by invoking only a smaller set of methods. This goal may sound +rather esoteric, but it occupied the minds of many of the greatest mathematicians in the +world during the first thirty years of this century. + +In the thirty-first year, however, Godel published his paper, which in some ways +utterly demolished Hilbert's program. This paper revealed not only that there were +irreparable "holes" in the axiomatic system proposed by Russell and Whitehead, but more +generally, that no axiomatic system whatsoever could produce all number-theoretical +truths, unless it were an inconsistent system! And finally, the hope of proving the +consistency of a system such as that presented in P.M. was shown to be vain: if such a +proof could be found using only methods inside P.M., then-and this is one of the most +mystifying consequences of Godel's work-P.M. itself would be inconsistent! + +The final irony of it all is that the proof of Gi del's Incompleteness Theorem involved +importing the Epimenides paradox right into the heart ofPrincipia Mathematica, a bastion +supposedly invulnerable to the attacks of Strange Loops! Although Godel's Strange Loop +did not destroy Principia Mathematica, it made it far less interesting to mathematicians, +for it showed that Russell and Whitehead's original aims were illusory. + +Babbage, Computers, Artificial Intelligence + +When Godel's paper came out, the world was on the brink of developing electronic digital +computers. Now the idea of mechanical calculating engines had been around for a while. +In the seventeenth century, Pascal and Leibniz designed machines to perform fixed +operations (addition and multiplication). These machines had no memory, however, and +were not, in modern parlance, programmable. + +The first human to conceive of the immense computing potential of machinery was the +Londoner Charles Babbage (1792-1871). A character who could almost have stepped out +of the pages of the Pickwick Papers, +Babbage was most famous during his lifetime for his vigorous campaign to rid London +of "street nuisances"-organ grinders above all. These pests, loving to get his goat, would +come and serenade him at any time of day or night, and he would furiously chase them +down the street. Today, we recognize in Babbage a man a hundred years ahead of his +time: not only inventor of the basic principles of modern computers, he was also one of +the first to battle noise pollution. + +His first machine, the "Difference Engine", could generate mathematical tables of +many kinds by the "method of differences". But before any model of the "D.E." had been +built, Babbage became obsessed with a much more revolutionary idea: his "Analytical +Engine". Rather immodestly, he wrote, "The course through which I arrived at it was the +most entangled and perplexed which probably ever occupied the human mind.'" Unlike +any previously designed machine, the A.E. was to possess both a "store" (memory) and a +"mill" (calculating and decision-making unit). These units were to be built of thousands +of intricate geared cylinders interlocked in incredibly complex ways. Babbage had a +vision of numbers swirling in and out of the mill tinder control of a program contained in +punched cards-an idea inspired by the jacquard loom, a card-controlled loom that wove +amazingly complex patterns. Babbage's brilliant but ill-fated Countess friend, Lady Ada +Lovelace (daughter of Lord Byron), poetically commented that "the Analytical Engine +weaves algebraic patterns just as the Jacquard-loom weaves flowers and leaves." +Unfortunately, her use of the present tense was misleading, for no A.E. was ever built, +and Babbage died a bitterly disappointed man. + +Lady Lovelace, no less than Babbage, was profoundly aware that with the invention of +the Analytical Engine, mankind was flirting with mechanized intelligence-particularly if +the Engine were capable of "eating its own tail" (the way Babbage described the Strange +Loop created when a machine reaches in and alters its own stored program). In an 1842 +memoir,5 she wrote that the A.E. "might act upon other things besides number". While +Babbage dreamt of creating_ a chess or tic-tac-toe automaton, she suggested that his +Engine, with pitches and harmonies coded into its spinning cylinders, "might compose +elaborate and scientific pieces of music of any degree of complexity or extent." In nearly +the same breath, however, she cautions that "The Analytical Engine has no pretensions +whatever to originate anything. It can do whatever we know how to order it to perform." +Though she well understood the power of artificial computation, Lady Lovelace was +skeptical about the artificial creation of intelligence. However, could her keen insight +allow her to dream of the potential that would be opened up with the taming of +electricity? + +In our century the time was ripe for computers-computers beyond the wildest dreams of +Pascal, Leibniz, Babbage, or Lady Lovelace. In the 1930's and 1940's, the first "giant +electronic brains" were designed and built. They catalyzed the convergence of three +previously disparate areas: the theory of axiomatic reasoning, the study of mechanical +computation, and the psychology of intelligence. + +These same years saw the theory of computers develop by leaps and +bounds. This theory was tightly linked to metamathematics. In fact, Godel's Theorem has +a counterpart in the theory of computation, discovered by Alan Turing, which reveals the +existence of inelucPable "holes" in even the most powerful computer imaginable. +Ironically, just as these somewhat eerie limits were being mapped out, real computers +were being built whose powers seemed to grow and grow beyond their makers' power of +prophecy. Babbage, who once declared he would gladly give up the rest of his life if he +could come back in five hundred years and have a three-day guided scientific tour of the +new age, would probably have been thrilled speechless a mere century after his death- +both by the new machines, and by their unexpected limitations. + +By the early 1950's, mechanized intelligence seemed a mere stone's throw away; and +yet, for each barrier crossed, there always cropped up some new barrier to the actual +creation of a genuine thinking machine. Was there some deep reason for this goal's +mysterious recession? + +No one knows where the borderline between non-intelligent behavior and intelligent +behavior lies; in fact, to suggest that a sharp borderline exists is probably silly. But +essential abilities for intelligence are certainly: + +* to respond to situations very flexibly; + +* to take advantage of fortuitous circumstances; + +* to make sense out of ambiguous or contradictory messages; + +* to recognize the relative importance of different elements of a situation; + +* to find similarities between situations despite differences which may separate them; + +* to draw distinctions between situations despite similarities may link them; + +* to synthesize new concepts by taking old them together in new ways; + +* to come up with ideas which are novel. + +Here one runs up against a seeming paradox. Computers by their very nature are the +most inflexible, desireless, rule-following of beasts. Fast though they may be, they are +nonetheless the epitome of unconsciousness. How, then, can intelligent behavior be +programmed? Isn't this the most blatant of contradictions in terms? One of the major +theses of this book is that it is not a contradiction at all. One of the major purposes of this +book is to urge each reader to confront the apparent contradiction head on, to savor it, to +turn it over, to take it apart, to wallow in it, so that in the end the reader might emerge +with new insights into the seemingly unbreathable gulf between the formal and the +informal, the animate and the inanimate, the flexible and the inflexible. + +This is what Artificial Intelligence (Al) research is all about. And the strange flavor of +AI work is that people try to put together long sets of rules in strict formalisms which tell +inflexible machines how to be flexible. + +What sorts of "rules" could possibly capture all of what we think of as intelligent +behavior, however? Certainly there must be rules on all sorts of +different levels. There must be many "just plain" rules. There must be "metarules" to +modify the "just plain" rules; then "metametarules" to modify the metarules, and so on. +The flexibility of intelligence comes from the enormous number of different rules, and +levels of rules. The reason that so many rules on so many different levels must exist is +that in life, a creature is faced with millions of situations of completely different types. In +some situations, there are stereotyped responses which require "just plain" rules. Some +situations are mixtures of stereotyped situations-thus they require rules for deciding +which of the just plain" rules to apply. Some situations cannot be classified-thus there +must exist rules for inventing new rules ... and on and on. Without doubt, Strange Loops +involving rules that change themselves, directly or indirectly, are at the core of +intelligence. Sometimes the complexity of our minds seems so overwhelming that one +feels that there can be no solution to the problem of understanding intelligence-that it is +wrong to think that rules of any sort govern a creature's behavior, even if one takes "rule" +in the multilevel sense described above. + +...and Bach + +In the year 1754, four years after the death of J. S. Bach, the Leipzig theologian Johann +Michael Schmidt wrote, in a treatise on music and the soul, the following noteworthy +passage: + +Not many years ago it was reported from France that a man had made a statue that +could play various pieces on the Fleuttraversiere, placed the flute to its lips and took it +down again, rolled its eyes, etc. But no one has yet invented an image that thinks, or +wills, or composes, or even does anything at all similar. Let anyone who wishes to be +convinced look carefully at the last fugal work of the above-praised Bach, which has +appeared in copper engraving, but which was left unfinished because his blindness +intervened, and let him observe the art that is contained therein; or what must strike +him as even more wonderful, the Chorale which he dictated in his blindness to the pen +of another: Wenn wir in hochsten Nothen seen. I am sure that he will soon need his +soul if he wishes to observe all the beauties contained therein, let alone wishes to play +it to himself or to form a judgment of the author. Everything that the +champions of Materialism put forward must fall to the ground in view of this +single example.6 + +Quite likely, the foremost of the "champions of Materialism" here alluded to was none +other than Julien Offroy de la Mettrie-philosopher at the court of Frederick the Great, +author of L'homme machine ("Man, the Machine"), and Materialist Par Excellence. It is +now more than 200 years later, and the battle is still raging between those who agree with +Johann Michael Schmidt, and those who agree with Julien Offroy de la Mettrie. I hope in +this book to give some perspective on the battle. + +"Godel, Escher, Bach" + +The book is structured in an unusual way: as a counterpoint between Dialogues and +Chapters. The purpose of this structure is to allow me to +present new concepts twice: almost every new concept is first presented metaphorically +in a Dialogue, yielding a set of concrete, visual images; then these serve, during the +reading of the following'Chapter, as an intuitive background for a more serious and +abstract presentation of the same concept. In many of the Dialogues I appear to be talking +about one idea on the surface, but in reality I am talking about some other idea, in a thinly +disguised way. + +Originally, the only characters in my Dialogues were Achilles and the Tortoise, who +came to me from Zeno of Elea, by way of Lewis Carroll. Zeno of Elea, inventor of +paradoxes, lived in the fifth century B.C. One of his paradoxes was an allegory, with +Achilles and the Tortoise as protagonists. Zeno's invention of the happy pair is told in my +first Dialogue, Three-Part Invention. In 1895, Lewis Carroll reincarnated Achilles and the +Tortoise for the purpose of illustrating his own new paradox of infinity. Carroll's paradox, +which deserves to be far better known than it is, plays a significant role in this book. +Originally titled "What the Tortoise Said to Achilles", it is reprinted here as Two-Part +Invention. + +When I began writing Dialogues, somehow I connected them up with musical forms. I +don't remember the moment it happened; I just remember one day writing "Fugue" above +an early Dialogue, and from then on the idea stuck. Eventually I decided to pattern each +Dialogue in one way or another on a different piece by Bach. This was not so +inappropriate. Old Bach himself used to remind his pupils that the separate parts in their +compositions should behave like "persons who conversed together as if in a select +company". I have taken that suggestion perhaps rather more literally than Bach intended +it; nevertheless I hope the result is faithful to the meaning. I have been particularly +inspired by aspects of Bach's compositions which have struck me over and over, and +which are so well described by David and Mendel in The Bach Reader: + +His form in general was based on relations between separate sections. These relations +ranged from complete identity of passages on the one hand to the +return of a single principle of elaboration or a mere thematic allusion on the other. The +resulting patterns were often symmetrical, but by no means +necessarily so. Sometimes the relations between the various sections make up a maze of +interwoven threads that only detailed analysis can unravel. Usually, +however, a few dominant features afford proper orientation at first sight or hearing, and +while in the course of study one may discover unending sub +tleties, one is never at a loss to grasp the unity that holds together every single creation by +Bach.' + +I have sought to weave an Eternal Golden Braid out of these three strands: Godel, +Escher, Bach. I began, intending to write an essay at the core of which would be Godel's +Theorem. I imagined it would be a mere pamphlet. But my ideas expanded like a sphere, +and soon touched Bach and Escher. It took some time for me to think of making this +connection explicit, instead of just letting it be a private motivating force. But finally 1 +realized that to me, Godel and Escher and Bach were only shadows cast in different +directions by some central solid essence. I tried to reconstruct the central object, and +came up with this book. + +DIALOGUE I: Three-Part Invention + +Achilles (a Greek warrior, the fleetest of foot of all mortals) and a Tortoise are +standing together on a dusty runway in the hot sun. Far down the runway, on a +tall flagpole, there hangs a large rectangular flag. The flag is sold red, except +where a thin ring-shaped holes has been cut out of it, through which one can see +the sky. + +ACHILLES: What is that strange flag down at the other end of the track? It reminds me +somehow of a print by my favourite artists M.C. Escher. + +TORTOISE: That is Zeno’s flag. + +ACHILLES: Could it be that the hole in it resembles the holes in a Mobian strip Escher once +drew? Something is wrong about the flag, I can tell. + +TORTOISE: The ring which has been cut from it has the shape of the numeral for zero, which +is Zeno's favourite number. + +ACHILLES: The ring which hasn't been invented yet! It will only be invented by a Hindu +mathematician some millennia hence. And thus, Mr. T, mt argument proves that such a +flag is impossible. + +TORTOISE: Your argument is persuasive, Achilles, and I must agree that such a flag is indeed +impossible. But it is beautiful anyway, is it not? + +ACHILLES: Oh, yes, there is no doubt of its beauty. + +TORTOISE: I wonder if it's beauty is related to it's impossibility. I don't know, I've never had +the time to analyze Beauty. It's a Capitalized Essence, and I never seem to have time for +Capitalized Essences. + +ACHILLES: Speaking of Capitalized Essences, Mr. T, have you ever wondered about the +Purpose of Life? + +TORTOISE: Oh, heavens, no; + +ACHILLES: Haven’t you ever wondered why we are here, or who invented us? + +TORTOISE: Oh, that is quite another matter. We are inventions of Zeno (as you will shortly +see) and the reason we are here is to have a footrace. + +ACHILLES: A footrace? How outrageous! Me, the fleetest of foot of all mortals, versus you, +the ploddingest of the plodders! There can be no point to such a race. + +TORTOISE: You might give me a head start. + +ACHILLES: It would have to be a huge one. + +TORTOISE: I don’t object. + +ACHILLES: But I will catch you, sooner or later - most likely sooner. + +TORTOISE: Not if things go according to Zeno's paradox, you won’t. Zeno is hoping to use +our footrace to show that motion is impossible, you see. It is only in the mind that motion +seems possible, according to Zeno. In truth, Motion Is Inherently Impossible. He proves +it quite elegantly. + +ACHILLES: Oh, yes, it comes back to me now: the famous Zen koan about Zen +Master Zeno. As you say it is very simple indeed. + +TORTOISE: Zen Koan? Zen Master? What do you mean? + +ACHILLES: It goes like this: Two monks were arguing about a flag. One said, “The +flag is moving.” The other said, “The wind is moving.” The sixth patriarch, Zeno, +happened to be passing by. He told them, “Not the wind, not the flag, mind is +moving.” + +TORTOISE: I am afraid you are a little befuddled, Achilles. Zeno is no Zen master, far +from it. He is in fact, a Greek philosopher from the town of Elea (which lies halfway +between points A and B). Centuries hence, he will be celebrated for his paradoxes of +motion. In one of those paradoxes, this very footrace between you and me will play a +central role. + +ACHILLES: I’m all confused. I remember vividly how I used to repeat over and over +the names of the six patriarchs of Zen, and I always said, “The sixth patriarch is Zeno, +The sixth patriarch is Zeno...” (Suddenly a soft warm breeze picks up.) Oh, look Mr. +Tortoise - look at the flag waving! How I love to watch the ripples shimmer through +it’s soft fabric. And the ring cut out of it is waving, too! + +TORTOISE: Don't be silly. The flag is impossible, hence it can’t be waving. The wind is +waving. + +(At this moment, Zeno happens by.) + +Zeno: Hallo! Hulloo! What’s up? What’s new? + +ACHILLES: The flag is moving. + +TORTOISE: The wind is moving. + +Zeno: O friends, Friends! Cease your argumentation! Arrest your vitriolics! Abandon your +discord! For I shall resolve the issue for you forthwith. Ho! And on such a fine day. + +ACHILLES: This fellow must be playing the fool. + +TORTOISE: No, wait, Achilles. Let us hear what he has to say. Oh Unknown Sir, do impart to +us your thoughts on this matter. + +Zeno: Most willingly. Not thw ind, not the flag - neither one is moving, nor is anything moving +at all. For I have discovered a great Theorem, which states; “Motion Is Inherently +Impossible.” And from this Theorem follows an even greater Theorem - Zeno’s +Theorem: “Motion Unexists.” + +ACHILLES: “Zeno’s Theorem”? Are you, sir, by any chance, the philosopher Zeno of Elea? + +Zeno: I am indeed, Achilles. + +ACHILLES: (scratching his head in puzzlement). Now how did he know my name? + +Zeno: Could I possibly persuade you two to hear me out as to why this is the case? I’ve come +all the way to Elea from point A this afternoon, just trying to find someone who’ll pay +some attention to my closely honed argument. But they’re all hurrying hither and thither, +and they don’t have time. You’ve no idea how disheartening it is to meet with refusal +after refusal. Oh, I’m sorry to burden you with my troubles, I’d just like to ask you one +thing: Would the two of you humour a sill old philosopher for a few moments - only a +few, I promise you - in his eccentric theories. + +ACHILLES: Oh, by all means! Please do illuminate us! I know I speak for both of us, since my +companion, Mr. Tortoise, was only moments ago speaking of you with great veneration - +and he mentioned especially your paradoxes. + +Zeno: Thank you. You see, my Master, the fifth patriarch, taught me that reality is one, +immutable, and unchanging, all plurality, change, and motion are mere illusions of the +sense. Some have mocked his views; but I will show the absurdity of their mockery. My +argument is quite simple. I will illustrate it with two characters of my own Invention: +Achilles )a Greek warrior, the fleetest of foot of all mortals), and a Tortoise. In my tale, +they are persuaded by a passerby to run a footrace down a runway towards a distant flag +waving in the breeze. Let us assume that, since the Tortoise is a much slowerrunner, he +gets a head start of, say, ten rods. Now the race begins. In a few bounds Achilles has +reached the spot where the Tortoise started. + +ACHILLES: Hah! + +Zeno: And now the Tortoise is but a single rod ahead of Achilles. Within only a moment, +Achilles has attained that spot. + +ACHILLES: Ho ho! + +Zeno: Yet, in that short moment, the Tortoise has managed to advance a slight amount. In a +flash, Achilles covers that distance too. + +ACHILLES: Heeheehee! + +Zeno: But in that very short flash, the Tortoise has managed to inch ahead by ever so little, and +so Achilles is still behind. Now you see that in order for Achilles to catch the Tortoise, +this game of “try-to-catch-me” will have to be played an INFINITE number of times - +and therefore Achilles can NEVER catch up with the Tortoise. + +TORTOISE: Heh heh heh heh! + +ACHILLES: Hmm... Hmm... Hmm... Hmm... Hmm...That argument sounds wrong to me. +And yes, I can’t quite make out what’s wrong with it + +Zeno: Isn’t it a teaser? It’s my favourite paradox. + +TORTOISE: Excuse me, Zeno, but I believe your tale illustrates the wrong principle, doe sit +not? You have just told us what will come to known, centuries hence, as Zeno’s “Achilles +paradox” , which shows (ahem!) that Achilles will never catch the Tortoise; but the proof +that Motion Is Inherently Impossible (and thence that Motion Unexists) is your +“dichotomy paradox”, isn’t that so? + +Zeno: Oh, shame on me. Of course, you’re right. That’s the new one about how, in going from +A to B, one has to go halfway first - and of that stretch one also has to go halfway, and so +on and so forth. But you see, both those paradoxes really have the same flavour. Frankly, +I’ve only had one Great Idea - I just exploit it in different ways. + +ACHILLES: I swear, these arguments contain a flaw. I don’t quite see where, but they cannot +be correct. + +Zeno: You doubt the validity of my paradox? Why not just try it outl? You see that red flag +waving down here, at the far end of the runway? + +ACHILLES: The impossible one, based on an Escher print? + +Zeno: Exactly. What do you say to you and Mr. Tortoise racing for it, allowing Mr. T a fair +head start of, well, I don’t know - + +TORTOISE: How about ten rods? + +Zeno: Very good - ten rods. + +ACHILLES: Any time. + +Zeno: Excellent! How exciting! An empirical test of my rigorously proven Theorem! Mr. +Tortoise, will you position yourself ten rods upwind? + +(The Tortoise moves ten rods closer to the flag) + +Tortoise and Achlles: Ready! + +Zeno: On your mark! Get set! Go! + +CHAPTER I: The MU-puzzle + +Formal Systems + +ONE OF THE most central notions in this book is that of a formal system. The type of +formal system I use was invented by the American logician Emil Post in the 1920's, and +is often called a "Post production system". This Chapter introduces you to a formal +system and moreover, it is my hope that you will want to explore this formal system at +least a little; so to provoke your curiosity, I have posed a little puzzle. + +"Can you produce MU?" is the puzzle. To begin with, you will be supplied with a +string (which means a string of letters).* Not to keep you in suspense, that string will be +MI. Then you will be told some rules, with which you can change one string into another. +If one of those rules is applicable at some point, and you want to use it, you may, but- +there is nothing that will dictate which rule you should use, in case there are several +applicable rules. That is left up to you-and of course, that is where playing the game of +any formal system can become something of an art. The major point, which almost +doesn't need stating, is that you must not do anything which is outside the rules. We +might call this restriction the "Requirement of Formality". In the present Chapter, it +probably won't need to be stressed at all. Strange though it may sound, though, I predict +that when you play around with some of the formal systems of Chapters to come, you +will find yourself violating the Requirement of Formality over and over again, unless you +have worked with formal systems before. + +The first thing to say about our formal system-the MIU-system-is that it utilizes +only three letters of the alphabet: M, I, U. That means that the only strings of the MIU- +system are strings which are composed of those three letters. Below are some strings of +the MIU-system: + +* MU + +* UIM + +* MUUMUU + +* UIIUMIUUIMUIIUMIUUIMUIIU + +* In this book, we shall employ the following conventions when we refer to strings. When the +string is in the same typeface as the text, then it will be enclosed in single or double quotes. +Punctuation which belongs to the sentence and not to the string under discussion will go outside +of the quotes, as logic dictates. For example, the first letter of this sentence is 'F', while the first +letter of 'this ‘sentence’.is 'f. When the string is in Quadrata Roman, however, quotes will +usually be left off, unless clarity demands them. For example, the first letter of Quadrata is Q. + +But although all of these are legitimate strings, they are not strings which are "in your +possession". In fact, the only string in your possession so far is MI. Only by using the +rules, about to be introduced, can you enlarge your private collection. Here is the first +rule: + +* RULE I: If you possess a string whose last letter is I, you can add on a U at the end. + +By the way, if up to this point you had not guessed it, a fact about the meaning of "string" +is that the letters are in a fixed order. For example, MI and IM are two different strings. +A string of symbols is not just a "bag" of symbols, in which the order doesn't make any +difference. + +Here is the second rule: + +* RULE II: Suppose you have Mx. Then you may add Mxx to your collection. + +What I mean by this is shown below, in a few examples. + +* From MIU, you may get MIUIU. + +* From MUM, you may get MUMUM. + +* From MU, you may get MUU. + +So the letter 'x' in the rule simply stands for any string; but once you have decided which +string it stands for, you have to stick with your choice (until you use the rule again, at +which point you may make a new choice). Notice the third example above. It shows how, +once you possess MU, you can add another string to your collection; but you have to get +MU first! I want to add one last comment about the letter 'x': it is not part of the formal +system in the same way as the three letters 'M', 'I', and 'U' are. It is useful for us, +though, to have some way to talk in general about strings of the system, symbolically-and +that is the function of the 'x': to stand for an arbitrary string. If you ever add a string +containing an Y to your "collection", you have done something wrong, because strings of +the MlU-system never contain "x" “s”! + +Here is the third rule: + +RULE III: If III occurs in one of the strings in your collection, you may make a new +string with U in place of III. + +Examples: + +From UMIIIMU, you could make UMUMU. + +From MII11, you could make MIU (also MUI). + +From IIMII, you can't get anywhere using this rule. + +(The three I's have to be consecutive.) + +From Mill, make MU. + +Don't, under any circumstances, think you can run this rule backwards, as in the +following example: + +From MU, make Mill <- This is wrong. + +Rules are one-way. + +Here is the final rule. + +RULE IV: If UU occurs inside one of your strings, you can drop it. + +From UUU, get U. + +From MUUUIII, get MUIII. + +There you have it. Now you may begin trying to make MU. Don't worry you don't get it. +Just try it out a bit-the main thing is for you to get the flavor of this MU-puzzle. Have +fun. + +Theorems, Axioms, Rules + +The answer to the MU-puzzle appears later in the book. For now, what important is not +finding the answer, but looking for it. You probably hay made some attempts to produce +MU. In so doing, you have built up your own private collection of strings. Such strings, +producible by the rules, are called theorems. The term "theorem" has, of course, a +common usage mathematics which is quite different from this one. It means some +statement in ordinary language which has been proven to be true by a rigorous argument, +such as Zeno's Theorem about the "unexistence" of motion, c Euclid's Theorem about the +infinitude of primes. But in formal system theorems need not be thought of as statements- +they are merely strings c symbols. And instead of being proven , theorems are merely +produced , as if F machine, according to certain typographical rules. To emphasize this +important distinction in meanings for the word "theorem", I will adopt the following +convention in this book: when "theorem" is capitalized, its meaning will be the everyday +one-a Theorem is a statement in ordinary language which somebody once proved to be +true by some sort of logic argument. When uncapitalized, "theorem" will have its +technical meaning a string producible in some formal system. In these terms, the MU- +puzzle asks whether MU is a theorem of the MlU-system. + +I gave you a theorem for free at the beginning, namely MI. Such "free" theorem is called +an axiom -the technical meaning again being qui different from the usual meaning. A +formal system may have zero, or several, or even infinitely many axioms. Examples of all +these types v appear in the book. + +Every formal system has symbol-shunting rules, such as the four rules of the MIU- +system. These rules are called either rules of production or rules of inference. I will use +both terms. + +The last term which I wish to introduce at this point is derivation. Shown below is a +derivation of the theorem MUIIU: + +(1) MI axiom + +(2) MII from (1) by rule II + +(3) MIII +from (2) by rule II + +(4) MIIIIU +from (3) by rule I + +(5) MUIU +from (4) by rule III + +(6) MUIUUIU +from (5) by rule II + +(7) MUIIU +from (6) by rule IV + +A derivation of a theorem is an explicit, line-by-line demonstration of how to produce +that theorem according to the rules of the formal system. The concept of derivation is +modeled on that of proof, but a derivation is an austere cousin of a proof. It would sound +strange to say that you had proven MUIIU, but it does not sound so strange to say you +have derived MUIIU. + +Inside and Outside the System + +Most people go about the MU-puzzle by deriving a number of theorems, quite at random, +just to see what kind of thing turns up. Pretty soon, they begin to notice some properties +of the theorems they have made; that is where human intelligence enters the picture. For +instance, it was probably not obvious to you that all theorems would begin with M, until +you had tried a few. Then, the pattern emerged, and not only could you see the pattern, +but you could understand it by looking at the rules, which have the property that they +make each new theorem inherit its first letter from an earlier theorem; ultimately, then, all +theorems' first letters can be traced back to the first letter of the sole axiom Ml-and that is +a proof that theorems of the MlU-system must all begin with M. + +There is something very significant about what has happened here. It shows one +difference between people and machines. It would certainly be possible-in fact it would +be very easy-to program a computer to generate theorem after theorem of the MIU- +system; and we could include in the program a command to stop only upon generating U. +You now know that a computer so programmed would never stop. And this does not +amaze you. But what if you asked a friend to try to generate U? It would not surprise you +if he came back after a while, complaining that he can't get rid of the initial M, and +therefore it is a wild goose chase. Even if a person is not very bright, he still cannot help +making some observations about what he is doing, and these observations give him good +insight into the task-insight which the computer program, as we have described it, lacks. + +Now let me be very explicit about what I meant by saying this shows a difference +between people and machines. I meant that it is possible to program a machine to do a +routine task in such a way that the machine will never notice even the most obvious facts +about what it is doing; but it is inherent in human consciousness to notice some facts +about the things one is doing. But you knew this all along. If you punch "1" into an +adding machine, and then add 1 to it, and then add 1 again, and again, and again, and +continue doing so for hours and hours, the machine will never learn to anticipate you, and +do it itself, although any person would pick up the +pick up the idea, no matter how much or how well it is driven, that it i supposed to avoid +other cars and obstacles on the road; and it will never learn even the most frequently +traveled routes of its owner. + +The difference, then, is that it is possible for a machine to act unobservant; it is +impossible for a human to act unobservant. Notice I am not saying that all machines are +necessarily incapable of making sophisticated observations; just that some machines are. +Nor am I saying that all people are always making sophisticated observations; people, in +fact, are often very unobservant. But machines can be made to be totally unobservant; +any people cannot. And in fact, most machines made so far are pretty close ti being +totally unobservant. Probably for this reason, the property of being; unobservant seems to +be the characteristic feature of machines, to most people. For example, if somebody says +that some task is "mechanical", i does not mean that people are incapable of doing the +task; it implies though, that only a machine could do it over and over without eve +complaining, or feeling bored. + +Jumping out of the System + +It is an inherent property of intelligence that it can jump out of the tas which it is +performing, and survey what it has done; it is always looking for and often finding, +patterns. Now I said that an intelligence can jump out o its task, but that does not mean +that it always will. However, a little prompting will often suffice. For example, a human +being who is reading a boo may grow sleepy. Instead of continuing to read until the book +is finished he is just as likely to put the book aside and turn off the light. He ha stepped +"out of the system" and yet it seems the most natural thing in the world to us. Or, suppose +person A is watching television when person B comes in the room, and shows evident +displeasure with the situation Person A may think he understands the problem, and try to +remedy it b exiting the present system (that television program), and flipping the channel +knob, looking for a better show. Person B may have a more radio concept of what it is to +"exit the system"-namely to turn the television oft Of course, there are cases where only a +rare individual will have the vision to perceive a system which governs many peoples +lives, a system which ha never before even been recognized as a system; then such people +often devote their lives to convincing other people that the system really is there and that +it ought to be exited from! + +How well have computers been taught to jump out of the system? I w cite one +example which surprised some observers. In a computer chess: tournament not long ago +in Canada, one program-the weakest of all the competing ones-had the unusual feature of +quitting long before the game was over. It was not a very good chess player, but it at least +had the redeeming quality of being able to spot a hopeless position, and to resign then +and there, instead of waiting for the other program to go through the +boring ritual of checkmating. Although it lost every game it played, it did it in style. A lot +of local chess experts were impressed. Thus, if you define "the system" as "making +moves in a chess game", it is clear that this program had a sophisticated, preprogrammed +ability to exit from the system. On the other hand, if you think of "the system" as being +"whatever the computer had been programmed to do", then there is no doubt that the +computer had no ability whatsoever to exit from that system. + +It is very important when studying formal systems to distinguish working within +the system from making statements or observations about the system. I assume that you +began the MU-puzzle, as do most people, by working within the system; and that you +then gradually started getting anxious, and this anxiety finally built up to the point where +without any need for further consideration, you exited from the system, trying to take +stock of what you had produced, and wondering why it was that you had not succeeded in +producing MU. Perhaps you found a reason why you could not produce MU; that is +thinking about the system. Perhaps you produced MIU somewhere along the way; that is +working within the system. Now I do not want to make it sound as if the two modes are +entirely incompatible; I am sure that every human being is capable to some extent of +working inside a system and simultaneously thinking about what he is doing. Actually, in +human affairs, it is often next to impossible to break things neatly up into "inside the +system" and "outside the system"; life is composed of so many interlocking and +interwoven and often inconsistent "systems" that it may seem simplistic to think of things +in those terms. But it is often important to formulate simple ideas very clearly so that one +can use them as models in thinking about more complex ideas. And that is why I am +showing you formal systems; and it is about time we went back to discussing the MIU- +system. + +M-Mode, I-Mode, U-Mode + +The MU-puzzle was stated in such a way that it encouraged some amount of exploration +within the MlU-system-deriving theorems. But it was also stated in a way so as not to +imply that staying inside the system would necessarily yield fruit. Therefore it +encouraged some oscillation between the two modes of work. One way to separate these +two modes would be to have two sheets of paper; on one sheet, you work "in your +capacity as a machine", thus filling it with nothing but M's, I's, and U's; on the second +sheet, you work "in your capacity as a thinking being", and are allowed to do whatever +your intelligence suggests-which might involve using English, sketching ideas, working +backwards, using shorthand (such as the letter 'x'), compressing several steps into one, +modifying the rules of the system to see what that gives, or whatever else you might +dream up. One thing you might do is notice that the numbers 3 and 2 play an important +role, since I's are gotten rid of in three's, and U's in two's-and doubling of length (except +for the M) is allowed by rule II. So the second sheet might +also have some figuring on it. We will occasionally refer back to these two modes of +dealing with a formal system, and we will call them the Mechanic mode (M-mode ) and +the Intelligent mode (I-mode). To round out our mode with one for each letter of the +MlU-system, I will also mention a fin mode-the Un-mode (U-mode ), which is the Zen +way of approaching thing. More about this in a few Chapters. + +Decision Procedures + +An observation about this puzzle is that it involves rules of two opposite tendencies-the +lengthening rules and the shortening rules. Two rules (I and II) allow you to increase the +size of strings (but only in very rigid, pr scribed ways, of course); and two others allow +you to shrink strings somewhat (again in very rigid ways). There seems to be an endless +variety to the order in which these different types of rules might be applied, and this gives +hope that one way or another, MU could be produced. It might involve lengthening the +string to some gigantic size, and then extracting piece after piece until only two symbols +are left; or, worse yet, it might involve successive stages of lengthening and then +shortening and then lengthening and then shortening, and so on. But there is no guarantee +it. As a matter of fact, we already observed that U cannot be produced at all and it will +make no difference if you lengthen and shorten till kingdom come. + +Still, the case of U and the case of MU seem quite different. It is by very +superficial feature of U that we recognize the impossibility of producing it: it doesn't +begin with an M (whereas all theorems must). It is very convenient to have such a simple +way to detect nontheorems. However who says that that test will detect all nontheorems? +There may be lots strings which begin with M but are not producible. Maybe MU is one +of them. That would mean that the "first-letter test" is of limited usefulness able only to +detect a portion of the nontheorems, but missing others. B there remains the possibility of +some more elaborate test which discriminates perfectly between those strings which can +be produced by the rules and those which cannot. Here we have to face the question, +"What do mean by a test?" It may not be obvious why that question makes sense, of +important, in this context. But I will give an example of a "test" which somehow seems to +violate the spirit of the word. + +Imagine a genie who has all the time in the world, and who enjoys using it to +produce theorems of the MlU-system, in a rather methodical way. Here, for instance, is a +possible way the genie might go about it + +Step 1: Apply every applicable rule to the axiom MI. This yields two new theorems +MIU, MIL + +Step 2: Apply every applicable rule to the theorems produced in step 1. This yields +three new theorems: MIIU, MIUIU, MIIII. + +Step 3: Apply every applicable rule to the theorems produced in step 2. This yields +five new theorems: MIIIIU, MIIUIIU, MIUIUIUIU, MIIIIIIII, MUI. + +This method produces eveiy single theorem sooner or later, because the rules are applied +in every conceivable order. (See Fig. 11.) All of the lengthening-shortening alternations +which we mentioned above eventually get canned out. However, it is not clear how long +to wait for a given string + +MI + +MIUIUIUIU MIIUIIU MIIIIU MIIIIIIII MUI MIU + +/ / ^t \ 1\ \ + +MU + +FIGURE II. A systematically constructed "tree” of all the theorems of the MIU-system. +The N th level down contains those theorems whose derivations contain exactly N steps. +The encircled numbers tell which rule was employed. Is MU anywhere in this tree? + +to appear on this list, since theorems are listed according to the shortness of their +derivations. This is not a very useful order, if you are interested in a specific string (such +as MU), and you don't even know if it has any derivation, much less how long that +derivation might be. + +Now we state the proposed "theoremhood-test”: + +Wait until the string in question is produced; when that happens, you know it +is a theorem-and if it never happens, you know that it is not a theorem. + +This seems ridiculous, because it presupposes that we don’t mind waiting around literally +an infinite length of time for our answer. This gets to the crux of the matter of what +should count as a "test". Of prime importance is a guarantee that we will get our answer +in a finite length of time. If there is a test for theoremhood, a test which does always +terminate in a finite +amount of time, then that test is called a decision procedure for the given formal system. + +When you have a decision procedure, then you have a very concrete +characterization of the nature of all theorems in the system. Offhand, it might seem that +the rules and axioms of the formal system provide no less complete a characterization of +the theorems of the system than a decision procedure would. The tricky word here is +"characterization". Certainly the rules of inference and the axioms of the MlU-system do +characterize, implicitly, those strings that are theorems. Even more implicitly, they +characterize those strings that are not theorems. But implicit characterization is not +enough, for many purposes. If someone claims to have a characterization of all theorems, +but it takes him infinitely long to deduce that some particular string is not a theorem, you +would probably tend to say that there is something lacking in that characterization-it is +not quite concrete enough. And that is why discovering that a decision procedure exists is +a very important step. What the discovery means, in effect, is that you can perform a test +for theoremhood of a string, and that, even if the test is complicated, it is guaranteed to +terminate. In principle, the test is just as easy, just as mechanical, just as finite, just as full +of certitude, as checking whether the first letter of the string is M. A decision procedure +is a "litmus test" for theoremhood! + +Incidentally, one requirement on formal systems is that the set of axioms must be +characterized by a decision procedure-there must be a litmus test for axiomhood. This +ensures that there is no problem in getting off the ground at the beginning, at least. That +is the difference between the set of axioms and the set of theorems: the former always has +a decision procedure, but the latter may not. + +I am sure you will agree that when you looked at the MlU-system for the first +time, you had to face this problem exactly. The lone axiom was known, the rules of +inference were simple, so the theorems had been implicitly characterized-and yet it was +still quite unclear what the consequences of that characterization were. In particular, it +was still totally unclear whether MU is, or is not, a theorem. +CHAPTER + +DIALOGUE II: Two-Part Invention or, What the Tortoise Said to Achilles by Lewis Carroll + +Achilles had overtaken the Tortoise, and had seated himself comfortably on its back. + +"So you've got to the end of our race-course?" said the Tortoise. "Even though it +DOES consist of an infinite series of distances? I thought some wiseacre or other had +proved that the thing couldn't be done?" + +"It CAN be done," said Achilles. "It HAS been done! Solvitur ambulando. You see the +distances were constantly DIMINISHING; and so-" + +"But if they had been constantly INCREASING?" the Tortoise interrupted. "How +then?" + +"Then I shouldn't be here," Achilles modestly replied; "and You would have got +several times round the world, by this time!" + +"You flatter me-FLATTEN, I mean," said the Tortoise; "for you ARE a heavy weight, +and NO mistake! Well now, would you like to hear of a race-course, that most people +fancy they can get to the end of in two or three steps, while it REALLY consists of an +infinite number of distances, each one longer than the previous one?" + +"Very much indeed!" said the Grecian warrior, as he drew from his helmet (few +Grecian warriors possessed POCKETS in those days) an enormous note-book and pencil. +"Proceed! And speak SLOWLY, please! SHORTHAND isn't invented yet!" + +"That beautiful First Proposition by Euclid!" the Tortoise murmured dreamily. "You +admire Euclid?" + +"Passionately! So far, at least, as one CAN admire a treatise that won't be published +for some centuries to come!" + +"Well, now, let's take a little bit of the argument in that First Proposition just TWO +steps, and the conclusion drawn from them. Kindly enter them in your note-book. And in +order to refer to them conveniently, let's call them A, B, and Z: + +(A) Things that are equal to the same are equal to each other. + +(B) The two sides of this Triangle are things that are equal to the same. + +(Z) The two sides of this Triangle are equal to each other. + +Readers of Euclid will grant, I suppose, that Z follows logically from A and B, so that +any one who accepts A and B as true, MUST accept Z as true?" + +"Undoubtedly! The youngest child in a High School-as soon as High +Schools are invented, which will not be till some two thousand years later-will grant +THAT." + +"And if some reader had NOT yet accepted A and B as true, he might still accept the +SEQUENCE as a VALID one, I suppose?" + +"No doubt such a reader might exist. He might say, 'I accept as true the Hypothetical +Proposition that, IF A and B be true, Z must be true; but I DON'T accept A and B as true.' +Such a reader would do wisely in abandoning Euclid, and taking to football." + +"And might there not ALSO be some reader who would say 'I accept A and B as true, +but I DON'T accept the Hypothetical'?" + +"Certainly there might. HE, also, had better take to football." + +"And NEITHER of these readers," the Tortoise continued, "is AS YET under any +logical necessity to accept Z as true?" + +"Quite so," Achilles assented. + +"Well, now, I want you to consider ME as a reader of the SECOND kind, and to force +me, logically, to accept Z as true." + +"A tortoise playing football would be-" Achilles was beginning. + +'-an anomaly, of course," the Tortoise hastily interrupted. "Don't wander from the +point. Let's have Z first, and football afterwards!" + +"I'm to force you to accept Z, am I?" Achilles said musingly. "And your present +position is that you accept A and B, but you DON'T accept the Hypothetical-" + +"Let's call it C," said the Tortoise. + +"-but you DON'T accept + +(C) If A and B are true, Z must be true." + +"That is my present position," said the Tortoise. + +"Then I must ask you to accept C." + +"I'll do so," said the Tortoise, "as soon as you've entered it in that notebook of yours. +What else have you got in it?" + +"Only a few memoranda," said Achilles, nervously fluttering the leaves: "a few +memoranda of-of the battles in which I have distinguished myself!" + +"Plenty of blank leaves, I see!" the Tortoise cheerily remarked. "We shall need them +ALL!" (Achilles shuddered.) "Now write as I dictate: + +(A) Things that are equal to the same are equal to each other. + +(B) The two sides of this Triangle are things that are equal to the same. + +(C) If A and B are true, Z must be true. + +(Z) The two sides of this Triangle are equal to each other." + +"You should call it D, not Z," said Achilles. "It comes NEXT to the other three. If you +accept A and B and C, you MUST accept Z. + +“And why must I?” + +"Because it follows LOGICALLY from them. If A and B and C are true, Z MUST be +true. You can't dispute THAT, I imagine?" + +"If A and B and C are true, Z MUST be true," the Tortoise thoughtfully repeated. +"That's ANOTHER Hypothetical, isn't it? And, if I failed to see its truth, I might accept A +and B and C, and STILL not accept Z, mightn't I?" + +"You might," the candid hero admitted; "though such obtuseness would certainly be +phenomenal. Still, the event is POSSIBLE. So I must ask you to grant ONE more +Hypothetical." + +"Very good, I'm quite willing to grant it, as soon as you've written it down. We will +call it + +(D) If A and B and C are true, Z must be true. + +Have you entered that in your note-book?" + +"I HAVE!" Achilles joyfully exclaimed, as he ran the pencil into its sheath. "And at +last we've got to the end of this ideal race-course! Now that you accept A and B and C +and D, OF COURSE you accept Z." + +"Do I?" said the Tortoise innocently. "Let's make that quite clear. I accept A and B and +C and D. Suppose I STILL refused to accept Z?" + +"Then Logic would take you by the throat, and FORCE you to do it!" Achilles +triumphantly replied. "Logic would tell you, 'You can't help yourself. Now that you've +accepted A and B and C and D, you MUST accept Z!' So you've no choice, you see.", + +"Whatever LOGIC is good enough to tell me is worth WRITING DOWN," said the +Tortoise. "So enter it in your book, please. We will call it + +(E) If A and B and C and D are true, Z must be true. + +Until I've granted THAT, of course I needn't grant Z. So it's quite a NECESSARY +step, you see?" + +"I see," said Achilles; and there was a touch of sadness in his tone. + +Here the narrator, having pressing business at the Bank, was obliged to leave the +happy pair, and did not again pass the spot until some months afterwards. When he did +so, Achilles was still seated on the back of the much-enduring Tortoise, and was writing +in his notebook, which appeared to be nearly full. The Tortoise was saying, "Have you +got that last step written down? Unless I've lost count, that makes a thousand and one. +There are several millions more to come. And WOULD you mind, as a personal favour, +considering what a lot of instruction this colloquy of ours will provide for the Logicians +of the Nineteenth Century-WOULD you mind adopting a pun that my cousin the Mock- +Turtle will then make, and allowing yourself to be renamed TAUGHT-US?" + +"As you please," replied the weary warrior, in the hollow tones of despair, as he buried +his face in his hands. "Provided that YOU, for YOUR part, will adopt a pun the Mock- +Turtle never made, and allow yourself to be re-named A KILL-EASE!" + +CHAPTER II: Meaning and Form in Mathematics. + +THIS Two-Part Invention was the inspiration for my two characters. Just as Lewis +Carroll took liberties with Zeno's Tortoise and Achilles, so have I taken liberties with +Lewis Carroll's Tortoise and Achilles. In Carroll's dialogue, the same events take place +over and over again, only each time on a higher and higher level; it is a wonderful +analogue to Bach's Ever-Rising Canon. The Carrollian Dialogue, with its wit subtracted +out, still leaves a deep philosophical problem: Do words and thoughts follow formal +rules, or do they notl That problem is the problem of this book. + +In this Chapter and the next, we will look at several new formal systems. This will give +us a much wider perspective on the concept of formal system. By the end of these two +Chapters, you should have quite a good idea of the power of formal systems, and why +they are of interest to mathematicians and logicians. + +The pq-System + +The formal system of this Chapter is called the pq-system. It is not important to +mathematicians or logicians-in fact, it is just a simple invention of mine. Its importance +lies only in the fact that it provides an excellent example of many ideas that play a large +role in this book. There are three distinct symbols of the pq-system: + +* p q - + +-the letters p, q, and the hyphen. + +The pq-system has an infinite number of axioms. Since we can't write them all down, we +have to have some other way of describing what they are. Actually, we want more than +just a description of the axioms; we want a way to tell whether some given string is an +axiom or not. A mere description of axioms might characterize them fully and yet +weakly-which was the problem with the way theorems in the MlU-system were +characterized. We don't want to have to struggle for an indeterminate-possibly infinite +length of time, just to find out if some string is an axiom or not. Therefore, we will define +axioms in such a way that there is an obvious decision procedure for axiomhood of a +string composed of p's, q's, and hyphens. + +* DEFINITION: xp-qx is an axiom, whenever x is composed of hyphens only. + +Note that 'x' must stand for the same string of hyphens in both occurrences For example, - +-p-q-is an axiom. The literal expression 'xp-qx-' i„ not an axiom, of course (because 'x' +does not belong to the pq-system); it is more like a mold in which all axioms are cast-and +it is called an axiom schema. + +The pq-system has only one rule of production: + +* RULE: Suppose x, y, and z all stand for particular strings containing only hyphens. And +suppose that x py qz is known to be a theorem. The' xpy-qz- is a theorem. + +For example, take x to be 1 -', y to be'-', and z to be'-'. The rule tells us: + +If -p-q- turns out to be a theorem, then so will -p-q-. + +As is typical of rules of production, the statement establishes a causal connection between +the theoremhood of two strings, but without asserting theoremhood for either one on its +own. + +A most useful exercise for you is to find a decision procedure for the theorems of +the pq-system. It is not hard; if you play around for a while you will probably pick it up. +Try it. + +The Decision Procedure + +I presume you have tried it. First of all, though it may seem too obvious to mention, I +would like to point out that every theorem of the pq-system has three separate groups of +hyphens, and the separating elements are one p, and one q, in that order. (This can be +shown by an argument based on "heredity", just the way one could show that all MIU- +system theorems had to begin with M.) This means that we can rule out, from its form +alone, o string such as - p-p-p-q . + +Now, stressing the phrase "from its form alone" may seem silly; what else is there to a +string except its form? What else could possibly play a roll in determining its properties? +Clearly nothing could. But bear this in mint as the discussion of formal systems goes on; +the notion of "form" will star to get rather more complicated and abstract, and we will +have to think more about the meaning of the word "form". In any case, let us give the +name well formed string to any string which begins with a hyphen-group, then ha one p, +then has a second hyphen-group, then a q, and then a final hyphen-group. + +Back to the decision procedure ... The criterion for theoremhood is that the first two +hyphen-groups should add up, in length, to the third +hyphen-group, for instance, -p--q - is a theorem, since 2 plus 2 equals 4, whereas - p-q- +is not, since 2 plus 2 is not 1. To see why this is the proper criterion, look first at the +axiom schema. Obviously, it only manufactures axioms which satisfy the addition +criterion. Second, look at the rule of production. If the first string satisfies the addition +criterion, so must the second one-and conversely, if the first string does not satisfy the +addition criterion, then neither does the second string. The rule makes the addition +criterion into a hereditary property of theorems: any theorem passes the property on to its +offspring. This shows why the addition criterion is correct. + +There is, incidentally, a fact about the pq-system which would enable us to say +with confidence that it has a decision procedure, even before finding the addition +criterion. That fact is that the pq-system is not complicated by the opposing currents of +lengthening and shortening rules; it has only lengthening rules. Any formal system which +tells you how to make longer theorems from shorter ones, but never the reverse, has got +to have a decision procedure for its theorems. For suppose you are given a string. First +check whether it's an axiom or not (I am assuming that there is a decision procedure for +axiomhood-otherwise, things are hopeless). If it is an axiom, then it is by definition a +theorem, and the test is over. So suppose instead that it's not an axiom. Then, to be a +theorem, it must have come from a shorter string, via one of the rules. By going over the +various rules one by one, you can pinpoint not only the rules that could conceivably +produce that string, but also exactly which shorter strings could be its forebears on the +"family tree". In this way, you "reduce" the problem to determining whether any of +several new but shorter strings is a theorem. Each of them can in turn be subjected to the +same test. The worst that can happen is a proliferation of more and more, but shorter and +shorter, strings to test. As you continue inching your way backwards in this fashion, you +must be getting closer to the source of all theorems-the axiom schemata. You just can't +get shorter and shorter indefinitely; therefore, eventually either you will find that one of +your short strings is an axiom, or you'll come to a point where you're stuck, in that none +of your short strings is an axiom, and none of them can be further shortened by running +some rule or other backwards. This points out that there really is not much deep interest +in formal systems with lengthening rules only; it is the interplay of lengthening and +shortening rules that gives formal systems a certain fascination.. + +Bottom-up vs. Top-down + +The method above might be called a top-down decision procedure, to be contrasted with a +bottom-up decision procedure, which I give now. It is very reminiscent of the genie's +systematic theorem-generating method for the MlU-system, but is complicated by the +presence of an axiom schema. We are going to form a "bucket" into which we throw +theorems as they are generated. Here is how it is done: + +(la) Throw the simplest possible axiom (-p-q- ) into the bucket. + +(1b) Apply the rule of inference to the item in the bucket, and put the result into the +bucket. + +(2a) Throw the second-simplest axiom into the bucket. + +(2b) Apply the rule to each item in the bucket, and throw all results into the bucket. + +(3a) Throw the third-simplest axiom into the bucket. + +(3b) Apply the rule to each item in the bucket, and throw all results into the bucket, +etc., etc. + +A moment's reflection will show that you can't fail to produce every theorem of the pq- +system this way. Moreover, the bucket is getting filled with longer and longer theorems, +as time goes on. It is again a consequence of that lack of shortening rules. So if you have +a particular string, such as -p-q-, which you want to test for theoremhood, just +follow the numbered steps, checking all the while for the string in question. If it turns up- +theorem! If at some point everything that goes into the bucket is longer than the string in +question, forget it-it is not a theorem. This decision procedure is bottom=up because it is +working its way up from the basics, which is to say the axioms. The previous decision +procedure is top-down because it does precisely the reverse: it works its way back down +towards the basics. + +Isomorphisms Induce Meaning + +Now we come to a central issue of this Chapter-indeed of the book. Perhaps you have +already thought to yourself that the pq-theorems are like additions. The string -p-q- is +a theorem because 2 plus 3 equals 5. It could even occur to you that the theorem - p-q- +is a statement, written in an odd notation, whose meaning is that 2 plus 3 is 5. Is this a +reasonable way to look at things? Well, I deliberately chose 'p' to remind you of 'plus', +and 'q' to remind you of'equals'. . . So, does the string --p - q - actually mean "2 plus +3 equals 5"? + +What would make us feel that way? My answer would be that we have perceived +an isomorphism between pq-theorems and additions. In the Introduction, the word +"isomorphism" was defined as an information preserving transformation. We can now go +into that notion a little more deeply, and see it from another perspective. The word +"isomorphism 1 applies when two complex structures can be mapped onto each other, in +such a way that to each part of one structure there is a corresponding part in the other +structure, where "corresponding" means that the two part play similar roles in their +respective structures. This usage of the word "isomorphism" is derived from a more +precise notion in mathematics. + +It is cause for joy when a mathematician discovers an isomorphism between two +structures which he knows. It is often a "bolt from the blue", and a source of +wonderment. The perception of an isomorphism between two known structures is a +significant advance in knowledge-and I claim that it is such perceptions of isomorphism +which create meanings in the minds of people. A final word on the perception of +isomorphisms: since they come in many shapes and sizes, figuratively speaking, it is not +always totally clear when you really have found an isomorphism. Thus, "isomorphism" is +a word with all the usual vagueness of words-which is a defect but an advantage as well. + +In this case, we have an excellent prototype for the concept of isomorphism. +There is a "lower level" of our isomorphism-that is, a mapping between the parts of the +two structures: + +* p <= => plus + +* q <= => equals + +* - <= => one + +* - <= => two + +* - <= => three + +etc. + +This symbol-word correspondence has a name: interpretation. + +Secondly, on a higher level, there is the correspondence between true statements +and theorems. But-note carefully-this higher-level correspondence could not be perceived +without the prior choice of an interpretation for the symbols. Thus it would be more +accurate to describe it as a correspondence between true statements and interpreted +theorems. In any case we have displayed a two-tiered correspondence, which is typical of +all isomorphisms. + +When you confront a formal system you know nothing of, and if you hope to +discover some hidden meaning in it, your problem is how to assign interpretations to its +symbols in a meaningful way-that is, in such a way that a higher-level correspondence +emerges between true statements and theorems. You may make several tentative stabs in +the dark before finding a good set of words to associate with the symbols. It is very +similar to attempts to crack a code, or to decipher inscriptions in an unknown language +like Linear B of Crete: the only way to proceed is by trial and error, based on educated +guesses. When you hit a good choice, a "meaningful" choice, all of a sudden things just +feel right, and work speeds up enormously. Pretty soon everything falls into place. The +excitement of such an experience is captured in The Decipherment of Linear B by John +Chadwick. + +But it is uncommon, to say the least, for someone to be in the position of +"decoding" a formal system turned up in the excavations of a ruined civilization! +Mathematicians (and more recently, linguists, philosophers, and some others) are the only +users of formal systems, and they invariably have an interpretation in mind for the formal +systems which they use and publish. The idea of these people is to set up a formal system +whose +theorems reflect some portion of reality isomorphically. In such a case, the choice of +symbols is a highly motivated one, as is the choice of typographical rules of production. +When I devised the pq-system, I was in position. You see why I chose the symbols I +chose. It is no accident theorems are isomorphic to additions; it happened because I +deliberately sought out a way to reflect additions typographically. + +Meaningless and Meaningful Interpretations + +You can choose interpretations other than the one I chose. You need make every +theorem come out true. But there would be very little reason make an interpretation in +which, say, all theorems came out false, certainly even less reason to make an +interpretation under which there is no correlation at all, positive or negative, between +theoremhood and tri Let us therefore make a distinction between two types of +interpretations a formal system. First, we can have a meaningless interpretation, one un +which we fail to see any isomorphic connection between theorems of system, and reality. +Such interpretations abound-any random choice a will do. For instance, take this one: + +* p <= => horse + +* q <= => happy + +* - <= => apple + +Now -p-q-- acquires a new interpretation: "apple horse apple hat apple apple"-a +poetic sentiment, which might appeal to horses, and mi! even lead them to favor this +mode of interpreting pq-strings! However, t interpretation has very little +"meaningfulness"; under interpretative, theorems don't sound any truer, or any better, +than nontheorems. A ho might enjoy "happy happy happy apple horse" (mapped onto q q +q) just as much as any interpreted theorem. + +The other kind of interpretation will be called meaningful. Under si an +interpretation, theorems and truths correspond-that is, an isomorphism exists between +theorems and some portion of reality. That is why it is good to distinguish between +interpretations and meanings. Any old word can be used as an interpretation for 'p', but +'plus' is the only meaningful choice we've come up with. In summary, the meaning of 'p' +seems to be 'plus’ though it can have a million different interpretations. + +Active vs. Passive Meanings + +Probably the most significant fact of this Chapter, if understood deeply this: the pq- +system seems to force us into recognizing that symbols of a formal system, though +initially without meaning, cannot avoid taking on "meaning" of sorts at least if an +isomorphism is found. The difference between meaning it formal system and in a +language is a very important one, however. It is this: +in a language, when we have learned a meaning for a word, we then mar-c new +statements based on the meaning of the word. In a sense the meaning becomes active, +since it brings into being a new rule for creating sentences. This means that our command +of language is not like a finished product: the rules for making sentences increase when +we learn new meanings. On the other hand, in a formal system, the theorems are +predefined, by the rules of production. We can choose "meanings" based on an +isomorphism (if we can find one) between theorems and true statements. But this does +not give us the license to go out and add new theorems to the established theorems. That +is what the Requirement of Formality in Chapter I was warning you of. + +In the MlU-system, of course, there was no temptation to go beyond the four +rules, because no interpretation was sought or found. But here, in our new system, one +might be seduced by the newly found "meaning" of each symbol into thinking that the +string + +* -p-p-p-q + +is a theorem. At least, one might wish that this string were a theorem. But wishing doesn't +change the fact that it isn’t. And it would be a serious mistake to think that it "must" be a +theorem, just because 2 plus 2 plus 2 plus 2 equals 8. It would even be misleading to +attribute it any meaning at all, since it is not well-formed, and our meaningful +interpretation is entirely derived from looking at well-formed strings. + +In a formal system, the meaning must remain passive', we can read each string +according to the meanings of its constituent symbols, but we do not have the right to +create new theorems purely on the basis of the meanings we've assigned the symbols. +Interpreted formal systems straddle the line between systems without meaning, and +systems with meaning. Their strings can be thought of as "expressing" things, but this +must come only as a consequence of the formal properties of the system. + +Double-Entendre! + +And now, I want to destroy any illusion about having found the meanings for the symbols +of the pq-system. Consider the following association: + +* p <= => equals + +* q <= => taken from + +* - <= => one + +* - <= => two + +* etc. + +Now, -p-q- has a new interpretation: "2 equals 3 taken from 5". Of course it is a true +statement. All theorems will come out true under this new interpretation. It is just as +meaningful as the old one. Obviously, it is silly to ask, "But which one is the meaning of +the string?" An interpretation will me meaningful to the extent that it accurately reflects some isomorphism to the +real world. When different aspects of the real world a isomorphic to each other (in this +case, additions and subtractions), or single formal system can be isomorphic to both, and +therefore can take (two passive meanings. This kind of double-valuedness of symbols at +strings is an extremely important phenomenon. Here it seems trivial curious, annoying. +But it will come back in deeper contexts and bring with it a great richness of ideas. + +Here is a summary of our observations about the pq-system. Und either of the two +meaningful interpretations given, every well-form( string has a grammatical assertion for +its counterpart-some are true, son false. The idea of well formed strings in any formal +system is that they a those strings which, when interpreted symbol for symbol, yield +grammatical sentences. (Of course, it depends on the interpretation, but usually, there one +in mind.) Among the well-formed strings occur the theorems. The: are defined by an +axiom schema, and a rule of production. My goal in inventing the pq-system was to +imitate additions: I wanted every theorem] to express a true addition under interpretation; +conversely, I wanted every true addition of precisely two positive integers to be +translatable into a string, which would be a theorem. That goal was achieved. Notice, +then fore, that all false additions, such as "2 plus 3 equals 6", are mapped into strings +which are well-formed, but which are not theorems. + +Formal Systems and Reality + +This is our first example of 'a case where a formal system is based upon portion of +reality, and seems to mimic it perfectly, in that its theorems a] isomorphic to truths about +that part of reality. However, reality and tt formal system are independent. Nobody need +be aware that there is a isomorphism between the two. Each side stands by itself-one plus +or equals two, whether or not we know that -p-q- is a theorem; and -p-q- is still a +theorem whether or not we connect it with addition. + +You might wonder whether making this formal system, or any form system, sheds +new light on truths in the domain of its interpretation. Hat we learned any new additions +by producing pq-theorems? Certainly not but we have learned something about the nature +of addition as process-namely, that it is easily mimicked by a typographical rule +governing meaningless symbols. This still should not be a big surprise sing addition is +such a simple concept. It is a commonplace that addition can I captured in the spinning +gears of a device like a cash register. + +But it is clear that we have hardly scratched the surface, as far formal systems go; +it is natural to wonder about what portion of reality co be imitated in its behavior by a set +of meaningless symbols governed I formal rules. Can all of reality be turned into a formal +system? In a very broad sense, the answer might appear to be yes. One could suggest, for +instance, that reality is itself nothing but one very complicated formal +system. Its symbols do not move around on paper, but rather in a three-dimensional +vacuum (space); they are the elementary particles of which everything is composed. +(Tacit assumption: that there is an end to the descending chain of matter, so that the +expression "elementary particles" makes sense.) The "typographical rules" are the laws of +physics, which tell how, given the positions and velocities of all particles at a given +instant, to modify them, resulting in a new set of positions and velocities belonging to the +"next" instant. So the theorems of this grand formal system are the possible +configurations of particles at different times in the history of the universe. The sole axiom +is (or perhaps, was) the original configuration of all the particles at the "beginning of +time". This is so grandiose a conception, however, that it has only the most theoretical +interest; and besides, quantum mechanics (and other parts of physics) casts at least some +doubt on even the theoretical worth of this idea. Basically, we are asking if the universe +operates deterministically, which is an open question. + +Mathematics and Symbol Manipulation + +Instead of dealing with such a big picture, let's limit ourselves to mathematics as +our "real world". Here, a serious question arises: How can we be sure, if we've tried to +model a formal system on some part of mathematics, that we've done the job accurately- +especially if we're not one hundred per cent familiar with that portion of mathematics +already? Suppose the goal of the formal system is to bring us new knowledge in that +discipline. How will we know that the interpretation of every theorem is true, unless +we've proven that the isomorphism is perfect? And how will we prove that the +isomorphism is perfect, if we don't already know all about the truths in the discipline to +begin with? + +Suppose that in an excavation somewhere, we actually did discover some +mysterious formal system. We would try out various interpretations and perhaps +eventually hit upon one which seemed to make every theorem come out true, and every +nontheorem come out false. But this is something which we could only check directly in +a finite number of cases. The set of theorems is most likely infinite. How will we know +that all theorems express truths under this interpretation, unless we know everything there +is to know about both the formal system and the corresponding domain of interpretation? + +It is in somewhat this odd position that we will find ourselves when we attempt to +match the reality of natural numbers (i.e., the nonnegative integers: 0, 1,2, ...) with the +typographical symbols of a formal system. We will try to understand the relationship +between what we call "truth" in number theory and what we can get at by symbol +manipulation. + +So let us briefly look at the basis for calling some statements of number theory +true, and others false. How much is 12 times 12? Everyone knows it is 144. But how +many of the people who give that answer have actually at +any time in their lives drawn a 12 by 12 rectangle, and then counted the little squares in +it? Most people would regard the drawing and counting unnecessary. They would instead +offer as proof a few marks on paper, such as are shown below: + +* 12 + +* X 12 + +* 24 + +* 12 + +* 144 + +And that would be the "proof". Nearly everyone believes that if you counted the +squares, you would get 144 of them; few people feel that outcome is in doubt. + +The conflict between the two points of view comes into sharper focus when you +consider the problem of determining the value 987654321 x 123456789. First of all, it is +virtually impossible to construct the appropriate rectangle; and what is worse, even if it +were constructed and huge armies of people spent centuries counting the little squares, o +a very gullible person would be willing to believe their final answer. It is just too likely +that somewhere, somehow, somebody bobbled just a little bit. So is it ever possible to +know what the answer is? If you trust the symbolic process which involves manipulating +digits according to certain simple rules, yes. That process is presented to children as a +device which gets right answer; lost in the shuffle, for many children, are the rhyme +reason of that process. The digit-shunting laws for multiplication are based mostly on a +few properties of addition and multiplication which are assumed to hold for all numbers. + +The Basic Laws of Arithmetic + +The kind of assumption I mean is illustrated below. Suppose that you down a few sticks: + +* /////// / / + +Now you count them. At the same time, somebody else counts them, starting from the +other end. Is it clear that the two of you will get the s: answer? The result of a counting +process is independent of the way in which it is done. This is really an assumption about +what counting i would be senseless to try to prove it, because it is so basic; either you s or +you don't-but in the latter case, a proof won't help you a bit. + +From this kind of assumption, one can get to the commutativity and associativity +of addition (i.e., first that b + c = c + b always, and second that b + (c + d) = (b + c) + d +always). The same assumption can also you to the commutativity and associativity of +multiplication; just think of +many cubes assembled to form a large rectangular solid. Multiplicative commutativity +and associativity are just the assumptions that when you rotate the solid in various ways, +the number of cubes will not change. Now these assumptions are not verifiable in all +possible cases, because the number of such cases is infinite. We take them for granted; +we believe them (if we ever think about them) as deeply as we could believe anything. +The amount of money in our pocket will not change as we walk down the street, jostling +it up and down; the number of books we have will not change if we pack them up in a +box, load them into our car, drive one hundred miles, unload the box, unpack it, and place +the books in a new shelf. All of this is part of what we mean by number. + +There are certain types of people who, as soon as some undeniable fact is written +down, find it amusing to show why that "fact" is false after all. I am such a person, and as +soon as I had written down the examples above involving sticks, money, and books, I +invented situations in which they were wrong. You may have done the same. It goes to +show that numbers as abstractions are really quite different from the everyday numbers +which we use. + +People enjoy inventing slogans which violate basic arithmetic but which illustrate +"deeper" truths, such as "1 and 1 make 1" (for lovers), or "1 plus 1 plus 1 equals 1" (the +Trinity). You can easily pick holes in those slogans, showing why, for instance, using the +plus-sign is inappropriate in both cases. But such cases proliferate. Two raindrops +running down a windowpane merge; does one plus one make one? A cloud breaks up into +two clouds-more evidence for the same? It is not at all easy to draw a sharp line between +cases where what is happening could be called "addition", and where some other word is +wanted. If you think about the question, you will probably come up with some criterion +involving separation of the objects in space, and making sure each one is clearly +distinguishable from all the others. But then how could one count ideas? Or the number +of gases comprising the atmosphere? Somewhere, if you try to look it up, you can +probably find a statement such as, "There are 17 languages in India, and 462 dialects." +There is something strange about precise statements like that, when the concepts +"language" and "dialect" are themselves fuzzy. + +Ideal Numbers + +Numbers as realities misbehave. However, there is an ancient and innate sense in +people that numbers ought not to misbehave. There is something clean and pure in the +abstract notion of number, removed from counting beads, dialects, or clouds; and there +ought to be a way of talking about numbers without always having the silliness of reality +come in and intrude. The hard-edged rules that govern "ideal" numbers constitute +arithmetic, and their more advanced consequences constitute number theory. There is +only one relevant question to be asked, in making the transition from numbers as +practical things to numbers as formal things. Once you have +decided to try to capsulize all of number theory in an ideal system, is it really possible to +do the job completely? Are numbers so clean and crystalline and regular that their nature +can be completely captured in the rules of a formal system? The picture Liberation (Fig. +13), one of Escher's most beautiful, is a marvelous contrast between the formal and the +informal, with a fascinating transition region. Are numbers really as free as birds? Do +they suffer as much from being crystallized into a rule-obeying system? Is there a +magical transition region between numbers in reality and numbers on paper? + +When I speak of the properties of natural numbers, I don't just mean properties +such as the sum of a particular pair of integers. That can be found out by counting, and +anybody who has grown up in this century cannot doubt the mechanizability of such +processes as counting, adding, multiplying, and so on. I mean the kinds of properties +which mathematicians are interested in exploring, questions for which no counting- +process is sufficient to provide the answer-not even theoretically sufficient. Let us take a +classic example of such a property of natural numbers. The statement is: "There are +infinitely many prime numbers." First of all, there is no counting process which will ever +be able to confirm, or refute, this assertion. The best we could do would be to count +primes for a while and concede that there are "a lot". But no amount of counting alone +would ever resolve the question of whether the number of primes is finite or infinite. +There could always be more. The statement-and it is called "Euclid's Theorem" (notice +the capital "T")-is quite unobvious. It may seem reasonable, or appealing, but it is not +obvious. However, mathematicians since Euclid have always called it true. What is the +reason? + +Euclid's Proof + +The reason is that reasoning tells them it is so. Let us follow the reasoning involved. We +will look at a variant of Euclid's proof. This proof works by showing that whatever +number you pick, there is a prime larger than it. Pick a number-N. Multiply all the +positive integers starting with 1 and ending with N; in other words, form the factorial of +N, written "N!". What you get is divisible by every number up to N. When you add 1 to +N!, the result + +* can't be a multiple of 2 (because it leaves 1 over, when you divide +by 2); + +* can't be a multiple of 3 (because it leaves I over, when you divide +by 3); + +* can't be a multiple of 4 (because it leaves 1 over, when you divide +by 4); + +* can't be a multiple of N (because it leaves 1 over, when you +divide by N); + +In other words, N\ + 1, if it is divisible at all (other than by 1 and itself only is +divisible by numbers greater than N. So either it is itself prime, or prime divisors are +greater than N. But in either case we've shown the must exist a prime above N. The +process holds no matter what number is. Whatever N is, there is a prime greater than N. +And thus ends the demonstration of the infinitude of the primes. + +This last step, incidentally, is called generalization , and we will meet again later +in a more formal context. It is where we phrase an argument terms of a single number +(AT), and then point out that N was unspecified and therefore the argument is a general +one. + +Euclid's proof is typical of what constitutes "real mathematics". It simple, +compelling, and beautiful. It illustrates that by taking several rash short steps one can get +a long way from one's starting point. In our case, t starting points are basic ideas about +multiplication and division and forth. The short steps are the steps of reasoning. And +though eve individual step of the reasoning seems obvious, the end result is not obvious. +We can never check directly whether the statement is true or not; } we believe it, because +we believe in reasoning. If you accept reasoning there seems to be no escape route; once +you agree to hear Euclid out, you’ll have to agree with his conclusion. That's most +fortunate-because it mea that mathematicians will always agree on what statements to +label "true and what statements to label "false". + +This proof exemplifies an orderly thought process. Each statement related to +previous ones in an irresistible way. This is why it is called "proof rather than just "good +evidence". In mathematics the goal always to give an ironclad proof for some unobvious +statement. The very fact of the steps being linked together in an ironclad way suggests ti +there may be a patterned structure binding these statements together. TI structure can +best be exposed by finding a new vocabulary-a stylized vocabulary, consisting of +symbols-suitable only for expressing statements about numbers. Then we can look at the +proof as it exists in its translated version. It will be a set of statements which are related, +line by line, in some detectable way. But the statements, since they're represented by +means a small and stylized set of symbols, take on the aspect of patterns. In other words, +though when read aloud, they seem to be statements about numb and their properties, still +when looked at on paper, they seem to be abstract patterns-and the line-by-line structure +of the proof may start to look like slow transformation of patterns according to some few +typographical rules. + +Getting Around Infinity + +Although Euclid's proof is a proof that all numbers have a certain property it avoids +treating each of the infinitely many cases separately. It gets around +it by using phrases like "whatever N is", or "no matter what number N is". We could also +phrase-the proof over again, so that it uses the phrase "all N". By knowing the appropriate +context and correct ways of using such phrases, we never have to deal with infinitely +many statements. We deal with just two or three concepts, such as the word "all"-which, +though themselves finite, embody an infinitude; and by using them, we sidestep the +apparent problem that there are an infinite number of facts we want to prove. + +We use the word "all" in a few ways which are defined by the thought processes +of reasoning. That is, there are rules which our usage of "all" obeys. We may be +unconscious of them, and tend to claim we operate on the basis of the meaning of the +word; but that, after all, is only a circumlocution for saying that we are guided by rules +which we never make explicit. We have used words all our lives in certain patterns, and +instead of calling the patterns "rules", we attribute the courses of our thought processes to +the "meanings" of words. That discovery was a crucial recognition in the long path +towards the formalization of number theory. + +If we were to delve into Euclid's proof more and more carefully, we would see +that it is composed of many, many small-almost infinitesimal steps. If all those steps were +written out line after line, the proof would appear incredibly complicated. To our minds it +is clearest when several steps are telescoped together, to form one single sentence. If we +tried to look at the proof in slow motion, we would begin to discern individual frames. In +other words, the dissection can go only so far, and then we hit the "atomic" nature of +reasoning processes. A proof can be broken down into a series of tiny but discontinuous +jumps which seem to flow smoothly when perceived from a higher vantage point. In +Chapter VIII, I will show one way of breaking the proof into atomic units, and you will +see how incredibly many steps are involved. Perhaps it should not surprise you, though. +The operations in Euclid's brain when he invented the proof must have involved millions +of neurons (nerve cells), many of which fired several hundred times in a single second. +The mere utterance of a sentence involves hundreds of thousands of neurons. If Euclid's +thoughts were that complicated, it makes sense for his proof to contain a huge number of +steps! (There may be little direct connection between the neural actions in his brain, and a +proof in our formal system, but the complexities of the two are comparable. It is as if +nature wants the complexity of the proof of the infinitude of primes to be conserved, even +when the systems involved are very different from each other.) + +In Chapters to come, we will lay out a formal system that (1) includes a stylized +vocabulary in which all statements about natural numbers can be expressed, and (2) has +rules corresponding to all the types of reasoning which seem necessary. A very important +question will be whether the rules for symbol manipulation which we have then +formulated are really of equal power (as far as number theory is concerned) to our usual +mental reasoning abilities-or, more generally, whether it is theoretically possible to attain +the level of our thinking abilities, by using some formal system. + +DIALOGUE III: Sonata for Unaccompanied Achilles + +The telephone rings; Achilles picks it up. + +Achilles: Hello, this is Achilles. + +Achilles: Oh, hello, Mr. T. How are you? + +Achilles: A torticollis? Oh, I'm sorry to hear it. Do you have any idea what caused it? + +Achilles: How long did you hold it in that position? + +Achilles: Well, no wonder it's stiff, then. What on earth induced you keep your neck +twisted that way for so long? + +Achilles: Wondrous many of them, eh? What kinds, for example? Achilles: What do you +mean, "phantasmagorical beasts"? + +Achilles: Wasn't it terrifying to see so many of them at the same time? Achilles: A +guitar!? Of all things to be in the midst of all those weird creatures. Say, don't you +play the guitar? + +Achilles: Oh, well, it's all the same to me. + +Achilles: You're right; I wonder why I never noticed that difference between fiddles and +guitars before. Speaking of fiddling, how would you like to come over and listen +to one of the sonatas for unaccompanied violin by your favorite composer, J. S. +Bach? I just bought a marvelous recording of them. I still can't get over the way +Bach uses a single violin to create a piece with such interest. + +Achilles: A headache too? That's a shame. Perhaps you should just go to bed. + +Achilles: I see. Have you tried counting sheep? + +Achilles: Oh, oh, I see. Yes, I fully know what you mean. Well, if it's THAT distracting, +perhaps you'd better tell it to me, and let me try to work on it, too. + +Achilles: A word with the letters 'A', 'D\ 'A', 'C' consecutively inside it ... Hmm ... +What about "abracadabra"? + +Achilles: True, "ADAC" occurs backwards, not forwards, in that word. Achilles: Hours +and hours? It sounds like I'm in for a long puzzle, then. Where did you hear this +infernal riddle? + +Achilles: You mean he looked like he was meditating on esoteric Buddhist matters, but in +reality he was just trying to think up complex word puzzles? + +Achilles: Aha!-the snail knew what this fellow was up to. But how did you come to talk +to the snail? + +Achilles: Say, I once heard a word puzzle a little bit like this one. Do you want to hear it? +Or would it just drive you further into distraction? Achilles: I agree-can't do any +harm. Here it is: What's a word that begins with the letters "HE" and also ends +with "HE"? + +Achilles: Very ingenious-but that's almost cheating. It's certainly not what I meant! + +Achilles: Of course you're right-it fulfills the conditions, but it's a sort of "degenerate" +solution. There's another solution which I had in mind. Achilles: That's exactly it! +How did you come up with it so fast? Achilles: So here's a case where having a +headache actually might have helped you, rather than hindering you. Excellent! +But I'm still in the dark on your "ADAC" puzzle. + +Achilles: Congratulations! Now maybe you'll be able to get to sleep! So tell me, what is +the solution? + +Achilles: Well, normally I don't like hints, but all right. What's your hint? Achilles: I +don't know what you mean by "figure" and "ground" in this case. + +Achilles: Certainly I know Mosaic II! I know ALL of Escher's works. After all, he's my +favorite artist. In any case, I've got a print of Mosaic II hanging on my wall, in +plain view from here. + +Achilles:: Yes, t see all the black animals. + +Achilles: Yes, I also see how their "negative space" - what's left out- defines the white +animals. + +Achilles: So THAT'S what you mean by "figure" and "ground". But what does that have +to do with the "ADAC" puzzle? + +Achilles: Oh, this is too tricky for me. I think I'M starting to get a headache. + +Achilles: You want to come over now? But I thought - + +Achilles: Very well. Perhaps by then I'll have thought of the right answer to YOUR +puzzle, using your figure-ground hint, relating it to MY puzzle + +Achilles: I'd love to play them for you. + +Achilles: You've invented a theory about them? + +Achilles: Accompanied by what instrument? + +Achilles: Well, if that's the case, it seems a little strange that he would have written out +the harpsichord part, then, and had it published a s well. + +Achilles: I see - sort of an optional feature. One could listen to them either way - with +or without accompaniment. But how would one know what the accompaniment is +supposed to sound like? + +Achilles: Ah, yes, I guess that it is best, after all, to leave it to the listener’s imagination. +And perhaps, as you said, Bach never even had accompaniment in mind at all. +Those sonatas seem to work very indeed as they are. + +Achilles: Right. Well, I'll see you shortly. + +Achilles: Good-bye, Mr. T. + +CHAPTER III: Figure and Ground + +Primes vs. Composites + +THERE IS A strangeness to the idea that concepts can be captured by simple +typographical manipulations. The one concept so far captured is that of addition, and it +may not have appeared very strange. But suppose the goal were to create a formal system +with theorems of the form Px, the letter 'x' standing for a hyphen-string, and where the +only such theorems would be ones in which the hyphen-string contained exactly a prime +number of hyphens. Thus, P-- would be a theorem, but P- would not. How could this +be done typographically? First, it is important to specify clearly what is meant by +typographical operations. The complete repertoire has been presented in the MlU-system +and the pq-system, so we really only need to make a list of the kinds of things we have +permitted: + +(1) reading and recognizing any of a finite set of symbols; + +(2) writing down any symbol belonging to that set; + +(3) copying any of those symbols from one place to another; + +(4) erasing any of those symbols; + +(5) checking to see whether one symbol is the same as another; + +(6) keeping and using a list of previously generated theorems. + +The list is a little redundant, but no matter. What is important is that it clearly involves +only trivial abilities, each of them far less than the ability to distinguish primes from +nonprimes. How, then, could we compound some of these operations to make a formal +system in which primes are distinguished from composite numbers? + +The tq-System + +A first step might be to try to solve a simpler, but related, problem. We could try to make +a system similar to the pq-system, except that it represents multiplication, instead of +addition. Let's call it the tq-system, Y for times'. More specifically, suppose X, Y, and Z +are, respectively, the numbers of hyphens in the hyphen-strings x, y, and z. (Notice I am +taking special pains to distinguish between a string and the number of hyphens it +contains.) Then we wish the string x ty q z to be a theorem if and only if X times Y +equals Z. For instance, - t - q -should be a theorem because 2 times 3 equals 6, but - +t-q- should not be a theorem. The tq-system can be characterized just about as easily as +the pq-system namely, by using just one axiom schema and one rule of inference: + +* AXIOM SCHEMA: xt-qx is an axiom, whenever x is a hyphen string. + +* RULE OF INFERENCE: Suppose that x, y, and z are all hyphen-strings. An suppose that +x ty qz is an old theorem. Then, xty-qzx is a ne' theorem. + +Below is the derivation of the theorem - t-q- + +(1) -t-q- (axiom) + +(2) -t-q- (by rule of inference, using line (1) as the old theorem) + +(3) -t-q - (by rule of inference, using line (2) as the old theorem) + +Notice how the middle hyphen-string grows by one hyphen each time the rule of +inference is applied; so it is predictable that if you want a theorem with ten hyphens in +the middle, you apply the rule of inference nine times in a row. + +Capturing Compositeness + +Multiplication, a slightly trickier concept than addition, has now bee] "captured" +typographically, like the birds in Escher's Liberation. What about primeness? Here's a +plan that might seem smart: using the tq-system define a new set of theorems of the form +Cx, which characterize compost, numbers, as follows: + +* RULE: Suppose x, y, and z are hyphen-strings. If x-ty-qz is a theorem then C z is a +theorem. + +This works by saying that Z (the number of hyphens in z) is composite a long as it is the +product of two numbers greater than 1-namely, X + (the number of hyphens in x-), and Y ++ l (the number of hyphens in y I am defending this new rule by giving you some +"Intelligent mode justifications for it. That is because you are a human being, and want t, +know why there is such a rule. If you were operating exclusively in the "Mechanical +mode", you would not need any justification, since M-mod. workers just follow the rules +mechanically and happily, never questioning; them! + +Because you work in the I-mode, you will tend to blur in your mind the +distinction between strings and their interpretations. You see, things Cal become quite +confusing as soon as you perceive "meaning" in the symbol which you are manipulating. +You have to fight your own self to keep from thinking that the string'-' is the number 3. +The Requirement of Formality, which in Chapter I probably seemed puzzling (because it +seemed so obvious), here becomes tricky, and crucial. It is the essential thing which +keeps you from mixing up the I-mode with the M-mode; or said another way, it keeps +you from mixing up arithmetical facts with typographical theorems. + +Illegally Characterizing Primes + +It is very tempting to jump from the C-type theorems directly to P-type theorems, by +proposing a rule of the following kind: + +* PROPOSED RULE: Suppose x is a hyphen-string. If Cx is not a theorem, then Px is a +theorem. + +The fatal flaw here is that checking whether Cx is not a theorem is not an explicitly +typographical operation. To know for sure that MU is not a theorem of the MlU-system, +you have to go outside of the system ... and so it is with this Proposed Rule. It is a rule +which violates the whole idea of formal systems, in that it asks you to operate informally- +that is, outside the system. Typographical operation (6) allows you to look into the +stockpile of previously found theorems, but this Proposed Rule is asking you to look into +a hypothetical "Table of Nontheorems". But in order to generate such a table, you would +have to do some reasoning outside the system -reason ing which shows why various strings +cannot be generated inside the system. Now it may well be that there is another formal +system which can generate the "Table of Nontheorems", by purely typographical means. +In fact, our aim is to find just such a system. But the Proposed Rule is not a typographical +rule, and must be dropped. + +This is such an important point that we might dwell on it a bit more. In our C- +system (which includes the tq-system and the rule which defines C-type theorems), we +have theorems of the form Cx, with 'x' standing, as usual, for a hyphen-string. There are +also nontheorems of the form Cx. (These are what I mean when I refer to "nontheorems", +although of course tt-Cqq and other ill-formed messes are also nontheorems.) The +difference is that theorems have a composite number of hyphens, nontheorems have a +prime number of hyphens. Now the theorems all have a common "form", that is, originate +from a common set of typographical rules. Do all nontheorems also have a common +"form", in the same sense? Below is a list of C-type theorems, shown without their +derivations. The parenthesized numbers following them simply count the hyphens in +them. + +* C- (4) + +* C-(6) + +* C -(8) + +* C -(9) + +* C -(10) + +* C -(12) + +* C -(14) + +* C -(15) + +* C ---(16) + +* C -(18) + +I he "holes" in this list are the nontheorems. I o repeat the earlier quest Do the holes also +have some "form" in common? Would it be reasonable say that merely by virtue of being +the holes in this list, they share a common form? Yes and no. That they share some +typographical quality is and able, but whether we want to call it "form" is unclear. The +reason hesitating is that the holes are only negatively defined-they are the things that are +left out of a list which is positively defined. + +Figure and Ground + +This recalls the famous artistic distinction between figure and ground. When a figure or +"positive space" (e.g., a human form, or a letter, or a still life is drawn inside a frame, an +unavoidable consequence is that its complementary shape-also called the "ground”, or +"background", or "negative space"-has also been drawn. In most drawings, however, this +fig ground relationship plays little role. The artist is much less interested in ground than +in the figure. But sometimes, an artist will take interest in ground as well. + +There are beautiful alphabets which play with this figure-ground distinction. A +message written in such an alphabet is shown below. At fir looks like a collection of +somewhat random blobs, but if you step back ways and stare at it for a while, all of a +sudden, you will see seven letters appear in this .. FIGURE 15. + +For a similar effect, take a look at my drawing Smoke Signal (Fig. 139). Along these +lines, you might consider this puzzle: can you somehow create a drawing containing +words in both the figure and the ground? + +Let us now officially distinguish between two kinds of figures: cursive!y +drawable ones, and recursive ones (by the way, these are my own terms are not in +common usage). A cursively drawable figure is one whose ground is merely an +accidental by-product of the drawing act. A recursive figure is one whose ground can be +seen as a figure in its own right. Usually this is quite deliberate on the part of the artist. +The "re" in "recursive" represents the fact that both foreground and background are +cursively drawable - the figure is "twice-cursive". Each figure-ground boundary in a +recursive figure is a double-edged sword. M. C. Escher was a master at drawing recursive +figures-see, for instance, his beautiful recursive drawing of birds (Fig. 16). + +Our distinction is not as rigorous as one in mathematics, for who can definitively +say that a particular ground is not a figure? Once pointed out, almost any ground has +interest of its own. In that sense, every figure is recursive. But that is not what I intended +by the term. There is a natural and intuitive notion of recognizable forms. Are both the +foreground and background recognizable forms? If so, then the drawing is recursive. If +you look at the grounds of most line drawings, you will find them rather unrecognizable. +This demonstrates that + +There exist recognizable forms whose negative space is not any recognizable form. +In more "technical" terminology, this becomes: + +There exist cursively drawable figures which are not recursive. + +Scott Kim's solution to the above puzzle, which I call his "FIGURE-FIGURE +Figure", is shown in Figure 17. If you read both black and white. + +You will see "FIGURE" everywhere, but "GROUND" nowhere! It is a paragon of +recursive figures. In this clever drawing, there are two nonequivalent ways of +characterizing the black regions: + +(1) as the negative space to the white regions; + +(2) as altered copies of the white regions (produced by coloring and shifting each +white region). + +(In the special case of the FIGURE-FIGURE Figure, the two characterizations are +equivalent-but in most black-and-white pictures, they would not be.) Now in Chapter +VIII, when we create our Typographical Number Theory (TNT), it will be our hope that +the set of all false statements of number theory can be characterized in two analogous +ways: + +(1) as the negative space to the set of all TNT-theorems; + +(2) as altered copies of the set of all TNT-theorems (produced by negating each +TNT-theorem). + +But this hope will be dashed, because: + +(1) inside the set of all nontheorems are found some truths + +(2) outside the set of all negated theorems are found some falsehoods + +You will see why and how this happens, in Chapter XIV. Meanwhile, ponder over a +pictorial representation of the situation (Fig. 18). + +Figure and Ground in Music + +One may also look for figures and grounds in music. One analogue is the distinction +between melody and accompaniment-for the melody is always in the forefront of our +attention, and the accompaniment is subsidiary, in some sense. Therefore it is surprising +when we find, in the lower lines of a piece of music, recognizable melodies. This does +not happen too often in post-baroque music. Usually the harmonies are not thought of as +foreground. But in baroque music-in Bach above all-the distinct lines, whether high or +low or in between, all act as "figures". In this sense, pieces by Bach can be called +"recursive". + +Another figure-ground distinction exists in music: that between on-beat and off¬ +beat. If you count notes in a measure "one-and, two-and, three-and, four-and", most +melody-notes will come on numbers, not on "and'"s. But sometimes, a melody will be +deliberately pushed onto the "and" 's, for the sheer effect of it. This occurs in several +etudes for the piano by Chopin, for instance. It also occurs in Bach-particularly in his +Sonatas and Partitas for unaccompanied violin, and his Suites for unaccompanied cello. +There, Bach manages to get two or more musical lines going simultaneously. Sometimes +he does this by having the solo instrument play "double stops"-two notes at once. Other +times, however, he +puts one voice on the on-beats, and the other voice on the off-beats, so ear separates them +and hears two distinct melodies weaving in and out, - harmonizing with each other. +Needless to say, Bach didn't stop at this level of complexity... + +Recursively Enumerable Sets vs. Recursive Sets + +Now let us carry back the notions of figure and ground to the domain formal +systems. In our example, the role of positive space is played by C-type theorems, and the +role of negative space is played by strings with a +prime number of hyphens. So far, the only way we have found to represent prime +numbers typographically is as a negative space. Is there, however, some way-I don't care +how complicated-of representing the primes as a positive space-that is, as a set of +theorems of some formal system? + +Different people's intuitions give different answers here. I remember quite vividly +how puzzled and intrigued I was upon realizing the difference between a positive +characterization and a negative characterization. I was quite convinced that not only the +primes, but any set of numbers which could be represented negatively, could also be +represented positively. The intuition underlying my belief is represented by the question: +"How could a figure and its ground not carry exactly the same information ?" They +seemed to me to embody the same information, just coded in two complementary ways. +What seems right to you? + +It turns out I was right about the primes, but wrong in general. This astonished +me, and continues to astonish me even today. It is a fact that: + +There exist formal systems whose negative space (set of nontheorems) is not +the positive space (set of theorems) of any formal system. + +This result, it turns out, is of depth equal to Godel’s Theorem-so it is not +surprising that my intuition was upset. I, just like the mathematicians of the early +twentieth century, expected the world of formal systems and natural numbers to be more +predictable than it is. In more technical terminology, this becomes: + +There exist recursively enumerable sets which are not recursive. + +The phrase recursively enumerable (often abbreviated "r.e.") is the mathematical +counterpart to our artistic notion of "cursively drawable"-and recursive is the counterpart +of "recursive". For a set of strings to be "r.e." means that it can be generated according to +typographical rules-for example, the set of C-type theorems, the set of theorems of the +MlU-system-indeed, the set of theorems of any formal system. This could be compared +with the conception of a "figure" as "a set of lines which can be generated according to +artistic rules" (whatever that might mean!). And a "recursive set" is like a figure whose +ground is also a figure-not only is it r.e., but its complement is also r.e. + +It follows from the above result that: + +There exist formal systems for which there is no typographical decision +procedure. + +How does this follow? Very simply. A typographical decision procedure is a +method which tells theorems from nontheorems. The existence of such a test allows us to +generate all nontheorems systematically, simply by going down a list of all strings and +performing the test on them one at a time, discarding ill-formed strings and theorems +along the way. This amounts to +a typographical method for generating the set of nontheorems. But according to the +earlier statement (which we here accept on faith), for some systems this is not possible. +So we must conclude that typographical decision procedures do not exist for all formal +systems. + +Suppose we found a set F of natural numbers ('F' for 'Figure') whi4 we could +generate in some formal way-like the composite numbers. Suppose its complement is the +set G (for 'Ground')-like the primes. Together F and G make up all the natural numbers, +and we know a rule for making all the numbers in set F, but we know no such rule for +making all tl numbers in set G. It is important to understand that if the members of were +always generated in order of increasing size, then we could always characterize G. The +problem is that many r.e. sets are generated I methods which throw in elements in an +arbitrary order, so you never know if a number which has been skipped over for a long +time will get included you just wait a little longer. + +We answered no to the artistic question, "Are all figures recursive We have now +seen that we must likewise answer no to the analogous question in mathematics: "Are all +sets recursive?" With this perspective, 1 us now come back to the elusive word "form". +Let us take our figure-set and our ground-set G again. We can agree that all the numbers +in set have some common "form"-but can the same be said about numbers in s G? It is a +strange question. When we are dealing with an infinite set to sta with-the natural +numbers-the holes created by removing some subs may be very hard to define in any +explicit way. And so it may be that th< are not connected by any common attribute or +"form". In the last analysis it is a matter of taste whether you want to use the word +"form"-but just thinking about it is provocative. Perhaps it is best not to define "form", bi +to leave it with some intuitive fluidity. + +Here is a puzzle to think about in connection with the above matter Can you +characterize the following set of integers (or its negative space) + +* 1 3 7 12 18 26 35 45 56 69... + +How is this sequence like the FIGURE-FIGURE Figure? + +Primes as Figure Rather than Ground + +Finally, what about a formal system for generating primes? How is it don< The trick is to +skip right over multiplication, and to go directly to nondivisibility as the thing to +represent positively. Here are an axiom schema and rule for producing theorems which +represent the notion that one number does not divide (D N D) another number exactly: + +* AXIOM SCHEMA: xy D N Dx where x and y are hyphen-strings. + +for example -D N D-, where x has been replaced by'-'and y by: + +* RULE: If x D N Dy is a theorem, then so is x D N Dx y. + +If you use the rule twice, you can generate this theorem: + +* .-D N D. + +which is interpreted as "5 does not divide 12". But -D N D.is not a theorem. + +What goes wrong if you try to produce it? + +Now in order to determine that a given number is prime, we have to build up +some knowledge about its nondivisibility properties. In particular, we want to know that +it is not divisible by 2 or 3 or 4, etc., all the way up to 1 less than the number itself. But +we can't be so vague in formal systems as to say "et cetera". We must spell things out. +We would like to have a way of saying, in the language of the system, "the number Z is +divisor free up to X", meaning that no number between 2 and X divides Z. This can be +done, but there is a trick to it. Think about it if you want. + +Here is the solution: + +* RULE: If -D N D z is a theorem, so is z D F-. + +* RULE: If z D Fx is a theorem and also x-D N Dz is a theorem, z D Fx- is a theorem. + +These two rules capture the notion of divisor freeness. All we need to do is to say that +primes are numbers which are divisor-free up to 1 less than themselves: + +* RULE: If z-DFz is a theorem, then Pz- is a theorem. + +Oh-let’s not forget that 2 is prime! + +* Axiom: P-. + +And there you have it. The principle of representing primality formally is that there is a +test for divisibility which can be done without any backtracking. You march steadily +upward, testing first for divisibility by 2, then by 3, and so on. It is this "monotonicity" or +unidirectionality-this absence of cross-play between lengthening and shortening, +increasing and decreasing-that allows primality to be captured. And it is this potential +complexity of formal systems to involve arbitrary amounts of backwards-forwards +interference that is responsible for such limitative results as Godel’s Theorem, Turing's +Halting Problem, and the fact that not all recursively enumerable sets are recursive. + +DIALOGUE IV: Contracrostipunctus + +Achilles has come to visit his friend and jogging companion, the +Tortoise, at his home + +Achilles: Heavens, you certainly have an admirable boomerang collection. + +Tortoise: Oh, pshaw. No better than that of any other Tortoise. And now would you like +to step into the parlor? + +Achilles: Fine. (Walks to the corner of the room.) I see you also have a large collection of +records. What sort of music do you enjoy? + +Tortoise: Sebastian Bach isn't so bad, in my opinion. But these days, I must say, I am +developing more and more of an interest in a rather specialized sort of music. + +Achilles: Tell me, what kind of music is that? + +Tortoise: A type of music which you are most unlikely to have heard of. call it "music to +break phonographs by". + +Achilles: Did you say "to break phonographs by"? That is a curious concept. I can just +see you, sledgehammer in hand, whacking on phonograph after another to pieces, +to the strains of Beethoven's heroic masterpiece Wellington's Victory. + +Tortoise: That's not quite what this music is about. However, you might find its true +nature just as intriguing. Perhaps I should give you a brief description of it? + +Achilles: Exactly what I was thinking. + +Tortoise: Relatively few people are acquainted with it. It all began whet my friend the +Crab-have you met him, by the way?-paid m» a visit. + +Achilles: ' twould be a pleasure to make his acquaintance, I'm sure Though I've heard so +much about him, I've never met him + +Tortoise: Sooner or later I'll get the two of you together. You'd hit it of splendidly. +Perhaps we could meet at random in the park on day ... + +Achilles: Capital suggestion! I'll be looking forward to it. But you were going to tell me +about your weird "music to smash phone graphs by", weren't you? + +Tortoise: Oh, yes. Well, you see, the Crab came over to visit one day. You must +understand that he's always had a weakness for fang gadgets, and at that time he +was quite an aficionado for, of al things, record players. He had just bought his +first record player, and being somewhat gullible, believed every word the +salesman had told him about it-in particular, that it was capable of reproducing +any and all sounds. In short, he was convinced that it was a Perfect phonograph. + +Achilles: Naturally, I suppose you disagreed. + +Tortoise: True, but he would hear nothing of my arguments. He staunchly maintained that +any sound whatever was reproducible on his machine. Since I couldn't convince +him of the contrary, I left it at that. But not long after that, I returned the visit, +taking with me a record of a song which I had myself composed. The song was +called "I Cannot Be Played on Record Player 1". + +Achilles: Rather unusual. Was it a present for the Crab? + +Tortoise: Absolutely. I suggested that we listen to it on his new phonograph, and he was +very glad to oblige me. So he put it on. But unfortunately, after only a few notes, +the record player began vibrating rather severely, and then with a loud "pop", +broke into a large number of fairly small pieces, scattered all about the room. The +record was utterly destroyed also, needless to say. + +Achilles: Calamitous blow for the poor fellow, I'd say. What was the matter with his +record player? + +Tortoise: Really, there was nothing the matter, nothing at all. It simply couldn't reproduce +the sounds on the record which I had brought him, because they were sounds that +would make it vibrate and break. + +Achilles: Odd, isn't it? I mean, I thought it was a Perfect phonograph. That's what the +salesman had told him, after all. + +Tortoise: Surely, Achilles, you don't believe everything that salesmen tell you! Are you +as naive as the Crab was? + +Achilles: The Crab was naiver by far! I know that salesmen are notorious prevaricators. I +wasn't born yesterday! + +Tortoise: In that case, maybe you can imagine that this particular salesman had somewhat +exaggerated the quality of the Crab's piece of equipment ... perhaps it was indeed +less than Perfect, and could not reproduce every possible sound. + +Achilles: Perhaps that is an explanation. But there's no explanation for the amazing +coincidence that your record had those very sounds on it... + +Tortoise: Unless they got put there deliberately. You see, before returning the Crab's +visit, I went to the store where the Crab had bought his machine, and inquired as +to the make. Having ascertained that, I sent off to the manufacturers for a +description of its design. After receiving that by return mail, I analyzed the entire +construction of the phonograph and discovered a certain set of sounds which, if +they were produced anywhere in the vicinity, would set the device to shaking and +eventually to falling apart. + +Achilles: Nasty fellow! You needn't spell out for me the last details: that you recorded +those sounds yourself, and offered the dastardly item as a gift... + +Tortoise: Clever devil! You jumped ahead of the story! But that wasn't t end of the +adventure, by any means, for the Crab did r believe that his record player was at +fault. He was quite stubborn. So he went out and bought a new record player, this +o even more expensive, and this time the salesman promised give him double his +money back in case the Crab found a soul which it could not reproduce exactly. +So the Crab told r excitedly about his new model, and I promised to come over +and see it. + +Achilles: Tell me if I'm wrong-I bet that before you did so, you on again wrote the +manufacturer, and composed and recorded new song called "I Cannot Be Played +on Record Player based on the construction of the new model. + +Tortoise: Utterly brilliant deduction, Achilles. You've quite got the spirit. + +Achilles: So what happened this time? + +Tortoise: As you might expect, precisely the same thing. The phonograph fell into +innumerable pieces, and the record was shattered. Achilles: Consequently, the +Crab finally became convinced that there could be no such thing as a Perfect +record player. + +Tortoise: Rather surprisingly, that's not quite what happened. He was sure that the next +model up would fill the bill, and having twice the money, h e- + +Achilles: Oho-I have an idea! He could have easily outwitted you, I obtaining a LOW- +fidelity phonograph-one that was not capable of reproducing the sounds which +would destroy it. In that way, he would avoid your trick. + +Tortoise: Surely, but that would defeat the-original purpose-namely, to have a +phonograph which could reproduce any sound whatsoever, even its own self¬ +breaking sound, which is of coup impossible. + +Achilles: That's true. I see the dilemma now. If any record player - say +Record Player X - is sufficiently high-fidelity, then when attempts to play the song "I +Cannot Be Played on Record Player X", it will create just those vibrations which +will cause to break. .. So it fails to be Perfect. And yet, the only way to g, around +that trickery, namely for Record Player X to be c lower fidelity, even more +directly ensures that it is not Perfect It seems that every record player is +vulnerable to one or the other of these frailties, and hence all record players are +defective. + +Tortoise: I don't see why you call them "defective". It is simply an inherent fact about +record players that they can't do all that you might wish them to be able to do. But +if there is a defect anywhere, is not in THEM, but in your expectations of what +they should b able to do! And the Crab was just full of such unrealistic +expectations. + +Achilles: Compassion for the Crab overwhelms me. High fidelity or low fidelity, he loses +either way. + +Tortoise: And so, our little game went on like *_his for a few more rounds, and +eventually our friend tried to become very smart. He got wind of the principle +upon which I was basing my own records, and decided to try to outfox me. He +wrote to the phonograph makers, and described a device of his own invention, +which they built to specification. He called it "Record Player Omega". It was +considerably more sophisticated than an ordinary record player. + +Achilles: Let me guess how: Did it have no of cotton? Or- + +Tortoise: Let me tell you, instead. That will save some time. In the first place, Record +Player Omega incorporated a television camera whose purpose it was to scan any +record before playing it. This camera was hooked up to a small built-in computer, +which would determine exactly the nature of the sounds, by looking at the groove- +patterns. + +Achilles: Yes, so far so good. But what could Record Player Omega do with this +information? + +Tortoise: By elaborate calculations, its little computer figured out what effects the sounds +would have upon its phonograph. If it deduced that the sounds were such that they +would cause the machine in its present configuration to break, then it did +something very clever. Old Omega contained a device which could disassemble +large parts of its phonograph subunit, and rebuild them in new ways, so that it +could, in effect, change its own structure. If the sounds were "dangerous", a new +configuration was chosen, one to which the sounds would pose no threat, and this +new configuration would then be built by the rebuilding subunit, under direction +of the little computer. Only after this rebuilding operation would Record Player +Omega attempt to play the record. + +Achilles: Aha! That must have spelled the end of your tricks. I bet you were a little +disappointed. + +Tortoise: Curious that you should think so ... I don't suppose that you know Godel's +Incompleteness Theorem backwards and forwards, do you? + +Achilles: Know WHOSE Theorem backwards and forwards? I've +heard of anything that sounds like that. I'm sure it's fascinating, but I'd rather hear more +about "music to break records by". It's an amusing little story. Actually, I guess I +can fill in the end. Obviously, there was no point in going on, and so you +sheepishly admitted defeat, and that was that. Isn't that exactly it? + +Tortoise: What! It's almost midnight! I'm afraid it's my bedtime. I'd love to talk some +more, but really I am growing quite sleepy. + +Achilles: As am 1. Well, 1 u be on my way. (As he reaches the door, he suddenly stops, +and turns around.) Oh, how silly of me! I almost forgo brought you a little +present. Here. (Hands the Tortoise a small neatly wrapped package.) + +Tortoise: Really, you shouldn't have! Why, thank you very much indeed think I'll open it +now. ( Eagerly tears open the package, and ins discovers a glass goblet.) Oh, what +an exquisite goblet! Did y know that I am quite an aficionado for, of all things, gl +goblets? + +Achilles: Didn't have the foggiest. What an agreeable coincidence! + +Tortoise: Say, if you can keep a secret, I'll let you in on something: I trying to find a +Perfect goblet: one having no defects of a sort in its shape. Wouldn't it be +something if this goblet-h call it "G"-were the one? Tell me, where did you come +across Goblet G? + +Achilles: Sorry, but that's MY little secret. But you might like to know w its maker is. + +Tortoise: Pray tell, who is it? + +Achilles: Ever hear of the famous glassblower Johann Sebastian Bach? Well, he wasn't +exactly famous for glassblowing-but he dabbled at the art as a hobby, though +hardly a soul knows it-a: this goblet is the last piece he blew. + +Tortoise: Literally his last one? My gracious. If it truly was made by Bach its value is +inestimable. But how are y?u sure of its maker? + +Achilles: Look at the inscription on the inside-do you see where tletters 'B', 'A', 'C', 'H' +have been etched? + +Tortoise: Sure enough! What an extraordinary thing. ( Gently sets Goblet G down on a +shelf.) By the way, did you know that each of the four letters in\Bach's name is +the name of a musical note? + +Achilles:' tisn't possible, is it? After all, musical notes only go from ‘A’ through 'G'. + +Tortoise: Just so; in most countries, that's the case. But in Germany, Bach’s own +homeland, the convention has always been similar, except that what we call 'B', +they call 'H', and what we call 'B-flat', they call 'B'. Lor instance, we talk about +Bach's "Mass in B Minor whereas they talk about his "H-moll Messe". Is that +clear? + +Achilles: ... hmm ... I guess so. It's a little confusing: H is B, and B B-flat. I suppose +his name actually constitutes a melody, then- + +Tortoise: Strange but true. In fact, he worked that melody subtly into or of his most +elaborate musical pieces-namely, the final Contrapunctus in his Art of the Fugue. +It was the last fugue Bach ever wrote. When I heard it for the first time, I had no +idea how would end. Suddenly, without warning, it broke off. And the ... dead +silence. I realized immediately that was where Bach died. It is an indescribably +sad moment, and the effect it had o me was-shattering. In any case, B-A-C-H is +the last theme c that fugue. It is hidden inside the piece. Bach didn't point it out +explicitly, but if you know about it, you can find it without much trouble. Ah, me-there +are so many clever ways of hiding things in music .. . + +Achilles: . . or in poems. Poets used to do very similar things, you know (though it's +rather out of style these days). For instance, Lewis Carroll often hid words and +names in the first letters (or characters) of the successive lines in poems he wrote. +Poems which conceal messages that way are called "acrostics". + +Tortoise: Bach, too, occasionally wrote acrostics, which isn't surprising. After all, +counterpoint and acrostics, with their levels of hidden meaning, have quite a bit in +common. Most acrostics, however, have only one hidden level-but there is no +reason that one couldn't make a double-decker-an acrostic on top of an acrostic. +Or one could make a "contracrostic"-where the initial letters, taken in reverse +order, form a message. Heavens! There's no end to the possibilities inherent in the +form. Moreover, it's not limited to poets; anyone could write acrostics-even a +dialogician. + +Achilles: A dial-a-logician? That's a new one on me. + +Tortoise: Correction: I said "dialogician", by which I meant a writer of dialogues. Hmm +... something just occurred to me. In the unlikely event that a dialogician should +write a contrapuntal acrostic in homage to J. S. Bach, do you suppose it would be +more proper for him to acrostically embed his OWN name-or that of Bach? Oh, +well, why worry about such frivolous matters? Anybody who wanted to write +such a piece could make up his own mind. Now getting back to Bach's melodic +name, did you know that the melody B-A-C-H, if played upside down and +backwards, is exactly the same as the original? + +Achilles: How can anything be played upside down? Backwards, I can see-you get H-C- +A-B-but upside down? You must be pulling my leg. + +Tortoise: ' pon my word, you're quite a skeptic, aren't you? Well, I guess I'll have to give +you a demonstration. Let me just go and fetch my fiddle- (Walks into the next +room, and returns in a jiffy with an ancient-looking violin.) -and play it for you +forwards and backwards and every which way. Let's see, now ... (Places his copy +of the Art of the Fugue on his music stand and opens it to the last page.) ... here's +the last Contrapunctus, and here's the last theme ... + +The Tortoise begins to play: B-A-C- - but as he bows the final H, suddenly, +without warning, a shattering sound rudely interrupts his performance. Both +he and Achilles spin around, just in time to catch a glimpse of myriad +fragments of glass tinkling to the floor from the shelf where Goblet G had +stood, only moments before. And then ... dead silence. + +CHAPTER IV: Consistency, Completeness, and Geometry + +Implicit and Explicit Meaning + +IN CHAPTER II, we saw how meaning-at least in the relatively simple context of formal +systems-arises when there is an isomorphism between rule-governed symbols, and things +in the real world. The more complex the isomorphism, in general, the more "equipment"- +both hardware and software-is required to extract the meaning from the symbols. If an +isomorphism is very simple (or very familiar), we are tempted to say that the meaning +which it allows us to see is explicit. We see the meaning without seeing the isomorphism. +The most blatant example is human language, where people often attribute meaning to +words in themselves, without being in the slightest aware of the very complex +"isomorphism" that imbues them with meanings. This is an easy enough error to make. It +attributes all the meaning to the object (the word), rather than to the link between that +object and the real world. You might compare it to the naive belief that noise is a +necessary side effect of any collision of two objects. This is a false belief; if two objects +collide in a vacuum, there will be no noise at all. Here again, the error stems from +attributing the noise exclusively to the collision, and not recognizing the role of the +medium, which carries it from the objects to the ear. + +Above, I used the word "isomorphism" in quotes to indicate that it must be taken +with a grain of salt. The symbolic processes which underlie the understanding of human +language are so much more complex than the symbolic processes in typical formal +systems, that, if we want to continue thinking of meaning as mediated by isomorphisms, +we shall have to adopt a far more flexible conception of what isomorphisms can be than +we have up till now. In my opinion, in fact, the key element in answering the question +"What is consciousness?" will be the unraveling of the nature of the "isomorphism" +which underlies meaning. + +Explicit Meaning of the Contracrostipunctus + +All this is by way of preparation for a discussion of the Contracrostipunctus-a study in +levels of meaning. The Dialogue has both explicit and implicit meanings. Its most +explicit meaning is simply the story +Which was related. This “explicit meaning is, strictly speaking extremely implicit , in the +sense that the brain processes required to understand the events in the story, given only +the black marks on paper, are incredibly complex. Nevertheless, we shall consider the +events in the story to be the explicit meaning of the Dialogue, and assume that every +reader of English uses more or less the same "isomorphism" in sucking that meaning +from the marks on the paper. + +Even so, I'd like to be a little more explicit about the explicit meaning of the story. +First I'll talk about the record players and the records. The main point is that there are two +levels of meaning for the grooves in the records. Level One is that of music. Now what is +"music"-a sequence of vibrations in the air, or a succession of emotional responses in a +brain? It is both. But before there can be emotional responses, there have to be vibrations. +Now the vibrations get "pulled" out of the grooves by a record player, a relatively +straightforward device; in fact you can do it with a pin, just pulling it down the grooves. +After this stage, the ear converts the vibrations into firings of auditory neurons in the +brain. Then ensue a number of stages in the brain, which gradually transform the linear +sequence of vibrations into a complex pattern of interacting emotional responses-far too +complex for us to go into here, much though I would like to. Let us therefore content +ourselves with thinking of the sounds in the air as the "Level One" meaning of the +grooves. + +What is the Level Two meaning of the grooves? It is the sequence of vibrations induced +in the record player. This meaning can only arise after the Level One meaning has been +pulled out of the grooves, since the vibrations in the air cause the vibrations in the +phonograph. Therefore, the Level Two meaning depends upon a chain of two +isomorphisms: + +(1) Isomorphism between arbitrary groove patterns and air +vibrations; + +(2) Isomorphism between graph vibrations, arbitrary air +vibrations and phonograph vibrations + +This chain of two isomorphisms is depicted in Figure 20. Notice that isomorphism I is the +one which gives rise to the Level One meaning. The Level Two meaning is more implicit +than the Level One meaning, because it is mediated by the chain of two isomorphisms. It +is the Level Two meaning which "backfires", causing the record player to break apart. +What is of interest is that the production of the Level One meaning forces the production +of the Level Two meaning simultaneously-there is no way to have Level One without +Level Two. So it was the implicit meaning of the record which turned back on it, and +destroyed it. + +Similar comments apply to the goblet. One difference is that the mapping from +letters of the alphabet to musical notes is one more level of isomorphism, which we could +call "transcription". That is followed by "translation"-conversion of musical notes into +musical sounds. Thereafter, the vibrations act back on the goblet just as they did on the +escalating series of phonographs. + +Implicit Meanings of the Contracrostipunctus + +What about implicit meanings of the Dialogue? (Yes, it has more than one of these.) The +simplest of these has already been pointed out in the paragraphs above-namely, that the +events in the two halves of the dialogue are roughly isomorphic to each other: the +phonograph becomes a violin, the Tortoise becomes Achilles, the Crab becomes the +Tortoise, the grooves become the etched autograph, etc. Once you notice this simple +isomorphism, you can go a little further. Observe that in the first half of the story, the +Tortoise is the perpetrator of all the mischief, while in the second half, he is the victim. +What do you know, but his own method has turned around and backfired on him! +Reminiscent of the backfiring of the records' muusic-or the goblet's inscription-or perhaps +of the Tortoise's boomerang collection? Yes, indeed. The story is about backf uing on two +levels, as follows ... + +Level One: Goblets and records which backfire; + +Level Two: The Tortoise’s devilish method of exploiting implicit meaning to +cause backfires-which backfires. + +Therefore we can even make an isomorphism between the two levels of the story, +in which we equate the way in which the records and goblet boomerang back to destroy +themselves, with the way in which the Tortoise's own fiendish method boomerangs back +to get him in the end. Seen this +way, the story itself is an example of the backfirings which it discusses. So we can think +of the Contracrostipunctus as referring to itself indirectly that its own structure is +isomorphic to the events it portrays. (Exactly goblet and records refer implicitly to +themselves via the back-to-back morphisms of playing and vibration-causing.) One may +read the Dialogue without perceiving this fact, of course-but it is there all the time. + +Mapping Between the Contracrostipunctus +and Godel’s Theorem + +Now you may feel a little dizzy-but the best is yet to come. (Actually, levels of +implicit meaning will not even be discussed here-they will 1 for you to ferret out.) The +deepest reason for writing this Dialogue illustrate Godel’s Theorem, which, as I said in +the Introduction, heavily on two different levels of meaning of statements of number tl +Each of the two halves of the Contracrostipunctus is an "isomorphic co Godel’s Theorem. +Because this mapping is the central idea of the Dialogue and is rather elaborate, I have +carefully charted it out below. + +* phonograph <= =>axiomatic system for number theory + +* low-fidelity phonograph <= =>"weak" axiomatic system + +* high-fidelity phonograph <= =>"strong" axiomatic system + +* "Perfect" phonograph" <= => complete system for number theory' + +* blueprint" of phonograph <= => axioms and rules of formal system + +* record <= => string of the formal system + +* playable record<= => theorem of the axiomatic system + +* unplayable record <= =>nontheorem of the axiomatic system + +* sound <= =>true statement of number theory + +* reproducible sound <= => 'interpreted theorem of the system + +* unreproducible sound <= => true statement which isn't a theorem: + +* song title <= =>implicit meaning of Godel’s string: + +* "I Cannot Be Played "I Cannot Be Derived on Record Player X" in Formal System X" + +This is not the full extent of the isomorphism between Godel’s theorem and the +Contracrostipunctus, but it is the core of it. You need not if you don't fully grasp Godel’s +Theorem by now-there are still Chapters to go before we reach it! Nevertheless, having +read this Dialogue you have already tasted some of the flavor of Godel’s Theorem +without necessarily being aware of it. I now leave you to look for any other types of +implicit meaning in the Contracrostipunctus. "Quaerendo invenietis!" + +The Art of the Fugue + +A few words on the Art of the Fugue ... Composed in the last year of Bach's life, it is a +collection of eighteen fugues all based on one theme. Apparently, writing the Musical +Offering was an inspiration to Bach. He decided to compose another set of fugues on a +much simpler theme, to demonstrate the full range of possibilities inherent in the form. In +the Art of the Fugue, Bach uses a very simple theme in the most complex possible ways. +The whole work is in a single key. Most of the fugues have four voices, and they +gradually increase in complexity and depth of expression. Toward the end, they soar to +such heights of intricacy that one suspects he can no longer maintain them. Yet he does . . . until the last Contrapunctus. + +The circumstances which caused the break-off of the Art of the Fugue (which is to +say, of Bach's life) are these: his eyesight having troubled him for years, Bach wished to +have an operation. It was done; however, it came out quite poorly, and as a consequence, +he lost his sight for the better part of the last year of his life. This did not keep him from +vigorous work on his monumental project, however. His aim was to construct a complete +exposition of fugal writing, and usage of multiple themes was one important facet of it. In +what he planned as the next-to-last fugue, he inserted his own name coded into notes as +the third theme. However, upon this very act, his health became so precarious that he was +forced to abandon work on his cherished project. In his illness, he managed to dictate to +his son-in-law a final chorale prelude, of which Bach's biographer Forkel wrote, "The +expression of pious resignation and devotion in it has always affected me whenever I +have played it; so that I can hardly say which I would rather miss-this Chorale, or the end +of the last fugue." + +One day, without warning, Bach regained his vision. But a few hours later, he +suffered a stroke; and ten days later, he died, leaving it for others to speculate on the +incompleteness of the Art of the Fugue. Could it have been caused by Bach's attainment +of self-reference? + +Problems Caused by Godel’s Result + +The Tortoise says that no sufficiently powerful record player can be perfect, in the +sense of being able to reproduce every possible sound from a record. Godel says that no +sufficiently powerful formal system can be perfect, in the sense of reproducing every +single true statement as a theorem. But as the Tortoise pointed out with respect to +phonographs, this fact only seems like a defect if you have unrealistic expectations of +what formal systems should be able to do. Nevertheless, mathematicians began this +century with just such unrealistic expectations, thinking that axiomatic reasoning was the +cure to all ills. They found out otherwise in 1931. The fact that truth transcends +theoremhood, in any given formal system, is called "incompleteness" of that system. + +A most puzzling fact about Godel’s method of proof is that he uses +reasoning methods which seemingly cannot be "encapsulated"-they re being incorporated +into any formal system. Thus, at first sight, it seems that Godel has unearthed a hitherto +unknown, but deeply significant, difference between human reasoning and mechanical +reasoning. This mysterious discrepancy in the power of living and nonliving systems is +mirrored in the discrepancy between the notion of truth, and that of theoremhood or at +least that is a "romantic" way to view the situation. + +The Modified pq-System and Inconsistency + +In order to see the situation more realistically, it is necessary to see in, depth why +and how meaning is mediated, in formal systems, by isomorphisms. And I believe that +this leads to a more romantic way to view i situation. So we now will proceed to +investigate some further aspects of 1 relation between meaning and form. Our first step is +to make a new formal system by modifying our old friend, the pq-system, very slightly. +We a one more axiom schema (retaining the original one, as well as the sin rule of +inference): + +* AXIOM SCHEMA II: If x is a hyphen-string, then xp-qx is an axiom. + +Clearly, then, -p-q- is a theorem in the new system, and so -p-q-. And yet, their +interpretations are, respectively, "2 plus; equals 2", and "2 plus 2 equals 3". It can be seen +that our new system contain a lot of false statements (if you consider strings to be +statement Thus, our new system is inconsistent with the external world. + +As if this weren't bad enough, we also have internal problems with < new system, +since it contains statements which disagree with one another such as -p-q- (an old +axiom) and -p-q- (a new axiom). So our system is inconsistent in a second sense: +internally. + +Would, therefore, the only reasonable thing to do at this point be drop the new +system entirely? Hardly. I have deliberately presented the "inconsistencies" in a wool¬ +pulling manner: that is, I have tried to press fuzzy-headed arguments as strongly as +possible, with the purpose of n leading. In fact, you may well have detected the fallacies +in what I hi said. The crucial fallacy came when I unquestioningly adopted the very same +interpreting words for the new system as I had for the old of Remember that there was +only one reason for adopting those words in I last Chapter, and that reason was that the +symbols acted isomorphically to concepts which they were matched with, by the +interpretation. But when y modify the rules governing the system, you are bound to +damage t isomorphism. It just cannot be helped. Thus all the problems which we +lamented over in preceding paragraphs were bogus problems; they can made to vanish in +no time, by suitably reinterpreting some of the symbols of system. Notice that I said +"some"; not necessarily all symbols will have to mapped onto new notions. Some may +very well retain their "meaning while others change. + +Suppose, for instance, that we reinterpret just the symbol q, leaving all the others +constant; in particular, interpret q by the phrase "is greater than or equal to". Now, our +"contradictory" theorems -p-q-and -p-q-come out harmlessly as: "1 plus 1 is greater than +or equal to 1", and "1 plus 1 is greater than or equal to 2". We have simultaneously gotten +rid of (1) the inconsistency with the external world, and (2) the internal inconsistency. +And our new interpretation is a meaningful interpretation; of course the original one is +meaningless. That is, it is meaningless for the new system ; for the original pq-system, it is +fine. But it now seems as pointless and arbitrary to apply it to the new pq-system as it +was to apply the "horse-apple-happy" interpretation to the old pq-system. + +The History of Euclidean Geometry + +Although I have tried to catch you off guard and surprise you a little, this lesson +about how to interpret symbols by words may not seem terribly difficult once you have +the hang of it. In fact, it is not. And yet it is one of the deepest lessons of all of nineteenth +century mathematics! It all begins with Euclid, who, around 300 B.C., compiled and +systematized all of what was known about plane and solid geometry in his day. The +resulting work, Euclid's Elements, was so solid that it was virtually a bible of geometry +for over two thousand years-one of the most enduring works of all time. Why was this +so? + +The principal reason was that Euclid was the founder of rigor in mathematics. The +Elements began with very simple concepts, definitions, and so forth, and gradually built +up a vast body of results organized in such a way that any given result depended only on +foregoing results. Thus, there was a definite plan to the work, an architecture which made +it strong and sturdy. + +Nevertheless, the architecture was of a different type from that of, say, a +skyscraper. (See Fig. 21.) In the latter, that it is standing is proof enough that its structural +elements are holding it up. But in a book on geometry, when each proposition is claimed +to follow logically from earlier propositions, there will be no visible crash if one of the +proofs is invalid. The girders and struts are not physical, but abstract. In fact, in Euclid's +Elements, the stuff out of which proofs were constructed was human language-that +elusive, tricky medium of communication with so many hidden pitfalls. What, then, of +the architectural strength of the Elements? Is it certain that it is held up by solid structural +elements, or could it have structural weaknesses? + +Every word which we use has a meaning to us, which guides us in our use of it. +The more common the word, the more associations we have with it, and the more deeply +rooted is its meaning. Therefore, when someone gives a definition for a common word in +the hopes that we will abide by that +definition, it is a foregone conclusion that we will not do so but will instead be guided, +largely unconsciously, by what our minds find in their associative stores. I mention this +because it is the sort of problem which Euclid created in his Elements, by attempting to +give definitions of ordinary, common words such as "point", "straight line", "circle", and +so forth. How can you define something of which everyone already has a clear concept? +The only way is if you can make it clear that your word is supposed to be a technical +term, and is not to be confused with the everyday word with the same spelling. You have +to stress that the connection with the everyday word is only suggestive. Well, Euclid did +not do this, because he felt that the points and lines of his Elements were indeed the +points and lines of the real world. So by not making sure that all associations were +dispelled, Euclid was inviting readers to let their powers of association run free ... + +This sounds almost anarchic, and is a little unfair to Euclid. He did set down +axioms, or postulates, which were supposed to be used in the proofs of propositions. In +fact, nothing other than those axioms and postulates was supposed to be used. But this is +where he slipped up, for an inevitable consequence of his using ordinary words was that +some of the images conjured up by those words crept into the proofs which he created. +However, if you read proofs in the Elements, do not by any means expect to find glaring +"jumps" in the reasoning. On the contrary, they are very subtle, for Euclid was a +penetrating thinker, and would not have made any simpleminded errors. Nonetheless, +gaps are there, creating slight imperfections in a classic work. But this is not to be +complained about. One should merely gain an appreciation for the difference between +absolute rigor and relative rigor. In the long run, Euclid's lack of absolute rigor was the +cause of some of the most fertile path-breaking in mathematics, over two thousand years +after he wrote his work. + +Euclid gave five postulates to be used as the "ground story" of the infinite +skyscraper of geometry, of which his Elements constituted only the first several hundred +stories. The first four postulates are rather terse and elegant: + +(1) A straight line segment can be drawn joining any two points. + +(2) Any straight line segment can be extended indefinitely in a straight line. + +(3) Given any straight line segment, a circle can be drawn having the segment as +radius and one end point as center. + +(4) All right angles are congruent. + +The fifth, however, did not share their grace: + +(5) If two lines are drawn which intersect a third in such a way that the sum of the + +inner angles on one side is less than two right angles, then the two lines +inevitably must intersect each other on that side if extended far enough +Though he never explicitly said so, Euclid considered this postulate to be somehow +inferior to the others, since he managed to avoid using it in t proofs of the first twenty- +eight propositions. Thus, the first twenty-eight propositions belong to what might be +called "four-postulate geometry" that part of geometry which can be derived on the basis +of the first to postulates of the Elements, without the help of the fifth postulate. (It is al +often called absolute geometry.) Certainly Euclid would have found it 1 preferable to +prove this ugly duckling, rather than to have to assume it. B he found no proof, and +therefore adopted it. + +But the disciples of Euclid were no happier about having to assume this fifth +postulate. Over the centuries, untold numbers of people ga untold years of their lives in +attempting to prove that the fifth postulate s itself part of four-postulate geometry. By +1763, at least twenty-eight deficient proofs had been published-all erroneous! (They were +all criticized the dissertation of one G. S. Klugel.) All of these erroneous proofs involve a +confusion between everyday intuition and strictly formal properties. It safe to say that +today, hardly any of these "proofs" holds any mathematic or historical interest-but there +are certain exceptions. + +The Many Faces of Noneuclid + +Girolamo Saccheri (1667-1733) lived around Bach's time. He had t ambition to +free Euclid of every flaw. Based on some earlier work he h; done in logic, he decided to +try a novel approach to the proof of the famous fifth: suppose you assume its opposite; +then work with that as your fif postulate ... Surely after a while you will create a +contradiction. Since i mathematical system can support a contradiction, you will have +shown t unsoundness of your own fifth postulate, and therefore the soundness Euclid's +fifth postulate. We need not go into details here. Suffice it to s that with great skill, +Saccheri worked out proposition after proposition "Saccherian geometry" and eventually +became tired of it. At one point, decided he had reached a proposition which was +"repugnant to the nature of the straight line". That was what he had been hoping for-to his +mind was the long-sought contradiction. At that point, he published his work under the +title Euclid Freed of Every Flaw, and then expired. + +But in so doing, he robbed himself of much posthumous glory, sir he had +unwittingly discovered what came later to be known as "hyperbolic geometry". Fifty +years after Saccheri, J. H. Lambert repeated the "near miss", this time coming even +closer, if possible. Finally, forty years after Lambert, and ninety years after Saccheri, +non-Euclidean geometry was recognized for what it was-an authentic new brand of +geometry, a bifurcation the hitherto single stream of mathematics. In 1823, non- +Euclidean geometry was discovered simultaneously, in one of those inexplicable +coincidences, by a Hungarian mathematician, Janos (or Johann) Bolyai, age twenty-one, +and a Russian mathematician, Nikolay Lobachevskiy, ag thirty. And, ironically, in that +same year, the great French mathematician +Adrien-Marie Legendre came up with what he was sure was a proof of Euclid's fifth +postulate, very much along the lines of Saccheri. + +Incidentally, Bolyai's father, Farkas (or Wolfgang) Bolyai, a close friend of the +great Gauss, invested much effort in trying to prove Euclid's fifth postulate. In a letter to +his son Janos, he tried to dissuade him from thinking about such matters: + +You must not attempt this approach to parallels. I know this way to its very end. I have +traversed this bottomless night, which extinguished all light and joy of my life. I entreat +you, leave the science of parallels alone.... I thought 1 would sacrifice myself for the sake +of the truth. I was ready to become a martyr who would remove the flaw from geometry +and return it purified to mankind. I accomplished monstrous, enormous labors; my +creations are far better than those of others and yet I have not achieved complete +satisfaction. For here it is true that si paullum a summo discessit, vergit ad imum. I turned +back when I saw that no man can reach the bottom of this night. I turned back nnconsoled, +pitying myself and all mankind.... I have traveled past all reefs of this infernal Dead Sea +and have always come back with broken mast and tom sail. The ruin of my disposition and +my fall date back to this time. I thoughtlessly risked my life and happiness sut Caesar aut +nihil.' + +But later, when convinced his son really "had something", he urged him to +publish it, anticipating correctly the simultaneity which is so frequent in scientific +discovery: + +When the time is ripe for certain things, these things appear in different places in +the manner of violets coming to light in early spring. + +How true this was in the case of non-Euclidean geometry! In Germany, Gauss +himself and a few others had more or less independently hit upon non-Euclidean ideas. +These included a lawyer, F. K. Schweikart, who in 1818 sent a page describing a new +"astral" geometry to Gauss; Schweikart's nephew, F. A. Taurinus, who did non-Euclidean +trigonometry; and F. L. Wachter, a student of Gauss, who died in 1817, aged twenty-five, +having found several deep results in non-Euclidean geometry. + +The clue to non-Euclidean geometry was "thinking straight" about the +propositions which emerge in geometries like Saccheri's and Lambert's. The Saccherian +propositions are only "repugnant to the nature of the straight line" if you cannot free +yourself of preconceived notions of what "straight line" must mean. If, however, you can +divest yourself of those preconceived images, and merely let a "straight line" be +something which satisfies the new propositions, then you have achieved a radically new +viewpoint. + +Undefined Terms + +This should begin to sound familiar. In particular, it harks back to the pq-system, and its +variant, in which the symbols acquired passive meanings by virtue of their roles in +theorems. The symbol q is especially interesting, +since its "meaning" changed when a new axiom schema was added. In the very same +way, one can let the meanings of "point", "line", and so on I determined by the set of +theorems (or propositions) in which they occur. This was th great realization of the +discoverers of non-Euclidean geometry. The found different sorts of non-Euclidean +geometries by denying Euclid's fifth postulate in different ways and following out the +consequences. Strict] speaking, they (and Saccheri) did not deny the fifth postulate +directly, but rather, they denied an equivalent postulate, called the parallel postulate, +which runs as follows: + +Given any straight line, and a point not on it, there exists one, and only one, straight +line which passes through that point and never intersects the first line, no matter +how far they are extended. + +The second straight line is then said to be parallel to the first. If you assert that no +such line exists, then you reach elliptical geometry, if you assert that, at east two such +lines exist, you reach hyperbolic geometry. Incidentally, tf reason that such variations are +still called "geometries" is that the cot element-absolute, or four-postulate, geometry-is +embedded in them, is the presence of this minimal core which makes it sensible to think +of the] as describing properties of some sort of geometrical space, even if the spa( is not +as intuitive as ordinary space. + +Actually, elliptical geometry is easily visualized. All "points", "lines and so forth +are to be parts of the surface of an ordinary sphere. Let t write "POINT" when the +technical term is meant, and "point" when tl everyday sense is desired. Then, we can say +that a POINT consists of a pa of diametrically opposed points of the sphere's surface. A +LINE is a great circle on the sphere (a circle which, like the equator, has its center at tl +center of the sphere). Under these interpretations, the propositions ( elliptical geometry, +though they contain words like "POINT" and "LINE speak of the goings-on on a sphere, +not a plane. Notice that two LINT always intersect in exactly two antipodal points of the +sphere's surface that is, in exactly one single POINT! And just as two LINES determine +POINT, so two POINTS determine a LINE. + +By treating words such as "POINT" and "LINE" as if they had only tt meaning +instilled in them by the propositions in which they occur, we take step towards complete +formalization of geometry. This semiformal version still uses a lot of words in English +with their usual meanings (words such "the", ' if ", "and", "join", "have"), although the +everyday meaning has bee drained out of special words like "POINT" and "LINE", which +are consequently called undefined terms. Undefined terms, like the p and q of th pq- +system, do get defined in a sense: implicitly-by the totality of all propos dons in which +they occur, rather than explicitly, in a definition. + +One could maintain that a full definition of the undefined tern resides in the +postulates alone, since the propositions which follow from them are implicit in the +postulates already. This view would say that the postulates are implicit definitions of all +the undefined terms, all of the undefined terms being defined in terms of the others. + +The Possibility of Multiple Interpretations + +A full formalization of geometry would take the drastic step of making every term +undefined-that is, turning every term into a "meaningless" symbol of a formal system. I +put quotes around "meaningless" because, as you know, the symbols automatically pick +up passive meanings in accordance with the theorems they occur in. It is another +question, though, whether people discover those meanings, for to do so requires finding a +set of concepts which can be linked by an isomorphism to the symbols in the formal +system. If one begins with the aim of formalizing geometry, presumably one has an +intended interpretation for each symbol, so that the passive meanings are built into the +system. That is what I did for p and q when I first created the pq-system. + +But there may be other passive meanings which are potentially perceptible, which +no one has yet noticed. For instance, there were the surprise interpretations of p as +"equals" and q as "taken from", in the original pq-system. Although this is rather a trivial +example, it contains the essence of the idea that symbols may have many meaningful +interpretations-it is up to the observer to look for them. + +We can summarize our observations so far in terms of the word "consistency". +We began our discussion by manufacturing what appeared to be an inconsistent formal +system-one which was internally inconsistent, as well as inconsistent with the external +world. But a moment later we took it all back, when we realized our error: that we had +chosen unfortunate interpretations for the symbols. By changing the interpretations, we +regained consistency! It now becomes clear that consistency is not a property of a formal +system per se, but depends on the interpretation which is proposed for it. By the same +token, inconsistency is not an intrinsic property of any formal system. + +Varieties of Consistency + +We have been speaking of "consistency" and "inconsistency" all along, without +defining them. We have just relied on good old everyday notions. But now let us say +exactly what is meant by consistency of a formal system (together with an interpretation): +that every theorem, when interpreted, becomes a true statement. And we will say that +inconsistency occurs when there is at least one false statement among the interpreted +theorems. + +This definition appears to be talking about inconsistency with the external world- +what about internal inconsistencies? Presumably, a system would be internally +inconsistent if it contained two or more theorems whose interpretations were +incompatible with one another, and internally consistent if all interpreted theorems were +compatible with one another. Consider, for example, a formal system which has only the +following three theorems: TbZ, ZbE, and EbT. If T is interpreted as "the Tortoise", Z as +"Zeno", E as "Egbert", and x by as "x beats y in chess always", then we have the +following interpreted theorems: + +* The Tortoise always beats Zeno at chess. + +* Zeno always beats Egbert at chess. + +* Egbert always beats the Tortoise at chess. + +The statements are not incompatible, although they describe a rather bizarre circle of +chess players. Hence, under this interpretation, the form; system in which those three +strings are theorems is internally consistent although, in point of fact, none of the three +statements is true! Intern< consistency does not require all theorems to come out true, but +merely that they come out compatible with one another. + +Now suppose instead that x by is to be interpreted as "x was invented by y". Then +we would have: + +* The Tortoise was invented by Zeno. + +* Zeno was invented by Egbert. + +* Egbert was invented by the Tortoise. + +In this case, it doesn't matter whether the individual statements are true c false-and +perhaps there is no way to know which ones are true, and which are not. What is +nevertheless certain is that not all three can be true at one Thus, the interpretation makes +the system internally inconsistent. The internal inconsistency depends not on the +interpretations of the three capital letters, but only on that of b, and on the fact that the +three capita are cyclically permuted around the occurrences of b. Thus, one can have +internal inconsistency without having interpreted all of the symbols of the formal system. +(In this case it sufficed to interpret a single symbol.) By tl time sufficiently many symbols +have been given interpretations, it may t clear that there is no way that the rest of them +can be interpreted so that a theorems will come out true. But it is not just a question of +truth-it is question of possibility. All three theorems would come out false if the capitals +were interpreted as the names of real people-but that is not why we would call the system +internally inconsistent; our grounds for doing s would be the circularity, combined with +the interpretation of the letter I (By the way, you'll find more on this "authorship triangle" +in Chapter XX.; + +Hypothetical Worlds and Consistency + +We have given two ways of looking at consistency: the first says that system- +plus-interpretation is consistent with the external world if every theorem comes out true +when interpreted; the second says that a system-plus: interpretation is internally +consistent if all theorems come out mutually compatible when interpreted. Now there is a +close relationship between these two types of consistency. In order to determine whether +several statements at mutually compatible, you try to imagine a world in which all of +them could be simultaneously true. Therefore, internal consistency depends upon +consistency with the external world-only now, "the external world" allowed to be any +imaginable world , instead of the one we live in. But this is +an extremely vague, unsatisfactory conclusion. What constitutes an “imaginable" world? +After all, it is possible to imagine a world in which three characters invent each other +cyclically. Or is it? Is it possible to imagine a world in which there are square circles? Is a +world imaginable in which Newton's laws, and not relativity, hold? Is it possible to +imagine a world in which something can be simultaneously green and not green? Or a +world in which animals exist which are not made of cells? In which Bach improvised an +eight-part fugue on a theme of King Frederick the Great? In which mosquitoes are more +intelligent than people? In which tortoises can play football-or talk? A tortoise talking +football would be an anomaly, of course. + +Some of these worlds seem more imaginable than others, since some seem to +embody logical contradictions-for example, green and not green-while some of them +seem, for want of a better word, "plausible" - such as Bach improvising an eight-part +fugue, or animals which are not made of cells. Or even, come to think of it, a world in +which the laws of physics are different... Roughly, then, it should be possible to establish +different brands of consistency. For instance, the most lenient would be "logical +consistency", putting no restraints on things at all, except those of logic. More +specifically, a system-plus-interpretation would be logically consistent just as long as no +two of its theorems, when interpreted as statements, directly contradict each other; and +mathematically consistent just as long as interpreted theorems do not violate +mathematics; and physically consistent just as long as all its interpreted theorems are +compatible with physical law; then comes biological consistency, and so on. In a +biologically consistent system, there could be a theorem whose interpretation is the +statement "Shakespeare wrote an opera", but no theorem whose interpretation is the +statement "Cell-less animals exist". Generally speaking, these fancier kinds of +inconsistency are not studied, for the reason that they are very hard to disentangle from +one another. What kind of inconsistency, for example, should one say is involved in the +problem of the three characters who invent each other cyclically? Logical? Physical? +Biological? Literary? + +Usually, the borderline between uninteresting and interesting is drawn between +physical consistency and mathematical consistency. (Of course, it is the mathematicians +and logicians who do the drawing-hardly an impartial crew . . .) This means that the kinds +of inconsistency which "count", for formal systems, are just the logical and mathematical +kinds. According to this convention, then, we haven't yet found an interpretation which +makes the trio of theorems TbZ, ZbE, EbT inconsistent. We can do so by interpreting b +as "is bigger than". What about T and Z and E? They can be interpreted as natural +numbers-for example, Z as 0, T as 2, and E as 11. Notice that two theorems come out +true this way, one false. If, instead, we had interpreted Z as 3, there would have been two +falsehoods and only one truth. But either way, we'd have had inconsistency. In fact, the +values assigned to T, Z, and E are irrelevant, as long as it is understood that they are +restricted to natural numbers. Once again we see a case where only some of the +interpretation is needed, in order to recognize internal inconsistency. + +Embedding of One Formal System In Another + +The preceding example, in which some symbols could have interpretations while others +didn't, is reminiscent of doing geometry in natural languag4 using some words as +undefined terms. In such a case, words are divide into two classes: those whose meaning +is fixed and immutable, and, those whose meaning is to be adjusted until the system is +consistent (these are th undefined terms). Doing geometry in this way requires that +meanings have already been established for words in the first class, somewhere outside c +geometry. Those words form a rigid skeleton, giving an underlying structure to the +system; filling in that skeleton comes other material, which ca vary (Euclidean or non- +Euclidean geometry). + +Formal systems are often built up in just this type of sequential, c hierarchical, +manner. For example, Formal System I may be devised, wit rules and axioms that give +certain intended passive meanings to its symbol Then Formal System I is incorporated +fully into a larger system with more symbols-Formal System II. Since Formal System I's +axioms and rules at part of Formal System II, the passive meanings of Formal System I +symbols remain valid; they form an immutable skeleton which then plays large role in the +determination of the passive meanings of the new symbols of Formal System II. The +second system may in turn play the role of skeleton with respect to a third system, and so +on. It is also possible-an geometry is a good example of this-to have a system (e.g., +absolute geometry) which partly pins down the passive meanings of its undefined terms, +and which can be supplemented by extra rules or axioms, which then further restrict the +passive meanings of the undefined terms. This the case with Euclidean versus non- +Euclidean geometry. + +Layers of Stability in Visual Perception + +In a similar, hierarchical way, we acquire new knowledge, new vocabulary or +perceive unfamiliar objects. It is particularly interesting in the case understanding +drawings by Escher, such as Relativity (Fig. 22), in which there occur blatantly +impossible images. You might think that we won seek to reinterpret the picture over and +over again until we came to interpretation of its parts which was free of contradictions- +but we dot do that at all. We sit there amused and puzzled by staircases which go eve +which way, and by people going in inconsistent directions on a sing staircase. Those +staircases are "islands of certainty" upon which we base of interpretation of the overall +picture. Having once identified them, we try extend our understanding, by seeking to +establish the relationship which they bear to one another. At that stage, we encounter +trouble. But if i attempted to backtrack-that is, to question the "islands of certainty"-s +would also encounter trouble, of another sort. There's no way of backtracking and +"undeciding" that they are staircases. They are not fishes, or whip or hands-they are just +staircases. (There is, actually, one other on t-i leave all the lines of the picture totally +uninterpreted, like the "meaningless +symbols" of a formal system. This ultimate escape route is an example of a "U-mode" +response-a Zen attitude towards symbolism.) + +So we are forced, by the hierarchical nature of our perceptive processes, to see +either a crazy world or just a bunch of pointless lines. A similar analysis could be made +of dozens of Escher pictures, which rely heavily upon the recognition of certain basic +forms, which are then put together in nonstandard ways; and by the time the observer +sees the paradox on a high level, it is too late-he can't go back and change his mind about +how to interpret the lower-level objects. The difference between an Escher drawing and +non-Euclidean geometry is that in the latter, comprehensible interpretations can be found +for the undefined terms, resulting in a com +prehensible total system, whereas for the former, the end result is not reconcilable with +one's conception of the world, no matter how long or stares at the pictures. Of course, one +can still manufacture hypothetic worlds, in which Escherian events can happen ... but in +such worlds, tl laws of biology, physics, mathematics, or even logic will be violated on +or level, while simultaneously being obeyed on another, which makes the: extremely +weird worlds. (An example of this is in Waterfall (Fig. 5), whet normal gravitation +applies to the moving water, but where the nature space violates the laws of physics.) + +Is Mathematics the Same in Every Conceivable World? + +We have stressed the fact, above, that internal consistency of a form; system (together +with an interpretation) requires that there be some imaginable world-that is, a world +whose only restriction is that in it, mathematics and logic should be the same as in our +world-in which all the interpreted theorems come out true. External consistency, however +consistency with the external world-requires that all theorems come of true in the real +world. Now in the special case where one wishes to create consistent formal system +whose theorems are to be interpreted as statements of mathematics, it would seem that +the difference between the two types of consistency should fade away, since, according to +what we sat above, all imaginable worlds have the same mathematics as the real world. +Thus, i every conceivable world, 1 plus 1 would have to be 2; likewise, there would have +to be infinitely many prime numbers; furthermore, in every conceivable world, all right +angles would have to be congruent; and of cours4 through any point not on a given line +there would have to be exactly on parallel line ... + +But wait a minute! That's the parallel postulate-and to assert i universality would +be a mistake, in light of what's just been said. If in all conceivable worlds the parallel +postulate-is obeyed, then we are asserting that non-Euclidean geometry is inconceivable, +which puts us back in the same mental state as Saccheri and Lambert-surely an unwise +move. But what, then, if not all of mathematics, must all conceivable worlds share ? +Could it I as little as logic itself? Or is even logic suspect? Could there be worlds where +contradictions are normal parts of existence-worlds where contradictious are not +contradictions? + +Well, in some sense, by merely inventing the concept, we have shoe that such +worlds are indeed conceivable; but in a deeper sense, they are al: quite inconceivable. +(This in itself is a little contradiction.) Quite serious] however, it seems that if we want to +be able to communicate at all, we ha, to adopt some common base, and it pretty well has +to include logic. (The are belief systems which reject this point of view-it is too logical, +particular, Zen embraces contradictions and non-contradictions with equ eagerness. This +may seem inconsistent, but then being inconsistent is pa of Zen, and so ... what can one +say?) + +Is Number Theory the Same In All Conceivable Worlds? + +If we assume that logic is part of every conceivable world (and note that we have +not defined logic, but we will in Chapters to come), is that all? Is it really conceivable +that, in some worlds, there are not infinitely many primes? Would it not seem necessary +that numbers should obey the same laws in all conceivable worlds? Or ... is the concept +"natural number" better thought of as an undefined term, like "POINT" or "LINE"? In +that case, number theory would be a bifurcated theory, like geometry: there would be +standard and nonstandard number theories. But there would have to be some counterpart +to absolute geometry: a "core" theory, an invariant ingredient of all number theories +which identified them as number theories rather than, say, theories about cocoa or rubber +or bananas. It seems to be the consensus of most modern mathematicians and +philosophers that there is such a core number theory, which ought to be included, along +with logic, in what we consider to be "conceivable worlds". This core of number theory, +the counterpart to absolute geometry-is called Peano arithmetic, and we shall formalize it +in Chapter VIII. Also, it is now well established-as a matter of fact as a direct +consequence of Godel’s Theorem-that number theory is a bifurcated theory, with +standard and nonstandard versions. Unlike the situation in geometry, however, the +number of "brands" of number theory is infinite, which makes the situation of number +theory considerably more complex. + +For practical purposes, all number theories are the same. In other words, if bridge +building depended on number theory (which in a sense it does), the fact that there are +different number theories would not matter, since in the aspects relevant to the real world, +all number theories overlap. The same cannot be said of different geometries; for +example, the sum of the angles in a triangle is 180 degrees only in Euclidean geometry; it +is greater in elliptic geometry, less in hyperbolic. There is a story that Gauss once +attempted to measure the sum of the angles in a large triangle defined by three mountain +peaks, in order to determine, once and for all, which kind of geometry really rules our +universe. It was a hundred years later that Einstein gave a theory (general relativity) +which said that the geometry of the universe is determined by its content of matter, so +that no one geometry is intrinsic to space itself. Thus to the question, "Which geometry is +true?" nature gives an ambiguous answer not only in mathematics, but also in physics. As +for the corresponding question, "Which number theory is true?", we shall have more to +say on it after going through Godel’s Theorem in detail. + +Completenes + +If consistency is the minimal condition under which symbols acquire passive meanings, +then its complementary notion, completeness, is the maximal confirmation of those +passive meanings. Where consistency is the property +way round: "Every true statement is produced by the system". Now I refine the notion +slightly. We can't mean every true statement in th world-we mean only those which +belong to the domain which we at attempting to represent in the system. Therefore, +completeness mean! "Every true statement which can be expressed in the notation of the +system is a theorem." + +Consistency: when every theorem, upon interpretation, comes out true (in some +imaginable world). + +Completeness: when all statements which are true (in some imaginable world), and +which can be expressed as well-formed strings of the system, are +theorems. + +An example of a formal system which is complete on its own mode level is the +original pq-system, with the original interpretation. All true additions of two positive +integers are represented by theorems of th system. We might say this another way: "All +true additions of two positive integers are provable within the system." (Warning: When +we start using th term "provable statements" instead of "theorems", it shows that we at +beginning to blur the distinction between formal systems and their interpretations. This is +all right, provided we are very conscious of th blurring that is taking place, and provided +that we remember that multiple interpretations are sometimes possible.) The pq-system +with the origin interpretation is complete ; it is also consistent, since no false statement is-, +use our new phrase-provable within the system. + +Someone might argue that the system is incomplete, on the grounds that additions +of three positive integers (such as 2 + 3 + 4 =9) are not represented by theorems of the +pq-system, despite being translatable into the notation of the system (e.g., - p-p - q- + +.). However, this string is not well-formed, and hence should be considered to I just + +as devoid of meaning as is p q p - q p q. Triple additions are simply not expressible in +the notation of the system-so the completeness of the system is preserved. + +Despite the completeness of the pq-system under this interpretation, certainly falls +far short of capturing the full notion of truth in numb theory. For example, there is no +way that the pq-system tells us how mat prime numbers there are. Godel’s +Incompleteness Theorem says that any system which is "sufficiently powerful" is, by +virtue of its power, incomplete, in the sense that there are well-formed strings which +express tr statements of number theory, but which are not theorems. (There a truths +belonging to number theory which are not provable within the system.) Systems like the +pq-system, which are complete but not very powerful, are more like low-fidelity +phonographs; they are so poor to beg with that it is obvious that they cannot do what we +would wish them do-namely tell us everything about number theory. + +How an Interpretation May Make or Break Completeness + +What does it mean to say, as I did above, that "completeness is the maximal confirmation +of passive meanings"? It means that if a system is consistent but incomplete, there is a +mismatch between the symbols and their interpretations. The system does not have the +power to justify being interpreted that way. Sometimes, if the interpretations are +"trimmed" a little, the system can become complete. To illustrate this idea, let's look at +the modified pq-system (including Axiom Schema II) and the interpretation we used for +it. + +After modifying the pq-system, we modified the interpretation for q from "equals" +to "is greater than or equal to". We saw that the modified pq-system was consistent under +this interpretation; yet something about the new interpretation is not very satisfying. The +problem is simple: there are now many expressible truths which are not theorems. For +instance, "2 plus 3 is greater than or equal to 1" is expressed by the nontheorem -p-q-. +The interpretation is just too sloppy! It doesn't accurately reflect what the theorems in the +system do. Under this sloppy interpretation, the pq-system is not complete. We could +repair the situation either by (1) adding new rules to the system, making it more +powerful, or by (2) tightening up the interpretation. In this case, the sensible alternative +seems to be to tighten the interpretation. Instead of interpreting q as "is greater than or +equal to", we should say "equals or exceeds by 1". Now the modified pq-system becomes +both consistent and complete. And the completeness confirms the appropriateness of the +interpretation. + +Incompleteness of Formalized Number Theory + +In number theory, we will encounter incompleteness again; but there, to remedy the +situation, we will be pulled in the other direction-towards adding new rules, to make the +system more powerful. The irony is that we think, each time we add a new rule, that we +surely have made the system complete nowl The nature of the dilemma can be illustrated' +by the following allegory ... + +We have a record player, and we also have a record tentatively labeled "Canon on +B-A-C-H". However, when we play the record on the record player, the feedback- +induced vibrations (as caused by the Tortoise's records) interfere so much that we do not +even recognize the tune. We conclude that something is defective-either our record, or +our record player. In order to test our record, we would have to play it on friends' record +players, and listen to its quality. In order to test our phonograph, we would have to play +friends' records on it, and see if the music we hear agrees with the labels. If our record +player passes its test, then we will say the record was defective; contrariwise, if the +record passes its test, then we will say our record player was defective. What, however, +can we conclude when we find out that both pass their respective tests? That is the +moment to remember the chain of two isomorphisms (Fig. 20), and think carefully! + +DIALOGUE V: Little Harmonic Labyrinth + +The Tortoise and Achilles are spending a day at Coney Island After buying a +couple of cotton candies, they decide to take a ride on the Ferris wheel. + +Tortoise: This is my favorite ride. One seems to move so far, and +reality one gets nowhere. + +Achilles: I can see why it would appeal to you. Are you all strapped in? + +Tortoise: Yes, I think I've got this buckle done. Well, here we go. + +Achilles: You certainly are exuberant today. + +Tortoise: I have good reason to be. My aunt, who is a fortune-teller me that a stroke of +Good Fortune would befall me today. So I am tingling with anticipation. + +Achilles: Don't tell me you believe in fortune-telling! + +Tortoise: No ... but they say it works even if you don't believe it. + +Achilles: Well, that's fortunate indeed. + +Tortoise: Ah, what a view of the beach, the crowd, the ocean, the city. . . + +Achilles: Yes, it certainly is splendid. Say, look at that helicopter there. It seems to be +flying our way. In fact it's almost directly above us now. + +Tortoise: Strange-there's a cable dangling down from it, which is very close to us. It's +coming so close we could practically grab it +Achilles: Look! At the end of the line there's a giant hook, with a note + +(He reaches out and snatches the note. They pass by and are on their z down.) + +Tortoise: Can you make out what the note says? + +Achilles: Yes-it reads, "Howdy, friends. Grab a hold of the hook time around, for an +Unexpected Surprise." + +Tortoise: The note's a little corny but who knows where it might lead, Perhaps it's got +something to do with that bit of Good Fortune due me. By all means, let's try it! +Achilles: Let's! + +(On the trip up they unbuckle their buckles, and at the crest of the ride, grab for the +giant hook. All of a sudden they are whooshed up by the ca which quickly reels +them skyward into the hovering helicopter. A It strong hand helps them in.) + +Voice: Welcome aboard-Suckers. + +Achilles: Wh-who are you? + +Voce: Allow me to introduce myself. I am Hexachlorophene J. Goodforttune, Kidnapper +At-Large, and Devourer of Tortoises par Excellence, at your service. + +Tortoise: Gulp! + +Achilles ( whispering to his friend): Uh-oh-I think that this "Goodfortune" is not exactly +what we'd anticipated. (To Goodfortune) Ah-if I may be so bold-where are you +spiriting us off to? + +Goodfortune: Ho ho! To my all-electric kitchen-in-the-sky, where I will prepare THIS +tasty morsel -{leering at the Tortoise as he says this)- in a delicious pie-in-the-sky! +And make no mistake-it's all just for my gobbling pleasure! Ho ho ho! + +Achilles: All I can say is you've got a pretty fiendish laugh. + +Goodfortune {laughing fiendishly): Ho ho ho! For that remark, my friend, you will pay +dearly. Ho ho! + +Achilles: Good grief-I wonder what he means by that! + +Goodfortune: Very simple-I've got a Sinister Fate in store for both of you! Just you wait! +Ho ho ho! Ho ho ho! + +Achilles: Yikes! + +Goodfortune: Well, we have arrived. Disembark, my friends, into my fabulous all-electric +kitchen-in-the-sky. + +(They walk inside.) + +Fet me show you around, before I prepare your fates. Here is my bedroom. Here is +my study. Please wait here for me for a moment. I've got to go sharpen my knives. +While you're waiting, help yourselves to some popcorn. Ho ho ho! Tortoise pie! +Tortoise pie! My favorite kind of pie! (Exit.) + +Achilles: Oh, boy-popcorn! I'm going to munch my head off! + +Tortoise: Achilles! You just stuffed yourself with cotton candy! Besides, how can you +think about food at a time like this? + +Achilles: Good gravy-oh, pardon me-I shouldn't use that turn of phrase, should I? I mean +in these dire circumstances ... Tortoise: I'm afraid our goose is cooked. + +Achilles: Say-take a gander at all these books old Goodfortune has in his study. Quite a +collection of esoterica: Birdbrains I Have Known; Chess and Umbrella-Twirling +Made Easy; Concerto for Tapdancer and Orchestra ... Hmmm. + +Tortoise: What's that small volume lying open over there on the desk, next to the +dodecahedron and the open drawing pad? + +Achilles: This one? Why, its title is Provocative Adventures of Achilles and the Tortoise +Taking Place in Sundry Spots of the Globe. Tortoise: A moderately provocative +title. + +Achilles: Indeed-and the adventure it's opened to looks provocative. It's called "Djinn and +Tonic". + +Tortoise: Hmm ... I wonder why. Shall we try reading it? I could take the Tortoise's part, +and you could take that of Achilles. + +Achilles: I’m game. Here goes nothing . . . + +(They begin reading "Djinn and Tonic".) + +(Achilles has invited the Tortoise over to see his collection of prints by +his favorite artist, M. C. Escher.) + +Tortoise: These are wonderful prints, Achilles. + +Achilles: I knew you would enjoy seeing them. Do you have any particular +favorite? + +Tortoise: One of my favorites is Convex and Concave, where two internally +consistent worlds, when juxtaposed, make a completely inconsistent +composite world. Inconsistent worlds are always fun places to visit, +but I wouldn't want to live there. + +Achilles: What do you mean, "fun to visit"? Inconsistent worlds don't EXIST, +so how can you visit one? + +Tortoise: I beg your pardon, but weren't we just agreeing that in +this Escher picture, an inconsistent world is portrayed? + +Achilles: Yes, but that's just a two-dimensional world-a fictitious world-a +picture. You can't visit that world. + +Tortoise: I have my ways ... + +Achilles: How could you propel yourself into a flat picture-universe? + +Tortoise: By drinking a little glass of PUSHING-POTION. That does the +trick. + +Achilles: What on earth is pushing-potion? + +Tortoise: It's a liquid that comes in small ceramic phials, and which, when +drunk by someone looking at a picture, "pushes" him right into the +world of that picture. People who aren't aware of the powers of +pushing-potion often are pretty surprised by the situations they wind +up in. + +Achilles: Is there no antidote? Once pushed, is one irretrievably lost? + +Tortoise: In certain cases, that's not so bad a fate. But there is, in fact, another +potion-well, not a potion, actually, but an elixir-no, not an elixir, but +a-a + +Tortoise: He probably means "tonic". + +Achilles: Tonic? + +Tortoise: That's the word I was looking for! "POPPING-TONIC" iu what it's +called, and if you remember to carry a bottle of it in your right hand as +you swallow the pushing-potion, it too will be pushed into the picture; +then, whenever you get a hanker ing to "pop" back out into real life, +you need only take a swallow of popping-tonic, and presto! You're +back in the rea. world, exactly where you were before you pushed +yourself in. + +Achilles: That sounds very interesting. What would happen it you took some +popping-tonic without having previously pushed yourself into a +picture? + +Tortoise: I don’t precisely know, Achilles, but I would be rather wary of +horsing around with these strange pushing and popping liquids. Once I +had a friend, a Weasel, who did precisely what you suggested-and no +one has heard from him since. + +Achilles: That's unfortunate. Can you also carry along the bottle of pushing- +potion with you? + +Tortoise: Oh, certainly. Just hold it in your left hand, and it too will get +pushed right along with you into the picture you're looking at. + +Achilles: What happens if you then find a picture inside the picture which you +have already entered, and take another swig of pushing-potion? + +Tortoise: Just what you would expect: you wind up inside that picture-in-a- +picture. + +Achilles: I suppose that you have to pop twice, then, in order to extricate +yourself from the nested pictures, and re-emerge back in real life. + +Tortoise: That's right. You have to pop once for each push, since a push takes +you down inside a picture, and a pop undoes that. + +Achilles: You know, this all sounds pretty fishy to me . . . Are you sure you're +not just testing the limits of my gullibility? + +Tortoise: I swear! Look-here are two phials, right here in my pocket. +(.Reaches into his lapel pocket, and pulls out two rather large +unlabeled phials, in one of which one can hear a red liquid sloshing +around, and in the other of which one can hear a blue liquid sloshing +around.) If you're willing, we can try them. What do you say? + +Achilles: Well, I guess, ahm, maybe, ahm ... + +Tortoise: Good! I knew you'd want to try it out. Shall we push ourselves into +the world of Escher's Convex and Concave ? + +Achilles: Well, ah, .. . + +Tortoise: Then it's decided. Now we've got to remember to take along this +flask of tonic, so that we can pop back out. Do you want to take that +heavy responsibility, Achilles? + +Achilles: If it's all the same to you, I'm a little nervous, and I'd prefer letting +you, with your experience, manage the operation. + +Tortoise: Very well, then. + +(So saying, the Tortoise pours two small portions of pushing-potion. Then +he picks up the flask of tonic and grasps it firmly in his right hand, and +both he and Achilles lift their glasses to their lips.) + +Tortoise: Bottoms up! + +(They swallow.) + +Achilles: That’s an exceedingly strange taste. + +Tortoise: One gets used to it. + +Achilles: Does taking the tonic feel this strange? Tortoise: Oh, that's quite +another sensation. Whenever you taste the tonic, you feel a deep sense +of satisfaction, as if you'd been waiting to taste it all your life. +Achilles: Oh, I'm looking forward to that. Tortoise: Well, Achilles, +where are we? + +Achilles (taking cognizance of his surroundings): We're in a little gondola, +gliding down a canal! I want to get out. Mr.Gondolier, please let us +out here. + +(The gondolier pays no attention to this request.) + +Tortoise: He doesn't speak English. If we want to get out here, we'd better just +clamber out quickly before he + +Enters the sinister “Tunnel of Love”; just ahead of us. + +(Achilles, his face a little pale scrambles out in a split second and then +pulls his slower friend out.) + +Achilles: I didn't like the sound of that place, somehow. I'm glad we got out +here. Say, how do you know so much about this place, anyway? Have +you been here before? + +Tortoise: Many times, although I always came in from other Escher pictures. +They're all connected behind the frames, you know. Once you're in +one, you can get to any other one. + +Achilles: Amazing! Were I not here, seeing these things with my own eyes, +I'm not sure I'd believe you. (They wander out through a little arch.) +Oh, look at those two cute lizards! + +Tortoise: Cute? They aren't cute-it makes me shudder just to think of them! +They are the vicious guardians of that magic copper lamp hanging +from the ceiling over there. A mere touch of their tongues, and any +mortal turns to a pickle. + +Achilles: Dill, or sweet? + +Tortoise: Dill. + +Achilles: Oh, what a sour fate! But if the lamp has magical powers, I would +like to try for it. + +Tortoise: It's a foolhardy venture, my friend. I wouldn't risk it. + +Achilles: I'm going to try just once. + +(He stealthily approaches the lamp, making sure not to awaken the +sleeping lad nearby. But suddenly, he slips on a strange shell-like +indentation in the floor, and lunges out into space. Lurching crazily, he +reaches for anything, and manages somehow to grab onto the lamp with +one hand. Swinging wildly, with both lizards hissing and thrusting their +tongues violently out at him, he is left dangling helplessly out in the middle +of space.) + +Achilles: He-e-e-elp! + +(His cry attracts the attention of a woman who rushes downstairs and +awakens the sleeping boy. He takes stock of the situation, and, with a +kindly smile on his face, gestures to Achilles that all will be well. He shouts +something in a strange guttural tongue to a pair of trumpeters high up in +windows, and immediately, + +Weird tones begin ringing out and making beats each other. The sleepy +young lad points at the lizards, and Achilles sees that the music is having a +strong soporific effect on them. Soon, they are completely unconscious. +Then the helpful lad shouts to two companions climbing up ladders. They +both pull their ladders up and then extend them out into space just +underneath the stranded Achilles, forming a sort of bridge. Their gestures +make it clear that Achilles should hurry and climb on. But before he does +so, Achilles carefully unlinks the top link of the chain holding the lamp, and +detaches the lamp. Then he climbs onto the ladder-bridge and the three +young lads pull him in to safety. Achilles throws his arms around them and +hugs them gratefully.) + +Achilles: Oh, Mr. T, how can I repay them? + +Tortoise: I happen to know that these valiant lads just love coffee, and down +in the town below, there's a place where they make an incomparable +cup of espresso. Invite them for a cup of espresso! Achilles: That +would hit the spot. + +(And so, by a rather comical series of gestures, smiles, and words, Achilles +manages to convey his invitation to the young lads, and the party of five +walks out and down a steep staircase descending into the town. They reach +a charming small cafe, sit down outside, and order five espressos. ,4.v they +sip their drinks, Achilles remembers he has the lamp with him.) + +Achilles: I forgot, Mr. Tortoise-I've got this ma; lamp with me! But-what's +magic about it? Tortoise: Oh, you know, just the usual-a genie. + +Achilles: What? You mean a genie comes out when you rub it, and grants you +wishes? + +Tortoise: Right. What did you expect? Pennies fry heaven? + +Achilles: Well, this is fantastic! I can have any wish want, eh? I've always +wished this would happen to me ... + +(And so Achilles gently rubs the large letter 'L' which is etched on the +lamp's copper surface ... Suddenly a huge puff of smoke appears, and in the +forms of the smoke the five friends can make out a weird, ghostly figure +towering above them.) + +Genie: Hello, my friends - and thanks ever so much for rescuing my Lamp +from the evil Lizard-Duo. + +(And so saying, the Genie picks up the Lamp, and stuffs it into a pocket +concealed among the folds of his long ghostly robe which swirls out of the +Lamp.) + +As a sign of gratitude for your heroic deed, I would like to offer you, on the +part of my Lamp, the opportunity to have any three of your wishes +realized. + +Achilles: How stupefying! Don't you think so, Mr. T? + +Tortoise: I surely do. Go ahead, Achilles, take the first wish. + +Achilles: Wow! But what should I wish? Oh, I know! It's what I thought of +the first time I read the Arabian Nights (that collection of silly (and +nested) tales)-I wish that I had a HUNDRED wishes, instead of just +three! Pretty clever, eh, Mr. T? I bet YOU never would have thought +of that trick. I always wondered why those dopey people in the stories +never tried it themselves. + +Tortoise: Maybe now you'll find out the answer. + +Genie: I am sorry, Achilles, but I don't grant metawishes. + +Achilles: I wish you'd tell me what a "meta-wish" is! + +Genie: But THAT is a meta-meta-wish, Achilles-and I don't grant them, +either. Achilles: Whaaat? I don't follow you at all. + +Tortoise: Why don't you rephrase your last request, Achilles? + +Achilles: What do you mean? Why should I? + +Tortoise: Well, you began by saying "I wish". Since you're just asking for +information, why don't you just ask a question? + +Achilles: All right, though I don't see why. Tell me, Mr. Genie-what is a +meta-wish? Genie: It is simply a wish about wishes. I am not allowed +to grant meta-wishes. It is only within my purview to grant plain +ordinary wishes, such as wishing for ten bottles of beer, to have Helen +of Troy on a blanket, or to have an all-expenses-paid weekend for two +at the Copacabana. You know-simple things like that. But meta¬ +wishes I cannot grant. GOD won't permit me to. + +Achilles: GOD? Who is GOD? And why won't he let you grant meta-wishes? +That seems like such a puny thing compared to the others you +mentioned. + +Genie: Well, it’s a complicated matter, you see. Why don’t you just go ahead +and make your three wishes? Or at least make one of them. I don't +have all I time in the world, you know ... + +Achilles: Oh, I feel so rotten. I was REALLY HOPING wish for a hundred +wishes ... + +Genie: Gee, I hate to see anybody so disappointed that. And besides, meta¬ +wishes are my favorite k of wish. Let me just see if there isn't anything +I do about this. This'll just take one moment + +(The Genie removes from the wispy folds of his robe an object which looks +just like the copper Lamp he had put away, except that this one is made of +silver; and where the previous one had 'L' etched on it, this one has 'ML' in +smaller letters, so as to cover the same area.) + +Achilles: And what is that? + +Genie: This is my Meta-Lamp ... + +(He rubs the Meta-Lamp, and a huge puff of smoke appears. In the billows +of smoke, they can all make out a ghostly form towering above them.) + +Meta-Genie: I am the Meta-Genie. You summoned me, o Genie? What is +your wish? + +Genie: I have a special wish to make of you, o Djinn and of GOD. I wish for +permission for tempos suspension of all type-restrictions on wishes, +for duration of one Typeless Wish. Could you ph grant this wish for +me? + +Meta-Genie: I'll have to send it through Channels, of course. One half a +moment, please + +(And, twice as quickly as the Genie did, this Meta-Genie removes from the +wispy folds of her robe an object which looks just like the silver Meta- +Lamp, except that it is made of gold; and where the previous one had 'ML' +etched on it, this one has 'MML' in smaller letters, so as to cover the same +area.) + +Achilles (his voice an octave higher than before)-. And what is that? Meta- +Genie: This is my Meta-Meta-Lamp. . . + +(She rubs the Meta-Meta-Lamp, and a hugs puff of smoke appears. In the +billows of smoke, they can all make out a ghostly fore towering above +them.) + +Meta-Meta-Genie: I am the MetaMeta-Genie. You summoned me, + +o Meta-Genie? What is your wish? + +Meta-Genie: I have a special wish to make of you, oh Djinn, and of GOD. I +wish for permission for temporary suspension of all type-restrictions +on wishes, for the duration of one Typeless Wish. Could you please +grant this wish for me? + +Meta-Meta-Genie: I'll have to send it through Channels, of course. + +One quarter of a moment, please. + +(And, twice as quickly as the Meta-Genie did, this MetaMeta- +Genie removes from the folds of his robe an object which looks +just like the gold MetaLamp, except that it is made of ...) + +. .{GOD} + +( ... swirls back into the MetaMeta-Meta-Lamp, which the Meta- +Meta-Genie then folds back into his robe, half as quickly as the +Meta-Meta-Meta-Genie did.) + +Your wish is granted, o MetaGenie. + +Meta-Genie: Thank you, o Djinn, and GOD. + +(And the Meta-Meta-Genie, as all the higher ones before him, swirls +back into the Meta-Meta-Lamp, which the Meta-Genie then folds back +into her robe, half as quickly as the Meta-Meta-Genie did.) + +Your wish is granted, o Genie. + +Genie: Thank you, o Djinn, and GOD. + +(And the Meta-Genie, as all the higher ones before her, +swirls back into the Meta-Lamp, which the Genie folds back into his robe, +half as quickly as the M Genie did.) + +Your wish is granted, Achilles. + +(And one precise moment has elapsed since he "This will just take one +moment.") + +Achilles: Thank you, o Djinn, and GOD. + +Genie: I am pleased to report, Achilles, that you r have exactly one (1) +Typeless Wish-that is to sa wish, or a meta-wish, or a meta-meta-wish, +as many "meta"'s as you wish-even infinitely many (if wish). + +Achilles: Oh, thank you so very much, Genie. But curiosity is provoked. +Before I make my wish, would you mind telling me who-or what- +GOD is? + +Genie: Not at all. "GOD" is an acronym which stands "GOD Over Djinn". +The word "Djinn" is used designate Genies, Meta-Genies, Meta-Meta- +Gen etc. It is a Typeless word. + +Achilles: But-but-how can "GOD" be a word in own acronym? That doesn't +make any sense! + +Genie: Oh, aren't you acquainted with recursive acronyms? I thought +everybody knew about them. \ see, "GOD" stands for "GOD Over +Djinn"-which can be expanded as "GOD Over Djinn, O, Djinn"-and +that can, in turn, be expanded to "G( Over Djinn, Over Djinn, Over +Djinn"-which can its turn, be further expanded ... You can go as as +you like. + +Achilles: But I'll never finish! + +Genie: Of course not. You can never totally expand GOD. + +Achilles: Hmm ... That's puzzling. What did you me when you said to the +Meta-Genie, "I have a sped wish to make of you, o Djinn, and of +GOD"? + +Genie: I wanted not only to make a request of Meta-Genie, but also of all the +Djinns over her. 'I recursive acronym method accomplishes this qL +naturally. You see, when the Meta-Genie received my request, she +then had to pass it upwards to I GOD. So she forwarded a similar +message to I Meta-Meta-Genie, who then did likewise to t Meta-Meta- +Meta-Genie ... Ascending the chain this way transmits the message to +GOD. + +Achilles: I see. You mean GOD sits up at the top of the ladder of djinns? + +Genie: No, no, no! There is nothing "at the top", for there is no top. That is +why GOD is a recursive acronym. GOD is not some ultimate djinn; +GOD is the tower of djinns above any given djinn. + +Tortoise: It seems to me that each and every djinn would have a different +concept of what GOD is, then, since to any djinn, GOD is the set of +djinns above him or her, and no two djinns share that set. + +Genie: You're absolutely right-and since I am the lowest djinn of all, my +notion of GOD is the most exalted one. I pity the higher djinns, who +fancy themselves somehow closer to GOD. What blasphemy! + +Achilles: By gum, it must have taken genies to invent GOD. + +Tortoise: Do you really believe all this stuff about GOD, Achilles? + +Achilles: Why certainly, I do. Are you atheistic, Mr. T? Or are you agnostic? + +Tortoise: I don't think I'm agnostic. Maybe I'm metaagnostic. + +Achilles: Whaaat? I don't follow you at all. + +Tortoise: Let's see ... If I were meta-agnostic, I'd be confused over whether +I'm agnostic or not-but I'm not quite sure if I feel THAT way; hence I +must be meta-meta-agnostic (I guess). Oh, well. Tell me, Genie, does +any djinn ever make a mistake, and garble up a message moving up or +down the chain? + +Genie: This does happen; it is the most common cause for Typeless Wishes +not being granted. You see, the chances are infinitesimal, that a +garbling will occur at any PARTICULAR link in the chain-but when +you put an infinite number of them in a row, it becomes virtually +certain that a garbling will occur SOMEWHERE. In fact, strange as it +seems, an infinite number of garblings usually occur, although they +are very sparsely distributed in the chain. + +Achilles: Then it seems a miracle that any Typeless Wish ever gets carried +out. + +Genie: Not really. Most garblings are inconsequential, and many garblings +tend to cancel each other out. But occasionally-in fact, rather seldom- +the nonfulfillment of a Typeless Wish can be traced back to a single +unfortunate djinn's garbling. When this happens, the guilty djinn is +forced to run an infinite + +Gauntlet and get paddled on his or her rump, by GOD. It's good fun for the +paddlers, and q harmless for the paddlee. You might be amused by the +sight. + +Achilles: I would love to see that! But it only happens when a Typeless Wish +goes ungranted? + +Genie: That's right. + +Achilles: Hmm ... That gives me an idea for my w Tortoise: Oh, really? What +is it? Achilles: I wish my wish would not be granted! + +(At that moment, an event-or is "event" the word for it? -takes place which +cannot be described, and hence no attempt will be made to describe it.) + +Achilles: What on earth does that cryptic comment mean? + +Tortoise: It refers to the Typeless Wish Achilles made. + +Achilles: But he hadn't yet made it. + +Tortoise: Yes, he had. He said, "I wish my wish would not be +granted", and the Genie took THAT to be his wish. + +(At that moment, some footsteps are heard coming down the hallway in +their direction.) + +Achilles: Oh, my! That sounds ominous. + +(The footsteps stop; then they turn around and fade away.) + +Tortoise: Whew! + +Achilles: But does the story go on, let's see. or is that the end? Turn the page +and let’s see. + +(The Tortoise turns the page of "Djinn and Tonic", where they find that the +story goes on...) + +Achilles: Hey! What happened? Where is my Genie: lamp? My cup of +espresso? What happened to young friends from the Convex and +Concave worlds? What are all those little lizards doing hi +Tortoise: I'm afraid our context got restored incorrectly Achilles. + +Achilles: What on earth does that cryptic comment mean? + +Tortoise: I refer to the Typeless Wish you made. + +Achilles: But I hadn't yet made it. + +Tortoise: Yes, you had. You said, "I wish my wish would not be +granted", and the Genie took THAT to be your wish. + +Achilles: Oh, my! That sounds ominous. + +Tortoise; It spells PARADOX. For that Typeless wish to be +granted, it had to be denied - yet not to grant it would be to grant +it. + +Achilles: So what happened? Did the earth come to a standstill? Did the +universe cave in? + +Tortoise: No. The System crashed. Achilles: What does that mean? + +Tortoise: It means that you and I, Achilles, were suddenly and +instantaneously transported to Tumbolia. Achilles: To where? + +Tortoise: Tumbolia: the land of dead hiccups and extinguished light +bulbs. It's a sort of waiting room, where dormant software waits +for its host hardware to come back up. No telling how long the +System was down, and we were in Tumbolia. It could have been +moments, hours, days-even years. + +Achilles: I don't know what software is, and I don't know what hardware +is. But I do know that I didn't get to make my wishes! I want my +Genie back! + +Tortoise: I'm sorry, Achilles-you blew it. You crashed the System, and +you should thank your lucky stars that we're back at all. Things +could have come out a lot worse. But I have no idea where we +are. + +Achilles: I recognize it now-we're inside another of Escher's pictures. +This time it's Reptiles. + +Tortoise: Aha! The System tried to save as much of our context as it +could before it crashed, and it got as far as recording that it was +an Escher picture with lizards before it went down. That's +commendable. + +Achilles: And look-isn't that our phial of poppingtonic over there on the +table, next to the cycle of lizards? + +Tortoise: It certainly is, Achilles. I must say, we are very lucky indeed. +The System was very kind to us, in giving us back our popping- +tonic-it's precious stuff! + +Achilles: I'll say! Now we can pop back out of the Escher world, into my +house. + +Tortoise: There are a couple of books on the desk, next to the tonic. I +wonder what they are. {He picks up the smaller one, which is +open to a random page.) This looks like a moderately +provocative book. + +Achilles: Oh, really? What is its title? + +Tortoise: Provocative Adventures of the Tortoise and Achilles Taking +Place in Sundry Parts of the Globe. It sounds like an interesting +book to read out of. + +Achilles: Well, You can read it if you want, but as for I’m not going to +take any chances with t popping-tonic-one of the lizards might +knock it off the table, so I'm going to get it right now! + +(He dashes over to the table and reaches for the popping-tonic, but in +his haste he somehow bumps the flask of tonic, and it tumbles off the +desk and begins rolling.) + +Oh, no! Mr. T-Iook! I accidentally knocked tonic onto the floor, and it’s +rolling toward towards-the stairwell! ^uick-before it falls! + +(The Tortoise, however, is completely wrapped up in the thin volume +which he has in his hands.) + +Achilles: Well, You can read it if you +want, but as for I'm not going to take any chances with t popping- +tonic-one of the lizards might knock it off the table, so I’m going +to get it right. + +Tortoise ( muttering ): Eh? This story looks fascinating. + +Achilles: Mr. T, Mr. T, help! Help catch the tonic-flask! + +Tortoise: What's all the fuss about? + +Achilles: The tonic-flask-I knocked it down from the desk, and now it's +rolling and + +(At that instant it reaches the brink of the stairwell, and plummets +over... ) + +Oh no! What can we do? Mr. Tortoise-aren't you alarmed? We're +losing our tonic! It's just fallen down the stairwell! There's only one +thing to do! We'll have to go down one story! + +Tortoise: Go down one story? My pleasure. Won't you join me? + +(He begins to read aloud, and Achilles, pulled in two directions at +once, finally stays, taking the role of the Tortoise.) + +Achilles: It's very dark here, Mr. T. I can't see a thing. Oof! I bumped +into a wall. Watch out! + +Tortoise: Here-I have a couple of walking sticks. Why don't you take one +of them? You can hold it out in front of you so that you don't +bang into things. + +Achilles: Good idea. (He takes the stick.) Do you get the sense that this +path is curving gently to the left as we walk? Tortoise: Very +slightly, yes. + +Achilles: I wonder where we are. And whether we'll ever see the light of +day again. I wish I'd never listened to you, when you suggested I +swallow some of that "DRINK ME" stuff. + +Tortoise: I assure you, it's quite harmless. I've done it scads of times, and +not a once have I ever regretted it. Relax and enjoy being small. + +Achilles: Being small? What is it you've done to me, Mr. T? + +Tortoise: Now don't go blaming me. You did it of your own free will. +Achilles: Have you made me shrink? So that this labyrinth we're +in is actually some teeny thing that someone could STEP on? + +Tortoise: Labyrinth? Labyrinth? Could it Are we in the notorious Little +Harmonic Labyrinth of the dreaded Majotaur? + +Achilles: Yiikes! What is that? + +Tortoise: They say-although I person never believed it myself-that an I +Majotaur has created a tiny labyrinth sits in a pit in the middle of +it, waiting innocent victims to get lost in its fears complexity. +Then, when they wander and dazed into the center, he laughs and +laughs at them-so hard, that he laughs them to death! + +Achilles: Oh, no! + +Tortoise: But it's only a myth. Courage, Achilles. + +(And the dauntless pair trudge on.) + +Achilles: Feel these walls. They're like o gated tin sheets, or something. +But the corrugations have different sizes. + +(To emphasize his point, he sticks out his walking stick against the +wall surface as he walks. Av the stick bounces back and forth against +the corrugations, strange noises echo up and down the long curved +corridor they are in.) + +Tortoise (alarmed): What was THAT? + +Achilles: Oh, just me, rubbing my walking stick against the wall. + +Tortoise: Whew! I thought for a moment it was the bellowing of the +ferocious Majotaur! Achilles: I thought you said it was all a +myth. + +Tortoise: Of course it is. Nothing to be afraid of. + +(Achilles puts his walking stick back against the wall, and continues +walking. As he does so, some musical sounds are heard, coming from +the point where his stick is scraping the wall.) + +Tortoise: Uh-oh. I have a bad feeling, Achilles. +That Labyrinth may not be a myth, after all. + +Achilles: Wait a minute. +What makes you change your mind all of a sudden? Tortoise: Do +you hear that music? + +(To hear more clearly, Achilles lowers the stick, and the strains of +melody cease.) + +Tortoise: Hey! Put that back! I want to hear the end of this piece! + +(Confused, Achilles obeys, and the music resumes.) + +Tortoise: Thank you. Now as I was about to say, I have just figured out where +we are. + +Achilles: Really? Where are we? + +Tortoise: We are walking down a spiral groove of a record in its jacket. +Your stick scraping against the strange shapes in the wall acts +like a needle running down the groove, allowing us to hear the +music. + +Achilles: Oh, no, oh, no ... + +Tortoise: What? Aren't you overjoyed? Have you ever had the chance to +be in such intimate contact with music before? + +Achzltes: How am I ever going to win footraces against full-sized people +when I am smaller than a flea, Mr. Tortoise? + +Tortoise: Oh, is that all that's bothering you That's nothing to fret abopt, +Achilles. + +Achilles: The way you talk, I get the impression that you never worry at +all. + +Tortoise: I don't know. But one thing for certain is that I don't worry +about being small. Especially not when faced with the awful +danger of the dreaded Majotaur! + +Achilles: Horrors! Are you telling me- + +Tortoise: I'm afraid so, Achilles. The music gave it away. + +Achilles: How could it do that? + +Tortoise: Very simple. When I heard melody B-A-C-H in the top voice, +I immediately realized that the grooves we're walking through +could only be Little Harmonic Labyrinth, one of Bach's er known +organ pieces. It is so named cause of its dizzyingly frequent +modulations. + +Achilles: Wh-what are they? + +Tortoise: Well, you know that most music pieces are written in a key, or +tonality, as C major, which is the key of this o; + +Achilles: I had heard the term before. Do that mean that C is the note +you want to on? + +Tortoise: Yes, C acts like a home base, in a Actually, the usual word is +"tonic". + +Achilles: Does one then stray away from tonic with the aim of eventually +returning + +Tortoise: That's right. As the piece develops ambiguous chords and +melodies are t which lead away from the tonic. Little by little, +tension builds up-you feel at creasing desire to return home, to +hear the tonic. + +Achilles: Is that why, at the end of a pie always feel so satisfied, as if I +had waiting my whole life to hear the ton + +Tortoise: Exactly. The composer has uses knowledge of harmonic +progressions to +manipulate your emotions, and to build up hopes in you to hear +that tonic. + +Achilles: But you were going to tell me about modulations. + +Tortoise: Oh, yes. One very important thing a composer can do is to +"modulate" partway through a piece, which means that he sets up +a temporary goal other than resolution into the tonic. + +Achilles: I see ... I think. Do you mean that some sequence of chords +shifts the harmonic tension somehow so that I actually desire to +resolve in a new key? + +Tortoise: Right. This makes the situation more complex, for although in +the short term you want to resolve in the new key, all the while at +the back of your mind you retain the longing to hit that original +goal-in this case, C major. And when the subsidiary goal is +reached, there is + +Achilles ( suddenly gesturing enthusiastically ): Oh, listen to the gorgeous +upward-swooping chords which mark the end of this Little +Harmonic Labyrinth! + +Tortoise: No, Achilles, this isn't the end. It's merely- + +Achilles: Sure it is! Wow! What a powerful, strong ending! What a sense +of relief! That's some resolution! Gee! + +(And sure enough, at that moment the music stops, as they emerge into +an open area with no walls.) + +Achilles: You see, it Is over. What did I tell you? + +Tortoise: Something is very wrong. This record +is a disgrace to the world of music. Achilles: What do you mean? + +Tortoise: It was exactly what I was telling you about. Here Bach had +modulated from C into G, setting up a secondary goal of hearing +G. This means that you experience two tensions at once-waiting +for resolution into G, but also keeping in mind that ultimate +desire-to resolve triumphantly into C Major. + +Achilles: Why should you have to keep any +thing in mind when listening to a piece of music? Is music only an +intellectual exercise? + +Tortoise: No, of course not. Some music is highly intellectual, but most +music is not. And most of the time your ear or br the +"calculation" for you, and lets your emotions know what they +want to hear, don't have to think about it consciously in this +piece, Bach was playing tricks hoping to lead you astray. And in +your case Achilles, he succeeded. + +Achilles: Are you telling me that I responded to a resolution in a +subsidiary key? + +Tortoise: That's right. + +Achilles: It still sounded like an ending to me. + +Tortoise: Bach intentionally made it sot way. You just fell into his trap. +It was deliberately contrived to sound like an ending but if you +follow the harmonic progression carefully, you will see that it is +in the wrong key. Apparently not just you but this miserable +record company fell for the same trick-and they truncated the +piece early. + +Achilles: What a dirty trick Bach played! + +Tortoise: That is his whole game-to m lose your way in his Labyrinth! '1 +Majotaur is in cahoots with Bach, And if you don't watch out, he +i laugh you to death-and perhaps n with you! + +Achilles: Oh, let us hurry up and get here! Quick! Let's run backwards +grooves, and escape on the outside record before the Evil +Majotaur finds us. + +Tortoise: Heavens, no! My sensibility is delicate to handle the bizarre the +gressions which occur when time versed. + +Achilles: Oh, Mr. T, how will we ever get out of here, if we can't just +retrace our steps + +Tortoise: That's a very good question. + +(A little desperately, Achilles starts runt about aimlessly in the dark. + +Suddenly t is a slight gasp, and then a "thud".) + +Achilles-are you all right? + +Achilles: Just a bit shaken up but otherwise fine. I fell into some big +hole. + +Tortoise: You've fallen into the pit of the Evil Majotaur! Here, I'll come +help you out. We've got to move fast! + +Achilles: Careful, Mr. T-I don't want You to fall in here, too ... + +Tortoise: Don't fret, Achilles. Everything will be all - + +(Suddenly, there is a slight gasp, and then a "thud".) + +Achilles: Mr. T-you fell in, too! Are you all right? + +Tortoise: Only my pride is hurt-otherwise I'm fine. + +Achilles: Now we're in a pretty pickle, aren't we? + +(Suddenly, a giant, booming laugh is heard, alarmingly close to +them.) + +Tortoise: Watch out, Achilles! This is no laughing matter. + +Majotaur: Hee hee hee! Ho ho! Haw haw haw! + +Achilles: I'm starting to feel weak, Mr. T ... + +Tortoise: Try to pay no attention to his laugh, + +Achilles. That's your only hope. + +Achilles: I'll do my best. If only my stomach weren't empty! + +Tortoise: Say, am I smelling things, or is there a bowl of hot buttered +popcorn around here? Achilles: I smell it, too. Where is it coming +from? + +Tortoise: Over here, I think. Oh! I just ran into a big bowl of the stuff. + +Yes, indeed-it seems to be a bowl of popcorn! + +Achilles: Oh, boy-popcorn! I'm going to munch my head off! + +Tortoise: Let's just hope it isn't pushcorn! Pushcorn and popcorn are +extraordinarily difficult to tell apart. + +Achilles: What's this about Pushkin? + +Tortoise: I didn't say a thing. You must be hearing things. + +Achilles: Go-golly! I hope not. Well, let's dig in! + +(And the two Jriends begin muncnai popcorn (or pushcorn?)-and t +once POP! I guess it was popcorn; all.) + +Tortoise: What an amusing story. Did you enjoy it? + +Achilles: Mildly. Only I wonder whether the' out of that Evil Majotaur’s +pit or r Achilles-he wanted to be full-sized again + +Tortoise: Don't worry-they're out, and he is again. That's what the "POP" +was all abo + +Achilles: Oh, I couldn't tell. Well, now I REAL: find that bottle of tonic. +For some reason, burning. And nothing would taste bett drink of +popping-tonic. + +Tortoise: That stuff is renowned for its thirst powers. Why, in some +places people very crazy over it. At the turn of the century the +Schonberg food factory stopped ma] and started making cereal +instead. You cai the uproar that caused. + +Achilles: I have an inkling. But let's go look fo Hey just a moment. +Those lizards on the you see anything funny about them? + +Tortoise: Umm ... not particularly. What do you see of such great +interest? + +Achilles: Don't you see it? They're emerging flat picture without +drinking any pop] How are they able to do that? + +Tortoise: Oh, didn't I tell you? You can ge picture by moving +perpendicularly to it you have no popping-tonic. The little li +learned to climb UP when they want to ge two-dimensional +sketchbook world. + +Achilles: Could we do the same thing to get Escher picture we're in? + +Tortoise: Of course! We just need to go UP one story, you want to try it? + +Achilles: Anything to get back to my house! I all these provocative +adventures. + +Tortoise: Follow me, then, up this way. + +(And they go up one story.) + +Achilles: It's good to be back. But something seems wrong. This isn't my +house! This is YOUR house, Mr. Tortoise + +Tortoise: Well, so it is-and am I glad for that! I wasn’t looking +forward one whit to the long walk back from your house. I am bushed, +and doubt if I could have made it. + +Achilles: I don't mind walking home, so I guess it's lucky we ended up +here, after all. + +Tortoise: I'll say! This certainly is a piece of Good Fortune! + +CHAPTER V: Recursive Structures and Processes + +What Is Recursion? + +WHAT IS RECURSION? It is what was illustrated in the Dialogue Little Harmonic +Labyrinth : nesting, and variations on nesting. The concept is very general. (Stories inside +stories, movies inside movies, paintings inside paintings, Russian dolls inside Russian +dolls (even parenthetical comments in. side parenthetical comments!)-these are just a few +of the charms of recursion.) However, you should he aware that the meaning of +"recursive 1 in this Chapter is only faintly related to its meaning in Chapter 111. The +relation should be clear by the end of this Chapter. + +Sometimes recursion seems to brush paradox very closely. For example, there are +recursive definitions. Such a definition may give the casual viewer the impression that +something is being defined in terms of itself. That would be circular and lead to infinite +regress, if not to paradox proper. Actually, a recursive definition (when properly +formulated) never leads to infinite regress or paradox. This is because a recursive +definition never defines something in terms of itself, but always in terms of simpler +versions of itself. What I mean by this will become clearer shortly, when ' show some +examples of recursive definitions. + +One of the most common ways in which recursion appears in daily life is when +you postpone completing a task in favor of a simpler task, often o the same type. Here is +a good example. An executive has a fancy telephone and receives many calls on it. He is +talking to A when B calls. To A he say,, "Would you mind holding for a moment?" Of +course he doesn't really car if A minds; he just pushes a button, and switches to B. Now C +calls. The same deferment happens to B. This could go on indefinitely, but let us not get +too bogged down in our enthusiasm. So let's say the call with C terminates. Then our +executive "pops" back up to B, and continues. Meanwhile A is sitting at the other end of +the line, drumming his fingernails again some table, and listening to some horrible +Muzak piped through the phone lines to placate him ... Now the easiest case is if the call +with B simply terminates, and the executive returns to A finally. But it could happen that +after the conversation with B is resumed, a new caller-D-calls. B is once again pushed +onto the stack of waiting callers, and D is taken care of. Aft D is done, back to B, then +back to A. This executive is hopelessly mechanical, to be sure-but we are illustrating +recursion in its most precise form. + +Pushing, Popping, and Stacks + +In the preceding example, I have introduced some basic terminology of recursion-at least +as seen through the eyes of computer scientists. The terms are push, pop , and stack (or +push-down stack, to be precise) and they are all related. They were introduced in the late +1950's as part of IPL, one of the first languages for Artificial Intelligence. You have +already encountered "push" and "pop" in the Dialogue. But I will spell things out +anyway. To push means to suspend operations on the task you're currently working on, +without forgetting where you are-and to take up a new task. The new task is usually said +to be "on a lower level" than the earlier task. To pop is the reverse-it means to close +operations on one level, and to resume operations exactly where you left off, one level +higher. + +But how do you remember exactly where you were on each different level? The +answer is, you store the relevant information in a stack. So a stack is just a table telling +you such things as (1) where you were in each unfinished task (jargon: the "return +address"), (2) what the relevant facts to know were at the points of interruption (jargon: +the "variable bindings"). When you pop back up to resume some task, it is the stack +which restores your context, so you don't feel lost. In the telephone-call example, the +stack tells you who is waiting on each different level, and where you were in the +conversation when it was interrupted. + +By the way, the terms "push", "pop", and "stack" all come from the visual image +of cafeteria trays in a stack. There is usually some sort of spring underneath which tends +to keep the topmost tray at a constant height, more or less. So when you push a tray onto +the stack, it sinks a little-and when you remove a tray from the stack, the stack pops up a +little. + +One more example from daily life. When you listen to a news report on the radio, +oftentimes it happens that they switch you to some foreign correspondent. "We now +switch you to Sally Swumpley in Peafog, England." Now Sally has got a tape of some +local reporter interviewing someone, so after giving a bit of background, she plays it. "I'm +Nigel Cadwallader, here on scene just outside of Peafog, where the great robbery took +place, and I'm talking with ..." Now you are three levels down. It may turn out that the +interviewee also plays a tape of some conversation. It is not too uncommon to go down +three levels in real news reports, and surprisingly enough, we scarcely have any +awareness of the suspension. It is all kept track of quite easily by our subconscious mind. +Probably the reason it is so easy is that each level is extremely different in flavor from +each other level. If they were all similar, we would get confused in no time flat. + +An example of a more complex recursion is, of course, our Dialogue. There, +Achilles and the Tortoise appeared on all the different levels. Sometimes they were +reading a story in which they appeared as characters. That is when your mind may get a +little hazy on what's going on, and you have to concentrate carefully to get things straight. +"Let's see, the real Achilles and Tortoise are still up there in Goodfortune's helicopter, but +the +secondary ones are in some Escher picture-and then they found this book and are reading +in it, so it's the tertiary Achilles and Tortoise who wandering around inside the grooves +of the Little Harmonic Labyrinth, wait a minute-I left out one level somewhere ..." You +have to ha conscious mental stack like this in order to keep track of the recursion the +Dialogue. (See Fig. 26.) + +»»*v l/iuiu^uv. y. »v.v. i i^. I.W.; + +Stacks in Music + +While we’re talking about the Little Harmonic Labyrinth, we should discuss +something which is hinted at, if not stated explicitly in the Dialogue: that hear music +recursively-in particular, that we maintain a mental stack of keys, and that each new +modulation pushes a new key onto the stack, implication is further that we want to hear +that sequence of keys retrace reverse order-popping the pushed keys off the stack, one by +one, until the tonic is reached. This is an exaggeration. There is a grain of truth to it +however. + +Any reasonably musical person automatically maintains a shallow with two keys. +In that "short stack”, the true tonic key is held and also most immediate "pseudotonic" +(the key the composer is pretending t in). In other words, the most global key and the +most local key. That the listener knows when the true tonic is regained, and feels a strong +s of "relief". The listener can also distinguish (unlike Achilles) between a local easing of +tension-for example a resolution into the pseudotonic - +and a global resolution. In fact, a pseudoresolution should heighten the global tension, +not relieve it, because it is a piece of irony-just like Achilles' rescue from his perilous +perch on the swinging lamp, when all the while you know he and the Tortoise are really +awaiting their dire fates at the knife of Monsieur Goodfortune. + +Since tension and resolution are the heart and soul of music, there are many, many +examples. But let us just look at a couple in Bach. Bach wrote many pieces in an +"AABB" form-that is, where there are two halves, and each one is repeated. Let's take the +gigue from the French Suite no. 5, which is quite typical of the form. Its tonic key is G, +and we hear a gay dancing melody which establishes the key of G strongly. Soon, +however, a modulation in the A-section leads to the closely related key of D (the +dominant). When the A-section ends, we are in the key of D. In fact, it sounds as if the +piece has ended in the key of D! (Or at least it might sound that way to Achilles.) But +then a strange thing happens-we abruptly jump back to the beginning, back to G, and +rehear the same transition into D. But then a strange thing happens-we abruptly jump +back to the beginning, back to G, and rehear the same transition into D. + +Then comes the B-section. With the inversion of the theme for our melody, we +begin in D as if that had always been the tonic-but we modulate back to G after all, which +means that we pop back into the tonic, and the B-section ends properly. Then that funny +repetition takes place, jerking us without warning back into D, and letting us return to G +once more. Then that funny repetition takes place, jerking us without warning +back into D, and letting us return to G once more. + +The psychological effect of all this key shifting-some jerky, some smooth-is very +difficult to describe. It is part of the magic of music that we can automatically make sense +of these shifts. Or perhaps it is the magic of Bach that he can write pieces with this kind +of structure which have such a natural grace to them that we are not aware of exactly +what is happening. + +The original Little Harmonic Labyrinth is a piece by Bach in which he tries to +lose you in a labyrinth of quick key changes. Pretty soon you are so disoriented that you +don't have any sense of direction left-you don't know where the true tonic is, unless you +have perfect pitch, or like Theseus, have a friend like Ariadne who gives you a thread that +allows you to retrace your steps. In this case, the thread would be a written score. This +piece-another example is the Endlessly Rising Canon-goes to show that, as music +listeners, we don't have very reliable deep stacks. + +Recursion in Language + +Our mental stacking power is perhaps slightly stronger in language. The grammatical +structure of all languages involves setting up quite elaborate push-down stacks, though, to +be sure, the difficulty of understanding a sentence increases sharply with the number of +pushes onto the stack. The proverbial German phenomenon of the "verb-at-the-end", +about which +Droll tales of absentminded professors who would begin a sentence, ramble on for +an entire lecture, and then finish up by rattling off a string of verbs by which their +audience, for whom the stack had long since lost its coherence, would be totally +nonplussed, are told, is an excellent example of linguistic pushing and popping. The +confusion among the audience out-of-order popping from the stack onto which the +professor's verbs been pushed, is amusing to imagine, could engender. But in normal ken +German, such deep stacks almost never occur-in fact, native speaker of German often +unconsciously violate certain conventions which force verb to go to the end, in order to +avoid the mental effort of keeping track of the stack. Every language has constructions +which involve stacks, though usually of a less spectacular nature than German. But there +are always of rephrasing sentences so that the depth of stacking is minimal. + +Recursive Transition Networks + +The syntactical structure of sentences affords a good place to present a of describing +recursive structures and processes: the Recursive Transition Network (RTN). An RTN is +a diagram showing various paths which can be followed to accomplish a particular task. +Each path consists of a number of nodes , or little boxes with words in them, joined by +arcs , or lines with arrows. The overall name for the RTN is written separately at the left, +and the and last nodes have the words begin and end in them. All the other nodes contain +either very short explicit directions to perform, or else name other RTN's. Each time you +hit a node, you are to carry out the direct inside it, or to jump to the RTN named inside it, +and carry it out. + +Let's take a sample RTN, called ORNATE NOUN, which tells how to construct +a certain type of English noun phrase. (See Fig. 27a.) If traverse ORNATE NOUN +purely horizontally, we begin', then we create ARTICLE, an ADJECTIVE, and a +NOUN, then we end. For instance, "the shampoo" or "a thankless brunch". But the arcs +show other possibilities such as skipping the article, or repeating the adjective. Thus we +co construct "milk", or "big red blue green sneezes", etc. + +When you hit the node NOUN, you are asking the unknown black I called NOUN +to fetch any noun for you from its storehouse of nouns. This is known as a procedure +call, in computer science terminology. It means you temporarily give control to a +procedure (here, NOUN) which (1) does thing (produces a noun) and then (2) hands +control back to you. In above RTN, there are calls on three such procedures: ARTICLE, +ADJECTIVE and NOUN. Now the RTN ORNATE NOUN could itself be called from +so other RTN-for instance an RTN called SENTENCE. In this case, ORNATE NOUN +would produce a phrase such as "the silly shampoo" and d return to the place inside +SENTENCE from which it had been called. I quite reminiscent of the way in which you +resume where you left off nested telephone calls or nested news reports. + +However, despite calling this a "recursive transition network", we have +not exhibited any true recursion so far. Things get recursive-and seemingly circular-when +you go to an RTN such as the one in Figure 27b, for FANCY NOUN. As you can see, +every possible pathway in FANCY NOUN involves a call on ORNATE NOUN, so there +is no way to avoid getting a noun of some sort or other. And it is possible to be no more +ornate than that, coming out merely with "milk" or "big red blue green sneezes". But +three of the pathways involve recursive calls on FANCY NOUN itself. It certainly looks +as if something is being defined in terms of itself. Is that what is happening, or not? + +The answer is "yes, but benignly". Suppose that, in the procedure SENTENCE, +there is a node which calls FANCY NOUN, and we hit that node. This means that we +commit to memory (viz., the stack) the location of that node inside SENTENCE, so we'll +know where to return to-then we transfer our attention to the procedure FANCY NOUN. +Now we must choose a pathway to take, in order to generate a FANCY NOUN. Suppose +we choose the lower of the upper pathways-the one whose calling sequence goes: + +ORNATE NOUN; RELATIVE PRONOUN; FANCY NOUN; VERB. + +So we spit out an ORNATE NOUN: " the strange bagels a RELATIVE NOUN: +"that"; and now we are suddenly asked for a FANCY NOUN. B are in the middle of +FANCY NOUN! Yes, but remember our executive was in the middle of one phone call +when he got another one. He n stored the old phone call's status on a stack, and began the +new one nothing were unusual. So we shall do the same. + +We first write down in our stack the node we are at in the outer call on FANCY +NOUN, so that we have a "return address"; then we jump t beginning of FANCY NOUN +as if nothing were unusual. Now we h~ choose a pathway again. For variety's sake, let's +choose the lower pat] ORNATE NOUN; PREPOSITION; FANCY NOUN. That +means we produce an ORNATE NOUN (say "the purple cow"), then a PREPOSITION +(say “without”), and once again, we hit the recursion. So we hang onto our hats descend +one more level. To avoid complexity, let's assume that this the pathway we take is the +direct one just ORNATE NOUN. For example: we might get "horns". We hit the node +END in this call on FANCY NOUN which amounts to popping out, and so we go to our +stack to find the return address. It tells us that we were in the middle of executing +FANCY NOUN one level up-and so we resume there. This yields " the purple cow +without horns". On this level, too, we hit END, and so we pop up once more, this finding +ourselves in need of a VERB-so let's choose "gobbled". This ends highest-level call on +FANCY NOUN, with the result that the phrase + +"the strange bagels that the purple cow without horns gobbled" + +will get passed upwards to the patient SENTENCE, as we pop for the last time. + +As you see, we didn't get into any infinite regress. The reason is tl least one +pathway inside the RTN FANCY NOUN does not involve recursive calls on FANCY +NOUN itself. Of course, we could have perversely insisted on always choosing the +bottom pathway inside FANCY NOUN then we would never have gotten finished, just +as the acronym "GOD” never got fully expanded. But if the pathways are chosen at +random, an infinite regress of that sort will not happen. + +"Bottoming Out" and Heterarchies + +This is the crucial fact which distinguishes recursive definitions from circular +ones. There is always some part of the definition which avoids reference, so that the +action of constructing an object which satisfies the definition will eventually "bottom +out". + +Now there are more oblique ways of achieving recursivity in RTNs than by self¬ +calling. There is the analogue of Escher's Drawing (Fig. 135), where each of two +procedures calls the other, but not itself. For example, we could have an RTN named +CLAUSE, which calls FANCY NOUN whenever it needs an object for a transitive verb, +and conversely, the u path of FANCY NOUN could call RELATIVE PRONOUN and +then CLAUSE +whenever it wants a relative clause. This is an example of indirect recursion. It is +reminiscent also of the two-step version of the Epimenides paradox. + +Needless to say, there can be a trio of procedures which call one another, +cyclically-and so on. There can be a whole family of RTN's which are all tangled up, +calling each other and themselves like crazy. A program which has such a structure in +which there is no single "highest level", or "monitor", is called a heterarchy (as +distinguished from a hierarchy). The term is due, I believe, to Warren McCulloch, one of +the first cyberneticists, and a reverent student of brains and minds. + +Expanding Nodes + +One graphic way of thinking about RTN’s is this. Whenever you are moving along some +pathway and you hit a node which calls on an RTN, you "expand" that node, which +means to replace it by a very small copy of the RTN it calls (see Fig. 2S). Then you +proceed into the very small RTN, +When you pop out of it, you are automatically in the right place in the big one. While in +the small one, you may wind up constructing even more miniature RTN’s. But by +expanding nodes only when you come across them, you avoid the need to make an +infinite diagram, even when an RTN calls itself. + +Expanding a node is a little like replacing a letter in an acronym by the word it +stands for. The "GOD" acronym is recursive but has the defect or advantage-that you +must repeatedly expand the 'G'; thus it never bottoms out. When an RTN is implemented +as a real computer program, however, it always has at least one pathway which avoids +recursivity (direct or indirect) so that infinite regress is not created. Even the most +heterarchical program structure bottoms out-otherwise it couldn't run! It would just be +constantly expanding node after node, but never performing any action. + +Diagram G and Recursive Sequences + +Infinite geometrical structures can be defined in just this way-that is by expanding +node after node. For example, let us define an infinite diagram called "Diagram G”. To +do so, vve shall use an implicit representation. In two nodes, we shall write merely the +letter 'G', which, however, will stand for an entire copy of Diagram G. In Figure 29a, +Diagram G is portrayed implicitly. Now if we wish to see Diagram G more explicitly, we +expand each of the two G's-that is, we replace them by the same diagram , only reduced +in scale (see Fig. 29b). This "second-order" version of Diagram gives us an inkling of +what the final, impossible-to-realize Diagram G really looks like. In Figure 30 is shown a +larger portion of Diagram G, where all the nodes have been numbered from the bottom +up, and from left to right. Two extra nodes-numbers - 1 and 2- have been inserted at +the bottom + +This infinite tree has some very curious mathematical properties Running up its +right-hand edge is the famous sequence of Fibonacci numbers. + +* I, I, 2, 3, 5, 8, 13, 21, 34, 55, 89, 144, 233, + +discovered around the year 12t2 by Leonardo of Pisa, son of Bonaccio, ergo "Filius +Bonacci", or "Fibonacci" for short. These number are best +defined recursively by the pair of formulas: + +* FIBO(n) = FIBO(n- 1) + FIBO(n 2) for n > 2 + +* FIBO(I) = FIBO(2) = 1 + +Notice how new Fibonacci numbers are defined in terms of previous Fibonacci numbers. +We could represent this pair of formulas in an RTN (see Fig. 31). + +Thus you can calculate FIBO(15) by a sequence of recursive calls on the procedure +defined by the RTN above. This recursive definition bottoms out when you hit FIBO(I) +or FIBO(2) (which are given explicitly) after you have worked your way backwards +through descending values of n. It is slightly awkward to work your way backwards, +when you could just as well work your way forwards, starting with FIBO(I) and FIBO(2) +and always adding the most recent two values, until you reach FIBO(15). That way you +don't need to keep track of a stack. + +Now Diagram G has some even more surprising properties than this. Its entire +structure can be coded up in a single recursive definition, as follows: + +* G(n) = n - G(G(n- 1)) for n > 0 + +* G(O) = 0 + +How does this function G(n) code for the tree-structure? Quite simply you construct a +tree by placing G(n) below n, for all values of n, you recreate Diagram G. In fact, that is +how I discovered Diagram G in the place. I was investigating the function G, and in +trying to calculate its values quickly, I conceived of displaying the values I already knew +in a tree. T surprise, the tree turned out to have this extremely orderly recursive +geometrical description. + +What is more wonderful is that if you make the analogous tree function H(n) +defined with one more nesting than G- + +* H(n) = n - H(H(H(n - 1))) for n > 0 + +* H(0) = 0 + +-then the associated "Diagram H" is defined implicitly as shown in Figure 29c. The +right-hand trunk contains one more node; that is the difference. The first recursive +expansion of Diagram H is shown in Figure 29d. And so it goes, for any degree of +nesting. There is a beautiful regularity to the recursive geometrical structures, which +corresponds precisely to the recursive algebraic definitions. + +A problem for curious readers is: suppose you flip Diagram G around as if in a +mirror, and label the nodes of the new tree so they increase left to right. Can you find a +recursive algebraic definition for this "flip-tree. What about for the "flip" of the H-tree? +Etc.? + +Another pleasing problem involves a pair of recursively intertwined functions +F(n) and M(n) - "married" functions, you might say - defined this way: + +* F(n) = n - M(F(n- 1)) + +* M(n) = n - F(M(n- 1)) + +For n > 0: + +* F(0) = 1, and M(0) = 0 + +The RTN's for these two functions call each other and themselves as well. The +problem is simply to discover the recursive structures of Diagram F; and Diagram M. +They are quite elegant and simple. + +A Chaotic Sequence + +One last example of recursion in number theory leads to a small my Consider the +following recursive definition of a function: + +* Q(n) = Q(n - Q(n- 1)) + Q(n - Q(n-2)) for n > 2 + +* Q(l) = Q(2) = 1. + +It is reminiscent of the Fibonacci definition in that each new value is a sum of two +previous values-but not of the immediately previous two values. Instead, the two +immediately previous values tell how far to count back to obtain the numbers to be added +to make the new value! The first 17 Q-numbers run as follows: + +* 1, 1, 2, 3, 3, 4, 5, 5, 6, 6, 6, 8, 8, 8, 10, 9, 10, ... . + +* 5 + 6 = 11 how far to move to the left + +New term + +To obtain the next one, move leftwards (from the three dots) respectively 10 and 9 terms; +you will hit a 5 and a 6, shown by the arrows. Their sum-1 1-yields the new value: Q(18). +This is the strange process by which the list of known Q-numbers is used to extend itself. +The resulting sequence is, to put it mildly, erratic. The further out you go, the less sense it +seems to make. This is one of those very peculiar cases where what seems to be a +somewhat natural definition leads to extremely puzzling behavior: chaos produced in a +very orderly manner. One is naturally led to wonder whether the apparent chaos conceals +some subtle regularity. Of course, by definition, there is regularity, but what is of interest +is whether there is another way of characterizing this sequence-and with luck, a +nonrecursive way. + +Two Striking Recursive Graphs + +The marvels of recursion in mathematics are innumerable, and it is not my purpose to +present them all. However, there are a couple of particularly striking examples from my +own experience which I feel are worth presenting. They are both graphs. One came up in +the course of some number-theoretical investigations. The other came up in the course of +my Ph.D. thesis work, in solid state physics. What is truly fascinating is that the graphs +are closely related. + +The first one (Fig. 32) is a graph of a function which I call INT(x). It is plotted +here for x between 0 and 1. For x between any other pair of integers n and n + 1, you just +find INT(x-n), then add n back. The structure of the plot is quite jumpy, as you can see. It +consists of an infinite number of curved pieces, which get smaller and smaller towards +the corners-and incidentally, less and less curved. Now if you look closely at each such +piece, you will find that it is actually a copy of the full graph, merely curved! The +implications are wild. One of them is that the graph of INT consists of nothing but copies +of itself, nested down infinitely deeply. If you pick up any piece of the graph, no matter +how small, you are holding a complete copy of the whole graph-in fact, infinitely many +copies of it! + +The fact that INT consists of nothing but copies of itself might make you think it is too +ephemeral to exist. Its definition sounds too circular. + +How does it ever get off the ground? That is a very interesting matter, main thing to +notice is that, to describe INT to someone who hasn't see it will not suffice merely to say, +"It consists of copies of itself." The o half of the story-the nonrecursive half-tells where +those copies lie in the square, and how they have been deformed, relative to the full +graph. Only the combination of these two aspects of INT will specify structure of INT. It +is exactly as in the definition of Fibonacci number where you need two lines-one to +define the recursion, the other to de the bottom (i.e., the values at the beginning). To be +very concrete, if make one of the bottom values 3 instead of 1, you will produce a +completely different sequence, known as the Lucas sequence: + +* 1, 3, 4, 7, II, 18, 29, 47, 76, 123,... + +* the "bottom" 29 + 47 = 76 + +* same recursive rule as for the Fibonacci numbers + +What corresponds to the bottom in the definition of INT is a picture (Fig. 33a) +composed of many boxes, showing where the copies go, and how they are distorted. I call +it the "skeleton" of INT. To construct INT from its skeleton, you do the following. First, +for each box of the skeleton, you do two operations: (1) put a small curved copy of the +skeleton inside the box, using the curved line inside it as a guide; (2) erase the containing +box and its curved line. Once this has been done for each box of the original skeleton, +you are left with many "baby" skeletons in place of one big one. Next you repeat the +process one level down, with all the baby skeletons. Then again, again, and again ... What +you approach in the limit is an exact graph of INT, though you never get there. By +nesting the skeleton inside itself over and over again, you gradually construct the graph +of INT "from out of nothing". But in fact the "nothing" was not nothing-it was a picture. + +To see this even more dramatically, imagine keeping the recursive part of the +definition of INT, but changing the initial picture, the skeleton. A variant skeleton is +shown in Figure 33b, again with boxes which get smaller and smaller as they trail off to +the four corners. If you nest this second skeleton inside itself over and over again, you +will create the key graph from my Ph.D. thesis, which I call Gplot (Fig. 34). (In fact, +some complicated distortion of each copy is needed as well-but nesting is the basic idea.). + +Gplot is thus a member of the INT-family. It is a distant relative, because its +skeleton is quite different from-and considerably more complex than-that of INT. +However, the recursive part of the definition is identical, and therein lies the family tie. + +I should not keep you too much in the dark about the origin of these beautiful graphs. +INT-standing for "interchange"-comes from a problem involving "Eta-sequences", which +are related to continued fractions. The basic idea behind INT is that plus and minus signs +are interchanged in a certain kind of continued fraction. As a consequence, INT(INT(x)) += x. INT has the property that if x is rational, so is INT(x); if x is quadratic, so is INT(x). +I do not know if this trend holds for higher algebraic degrees. Another lovely feature of +INT is that at all rational values of x, it has a jump discontinuity, but at all irrational +values of x, it is continuous. + +Gplot comes from a highly idealized version of the question, "What are the +allowed energies of electrons in a crystal in a magnetic field?" This problem is interesting +because it is a cross between two very simple and fundamental physical situations: an +electron in a perfect crystal, and an electron in a homogeneous magnetic field. These two +simpler problems are both well understood, and their characteristic solutions seem almost +incompatible with each other. Therefore, it is of quite some interest to see how nature +manages to reconcile the two. As it happens, the crystal without-magnetic-field situation +and the magnetic-field-without-crystal situation do have one feature in common: in each +of them, the electron behaves periodically in time. It turns out that when the two +situations are combined, the ratio of their two time periods is the key parameter. In fact, +that ratio holds all the information about the distribution of allowed electron energies-but +it only gives up its secret upon being expanded into a continued fraction. + +Gplot shows that distribution. The horizontal axis represents energy, and the +vertical axis represents the above-mentioned ratio of time periods, which we can call "a". +At the bottom, a is zero, and at the top a is unity. When a is zero, there is no magnetic +field. Each of the line segments making up Gplot is an "energy band"-that is, it represents +allowed values of energy. The empty swaths traversing Gplot on all different size scales +are therefore regions of forbidden energy. One of the most startling properties of Gplot is +that when a is rational (say p/q in lowest terms), there are exactly q such bands (though +when q is even, two of them "kiss" in the middle). And when a is irrational, the bands +shrink to points, of which there are infinitely many, very sparsely distributed in a so- +called "Cantor set" - another recursively defined entity which springs up in topology. + +You might well wonder whether such an intricate structure would ever show up in +an experiment. Frankly, I would be the most surprised person in the world if Gplot came +out of any experiment. The physicality of Gplot lies in the fact that it points the way to +the proper mathematical treatment of less idealized problems of this sort. In other words, +Gplot is purely a contribution to theoretical physics, not a hint to experimentalists as to +what to expect to see! An agnostic friend of mine once was so struck by Gplot's infinitely +many infinities that he called it "a picture of God", which I don't think is blasphemous at +all. + +Recursion at the Lowest Level of Matter + +We have seen recursion in the grammars of languages, we have seen recursive +geometrical trees which grow upwards forever, and we have seen one way in which +recursion enters the theory of solid state physics. Now we are going to see yet another +way in which the whole world is built out of recursion. This has to do with the structure +of elementary particles: electrons, protons, neutrons, and the tiny quanta of +electromagnetic radiation called "photons". We are going to see that particles are-in a +certain sense which can only be defined rigorously in relativistic quantum mechanics - +nested inside each other in a way which can be described recursively, perhaps even by +some sort of "grammar". + +We begin with the observation that if particles didn't interact with each other, +things would be incredibly simple. Physicists would like such a world because then they +could calculate the behavior of all particles easily (if physicists in such a world existed, +which is a doubtful proposition). Particles without interactions are called bare particles, +and they are purely hypothetical creations; they don't exist. + +Now when you "turn on" the interactions, then particles get tangled up together in +the way that functions F and M are tangled together, or married people are tangled +together. These real particles are said to be renormalized -an ugly but intriguing term. +What happens is that no particle can even be defined without referring to all other +particles, whose definitions in turn depend on the first particles, etc. Round and round, in +a never-ending loop. + +Let us be a little more concrete, now. Let’s limit ourselves to only two kinds of +particles: electrons and photons. We’ll also have to throw in the electron's antiparticle, the +positron. (Photons are their own antipailicles.) Imagine first a dull world where a bare +electron wishes to propagate from point A to point B, as Zeno did in my Three-Part +Invention. A physicist would draw a picture like this: + +A 9 -►-« B + +There is a mathematical expression which corresponds to this line and its endpoints, and +it is easy to write down. With it, a physicist can understand the behavior of the bare +electron in this trajectory. + +Now let us "turn on" the electromagnetic interaction, whereby electrons and +photons interact. Although there are no photons in the scene, there will nevertheless be +profound consequences even for this simple trajectory. In particular, our electron now +becomes capable of emitting and then reabsorbing virtual photons -photons which flicker +in and out of existence before they can be seen. Let us show one such process: + +Now as our electron propagates, it may emit and reabsorb one photon after another, or it +may even nest them, as shown below: + +The mathematical expressions corresponding to these diagrams-called "Feynman +diagrams"-are easy to write down, but they are harder to calculate than that for the bare +electron. But what really complicates matters is that a photon (real or virtual) can decay +for a brief moment into an electron-positron pair. Then these two annihilate each other, +and, as if by magic, the original photon reappears. This sort of process is shown below: + +The electron has a right-pointing arrow, while the positron's arrow points leftwards. + +As you might have anticipated, these virtual processes can be inside each other to +arbitrary depth. This can give rise to some complicated-looking drawings, such as the one +in Figure 35. In that man diagram, a single electron enters on the left at A, does some an +acrobatics, and then a single electron emerges on the right at B. outsider who can't see the +inner mess, it looks as if one electron peacefully sailed from A to B. In the diagram, you +can see how el lines can get arbitrarily embellished, and so can the photon lines diagram +would be ferociously hard to calculate. + +There is a soil of "grammar" to these diagrams, that only certain pictures to be +realized in nature. For instance, the one be impossible: + +You might say it is not a "well-formed” Feynman diagram. The gram a result of basic +laws of physics, such as conservation of energy, conservation of electric charge, and so +on. And, like the grammars of I - languages, this grammar has a recursive structure, in +that it allow' nestings of structures inside each other. It would be possible to drat set of +recursive transition networks defining the "grammar” of the electromagnetic interaction. + +When bare electrons and bare photons are allowed to interact ii arbitrarily tangled +ways, the result is renormalized electrons and ph Thus, to understand how a real, physical +electron propagates from A to B, +the physicist has to be able to take a sort of average of all the infinitely many different +possible drawings which involve virtual particles. This is Zeno with a vengeance! + +Thus the point is that a physical particle-a renormalized particle involves (1) a +bare particle and (2) a huge tangle of virtual particles, inextricably wound together in a +recursive mess. Every real particle's existence therefore involves the existence of +infinitely many other particles, contained in a virtual "cloud" which surrounds it as it +propagates. And each of the virtual particles in the cloud, of course, also drags along its +own virtual cloud, and so on ad infinitum. + +Particle physicists have found that this complexity is too much to handle, and in +order to understand the behavior of electrons and photons, they use approximations +which neglect all but fairly simple Feynman diagrams. Fortunately, the more complex a +diagram, the less important its contribution. There is no known way of summing up all of +the infinitely many possible diagrams, to get an expression for the behavior of a fully +renormalized, physical electron. But by considering roughly the simplest hundred +diagrams for certain processes, physicists have been able to predict one value (the so- +called g-factor of the muon) to nine decimal places - correctly! + +Renormalization takes place not only among electrons and photons. Whenever +any types of particle interact together, physicists use the ideas of renormalization to +understand the phenomena. Thus protons and neutrons, neutrinos, pi-mesons, quarks-all +the beasts in the subnuclear zoo they all have bare and renormalized versions in physical +theories. And from billions of these bubbles within bubbles are all the beasts and baubles +of the world composed. + +Copies and Sameness + +Fet us now consider Gplot once again. You will remember that in the +Introduction, we spoke of different varieties of canons. Each type of canon exploited +some manner of taking an original theme and copying it by an isomorphism, or +information-preserving transformation. Sometimes the copies were upside down, +sometimes backwards, sometimes shrunken or expanded ... In Gplot we have all those +types of transformation, and more. The mappings between the full Gplot and the "copies" +of itself inside itself involve size changes, skewings, reflections, and more. And yet there +remains a sort of skeletal identity, which the eye can pick up with a bit of effort, +particularly after it has practiced with INT. + +Escher took the idea of an object's parts being copies of the object itself and made +it into a print: his woodcut Fishes and Scales (Fig. 36). Of course these fishes and scales +are the same only when seen on a sufficiently abstract plane. Now everyone knows that a +fish's scales aren't really small copies of the fish; and a fish's cells aren't small copies of +the fish; however, a fish's DNA, sitting inside each and every one of the fish's cells, is a +very convoluted "copy" of the entire fish-and so there is more than a grain of truth to the Escher +picture. + +What is there that is the "same" about all butterflies? The mapping from one +butterfly to another does not map cell onto cell; rather, it m; functional part onto +functional part, and this may be partially on a macroscopic scale, partially on a +microscopic scale. The exact proportions of pa are not preserved; just the functional +relationships between parts. This is the type of isomorphism which links all butterflies in +Escher’s wood engraving Butterflies (Fig. 37) to each other. The same goes for the more +abstract butterflies of Gplot, which are all linked to each other by mathematical mappings +that carry functional part onto functional part, but totally ignore exact line proportions, +angles, and so on. + +Taking this exploration of sameness to a yet higher plane of abstraction, we might +well ask, "What is there that is the 'same' about all Esc I drawings?" It would be quite +ludicrous to attempt to map them piece by piece onto each other. The amazing thing is +that even a tiny section of an +Escher drawing or a Bach piece gives it away. Just as a fish's DNA is contained inside +evety tiny bit of the fish, so a creator's "signature" is contained inside every tiny section +of his creations. We don't know what to call it but "style" - a vague and elusive word. + +We keep on running up against "sameness-in-differentness", and the question +When are two things the same? + +It will recur over and over again in this book. We shall come at it from all sorts of skew +angles, and in the end, we shall see how deeply this simple question is connected with the +nature of intelligence. + +That this issue arose in the Chapter on recursion is no accident, for recursion is a +domain where "sameness-in-differentness" plays a central role. Recursion is based on the +"same" thing happening on several different levels at once. But the events on different levels aren't exactly same-rather, we find +some invariant feature in them, despite many s in which they differ. For example, in the +Little Harmonic Labyrinth, all stories on different levels are quite unrelated-their +"sameness" reside only two facts: (1) they are stories, and (2) they involve the Tortoise +and Achilles. Other than that, they are radically different from each other. + +Programming and Recursion: Modularity, Loops, Procedures + +One of the essential skills in computer programming is to perceive wl two processes are +the same in this extended sense, for that leads modularization-the breaking-up of a task +into natural subtasks. For stance, one might want a sequence of many similar operations +to be cart out one after another. Instead of writing them all out, one can write a h which +tells the computer to perform a fixed set of operations and then loop back and perform +them again, over and over, until some condition is satisfied. Now the body of the loop-the +fixed set of instructions to repeated-need not actually be completely fixed. It may vary in +so predictable way. + +An example is the most simple-minded test for the primality o natural number N, +in which you begin by trying to divide N by 2, then 3, 4, 5, etc. until N - 1. If N has +survived all these tests without be divisible, it's prime. Notice that each step in the loop is +similar to, but i the same as, each other step. Notice also that the number of steps varies +with N-hence a loop of fixed length could never work as a general test primality. There +are two criteria for "aborting" the loop: (1) if so number divides N exactly, quit with +answer "NO"; (2) if N - 1 is react as a test divisor and N survives, quit with answer +"YES". + +The general idea of loops, then, is this: perform some series of related steps over +and over, and abort the process when specific conditions are n Now sometimes, the +maximum number of steps in a loop will be known advance; other times, you just begin, +and wait until it is aborted. The second type of loop - which I call a free loop - is +dangerous, because criterion for abortion may never occur, leaving the computer in a so- +cal "infinite loop". This distinction between bounded loops and free loops is one the most +important concepts in all of computer science, and we shall dev an entire Chapter to it: +"BlooP and FlooP and GlooP". + +Now loops may be nested inside each other. For instance, suppose t we wish to +test all the numbers between 1 and 5000 for primality. We c write a second loop which +uses the above-described test over and over starting with N = I and finishing with N = +5000. So our program i have a "loop-the-loop" structure. Such program structures are +typical - in fact they are deemed to be good programming style. This kind of nest loop +also occurs in assembly instructions for commonplace items, and such activities as +knitting or crocheting-in which very small loops are +repeated several times in larger loops, which in turn are carried out repeatedly ... While +the result of a low-level loop might be no more than couple of stitches, the result of a +high-level loop might be a substantial portion of a piece of clothing. + +In music, too, nested loops often occur-as, for instance, when a scale (a small +loop) is played several times in a row, perhaps displaced in pitch each new time. For +example, the last movements of both the Prokofiev fifth piano concerto and the +Rachmaninoff second symphony contain extended passages in which fast, medium, and +slow scale-loops are played simultaneously by different groups of instruments, to great +effect. The Prokofiev scales go up; the Rachmaninoff-scales, down. Take your pick. + +A more general notion than loop is that of subroutine, or procedure, which we +have already discussed somewhat. The basic idea here is that a group of operations are +lumped together and considered a single unit with a name-such as the procedure +ORNATE NOUN. As we saw in RTN's, procedures can call each other by name, and +thereby express very concisely sequences of operations which are to be carried out. This +is the essence of modularity in programming. Modularity exists, of course, in hi-fi +systems, furniture, living cells, human society-wherever there is hierarchical +organization. + +More often than not, one wants a procedure which will act variably, according to +context. Such a procedure can either be given a way of peering out at what is stored in +memory and selecting its actions accordingly, or it can be explicitly fed a list of +parameters which guide its choice of what actions to take. Sometimes both of these +methods are used. In RTN terminology, choosing the sequence of actions to carry out +amounts to choosing which pathway to follow. An RTN which has been souped up with +parameters and conditions that control the choice of pathways inside it is called an +Augmented Transition Network (ATN). A place where you might prefer ATN's to RTN's +is in producing sensible-as distinguished from nonsensical-English sentences out of raw +words, according to a grammar represented in a set of ATN's. The parameters and +conditions would allow you to insert various semantic constraints, so that random +juxtapositions like "a thankless brunch" would be prohibited. More on this in Chapter +XVIII, however. + +Recursion in Chess Programs + +A classic example of a recursive procedure with parameters is one for choosing the "best" +move in chess. The best move would seem to be the one which leaves your opponent in +the toughest situation. Therefore, a test for goodness of a move is simply this: pretend +you've made the move, and now evaluate the board from the point of view of your +opponent. But how does your opponent evaluate the position? Well, he looks for his best +move. That is, he mentally runs through all possible moves and evaluates them from what +he thinks is your point of view, hoping they will look bad to you. But +notice that we have now defined "best move" recursively, simply maxim that what is best +for one side is worst for the other. The procedure which looks for the best move operates +by trying a move and then colling on itself in the rote of opponent ! As such, it tries +another n calls on itself in the role of its opponent’s opponent-that is, its + +This recursion can go several levels deep-but it’s got to bottom out somewhere! +How do you evaluate a board position wit hoot looking There are a number of useful +criteria for this purpose, such as si number of pieces on each side, the number and type of +pieces undo the control of the center, and so on. By using this kind of evaluation at the +bottom, the recursive move-generator can pop back upwards an( evaluation at the top +level of each different move. One of the parameters in the self-calling, then, must tell +how many moves to look ahead. TI most call on the procedure will use some externally +set value parameter. Thereafter, each time the procedure recursively calls must decrease +this look-ahead parameter by 1. That way, w parameter reaches zero, the procedure will +follow the alternate pathway -the non-recursive evaluation. + +In this kind of game-playing program, each move investigate the generation of a +so-called "look-ahead tree", with the move trunk, responses as main branches, counter¬ +responses as subsidiary branches, and so on. In Figure 38 I have shown a simple look¬ +ahead tree depicting the start of a tic-tar-toe game. There is an art to figuring to avoid +exploring every branch of a look-ahead tree out to its tip. trees, people-not computers- +seem to excel at this art; it is known that top-level players look ahead relatively little, +compared to most chess programs - yet the people are far better! In the early days of +compute people used to estimate that it would be ten years until a computer (or +program) was world champion. But after ten years had passed, it seemed that the day a +computer would become world champion was still more than ten years away ... This is +just one more piece of evidence for the rather recursive + +Hofstadter's Law. It always takes longer than you expect, even when you take into +account Hofstadter's Law. + +Recursion and Unpredictability + +Now what is the connection between the recursive processes of this Chapter, and the +recursive sets of the preceding Chapter? The answer involves the notion of a recursively +enumerable set. For a set to be r.e. means that it can be generated from a set of starting +points (axioms), by the repeated application of rules of inference. Thus, the set grows and +grows, each new element being compounded somehow out of previous elements, in a sort +of "mathematical snowball". But this is the essence of recursion-something being defined +in terms of simpler versions of itself, instead of explicitly. The Fibonacci numbers and +the Lucas numbers are perfect examples of r.e. sets-snowballing from two elements by a +recursive rule into infinite sets. It is just a matter of convention to call an r.e. set whose +complement is also r.e. "recursive". + +Recursive enumeration is a process in which new things emerge from old things +by fixed rules. There seem to be many surprises in such processes-for example the +unpredictability of the Q-sequence. It might seem that recursively defined sequences of +that type possess some sort of inherently increasing complexity of behavior, so that the +further out you go, the less predictable they get. This kind of thought carried a little +further suggests that suitably complicated recursive systems might be strong enough to +break out of any predetermined patterns. And isn't this one of the defining properties of +intelligence? Instead of just considering programs composed of procedures which can +recursively call themselves, why not get really sophisticated, and invent programs which +can modify themselves-programs which can act on programs, extending them, improving +them, generalizing them, fixing them, and so on? This kind of "tangled recursion" +probably lies at the heart of intelligence. + +DIALOGUE VI: Canon by Intervallic Augmentation + +Achilles and the Tortoise have just finished a delicious Chinese banquet for +two, at the best Chinese restaurant in town. + +Achilles: You wield a mean chopstick, Mr. T. + +Tortoise: I ought to. Ever since my youth, I have had a fondness for Oriental cuisine. And you- +did you enjoy your meal, Achilles? Achilles: Immensely. I'd not eaten Chinese food +before. This meal was a splendid introduction. And now, are you in a hurry to go, or shall +we just sit here and talk a little while? + +Tortoise: I'd love to talk while we drink our tea. Waiter! + +(A waiter comes up.) + +Could we have our bill, please, and some more tea? + +(The waiter rushes off.) + +Achilles: You may know more about Chinese cuisine than I do, Mr.T, I'll bet I know more about +Japanese poetry than you do. Have you ever read any haiku? + +Tortoise: I'm afraid not. What is a haiku? + +Achilles: A haiku is a Japanese seventeen-syllable poem-or minipoem rather, which is evocative +in the same way, perhaps, as a fragrant petal is, or a lily pond in a light drizzle. It +generally consists of groups of: of five, then seven, then five syllables. + +Tortoise: Such compressed poems with seventeen syllables can't much meaning ... + +Achilles: Meaning lies as much in the mind of the reader as i haiku. + +Tortoise: Hmm ... That's an evocative statement. + +(The waiter arrives with their bill, another pot of tea, and two fortune cookies.) + +Thank you, waiter. Care for more tea, Achilles? + +Achilles: Please. Those little cookies look delicious. ( Picks one up, bites I into it and begins to +chew.) Hey! What's this funny thing inside? A piece of paper? + +Tortoise: That's your fortune, Achilles. Many Chinese restaurants give out fortune cookies with +their bills, as a way of softening the blow. I frequent Chinese restaurants, you come to +think of fortune cookies +less as cookies than as message bearers Unfortunately you seem to have swallowed some +of your fortune. What does the rest say? + +Achilles: It's a little strange, for all the letters are run together, with no spaces in between. +Perhaps it needs decoding in some way? Oh, now I see. If you put the spaces back in +where they belong, it says, "ONE WAR TWO EAR EWE". I can't quite make head or tail +of that. Maybe it was a haiku-like poem, of which I ate the majority of syllables. + +Tortoise: In that case, your fortune is now a mere 5/17-haiku. And a curious image it evokes. If +5/17-haiku is a new art form, then I'd say woe, 0, woe are we ... May I look at it? + +Achilles ( handing the Tortoise the small slip of paper): Certainly. + +Tortoise: Why, when I "decode" it, Achilles, it comes out completely different! It's not a 5/17- +haiku at all. It is a six-syllable message which says, "0 NEW ART WOE ARE WE". That +sounds like an insightful commentary on the new art form of 5/17-haiku. + +Achilles: You're right. Isn't it astonishing that the poem contains its own commentary! + +Tortoise: All I did was to shift the reading frame by one unit-that is, shift all the spaces one unit +to the right. + +Achilles: Let's see what your fortune says, Mr. Tortoise. + +Tortoise ( deftly splitting open his cookie, reads): "Fortune lies as much in the hand of the eater as +in the cookie." + +Achilles: Your fortune is also a haiku, Mr. Tortoise-at least it's got seventeen syllables in the 5-7- +5 form. + +Tortoise: Glory be! I would never have noticed that, Achilles. It's the kind of thing only you +would have noticed. What struck me more is what it says-which, of course, is open to +interpretation. + +Achilles: I guess it just shows that each of us has his own characteristic way of interpreting +messages which we run across ... + +(Idly, Achilles gazes at the tea leaves on the bottom of his empty teacup.) + +Tortoise: More tea, Achilles? + +Achilles: Yes, thank you. By the way, how is your friend the Crab? I have been thinking about +him a lot since you told me of your peculiar phonograph-battle. + +Tortoise: I have told him about you, too, and he is quite eager to meet you. He is getting along +just fine. In fact, he recently made a new acquisition in the record player line: a rare type +of jukebox. + +Achilles: Oh, would you tell me about it? I find jukeboxes, with their flashing colored lights and +silly songs, so quaint and reminiscent of bygone eras. + +Tortoise: This jukebox is too large to fit in his house, so he had a shed specially built in back for +it. + +Achilles: I can't imagine why it would be so large, unless it has an unusually large selection of +records. Is that it? + +Tortoise: As a matter of fact, it has exactly one record. + +Achilles: What? A jukebox with only one record? That's a contradiction in terms. Why is the +jukebox so big, then? Is its single record gigantic - twenty feet in diameter? + +Tortoise: No, it's just a regular jukebox-style record. + +Achilles: Now, Mr. Tortoise, you must be joshing me. After all, what I +of a jukebox is it that has only a single song? + +Tortoise: Who said anything about a single song, Achilles? + +Achilles: Every- jukebox I've ever run into obeyed the fundamental jukebox-axiom: "One record, +one song". + +Tortoise: This jukebox is different, Achilles. The one record sits vertically, suspended, and +behind it there is a small but elaborate network of overhead rails, from which hang +various record players. When push a pair of buttons, such as B-l, that selects one of the +record players. This triggers an automatic mechanism that starts the record player +squeakily rolling along the rusty tracks. It gets shunted alongside the record-then it clicks +into playing position. + +Achilles: And then the record begins spinning and music comes out - right? + +Tortoise: Not quite. The record stands still-it's the record player which rotates. + +Achilles: I might have known. But how, if you have but one record to play can you get more than +one song out of this crazy contraption? + +Tortoise: I myself asked the Crab that question. He merely suggested I try it out. So I fished a +quarter from my pocket (you get three plays for a quarter), stuffed it in the slot, and hit +buttons B-l, then C-3 then B-10-all just at random. + +Achilles: So phonograph B-l came sliding down the rail, I suppose, plugged itself into the +vertical record, and began spinning? + +Tortoise: Exactly. The music that came out was quite agreeable, based the famous old tune B-A- +C-H, which I believe you remember. + +* m r + + +* - ~ . + +Achilles: Could 1 ever forget it? + +Tortoise: This was record player B-l. Then it finished, and was s rolled back into its hanging +position, so that C-3 could be slid into position. + +Achilles: Now don’t tell me that C-3 played another song? + +Tortoise: It did just that. + +Achilles: Ah, I understand. It played the flip side of the first song, or another band on the same +side. + +Tortoise: No, the record has grooves only on one side, and has only a single band. + +Achilles: I don't understand that at all. You CAN'T pull different songs out of the same record! + +Tortoise: That's what I thought until I saw Mr. Crab's jukebox. Achilles: How did the second +song go? + +Tortoise: That's the interesting thing ... It was a song based on the melody C-A-G-E. + +Achilles: That's a totally different melody! + +Tortoise: True. + +Achilles: And isn't John Cage a composer of modern music? I seem to remember reading about +him in one of my books on haiku. + +Tortoise: Exactly. He has composed many celebrated pieces, such as 4'33", a three-movement +piece consisting of silences of different lengths. It's wonderfully expressive-if you like +that sort of thing. + +Achilles: I can see where if I were in a loud and brash cafe I might gladly pay to hear Cage's +4'33" on a jukebox. It might afford some relief! + +Tortoise: Right-who wants to hear the racket of clinking dishes and jangling silverware? By the +way, another place where 4'33" would come in handy is the Hall of Big Cats, at feeding +time. + +Achilles: Are you suggesting that Cage belongs in the zoo? Well, I guess that makes some sense. +But about the Crab's jukebox ... I am baffled. How could both "BACH" and "CAGE" be +coded inside a single record at once? + +Tortoise: You may notice that there is some relation between the two, Achilles, if you inspect +them carefully. Let me point the way. What do you get if you list the successive intervals +in the melody B-A-C-H? + +Achilles: Let me see. Lirst it goes down one semitone, from B to A (where B is taken the +German way); then it rises three semitones to C; and finally it falls one semitone, to H. +That yields the pattern: + +* -1, +3, -1. + +Tortoise: Precisely. What about C-A-G-E, now? + +Achilles: Well, in this case, it begins by falling three semitones, then ten semitones (nearly an +octave), and finally falls three more semitones. That means the pattern is: + +* -3, +10, -3. + +It's very much like the other one, isn't it? + +Tortoise: Indeed it is. They have exactly the same "skeleton", in a certain sense. You can make +C-A-G-E out of B-A-C-H by multiplying all the intervals by 31/3, and taking the nearest +whole number. + +Achilles: Well, blow me down and pick me up! So does that mean that only +some sort of skeletal code is present in the grooves, and that the various record players +add their own interpretations to that code? + +Tortoise: I don’t know, for sure. The cagey Crab wouldn't fill me in on the details. But I did get +to hear a third song, when record player B-l swiveled into place. + +Achilles: How did it go? + +Tortoise: The melody consisted of enormously wide intervals, and we B-C-A-H. + +The interval pattern in semitones was: + +* -10, +33, -10. + +It can be gotten from the CAGE pattern by yet another multiplication by 3%3, and +rounding to whole numbers. + +Achilles: Is there a name for this kind of interval multiplication? + +Tortoise: One could call it "intervallic augmentation". It is similar to tl canonic device of +temporal augmentation, where all the time values notes in a melody get multiplied by +some constant. There, the effect just to slow the melody down. Here, the effect is to +expand the melodic range in a curious way. + +Achilles: Amazing. So all three melodies you tried were intervallic augmentations of one single +underlying groove-pattern in the record: + +Tortoise: That’s what I concluded. + +Achilles: I find it curious that when you augment BACH you get CAGE and when you augment +CAGE over again, you get BACH back, except jumbled up inside, as if BACH had an +upset stomach after passing through the intermediate stage of CAGE. + +Toiloise: That sounds like an insightful commentary on the new art form of Cage. + +CHAPTER VI: The Location of Meaning + +When Is One Thing Not Always the Same? + +LAST CHAPTER, WE came upon the question, "When are two things the same?" In this +Chapter, we will deal with the flip side of that question: "When is one thing not always +the same?" The issue we are broaching is whether meaning can be said to be inherent in a +message, or whether meaning is always manufactured by the interaction of a mind or a +mechanism with a message-as in the preceding Dialogue. In the latter case, meaning +could not said to be located in any single place, nor could it be said that a message has +any universal, or objective, meaning, since each observer could bring its own meaning to +each message. But in the former case, meaning would have both location and +universality. In this Chapter, I want to present the case for the universality of at least +some messages, without, to be sure, claiming it for all messages. The idea of an +"objective meaning" of a message will turn out to be related, in an interesting way, to the +simplicity with which intelligence can be described. + +Information-Bearers and Information- Revealers + +I'll begin with my favorite example: the relationship between records, music, and record +players. We feel quite comfortable with the idea that a record contains the same +information as a piece of music, because of the existence of record players, which can +"read" records and convert the groove-patterns into sounds. In other words, there is an +isomorphism between groove-patterns and sounds, and the record player is a mechanism +which physically realizes that isomorphism. It is natural, then, to think of the record as an +information-bearer, and the record-player as an information-revealer. A second example +of these notions is given by the pq-system. There, the "information-bearers" are the +theorems, and the "information-revealer" is the interpretation, which is so transparent that +we don't need any electrical machine to help us extract the information from pq- +theorems. + +One gets the impression from these two examples that isomorphisms and +decoding mechanisms (i.e., information-revealers) simply reveal information which is +intrinsically inside the structures, waiting to be "pulled out". This leads to the idea that +for each structure, there are certain pieces of information which can be pulled out of it, +while there are other pieces of information which cannot be pulled out of it. But what +does this phrase +"pull out" really mean? How hard are you allowed to pull? There are c where by +investing sufficient effort, you can pull very recondite piece of information out of certain +structures. In fact, the pulling-out may inv such complicated operations that it makes you +feel you are putting in n information than you are pulling out. + +Genotype and Phenotype + +Take the case of the genetic information commonly said to reside in double helix of +deoxyribonucleic acid (DNA). A molecule of DNA - a genotype-is converted into a +physical organism-a phenotype -by a complex process, involving the manufacture of +proteins, the replication the DNA, the replication of cells, the gradual differentiation of +cell types and so on. Incidentally, this unrolling of phenotype from genotype epigenesis- +is the most tangled of tangled recursions, and in Chapter we shall devote our full attention +to it. Epigenesis is guided by a se enormously complex cycles of chemical reactions and +feedback loops the time the full organism has been constructed, there is not even remotest +similarity between its physical characteristics and its genotype. + +And yet, it is standard practice to attribute the physical structure of organism to +the structure of its DNA, and to that alone. The first evidence for this point of view came +from experiments conducted by Oswald A, in 1946, and overwhelming corroborative +evidence has since been amassed Avery's experiments showed that, of all the biological +molecules, only E transmits hereditary properties. One can modify other molecules it +organism, such as proteins, but such modifications will not be transmitted to later +generations. However, when DNA is modified, all successive generations inherit the +modified DNA. Such experiments show that the only of changing the instructions for +building a new organism is to change DNA-and this, in turn, implies that those +instructions must be cc somehow in the structure of the DNA. + +Exotic and Prosaic Isomorphisms + +Therefore one seems forced into accepting the idea that the DNA's structure contains the +information of the phenotype's structure, which is to the two are isomorphic. However, +the isomorphism is an exotic one, by w] I mean that it is highly nontrivial to divide the +phenotype and genotype into "parts" which can be mapped onto each other. Prosaic +isomorphic by contrast, would be ones in which the parts of one structure are easily +mappable onto the parts of the other. An example is the isomorphism between a record +and a piece of music, where one knows that to any so in the piece there exists an exact +"image" in the patterns etched into grooves, and one could pinpoint it arbitrarily +accurately, if the need arose Another prosaic isomorphism is that between Gplot and any +of its internal butterflies. + +The isomorphism between DNA structure and phenotype structure is anything but +prosaic, and the mechanism which carries it out physically is awesomely complicated. +For instance, if you wanted to find some piece of your DNA which accounts for the shape +of your nose or the shape of your fingerprint, you would have a very hard time. It would +be a little like trying to pin down the note in a piece of music which is the carrier of the +emotional meaning of the piece. Of course there is no such note, because the emotional +meaning is carried on a very high level, by large "chunks" of the piece, not by single +notes. Incidentally, such "chunks" are not necessarily sets of contiguous notes; there may +be disconnected sections which, taken together, carry some emotional meaning. + +Similarly, "genetic meaning"-that is, information about phenotype structure-is +spread all through the small parts of a molecule of DNA, although nobody understands +the language yet. (Warning: Understanding this "language" would not at all be the same +as cracking the Genetic Code, something which took place in the early 1960's. The +Genetic Code tells how to translate short portions of DNA into various amino acids. +Thus, cracking the Genetic Code is comparable to figuring out the phonetic values of the +letters of a foreign alphabet, without figuring out the grammar of the language or the +meanings of any of its words. The cracking of the Genetic Code was a vital step on the +way to extracting the meaning of DNA strands, but it was only the first on a long path +which is yet to be trodden.) + +Jukeboxes and Triggers + +The genetic meaning contained in DNA is one of the best possible examples of implicit +meaning. In order to convert genotype into phenotype, a set of mechanisms far more +complex than the genotype must operate on the genotype. The various parts of the +genotype serve as triggers for those mechanisms. A jukebox-the ordinary type, not the +Crab type!-provides a useful analogy here: a pair of buttons specifies a very complex +action to be taken by the mechanism, so that the pair of buttons could well be described +as "triggering" the song which is played. In the process which converts genotype into +phenotype, cellular jukeboxes-if you will pardon the notion!-accept "button-pushings" +from short excerpts from a long strand of DNA, and the "songs" which they play are +often prime ingredients in the creation of further "jukeboxes". It is as if the output of real +jukeboxes, instead of being love ballads, were songs whose lyrics told how to build more +complex jukeboxes ... Portions of the DNA trigger the manufacture of proteins; those +proteins trigger hundreds of new reactions; they in turn trigger the replicating-operation +which, in several steps, copies the DNA-and on and on ... This gives a sense of how +recursive the whole process is. The final result of these many-triggered triggerings is the +phenotype-the individual. And one says that the phenotype is the revelation-the "pulling- +out"-of the information that was present in the DNA to start with, latently. (The term +"revelation" in this context is due to +Jacques Monod, one of the deepest and most original of twentieth-century molecular +biologists.) + +Now no one would say that a song coming out of the loudspeaker of jukebox +constitutes a "revelation" of information inherent in the pair buttons which were pressed, +for the pair of buttons seem to be mere triggers, whose purpose is to activate information¬ +bearing portions of the jukebox mechanism. On the other hand, it seems perfectly +reasonable to call t extraction of music from a record a "revelation" of information +inherent the record, for several reasons: + +(1) the music does not seem to be concealed in the mechanism of the record player; + +(2) it is possible to match pieces of the input (the record) with pieces of the output +(the music) to an arbitrary degree of accuracy; + +(3) it is possible to play other records on the same record player and get other +sounds out; + +(4) the record and the record player are easily separated from one another. + +It is another question altogether whether the fragments of a smashed record contain +intrinsic meaning. The edges of the separate pieces together and in that way allow the +information to be reconstituted-t something much more complex is going on here. Then +there is the question of the intrinsic meaning of a scrambled telephone call ... There is a +vast spectrum of degrees of inherency of meaning. It is interesting to try place epigenesis +in this spectrum. As development of an organism takes place, can it be said that the +information is being "pulled out" of its DNA? Is that where all of the information about +the organism's structure reside; + +DNA and the Necessity of Chemical Context + +In one sense, the answer seems to be yes, thanks to experiments li Avery's. But in another +sense, the answer seems to be no, because so much of the pulling-out process depends on +extraordinarily complicated cellular chemical processes, which are not coded for in the +DNA itself. The DNA relies on the fact that they will happen, but does not seem to +contain a code which brings them about. Thus we have two conflicting views on the +nature of the information in a genotype. One view says that so much of t information is +outside the DNA that it is not reasonable to look upon the DNA as anything more than a +very intricate set of triggers, like a sequence of buttons to be pushed on a jukebox; +another view says that the information is all there, but in a very implicit form. + +Now it might seem that these are just two ways of saying the same thing, but that +is not necessarily so. One view says that the DNA is quite meaningless out of context; the +other says that even if it were taken out context, a molecule of DNA from a living being +has such a compelling inner +logic to its structure that its message could be deduced anyway. To put it as succinctly as +possible, one view says that in order for DNA to have meaning, chemical context is +necessary; the other view says that only intelligence is necessary to reveal the "intrinsic +meaning" of a strand of DNA. + +An Unlikely UFO + +We can get some perspective on this issue by considering a strange hypothetical +event. A record of David Oistrakh and Lev Oborin playing Bach's sonata in F Minor for +violin and clavier is sent up in a satellite. From the satellite it is then launched on a course +which will carry it outside of the solar system, perhaps out of the entire galaxy just a thin +plastic platter with a hole in the middle, swirling its way through intergalactic space. It +has certainly lost its context. How much meaning does it carry? + +If an alien civilization were to encounter it, they would almost certainly be struck +by its shape, and would probably be very interested in it. Thus immediately its shape, +acting as a trigger, has given them some information: that it is an artifact, perhaps an +information-bearing artifact. This idea-communicated, or triggered, by the record itself- +now creates a new context in which the record will henceforth be perceived. The next +steps in the decoding might take considerably longer-but that is very hard for us to assess. +We can imagine that if such a record had arrived on earth in Bach's time, no one would +have known what to make of it, and very likely it would not have gotten deciphered. But +that does not diminish our conviction that the information was in principle there; we just +know that human knowledge in those times was not very sophisticated with respect to the +possibilities of storage, transformation, and revelation of information. + +Levels of Understanding of a Message + +Nowadays, the idea of decoding is extremely widespread; it is a significant part of the +activity of astronomers, linguists, archaeologists, military specialists, and so on. It is +often suggested that we may be floating in a sea of radio messages from other +civilizations, messages which we do not yet know how to decipher. And much serious +thought has been given to the techniques of deciphering such a message. One of the main +problems perhaps the deepest problem-is the question, "How will we recognize the fact +that there is a message at all? How to identify a frame?" The sending of a record seems to +be a simple solution-its gross physical structure is very attention-drawing, and it is at +least plausible to us that it would trigger, in any sufficiently great intelligence, the idea of +looking for information hidden in it. However, for technological reasons, sending of solid +objects to other star systems seems to be out of the question. Still, that does not prevent +our thinking about the idea. + +Now suppose that an alien civilization hit upon the idea that the appropriate +mechanism for translation of the record is a machine which +converts the groove-patterns into sounds. This would still be a far cry from a true +deciphering. What, indeed, would constitute a successful deciphering of such a record? +Evidently, the civilization would have to be able to ma sense out of the sounds. Mere +production of sounds is in itself hart worthwhile, unless they have the desired triggering +effect in the brains that is the word) of the alien creatures. And what is that desired +effect? would be to activate structures in their brains which create emotional effects in +them which are analogous to the emotional effects which experience in hearing the piece. +In fact, the production of sounds cot even be bypassed, provided that they used the record +in some other way get at the appropriate structures in their brains. (If we humans had a w +of triggering the appropriate structures in our brains in sequential order, as music does, +we might be quite content to bypass the sounds-but it see] extraordinarily unlikely that +there is any way to do that, other than via o ears. Deaf composers-Beethoven, Dvofak, +Faure-or musicians who can "hear" music by looking at a score, do not give the lie to this +assertion, for such abilities are founded upon preceding decades of direct auditory +experiences.) + +Here is where things become very unclear. Will beings of an alien civilization +have emotions? Will their emotions-supposing they have some-be mappable, in any +sense, onto ours? If they do have emotions somewhat like ours, do the emotions cluster +together in somewhat the same way as ours do? Will they understand such amalgams as +tragic beauty courageous suffering? If it turns out that beings throughout the universe do +share cognitive structures with us to the extent that even emotions overlap, then in some +sense, the record can never be out of its natural context; that context is part of the scheme +of things, in nature. And if such is the case, then it is likely that a meandering record, if +not destroyed en route, would eventually get picked up by a being or group of beings, at +get deciphered in a way which we would consider successful. + +"Imaginary Spacescape" + +In asking about the meaning of a molecule of DNA above, I used t phrase +"compelling inner logic"; and I think this is a key notion. To illustrate this, let us slightly +modify our hypothetical record-into-spa event by substituting John Cage's "Imaginary +Landscape no. 4" for the Bach. This piece is a classic of aleatoric , or chance, music- +music who structure is chosen by various random processes, rather than by an attempt to +convey a personal emotion. In this case, twenty-four performers attar themselves to the +twenty-four knobs on twelve radios. For the duration the piece they twiddle their knobs in +aleatoric ways so that each radio randomly gets louder and softer, switching stations all +the while. The tot sound produced is the piece of music. Cage's attitude is expressed in 14 +own words: "to let sounds be themselves, rather than vehicles for man made theories or +expressions of human sentiments." + +Now imagine that this is the piece on the record sent out into space. It would be +extraordinarily unlikely-if not downright impossible-for an alien civilization to +understand the nature of the artifact. They would probably be very puzzled by the +contradiction between the frame message ("I am a message; decode me"), and the chaos +of the inner structure. There are few "chunks" to seize onto in this Cage piece, few +patterns which could guide a decipherer. On the other hand, there seems to be, in a Bach +piece, much to seize onto-patterns, patterns of patterns, and so on. We have no way of +knowing whether such patterns are universally appealing. We do not know enough about +the nature of intelligence, emotions, or music to say whether the inner logic of a piece by +Bach is so universally compelling that its meaning could span galaxies. + +However, whether Bach in particular has enough inner logic is not the issue here; +the issue is whether any message has, per se, enough compelling inner logic that its +context will be restored automatically whenever intelligence of a high enough level +comes in contact with it. If some message did have that context-restoring property, then it +would seem reasonable to consider the meaning of the message as an inherent property of +the message. + +The Heroic Decipherers + +Another illuminating example of these ideas is the decipherment of ancient texts written +in unknown languages and unknown alphabets. The intuition feels that there is +information inherent in such texts, whether or not we succeed in revealing it. It is as +strong a feeling as the belief that there is meaning inherent in a newspaper written in +Chinese, even if we are completely ignorant of Chinese. Once the script or language of a +text has been broken, then no one questions where the meaning resides: clearly it resides +in the text, not in the method of decipherment just as music resides in a record, not inside +a record player! One of the ways that we identify decoding mechanisms is by the fact that +they do not add any meaning to the signs or objects which they take as input; they merely +reveal the intrinsic meaning of those signs or objects. A jukebox is not a decoding +mechanism, for it does not reveal any meaning belonging to its input symbols; on the +contrary, it supplies meaning concealed inside itself. + +Now the decipherment of an ancient text may have involved decades of labor by +several rival teams of scholars, drawing on knowledge stored in libraries all over the +world ... Doesn't this process add information, too? Just how intrinsic is the meaning of a +text, when such mammoth efforts are required in order to find the decoding rules? Has +one put meaning into the text, or was that meaning already there? My intuition says that +the meaning was always there, and that despite the arduousness of the pulling-out +process, no meaning was pulled out that wasn't in the text to start with. This intuition +comes mainly from one fact: I feel that the result was inevitable; that, had the text not +been deciphered by this group at this time, it would have been deciphered by that group +at that time-and it would have come +out the same way. That is why the meaning is part of the text itself; it acts upon +intelligence in a predictable way. Generally, we can say: meaning is part of an object to +the extent that it acts upon intelligence in a predictable way. + +In Figure 39 is shown the Rosetta stone, one of the most precious of all historic +discoveries. It was the key to the decipherment of Egyptian hieroglyphics, for it contains +parallel text in three ancient scripts: hieroglyphic demotic characters, and Greek. The +inscription on this basalt stele was firs deciphered in 1821 by Jean Francois Champollion, +the "father of Egyptology"; it is a decree of priests assembled at Memphis in favor of +Ptolemy Epiphanes. + +Three Layers of Any Message + +In these examples of decipherment of out-of-context messages, we can separate +out fairly clearly three levels of information: (1) the frame message; (2) the outer +message; (3) the inner message. The one we are most familiar with is (3), the inner +message; it is the message which is supposed to be transmitted: the emotional +experiences in music, the phenotype in genetics, the royalty and rites of ancient +civilizations in tablets, etc. + +To understand the inner message is to have extracted the meaning intended by the +sender.. + +The frame message is the message "I am a message; decode me if you can!"; and +it is implicitly conveyed by the gross structural aspects of any information-bearer. + +To understand the frame message is to recognize the need for a decoding- +mechanism. + +If the frame message is recognized as such, then attention is switched to level (2), +the outer message. This is information, implicitly carried by symbol-patterns and +structures in the message, which tells how to decode the inner message. + +To understand the outer message is to build, or know how to build, the correct +decoding mechanism for the inner message. + +This outer level is perforce an implicit message, in the sense that the sender cannot ensure +that it will be understood. It would be a vain effort to send instructions which tell how to +decode the outer message, for they would have to be part of the inner message, which can +only be understood once the decoding mechanism has been found. For this reason, the +outer message is necessarily a set of triggers, rather than a message which can be +revealed by a known decoder. + +The formulation of these three "layers" is only a rather crude beginning at +analyzing how meaning is contained in messages. There may be layers and layers of +outer and inner messages, rather than just one of each. Think, for instance, of how +intricately tangled are the inner and outer messages of the Rosetta stone. To decode a +message fully, one would have to reconstruct the entire semantic structure which +underlay its creation and thus to understand the sender in every deep way. Hence one +could throw away the inner message, because if one truly understood all the finesses of +the outer message, the inner message would be reconstructible. + +The book After Babel , by George Steiner, is a long discussion of the interaction +between inner and outer messages (though he never uses that terminology). The tone of +his book is given by this quote: + +We normally use a shorthand beneath which there lies a wealth of subconscious, +deliberately concealed or declared associations so extensive and intricate that they probably equal the sum and uniqueness of our status as an individual person.' + +Thoughts along the same lines are expressed by Leonard B. Meyer, in h book Music, the +Arts, and Ideas: + +The way of listening to a composition by Elliott Carter is radically different from the way +of listening appropriate to a work by John Cage. Similarly, a novel by Beckett must in a +significant sense be read differently from one by Bellow. A painting by Willem de +Kooning and one by Andy Warhol require different perceptional-cognitive attitudes.' + +Perhaps works of art are trying to convey their style more than an thing else. In +that case, if you could ever plumb a style to its very bottom you could dispense with the +creations in that style. "Style", "outer message "decoding technique "-all ways of +expressing the same basic idea. + +Schrodinger's Aperiodic Crystals + +What makes us see a frame message in certain objects, but none in other; Why +should an alien civilization suspect, if they intercept an errant record that a message lurks +within? What would make a record any different from a meteorite? Clearly its geometric +shape is the first clue that "something funny is going on". The next clue is that, on a more +microscopic scale, consists of a very long aperiodic sequence of patterns, arranged in a +spiral If we were to unwrap the spiral, we would have one huge linear sequence (around +2000 feet long) of minuscule symbols. This is not so different from a DNA molecule, +whose symbols, drawn from a meager "alphabet" of four different chemical bases, are +arrayed in a one-dimensional sequence, an then coiled up into a helix. Before Avery had +established the connection between genes and DNA, the physicist Erwin Schrodinger +predicted, o purely theoretical grounds, that genetic information would have to be stored +in "aperiodic crystals", in his influential book What Is Lifel In fact books themselves are +aperiodic crystals contained inside neat geometric forms. These examples suggest that, +where an aperiodic crystal is found "packaged" inside a very regular geometric structure, +there may lurk a inner message. (I don't claim this is a complete characterization of frame +messages; however, it is a fact that many common messages have frame messages of this +description. See Figure 40 for some good examples.) + +Languages for the Three Levels + +The three levels are very clear in the case of a message found in a bottle washed up on a +beach. The first level, the frame message, is found when one picks up the bottle and sees +that it is sealed, and contains a dry piece c paper. Even without seeing writing, one +recognizes this type of artifact an information-bearer, and at this point it would take an +extraordinary almost inhuman-lack of curiosity, to drop the bottle and not look further. + +Next, one opens the bottle and examines the marks on the paper. Perhaps, they are in +Japanese; this can be discovered without any of the inner message being understood-it +merely comes from a recognition of 1 characters. The outer message can be stated as an +English sentence: "I in Japanese." Once this has been discovered, then one can proceed +the inner message, which may be a call for help, a haiku poem, a lover’s lament... + +It would be of no use to include in the inner message a translation the sentence +"This message is in Japanese", since it would take someone who knew Japanese to read +it. And before reading it, he would have recognize the fact that, as it is in Japanese, he +can read it. You might try wriggle out of this by including translations of the statement +"This mess2 is in Japanese" into many different languages. That would help it practical +sense, but in a theoretical sense the same difficulty is there. . English-speaking person +still has to recognize the "Englishness" of the message; otherwise it does no good. Thus +one cannot avoid the problem that one has to find out how to decipher the inner message +from the outside the inner message itself may provide clues and confirmations, but those ; +at best triggers acting upon the bottle finder (or upon the people whom enlists to help). + +Similar kinds of problem confront the shortwave radio listener. First he has to +decide whether the sounds he hears actually constitute a message or are just static. The +sounds in themselves do not give the answer, not e% in the unlikely case that the inner +message is in the listener's own native language, and is saying, "These sounds actually +constitute a message a are not just static!" If the listener recognizes a frame message in +the soup then he tries to identify the language the broadcast is in-and clearly, he is still on +the outside; he accepts triggers from the radio, but they cam explicitly tell him the +answer. + +It is in the nature of outer messages that they are not conveyed in any +explicit language. To find an explicit language in which to convey outer messages would +not be a breakthrough-it would be a contradiction in terms! It is always the listener's +burden to understand the outer message. Success lets him break through into the inside, at +which point the ratio of triggers to explicit meanings shifts drastically towards the latter. +By comparison with the previous stages, understanding the inner message seems +effortless. It is as if it just gets pumped in. + +The "Jukebox" Theory of Meaning. + +These examples may appear to be evidence for the viewpoint that no message has +intrinsic meaning, for in order to understand any inner message, no matter how simple it +is, one must first understand its frame message and its outer message, both of which are +carried only by triggers (such as being written in the Japanese alphabet, or having +spiraling grooves, etc.). It begins to seem, then, that one cannot get away from a +"jukebox" theory of meaning-the doctrine that no message contains inherent meaning, +because, before any message can be understood, it has to be used as the input to some +"jukebox", which means that information contained in the "jukebox" must be added to the +message before it acquires meaning. + +This argument is very similar to the trap which the Tortoise caught Achilles in, in +Lewis Carroll's Dialogue. There, the trap was the idea that before you can use any rule, +you have to have a rule which tells you how to use that rule; in other words, there is an +infinite hierarchy of levels of rules, which prevents any rule from ever getting used. Here, +the trap is the idea that before you can understand any message, you have to have a +message which tells you how to understand that message; in other words, there is an +infinite hierarchy of levels of messages, which prevents any message from ever getting +understood. However, we all know that these paradoxes are invalid, for rules do get used, +and messages do get understood. How come? + +Against the Jukebox Theory + +This happens because our intelligence is not disembodied, but is instantiated in physical +objects: our brains. Their structure is due to the long process of evolution, and their +operations are governed by the laws of physics. Since they are physical entities, our +brains run without being told how to run. So it is at the level where thoughts are produced +by physical law that Carroll's rule-paradox breaks down; and likewise, it is at the level +where a brain interprets incoming data as a message that the message-paradox breaks +down. It seems that brains come equipped with "hardware" for recognizing that certain +things are messages, and for decoding those messages. This minimal inborn ability to +extract inner meaning is what allows the highly recursive, snowballing process of +language acquisition to take place. The inborn hardware is like a jukebox: it supplies the +additional information which turns mere triggers into complete messages. + +Meaning Is Intrinsic If Intelligence Is Natural + +Now if different people's "jukeboxes" had different "songs" in then responded to given +triggers in completely idiosyncratic ways, the would have no inclination to attribute +intrinsic meaning to those tri; However, human brains are so constructed that one brain +responds in much the same way to a given trigger as does another brain, all other t being +equal. This is why a baby can learn any language; it responds to triggers in the same way +as any other baby. This uniformity of "human jukeboxes" establishes a uniform +"language" in which frame message outer messages can be communicated. If, +furthermore, we believe human intelligence is just one example of a general phenomena +nature-the emergence of intelligent beings in widely varying contexts then presumably +the "language" in which frame messages and outer sages are communicated among +humans is a "dialect" of a universal gauge by which intelligences can communicate with +each other. Thus, would be certain kinds of triggers which would have "universal +triggering power", in that all intelligent beings would tend to respond to them i same way +as we do. + +This would allow us to shift our description of where meaning located. We could +ascribe the meanings (frame, outer, and inner) message to the message itself, because of +the fact that deciphering mechanisms are themselves universal-that is, they are +fundamental f of nature which arise in the same way in diverse contexts. To make it +concrete, suppose that "A-5" triggered the same song in all jukeboxes suppose moreover +that jukeboxes were not man-made artifacts, but w occurring natural objects, like galaxies +or carbon atoms. Under such circumstances, we would probably feel justified in calling +the universal triggering power of "A-5" its "inherent meaning"; also, "A-5" would merit: +the name of "message", rather than "trigger", and the song would indeed "revelation" of +the inherent, though implicit, meaning of "A-5". + +Earth Chauvinism + +This ascribing of meaning to a message comes from the invariance c processing of the +message by intelligences distributed anywhere ii universe. In that sense, it bears some +resemblance to the ascribing of to an object. To the ancients, it must have seemed that an +object's weight was an intrinsic property of the object. But as gravity became understood, +it was realized that weight varies with the gravitational field the object is immersed in. +Nevertheless, there is a related quantity, the mass, which not vary according to the +gravitational field; and from this invariance the conclusion that an object's mass was an +intrinsic property of the object itself. If it turns out that mass is also variable, according to +context, then will backtrack and revise our opinion that it is an intrinsic property of an +object. In the same way, we might imagine that there could exist other +kinds of "jukeboxes"-intelligences-which communicate among each other via messages +which we would never recognize as messages, and who also would never recognize our +messages as messages. If that were the case, then the claim that meaning is an intrinsic +property of a set of symbols would have to be reconsidered. On the other hand, how +could we ever realize that such beings existed? + +It is interesting to compare this argument for the inherency of meaning with a +parallel argument for the inherency of weight. Suppose one defined an object's weight as +"the magnitude of the downward force which the object exerts when on the surface of the +planet Earth". Under this definition, the downward force which an object exerts when on +the surface of Mars would have to be given another name than "weight". This definition +makes weight an inherent property, but at the cost of geocentricity" Earth chauvinism". It +would be like "Greenwich chauvinism "-refusing to accept local time anywhere on the +globe but in the GMT time zone. It is an unnatural way to think of time. + +Perhaps we are unknowingly burdened with a similar chauvinism with respect to +intelligence, and consequently with respect to meaning. In our chauvinism, we would call +any being with a brain sufficiently much like our own "intelligent", and refuse to +recognize other types of objects as intelligent. To take an extreme example, consider a +meteorite which, instead of deciphering the outer-space Bach record, punctures it with +colossal indifference, and continues in its merry orbit. It has interacted with the record in +a way which we feel disregards the record's meaning. Therefore, we might well feel +tempted to call the meteorite "stupid". But perhaps we would thereby do the meteorite a +disservice. Perhaps it has a "higher intelligence" which we in our Earth chauvinism +cannot perceive, and its interaction with the record was a manifestation of that higher +intelligence. Perhaps, then, the record has a "higher meaning"-totally different from that +which we attribute to it; perhaps its meaning depends on the type of intelligence +perceiving it. Perhaps. + +It would be nice if we could define intelligence in some other way than "that +which gets the same meaning out of a sequence of symbols as we do". For if we can only +define it this one way, then our argument that meaning is an intrinsic property is circular, +hence content-free. We should try to formulate in some independent way a set of +characteristics which deserve the name "intelligence". Such characteristics would +constitute the uniform core of intelligence, shared by humans. At this point in history we +do not yet have a well-defined list of those characteristics. However, it appears likely that +within the next few decades there will be much progress made in elucidating what human +intelligence is. In particular, perhaps cognitive psychologists, workers in Artificial +Intelligence, and neuroscientists will be able to synthesize their understandings, and come +up with a definition of intelligence. It may still be human-chauvinistic; there is no way +around that. But to counterbalance that, there may be some elegant and beautiful-and +perhaps even simple-abstract ways of characterizing the essence of intelligence. This +would serve to lessen the feeling of having +formulated an anthropocentric concept. And of course, if contact were established with an +alien civilization from another star system, we feel supported in our belief that our own +type of intelligence is not just a fluke, but an example of a basic form which reappears in +nature in contexts, like stars and uranium nuclei. This in turn would support the idea of +meaning being an inherent property. + +To conclude this topic, let us consider some new and old ex; and discuss the +degree of inherent meaning which they have, by ourselves, to the extent that we can, in +the shoes of an alien civilization which intercepts a weird object... + +Two Plaques in Space + +Consider a rectangular plaque made of an indestructible metallic alloy which are +engraved two dots, one immediately above the another preceding colon shows a picture. +Though the overall form of the might suggest that it is an artifact, and therefore that it +might conceal some message, two dots are simply not sufficient to convey anything. (Can +before reading on, hypothesize what they are supposed to mean suppose that we made a +second plaque, containing more dots, as follows. + +Now one of the most obvious things to do-so it might seer terrestrial intelligence +at least-would be to count the dots in the successive rows. The sequence obtained is: + +* 1, 1, 2, 3, 5, 8, 13, 21, 34. + +Here there is evidence of a rule governing the progression from one the next. In fact, the +recursive part of the definition of the Fib numbers can be inferred, with some confidence, +from this list. Supp think of the initial pair of values (1,1) as a "genotype" from which the +"phenotype"-the full Fibonacci sequence-is pulled out by a recursive rule. By sending the +genotype alone-namely the first version plaque-we fail to send the information which +allows reconstitution phenotype. Thus, the genotype does not contain the full +specification of +the phenotype. On the other hand, if we consider the second version of the plaque to be +the genotype, then there is much better cause to suppose that the phenotype could +actually be reconstituted. This new version of the genotype-a "long genotype"-contains so +much information that the mechanism by which phenotype is pulled out of genotype can +be inferred by intelligence from the genotype alone. + +Once this mechanism is firmly established as the way to pull phenotype from +genotype, then we can go back to using "short genotypes"-like the first plaque. For +instance, the "short genotype" (1,3) would yield the phenotype + +* 1, 3, 4, 7, 11, 18, 29, 47,... + +-the Lucas sequence. And for every set of two initial values-that is, for every short +genotype-there will be a corresponding phenotype. But the short genotypes, unlike the +long ones, are only triggers-buttons to be pushed on the jukeboxes into which the +recursive rule has been built. The long genotypes are informative enough that they +trigger, in an intelligent being, the recognition of what kind of "jukebox" to build. In that +sense, the long genotypes contain the information of the phenotype, whereas the short +genotypes do not. In other words, the long genotype transmits not only an inner message, +but also an outer message, which enables the inner message to be read. It seems that the +clarity of the outer message resides in the sheer length of the message. This is not +unexpected; it parallels precisely what happens in deciphering ancient texts. Clearly, +one's likelihood of success depends crucially on the amount of text available. + +Bach us'. Cage Again + +But just having a long text may not be enough. Let us take up once more the difference +between sending a record of Bach's music into space, and a record of John Cage's music. +Incidentally, the latter, being a Composition of Aleatorically Generated Elements, might +be handily called a "CAGE", whereas the former, being a Beautiful Aperiodic Crystal of +Harmony, might aptly be dubbed a "BACH". Now let's consider what the meaning of a +Cage piece is to ourselves. A Cage piece has to be taken in a large cultural setting-as a +revolt against certain kinds of traditions. Thus, if we want to transmit that meaning, we +must not only send the notes of the piece, but we must have earlier communicated an +extensive history of Western culture. It is fair to say, then, that an isolated record of John +Cage's music does not have an intrinsic meaning. However, for a listener who is +sufficiently well versed in Western and Eastern cultures, particularly in the trends in +Western music over the last few decades, it does carry meaning-but such a listener is like +a jukebox, and the piece is like a pair of buttons. The meaning is mostly contained inside +the listener to begin with; the music serves only to trigger it. And this "jukebox", unlike +pure intelligence, is not at all universal; it is highly earthbound, depending on +idiosyncratic sequences of events all over our globe for long period of time. Hoping that John Cage's +music will be understood by another civilization is like hoping that your favorite tune, on +a jukebox on the moon, will have the same buttons as in a saloon in Saskatoon. + +On the other hand, to appreciate Bach requires far less cultural k edge. This may +seem like high irony, for Bach is so much more con and organized, and Cage is so devoid +of intellectuality. But there strange reversal here: intelligence loves patterns and balks at +randomness For most people, the randomness in Cage's music requires much explanation; +and even after explanations, they may feel they are missing the message-whereas with +much of Bach, words are superfluous. In sense, Bach's music is more self-contained than +Cage's music. Still, it is clear how much of the human condition is presumed by Bach. + +For instance, music has three major dimensions of structure (me harmony, +rhythm), each of which can be further divided into small intermediate, and overall +aspects. Now in each of these dimensions, there is a certain amount of complexity which +our minds can handle before boggling; clearly a composer takes this into account, mostly +unconsciously when writing a piece. These "levels of tolerable complexity" along +different dimensions are probably very dependent on the peculiar conditions of our +evolution as a species, and another intelligent species might have developed music with +totally different levels of tolerable complexity along these many dimensions. Thus a Bach +piece might conceivably have to be accompanied, by a lot of information about the +human species, which simply could not inferred from the music's structure alone. If we +equate the Bach music a genotype, and the emotions which it is supposed to evoke with +the phenotype, then what we are interested in is whether the genotype con all the +information necessary for the revelation of the phenotype. + +How Universal Is DNA's Message? + +The general question which we are facing, and which is very similar t questions inspired +by the two plaques, is this: "How much of the co necessary for its own understanding is a +message capable of restoring? can now revert to the original biological meanings of +"genotype" "phenotype"-DNA and a living organism-and ask similar quest Does DNA +have universal triggering power? Or does it need a "biojukebox" to reveal its meaning? +Can DNA evoke a phenotype without being embedded in the proper chemical context? +To this question to answer is no-but a qualified no. Certainly a molecule of DNA in a +vacuum will not create anything at all. However, if a molecule of DNA were set to seek +its fortune in the universe, as we imagined the BACH and the CAGE were, it might be +intercepted by an intelligent civilization. They might first of all recognize its frame +message. Given that, they might to try to deduce from its chemical structure what kind of +chemical environment it seemed to want, and then supply such an environment. Successively more refined attempts along these lines might eventually lead to a full restoration +of the chemical context necessary for the revelation of DNA's phenotypical meaning. +This may sound a little implausible, but if one allows many millions of years for the +experiment, perhaps the DNA's meaning would finally emerge. + +On the other hand, if the sequence of bases which compose a strand of DNA were +sent as abstract symbols (as in Fig. 41), not as a long helical molecule, the odds are +virtually nil that this, as an outer message, would trigger the proper decoding mechanism +which would enable the phenotype to be drawn out of the genotype. This would be a case +of wrapping an inner message in such an abstract outer message that the context-restoring +power of the outer message would be lost, and so in a very pragmatic sense, the set of +symbols would have no intrinsic meaning. Lest you think this all sounds hopelessly +abstract and philosophical, consider that the exact moment when phenotype can be said to +be "available", or "implied", by genotype, is a highly charged issue in our day: it is the +issue of abortion. + +DIALOGUE VII: Chromatic Fantasy, And Feud. + +Having had a splendid dip in the pond, the Tortoise is just crawling out and +shaking himself dry, when who but Achilles walks by. + +Tortoise: Ho there, Achilles. I was just thinking of you as I splash around in the pond. + +Achilles: Isn't that curious? I was just thinking of you, too, while I meandered through the +meadows. They're so green at this time of year. + +Tortoise: You think so? It reminds me of a thought I was hoping to share with you. + +Would you like to hear it? + +Achilles: Oh, I would be delighted. That is, I would be delighted as long you're not going +to try to snare me in one of your wicked traps of log Mr. T. + +Tortoise: Wicked traps? Oh, you do me wrong. Would I do anything wicked? I'm a +peaceful soul, bothering nobody and leading a gent; herbivorous life. And my +thoughts merely drift among the oddities and quirks of how things are (as I see +them). I, humble observer phenomena, plod along and puff my silly words into +the air rather unspectacularly, I am afraid. But to reassure you about my intention +I was only planning to speak of my Tortoise-shell today, and as you know, those +things have nothing-nothing whatsoever-to do with logic! + +Achilles: Your words Do reassure me, Mr. T. And, in fact, my curiosity quite piqued. I +would certainly like to listen to what you have to say even if it is unspectacular. + +Tortoise: Let's see ... how shall I begin? Hmm ... What strikes you me about my shell, +Achilles? + +Achilles: It looks wonderfully clean! + +Tortoise: Thank you. I just went swimming and washed off several layers of dirt which +had accumulated last century. Now you can see ho green my shell is. + +Achilles: Such a good healthy green shell, it's nice to see it shining in sun. + +Tortoise: Green? It's not green. + +Achilles: Well, didn't you just tell me Tortoise: I did. + +Achilles: Then, we agree: it is green. Tortoise: No, it isn't green. + +Achilles: Oh, I understand your game. You're hinting to me that what you say isn't +necessarily true; that Tortoises play with language; that your statements and +reality don't necessarily match; that - + +Tortoise: I certainly am not. Tortoises treat words as sacred. Tortoises revere accuracy. + +Achilles: Well, then, why did you say that your shell is green, and that it is not green +also? + +Tortoise: I never said such a thing; but I wish I had. Achilles: You would have liked to +say that? + +Tortoise: Not a bit. I regret saying it, and disagree wholeheartedly with it. Achilles: That +certainly contradicts what you said before! + +Tortoise: Contradicts? Contradicts? I never contradict myself. It's not part of Tortoise- +nature. + +Achilles: Well, I've caught you this time, you slippery fellow, you. Caught you in a full- +fledged contradiction. + +Tortoise: Yes, I guess you did. + +Achilles: There you go again! Now you're contradicting yourself more and more! You are +so steeped in contradiction it's impossible to argue with you! + +Tortoise: Not really. I argue with myself without any trouble at all. Perhaps the problem +is with you. I would venture a guess that maybe you're the one who's +contradictory, but you're so trapped in your own tangled web that you can't see +how inconsistent you're being. + +Achilles: What an insulting suggestion! I'm going to show you that you're the +contradictory one, and there are no two ways about it. + +Tortoise: Well, if it's so, your task ought to be cut out for you. What could be easier than +to point out a contradiction? Go ahead-try it out. + +Achilles: Hmm ... Now I hardly know where to begin. Oh ... I know. You first said that +(1) your shell is green, and then you went on to say that (2) your shell is not +green. What more can I say? + +Tortoise: Just kindly point out the contradiction. Quit beating around the bush. + +Achilles: But-but-but... Oh, now I begin to see. (Sometimes I am so slow-witted!) It must +be that you and I differ as to what constitutes a contradiction. That's the trouble. +Well, let me make myself very clear: a contradiction occurs when somebody says +one thing and denies it at the same time. + +Tortoise: A neat trick. I'd like to see it done. Probably ventriloquists would excel at +contradictions, speaking out of both sides of their mouth, as it were. But I'm not a +ventriloquist. + +Achilles: Well, what I actually meant is just that somebody can say one thing and deny it +all within one single sentence! It doesn't literally have to be in the same instant. + +Tortoise: Well, you didn't give ONE sentence. You gave TWO. + +Achilles: Yes-two sentences that contradict each other! + +Tortoise: I am sad to see the tangled structure of your thoughts becoming so exposed, +Achilles. First you told me that a contradiction is some thing which occurs in a +single sentence. Then you told me that you +Found a contradiction in a pair of sentences I uttered. Frankly, it’s just as I said. Your +own system of thought is so delusional that you manage to avoid seeing how +inconsistent it is. From the outside, however plain as day. + +Achilles: Sometimes I get so confused by your diversionary tactics tl can't quite tell if +we're arguing about something utterly petty, or something deep and profound! + +Tortoise: I assure you, Tortoises don't spend their time on the petty. Hence it's the latter. + +Achilles: I am very reassured. Thank you. Now I have had a moment to reflect, and I see +the necessary logical step to convince you that you contradicted yourself. + +Tortoise: Good, good. I hope it's an easy step, an indisputable one. + +Achilles: It certainly is. Even you will agree with it. The idea is that you believed +sentence 1 ("My shell is green"), AND you believed sentence 2 ("My shell is not +green"), you would believe one compound( sentence in which both were +combined, wouldn't you? + +Tortoise: Of course. It would only be reasonable ... providing just that the manner of +combination is universally acceptable. But I'm sure we'll agree on that. + +Achilles: Yes, and then I'll have you! The combination I propose is- + +Tortoise: But we must be careful in combining sentences. For instance you'd grant that +"Politicians lie" is true, wouldn't you? + +Achilles: Who could deny it? + +Tortoise: Good. Likewise, "Cast-iron sinks" is a valid utterance, isn't it? + +Achilles: Indubitably. + +Tortoise: Then, putting them together, we get "Politicians lie in cast iron sinks". Now +that's not the case, is it? + +Achilles: Now wait a minute ... "Politicians lie in cast-iron sinks?" Well, no, but- + +Tortoise: So, you see, combining two true sentences in one is not a policy, is it? + +Achilles: But you-you combined the two-in such a silly way! + +Tortoise: Silly? What have you got to object to in the way I combined them Would you +have me do otherwise? + +Achilles: You should have used the word "and", not "in". + +Tortoise: I should have? You mean, if YOU'D had YOUR way, I should h; + +Achilles: No-it's the LOGICAL thing to do. It's got nothing to do with personally. + +Tortoise: This is where you always lose me, when you resort to your L and its high- +sounding Principles. None of that for me today, plea + +Achilles: Oh, Mr. Tortoise, don't put me through all this agony. You k very well that +that's what "and" means! It's harmless to combine true sentences with "and"! + +Tortoise: "Harmless", my eye! What gall! This is certainly a pernicious plot +to entrap a poor, innocent, bumbling Tortoise in a fatal contradiction. If it were so +harmless, why would you be trying so bloody hard to get me to do it? Eh? + +Achilles: You've left me speechless. You make me feel like a villain, where I really had +only the most innocent of motivations. + +Tortoise: That's what everyone believes of himself... + +Achilles: Shame on me-trying to outwit you, to use words to snare you in a self- +contradiction. I feel so rotten. + +Tortoise: And well you should. I know what you were trying to set up. Your plan was to +make me accept sentence 3, to wit: "My shell is green and my shell is not green". +And such a blatant falsehood is repellent to the Tongue of a Tortoise. + +Achilles: Oh, I'm so sorry I started all this. + +Tortoise: You needn't be sorry. My feelings aren't hurt. After all, I'm used to the +unreasonable ways of the folk about me. I enjoy your company, Achilles, even if +your thinking lacks clarity. + +Achilles: Yes ... Well, I fear I am set in my ways, and will probably continue to err and +err again, in my quest for Truth. + +Tortoise: Today's exchange may have served a little to right your course. Good day, +Achilles. + +Achilles: Good day, Mr. T. + +CHAPTER VII: The Propositional Calculus + +Words and Symbols + +THE PRECEDING DIALOGUE is reminiscent of the Two-Part Invention by Lewis +Carroll. In both, the Tortoise refuses to use normal, ordinary in the normal, ordinary way- +or at least he refuses to do so when it is his advantage to do so. A way to think about the +Carroll paradox was given last Chapter. In this Chapter we are going to make symbols dc +Achilles couldn't make the Tortoise do with his words. That is, we are to make a formal +system one of whose symbols will do just what A wished the word 'and' would do, when +spoken by the Tortoise, and ail of whose symbols will behave the way the words 'if... then +. . .' ought to behave. There are only two other words which we will attempt to deal with +'or' and 'not'. Reasoning which depends only on correct usage of these words is termed +propositional reasoning. + +Alphabet and First Rule of the Propositional Calculus + +I will present this new formal system, called the Propositional Calculus, like a puzzle, not +explaining everything at once, but letting you things out to some extent. We begin with +the list of symbols: + +* < > + +* P Q R " + +* A V Z + +The first rule of this system that I will reveal is the following: + +RULE OF JOINING: If x and y are theorems of the system, then so is the string < xAy >. + +This rule takes two theorems and combines them into one. It s remind you of the +Dialogue. + +Well-Formed Strings + +There will be several other rules of inference, and they will all be pres shortly-but first, it +is important to define a subset of all strings, namely the +well formed strings. They will be defined in a recursive way. We begin with the +ATOMS: P, Q, and R are called atoms.. New atoms are formed by appending primes +onto the right of old atoms-thus, R\ Q", P'", etc. This gives an endless supply of atoms. +All atoms are well-formed. + +Then we have four recursive + +FORMATION RULES: If x and y are well-formed, then the following four strings are +also well-formed: + +(1) ~x + +(2) < XAy> + +(3) < xvy> + +(4) < X3y> + +For example, all of the following are well-formed: + +* P atom + +* ~P by (1) + +* ~~P by (1) + +* Q' atom + +* ~Ql by (1) + +* by (2) + +* ~ by (1) + +* ~~~Q'> by (4) + +* <~>Pa~Q' >v ->P=>~Q'> by (3) + +The last one may look quite formidable, but it is built up straightforwardly from two +components-namely the two lines just above it. Each of them is in turn built up from +previous lines ... and so on. Every well-formed string can in this way be traced back to its +elementary constituents-that is, atoms. You simply run the formation rules backwards +until you can no more. This process is guaranteed to terminate, since each formation rule +(when run forwards) is a lengthening rule, so that running it backwards always drives you +towards atoms. + +This method of decomposing strings thus serves as a check on the well- +formedness of any string. It is a top-down decision procedure for wellformedness. You +can test your understanding of this decision procedure by checking which of the +following strings are well-formed: + +(1)

+ +(2) (2) <~P> + +(3) + +(4) + +(5) «PaQ>aQ~aP» + +(6) + +(7) «PvR»a>~Pv~R» + +(8) a> QaP: + +(Answer: Those whose numbers are Fibonacci numbers are not formed. The rest are well- +formed.) + +More Rules of Inference + +Now we come to the rest of the rules by which theorems of this system constructed. A +few rules of inference follow. In all of them, the symbols 'x' and 'y' are always to be +understood as restricted to well formed strings + +* RULE OF SEPARATION: If < XAy> is a theorem, then both x and theorems. + +Incidentally, you should have a pretty good guess by now as to concept the symbol 'A' +stands for. (Hint: it is the troublesome word the preceding Dialogue.) From the following +rule, you should be a figure out what concept the tilde ('-') represents: + +* DOUBLE-TILDE RULE: The string '-' can be deleted from any theorem. It can also be +inserted into any theorem, provided that the rest string is itself well-formed. + +The Fantasy Rule + +Now a special feature of this system is that it has no axioms- only rule you think back to +the previous formal systems we've seen, you may w( how there can be any theorems, +then. How does everything get started? The answer is that there is one rule which +manufactures theorems from out of thin air-it doesn't need an "old theorem" as input. +(The rest of the do require input.) This special rule is called the fantasy rule. The reason I +call it that is quite simple. + +To use the fantasy rule, the first thing you do is to write down an well-formed +string x you like, and then "fantasize" by asking, "What if string x were an axiom, or a +theorem?" And then, you let the system give an answer. That is, you go ahead and make a +derivation with x ; opening line; let us suppose y is the last line. (Of course the derivation +must strictly follow the rules of the system.) Everything from x to y (inclusive) is the +fantasy; x is the premise of the fantasy, and y is its outcome. The next step is to jump out +of the fantasy, having learned from it that out. + +If x were a theorem, y would be a theorem. + +Still, you might wonder, where is the real theorem? The real theorem is the string + +* + +Notice the resemblance of this string to the sentence printed above + +To signal the entry into, and emergence from, a fantasy, one uses the +square brackets '[' and respectively. Thus, whenever you see a left square bracket, you +know you are "pushing" into a fantasy, and the next line will contain the fantasy's +premise. Whenever you see a right square bracket, you know you are "popping" back out, +and the preceding line was the outcome. It is helpful (though not necessary) to indent +those lines of a derivation which take place in fantasies. + +Here is an illustration of the fantasy rule, in which the string P is taken as a +premise. (It so happens that P is not a theorem, but that is of no import; we are merely +inquiring, "What if it were?") We make the following fantasy: + +* [ push into fantasy + +* P premise + +* ~~~P outcome (by double tilde rule) + +* ] pop out of fantasy + +The fantasy shows that: + +If P were a theorem, so would ~~P be one. + +We now "squeeze" this sentence of English (the metalanguage) into the formal +notation (the object language): . This, our first theorem of the Propositional +Calculus, should reveal to you the intended interpretation of the symbol 'z>'. + +Here is another derivation using the fantasy rule: + +* [ push + +* premise + +* P separation + +* Q separation + +* joining + +* ] pop + +* «PaQ>=> + +* ] + +* >PaQ» + +* ] + +* Q=>>PaQ»> + +* push + +* premise of outer fantasy + +* push again + +* premise of inner fantasy + +* carry-over of P into inner fantasy + +* joining + +* pop out of inner fantasy, regain outer fantasy + +* fantasy rule + +* pop out of outer fantasy, reach real world! + +* fantasy rule + +Note that I’ve indented the outer fantasy once, and the inner fantasy twice, to +emphasize the nature of these nested "levels of reality". One to look at the fantasy rule is +to say that an observation made about the system is inserted into the system. Namely, the +theorem < x^y> which gets produced can be thought of as a representation inside the +system of the statement about the system "If x is a theorem, then y is too". To be specific, +the intended interpretation for Q> is "if P, then Q equivalently, "P implies Q". + +The Converse of the Fantasy Rule + +Now Lewis Carroll's Dialogue was all about "if-then" statements. In particular, Achilles +had a lot of trouble in persuading the Tortoise to accept the second clause of an "if-then" +statement, even when the "if-then" state itself was accepted, as well as its first clause. The +next rule allows y infer the second "clause" of a'z>'-string, provided that the 'zf-string it a +theorem, and that its first "clause" is also a theorem. + +* RULE OF DETACHMENT: If x and < xz>y> are both theorems, then y is a theorem. + +Incidentally, this rule is often called "Modus Ponens", and the fantasy rule is often called +the "Deduction Theorem". + +The Intended Interpretation of the Symbols + +We might as well let the cat out of the bag at this point, and reveal the "meanings" of the +rest of the symbols of our new system. In case it is not yet apparent, the symbol 'A' is +meant to be acting isomorphically to the normal, everyday word 'and'. The symbol +represents the word 'not'-it is a formal sort of negation. The angle brackets '<’ and '>' are +groupers-their function being very similar to that of parentheses in ordinary algebra. The +main difference is that in algebra, you have the freedom to insert parentheses or to leave +them out, according to taste and style, whereas in a formal system, such anarchic freedom +is not tolerated. The symbol V represents the word 'or' ('vel' is a Latin word for 'or'). The +'or' that is meant is the so-called inclusive 'or', which means that the interpretation of + is "either x or y-or both". + +The only symbols we have not interpreted are the atoms. An atom has no single +interpretation-it may be interpreted by any sentence of English (it must continue to be +interpreted by the same sentence if it occurs multiply within a string or derivation). Thus, +for example, the well-formed string could be interpreted by the compound +sentence + +This mind is Buddha, and this mind is not Buddha. + +Now let us look at each of the theorems so far derived, and interpret them. The first one +was . If we keep the same interpretation for P, we have the following +interpretation: + +If this mind is Buddha, +then it is not the case that this mind is not Buddha. + +Note how I rendered the double negation. It is awkward to repeat a negation in any +natural language, so one gets around it by using two different ways of expressing +negation. The second theorem we derived was «PaQ>zkQaP». If we let Q be +interpreted by the sentence "This flax weighs three pounds", then our theorem reads as +follows: + +If this mind is Buddha and this flax weighs three pounds, + +then this flax weighs three pounds and this mind is Buddha. + +The third theorem was >PaQ>». This one goes into the following nested "if- +then" sentence: + +If this mind is Buddha, +then, if this flax weighs three pounds, +then this mind is Buddha and this flax weighs three pounds. + +You probably have noticed that each theorem, when interpreted, something +absolutely trivial and self-evident. (Sometimes they are so s evident that they sound +vacuous and-paradoxically enough-confusing or even wrong!) This may not be very +impressive, but just remember there are plenty of falsities out there which could have +been produced they weren't. This system-the Propositional Calculus-steps neatly ft truth +to truth, carefully avoiding all falsities, just as a person who is concerned with staying dry +will step carefully from one stepping-stone creek to the next, following the layout of +stepping-stones no matter I twisted and tricky it might be. What is impressive is that-in +the Propositional Calculus-the whole thing is done purely typographically. There is +nobody down "in there", thinking about the meaning of the strings. It i! done +mechanically, thoughtlessly, rigidly, even stupidly. + +Rounding Out the List of Rules + +We have not yet stated all the rules of the Propositional Calculus. The complete set of +rules is listed below, including the three new ones. + +* JOINING RULE: If x and y are theorems, then < XAy> is a theorem. + +* SEPARATION RULE: If < XAy> is a theorem, then both x and y are theorems. + +* DOUBLE-TILDE RULE: The string '-' can be deleted from any theorem can also be +inserted into any theorem, provided that the result string is itself well-formed. + +* FANTASY RULE: If y can be derived when x is assumed to be a theorem then < X3y> is +a theorem. + +* CARRY-OVER RULE: Inside a fantasy, any theorem from the "reality" c level higher +can be brought in and used. + +* RULE OF DETACHMENT: If x and < X3y> are both theorems, then y is a theorem. + +* CONTRAPOSITIVE RULE: and >~y=)~x> are interchangeable + +* DE MORGAN'S RULE: <~XA~y> and ~> xvy> are interchangeable. + +* SWITCHEROO RULE: and >~xz>y> are interchangeable. + +(The Switcheroo rule is named after Q. q. Switcheroo, an Albanian railroad engineer who +worked in logic on the siding.) By "interchangeable" in foregoing rules, the following is +meant: If an expression of one form occurs as either a theorem or part of a theorem, the +other form may be +substituted, and the resulting string will also be a theorem. It must be kept in mind that +the symbols ‘x’ and ‘y’ always stand for well-formed strings of the system. + +Justifying the Rules + +Before we see these rules used inside derivations, let us look at some very short +justifications for them. You can probably justify them to yourself better than my +examples - which is why I only give a couple. + +The contrapositive rule expresses explicitly a way of turning around conditional +statements which we carry out unconsciously. For instance, the “Zentence” + +If you are studying it, then you are far from the Way +Means the same thing as + +If you are close to the Way, then you are not studying it. + +De Morgan’s rule can be illustrated by our familiar sentence “The flag is not +moving and the wind is not moving”. If P symbolizes “the flag is not moving”, and Q +symbolizes “the wind is moving”, then the compound sentence is symbolized by +<~Pa~Q>, which, according to Morgan’s law, is interchangeable with ~>PvQ>. whose +interpretation would be “It is not true that either the flag or the wind is moving”. And no +one could deny that it is a Zensible conclusion to draw. + +For the Switrcheroo rule, consider the sentence “Either a cloud is hanging over +the mountain, or the moonlight is penetrating the waves of the lake,” which might be +spoken, I suppose, by a wistful Zen master remembering a familiar lake which he can +visualize mentally but cannot see. Now hang on to your seat, for the Swircheroo rule tells +us that this is interchangeable with the thought “If a cloud is not hanging over the +mountain, then the moonlight is penetrating the waves of the lake.” This may not be +enlightenment, but it is the best the Propositional Calculus has to offer. + +Playing around with the system + +Now, let us apply these rules to a previous theorem, ands see what we get: For instance, +take the theorem : + +* -P>: + +* <~~~P=d~P>: + +* <~P=>~P> + +* + +* old theorem + +* contrapositive + +* double-tilde + +* switcheroo + +This new theorem, when interpreted, says: + +Either this mind is Buddha, or this mind is not Buddha + +Once again, the interpreted theorem, though perhaps less than mind boggling, is at least +true. + +Semi-Interpretations + +It is natural, when one reads theorems of the Propositional Calculus out loud, to interpret +everything but the atoms. I call this semi-interpreting. For example, the semi¬ +interpretation of :: would be +P or not P. + +Despite the fact that P is not a sentence, the above semisentence still sounds true, because +you can very easily imagine sticking any sentence in for P - and the form of the semi- +interpreted theorem assures you that however you make your choice, the resulting +sentence will be true. And that is the key idea of the Propositional Calculus: it produces +theorems which, when semi-interpreted, are seen to be “universally true semisaentences”, +by which is meant that no matter how you complete the interpretation, the final result will +be a true statement. + +Ganto’s Ax + +Now we can do a more advanced exercise, based on a Zen koan called “Ganto’s Ax”. +Here is how it began. + +One day Tokusan told his student Ganto, “I have two monks who have been here +for many years. Go and examine them.” Ganto picked up an ax and went to the hut +where the two monks were meditating. He raised the ax, saying “If you say a word, + +I will cut off your heads; and if you do not say a word, I will also cut off your +heads.” 1 + +If you say a word I will cut off this koan, and if you do not say a word, I will also cut off +this koan - because I want you to translate some of it into our notation. Let us symbolize +“you say a word” by P and “I will cut off your heads” by Q. Then Ganto’s ax threat is +symbolized by the string «Pz>Q>a<~'Pz>Q». What if this ax threat were an axiom? + +Here is a fantasy to answer that question. + +(1) [ push + +(2) «P=>Q>a<~'P=>Q». Ganto’s axiom + +(3) Q> separation + +(4) <~Q=>~P>. contrapositive + +(5) <~P=>Q> separation + +(6) <~Q=>~~P>. contrapositive + +(7) ] push again + +(8) ~Q premise + +(9) <~Qz>~P>. + +(10) ~P + +(11) <~Qz)~~P>. + +(12) ~~P + +(13) <~Pa~~P> + +(14) <~Pv~~P> + +(15) ] + +(16) <~Qz>~>Pv~P». + +(17) <~Pv~P>z>Q>. + +(18) [ + +(19) . ~P + +(20) ] + +(21) <~P3~P>. + +(22) . + +(23) Q + +(24) ] + +* carry-over of line 4 + +* detachment + +* carry-over of line 6 + +* detachment (lines 8 and 11) + +* joining + +* De Morgan + +* pop once + +* fantasy rule + +* contrapositive + +* push + +* premise (also outcome) + +* pop + +* fantasy rule + +* switcheroo + +* detachment (lines 22 and 17) + +* pop out + +The power of the Propositional Calculus is shown in this example. Why, in but two dozen +steps, we have deduced Q: that the heads will be cut off! (Ominously, the rule last +invoked was "detachment" ...) It might seem superfluous to continue the koan now, since +we know what must ensue ... However, I shall drop my resolve to cut the koan off; it is a +true Zen koan, after all. The rest of the incident is here related: + +Both monks continued their meditation as if he had not spoken. Ganto dropped the +ax and said, "You are true Zen students." He returned to Tokusan and related the +incident. "I see your side well," Tokusan agreed, "but tell me, how is their side?" +"Tozan may admit them," replied Ganto, "but they should not be admitted under +Tokusan. "2 + +Do you see my side well? How is the Zen side? + +Is There a Decision Procedure for Theorems? + +The Propositional Calculus gives us a set of rules for producing statements which would +be true in all conceivable worlds. That is why all of its theorems sound so simple-minded; +it seems that they have absolutely no content! Looked at this way, the Propositional +Calculus might seem to be a waste of time, since what it tells us is absolutely trivial. On +the other hand, it does it by specifying the form of statements that are universally true, +and this throws a new kind of light onto the core truths of the universe: they are not only +fundamental, but also regular, they can be produced by one set of typographical rules. To +put it another way, they are all "cut from the same cloth". You might consider whether +the same could be said about Zen koans: could they all be produced by one set of +typographical rules? + +It is quite relevant here to bring up the question of a decision procedure. That is, +does there exist any mechanical method to tell nontheorems from theorems? If so, that +would tell us that the set of theorems of the +Propositional Calculus is not only r.e., but also recursive. It turns out that there is an +interesting decision procedure-the method of truth u would take us a bit afield to present +it here; you can find it in almost any standard book on logic. And what about Zen koans? +Could there conceivably be a mechanical decision procedure which distinguishes genuine +Zen koans from other things? + +Do We Know the System Is Consistent? + +Up till now, we have only presumed that all theorems, when interpreted as indicated, are +true statements. But do we know that that is the case' we prove it to be? This is just +another way of asking whether the intended interpretations ('and' for 'a', etc.) merit being +called the "passive meanings” of the symbols. One can look at this issue from two very +different points of view, which might be called the "prudent" and "imprudent" points I +will now present those two sides as I see them, personifying their as "Prudence" and +"Imprudence". + +Prudence: We will only KNOW that all theorems come out true un intended +interpretation if we manage to PROVE it. That is the c: thoughtful way to proceed. +Imprudence: On the contrary. It is OBVIOUS that all theorems will come out true. If you +doubt me, look again at the rules of the system. You will find that each rule makes a +symbol act exactly as the word it represents ought to be used. For instance, the joining +rule makes the symbol ‘a’ act as 'and' ought to act; the rule of detachment makes '3' +act as it ought to, if it is to stand for 'implies', or 'if-then'; and so on. Unless you are +like the Tortoise, you will recognize in each rule a codification of a pattern you use in +your own thought patterns. So if you trust your own thought patterns, then you HAVE +to believe that all theorems come out true! That's the way I see it. I don't need any +further proof. If you think that some theorem comes out false, then presumably you +think that some rule must be wrong. Show me which one. + +Prudence: I'm not sure that there is any faulty rule, so I can't point one out to you. Still, I +can imagine the following kind of scenario. You, following the rules, come up with a +theorem - say x. Meanwhile I, also following the rules, come up with another +theorem-it happens to be ~x. Can't you force yourself to conceive of that? +Imprudence: All right; let's suppose it happened. Why would it bother you? Or let me put +it another way. Suppose that in playing with the MlU-system, I came up with a +theorem x, and you came up with xU Can you force yourself to conceive of that? +Prudence: Of course-in fact both MI and MIU are theorems. + +Imprudence: Doesn't that bother you? + +Prudence: Of course not. Your example is ridiculous, because MI and MIU are not +CONTRADICTORY, whereas two strings x and ~x in the Propositional Calculus +ARE contradictory. + +Imprudence: Well, yes - provided you wish to interpretas 'not'. But what would lead +you to think that'-' should be interpreted as 'not'? + +Prudence: The rules themselves. When you look at them, you realize that the only +conceivable interpretation for '-' is 'not'-and likewise, the only conceivable +interpretation for 'a' is 'and', etc. + +Imprudence: In other words, you are convinced that the rules capture the meanings of +those words? + +Prudence: Precisely. + +Imprudence: And yet you are still willing to entertain the thought that both x and ~x +could be theorems? Why not also entertain the notion that hedgehogs are frogs, or that +1 equals 2, or that the moon is made of green cheese? I for one am not prepared even +to consider whether such basic ingredients of my thought processes are wrong - +because if I entertained that notion, then I would also have to consider whether my +modes of analyzing the entire question are also wrong, and I would wind up in a total +tangle. + +Prudence: Your arguments are forceful ... Yet I would still like to see a PROOF that all +theorems come out true, or that x and ~x can never both be theorems. + +Imprudence: You want a proof. I guess that means that you want to be more convinced +that the Propositional Calculus is consistent than you are convinced of your own +sanity. Any proof I could think of would involve mental operations of a greater +complexity than anything in the Propositional Calculus itself. So what would it prove? +Your desire for a proof of consistency of the Propositional Calculus makes me think +of someone who is learning English and insists on being given a dictionary which +definers all the simple words in terms of complicated ones... + +The Carroll Dialogue Again + +This little debate shows the difficulty of trying to use logic and reasoning to defend +themselves. At some point, you reach rock bottom, and there is no defense except loudly +shouting, "I know I'm right!" Once again, we are up against the issue which Lewis +Carroll so sharply set forth in his Dialogue: you can't go on defending your patterns of +reasoning forever. There comes a point where faith takes over. + +A system of reasoning can be compared to an egg. An egg has a shell which +protects its insides. If you want to ship an egg somewhere, though, you don't rely on the +shell. You pack the egg in some sort of container, chosen according to how rough you +expect the egg's voyage to be. To be extra careful, you may put the egg inside several +nested boxes. However, no matter how many layers of boxes you pack your egg in, you +can imagine some cataclysm which could break the egg. But that doesn't mean that you'll +never risk transporting your egg. Similarly, one can never give an ultimate, absolute +proof that a proof in some system is correct. Of course, +one can give a proof of a proof, or a proof of a proof of a proof - but the validity of the +outermost system always remains an unproven assumption, accepted on faith. One can +always imagine that some unsuspected subtlety will invalidate every single level of proof +down to the bottom, and tl "proven" result will be seen not to be correct after all. But that +doesn’t mean that mathematicians and logicians are constantly worrying that the whole +edifice of mathematics might be wrong. On the other hand, unorthodox proofs are +proposed, or extremely lengthy proofs, or proofs generated by computers, then people do +stop to think a bit about what they really mean by that quasi-sacred word "proven". + +An excellent exercise for you at this point would be to go back Carroll Dialogue, +and code the various stages of the debate into our notation - beginning with the original +bone of contention: + +Achilles: If you have «AaB>z>Z>, and you also have , then surely you have Z. +Tortoise: Oh! You mean: ««AaB>=>Z>aZ>, : don't you? + +(Hint: Whatever Achilles considers a rule of inference, the Tortoise immediately flattens +into a mere string of the system. If you use or letters A, B, and Z, you will get a recursive +pattern of longer and strings.) + +Shortcuts and Derived Rules + +When carrying out derivations in the Propositional Calculus, one quickly invents various +types of shortcut, which are not strictly part of the system For instance, if the string + were needed at some point, and >Pv~P> had been derived earlier, many people +would proceed as if had been derived, since they know that its derivation is an +exact parallel to that of . The derived theorem is treated as a "theorem schema" - +a mold for other theorems. This turns out to be a perfect valid procedure, in that it always +leads you to new theorems, but it is not a rule of the Propositional Calculus as we +presented it. It is, rather, a derived ride , It is part of the knowledge which we have about +the system. That this rule keeps you within the space of theorems needs proof, of course - +but such a proof is not like a derivation inside the system. It is a proof in the ordinary, +intuitive sense - a chain of reasoning carried out in the I-mode. The theory about the +Propositional Calculus is a "metatheory", and results in it can be called "metatheorems" - +Theorems about theorems. (Incidentally, note the peculiar capitalization in the phrase +"Theorems about theorems". It is a consequence of our convention: metatheorems are +Theorems (proven results) concerning theorems (derivable strings).) + +In the Propositional Calculus, one could discover many metatheorems, or derived +rules of inference. For instance, there is a De Morgan's Rule: + +* <~xv~y> and ~>XAy> are interchangeable. + +If this were a rule of the system, it could speed up many derivations considerably. But if +we prove that it is correct, isn't that good enough? Can't we use it just like a rule of +inference, from then on? + +There is no reason to doubt the correctness of this particular derived rule. But +once you start admitting derived rules as part of your procedure in the Propositional +Calculus, you have lost the formality of the system, since derived rules are derived +informally-outside the system. Now formal systems were proposed as a way to exhibit +every step of a proof explicitly, within one single, rigid framework, so that any +mathematician could check another's work mechanically. But if you are willing to step +outside of that framework at the drop of a hat, you might as well never have created it at +all. Therefore, there is a drawback to using such shortcuts. + +Formalizing Higher Levels + +On the other hand, there is an alternative way out. Why not formalize the metatheory, +too? That way, derived rules (metatheorems) would be theorems of a larger formal +system, and it would be legitimate to look for shortcuts and derive them as theorems-that +is, theorems of the formalized metatheory-which could then be used to speed up the +derivations of theorems of the Propositional Calculus. This is an interesting idea, but as +soon as it is suggested, one jumps ahead to think of metametatheories, and so on. It is +clear that no matter how many levels you formalize, someone will eventually want to +make shortcuts in the top level. + +It might even be suggested that a theory of reasoning could be identical to its own +metatheory, if it were worked out carefully. Then, it might seem, all levels would +collapse into one, and thinking about the system would be just one way of working in the +system! But it is not that easy. Even if a system can "think about itself", it still is not +outside itself. You, outside the system, perceive it differently from the way it perceives +itself. So there still is a metatheory-a view from outside-even for a theory which can +"think about itself" inside itself. We will find that there are theories which can "think +about themselves". In fact, we will soon see a system in which this happens completely +accidentally, without our even intending it! And we will see what kinds of effects this +produces. But for our study of the Propositional Calculus, we will stick with the simplest +ideas-no mixing of levels. + +Fallacies can result if you fail to distinguish carefully between working in the +system (the M-mode) and thinking about the system (the I-mode). For example, it might +seem perfectly reasonable to assume that, since (whose semi-interpretation is +"either P or not P") is a theorem, either P or ~P must be a theorem. But this is dead +wrong: neither one of the latter pair is a theorem. In general, it is a dangerous practice to +assume that symbols can be slipped back and forth between different levels-here, the +language of the formal system and its metalanguage (English). + +Reflections on the Strengths and Weaknesses of the System + +You have now seen one example of a system with a purpose-to re part of the architecture +of logical thought. The concepts which this handles are very few in number, and they are +very simple, precise co But the simplicity and precision of the Propositional Calculus are +the kinds of features which make it appealing to mathematicians. There are two reasons +for this. (1) It can be studied for its own properties, ex geometry studies simple, rigid +shapes. Variants can be made on it, employing different symbols, rules of inference, +axioms or axiom schemata on. (Incidentally, the version of the Propositional Calculus +here pr is related to one invented by G. Gentzen in the early 1930's. The other versions in +which only one rule of inference is used-detachment usually-and in which there are +several axioms, or axiom schemata study of ways to carry out propositional reasoning in +elegant formal systems is an appealing branch of pure mathematics. (2) The Propositional +Calculus can easily be extended to include other fundamental aspects of reasoning. Some +of this will be shown in the next Chapter, where the Propositional Calculus is +incorporated lock, stock and barrel into a much larger and deeper system in which +sophisticated number-theoretical reasoning can be done. + +Proofs vs. Derivations + +The Propositional Calculus is very much like reasoning in some w one should not equate +its rules with the rules of human thought. A proof is something informal, or in other +words a product of normal thought written in a human language, for human consumption. +All sorts of complex features of thought may be used in proofs, and, though they may +“feel right", one may wonder if they can be defended logically. That is really what +formalization is for. A derivation is an artificial counterpart of and its purpose is to reach +the same goal but via a logical structure whose methods are not only all explicit, but also +very simple. + +If - and this is usually the case -it happens that a formal derivation is extremely +lengthy compared with the corresponding "natural" proof that is just too bad. It is the +price one pays for making each step so simple. What often happens is that a derivation +and a proof are "simple" in complementary senses of the word. The proof is simple in +that each step sounds right", even though one may not know just why; the derivation is +simple in that each of its myriad steps is considered so trivial that it is beyond reproach, +and since the whole derivation consists just of such trivial steps it is supposedly error- +free. Each type of simplicity, however, brings along a characteristic type of complexity. +In the case of proofs, it is the complexity of the underlying system on which they rest - +namely, human language - and in the case of derivations, it is their astronomical size, +which makes them almost impossible to grasp. + +Thus, the Propositional Calculus should be thought of as part of a +general method for synthesizing artificial proof-like structures. It does not, however, have +much flexibility or generality. It is intended only for use in connection with mathematical +concepts-which are themselves quite rigid. As a rather interesting example of this, let us +make a derivation in which a very peculiar string is taken as a premise in a fantasy: +. At least its semi-interpretation is peculiar. The Propositional Calculus, +however, does not think about semi-interpretations; it just manipulates strings +typographically-and typographically, there is really nothing peculiar about this string. +Here is a fantasy with this string as its premise: + +(1) [ push + +(2) premise + +(3) P separation + +(4) ~P separation + +(5) [ push + +(6) ~Q premise + +(7) P carry-over line 3 + +(8) ~~P double-tilde + +(9) ] pop + +(10) <~Q=>~~P> fantasy + +(11) <~P=>Q> contrapositive + +(12) Q detachment (Lines 4,11) + +(13) ] pop + +(14) «Pa~P >=)Q> fantasy + +Now this theorem has a very strange semi-interpretation: + +* P and not P together imply Q + +Since Q is interpretable by any statement, we can loosely take the theorem to say that +"From a contradiction, anything follows"! Thus, in systems based on the Propositional +Calculus, contradictions cannot be contained; they infect the whole system like an +instantaneous global cancer. + +The Handling of Contradictions + +This does not sound much like human thought. If you found a contradiction in your own +thoughts, it's very unlikely that your whole mentality would break down. Instead, you +would probably begin to question the beliefs or modes of reasoning which you felt had +led to the contradictory thoughts. In other words, to the extent you could, you would step +out of the systems inside you which you felt were responsible for the contradiction, and +try to repair them. One of the least likely things for you to do would be to throw up your +arms and cry, "Well, I guess that shows that I believe everything now!" As a joke, yes- +but not seriously. + +Indeed, contradiction is a major source of clarification and progress in all domains +of life-and mathematics is no exception. When in times past, a +contradiction in mathematics was found, mathematicians would immediately seek to +pinpoint the system responsible for it, to jump out of it, to reason about it, and to amend +it. Rather than weakening mathematics, the discovery and repair of a contradiction would +strengthen it. This might take time and a number of false starts, but in the end it would +yield fmit. For instance, in the Middle Ages, the value of the infinite series + +* 1 - 1 + 1 - 1 + 1 -. .. + +was hotly disputed. It was "proven" to equal 0, 1, Vi, and perhaps other values. Out of +such controversial findings came a fuller, deeper about infinite series. + +A more relevant example is the contradiction right now confronting us-namely the +discrepancy between the way we really think, and t the Propositional Calculus imitates +us. This has been a source of discomfort for many logicians, and much creative effort has +gone into trying to patch up the Propositional Calculus so that it would not act so stupidly +and inflexibly. One attempt, put forth in the book Entailment by A. R. Anderson and N. +Belnap,' involves "relevant implication", which tries to make the symbol for "if-then" +reflect genuine causality, or at least connect meanings. Consider the following theorems +of the Propositional Calculus + +* >Q=>P» + +* >Qv~P» + +* «Pa~P>z)Q> + +* «P=)Q>vP» + +They, and many others like them, all show that there need be no relationship at all +between the first and second clauses of an if-then statement for it to be provable within +the Propositional Calculus. In protest, "relevant implication" puts certain restrictions on +the contexts in which the rules of inference can be applied. Intuitively, it says that +"something can only be derived from something else if they have to do with each other”. +For example, line 10 in the derivation given above would not be allowed in such a +system, and that would block the derivation of the «Pa~P >z>Q> + +More radical attempts abandon completely the quest for completeness or +consistency, and try to mimic human reasoning with all its inconsistencies. Such research +no longer has as its goal to provide a solid underpinning for mathematics, but purely to +study human thought processes. + +Despite its quirks, the Propositional Calculus has some feat recommend itself. If +one embeds it into a larger system (as we will do next Chapter), and if one is sure that the +larger system contains no contradictions (and we will be), then the Propositional Calculus +does all that one could hope: it provides valid propositional inferences - all that can be +made. So if ever an incompleteness or an inconsistency is uncovered, can be sure that it +will be the fault of the larger system, and not of its subsystem which is the Propositional +Calculus. + +DIALOGUE VIII: Crab Canon + +Achilles and the Tortoise happen upon each other +in the park one day while strolling. + +Tortoise: Good day, Mr. A. + +Achilles: Why, same to you. Tortoise: So nice to run into you. Achilles: That echoes my +thoughts. + +Tortoise: And it's a perfect day for a walk. I think I'll be walking home soon. + +Achilles: Oh, really? I guess there's nothing better for you than w Tortoise: Incidentally, +you're looking in very fine fettle these days, I must say. + +Achilles: Thank you very much. + +Tortoise: Not at all. Here, care for one of my cigars? + +Achilles: Oh, you are such a philistine. In this area, the Dutch contributions are of +markedly inferior taste, don't you think? + +Tortoise: I disagree, in this case. But speaking of taste, I finally saw that Crab Canon by +your favorite artist, M. C. Escher, in a gallery the other day, and I fully appreciate the +beauty and ingenuity with which he made one single theme mesh with itself going +both backwards and forwards. But I am afraid I will always feel Bach is superior to +Escher. + +Achilles: I don't know. But one thing for certain is that I don't worry about arguments of +taste. De gustibus non est disputandum. + +Tortoise: Tell me, what's it like to be your age? Is it true that one has no worries at all? + +Achilles: To be precise, one has no frets. + +Tortoise: Oh, well, it's all the same to me. + +Achilles: Fiddle. It makes a big difference, you know. Tortoise: Say, don't you play the +guitar? + +Achilles: That's my good friend. He often plays, the fool. But I myself wouldn't touch a +guitar with a ten-foot pole! + +(Suddenly, the Crab, appearing from out of nowhere, wanders up excitedly, +pointing to a rather prominent black eye.) + +Crab: Hallo! Hulloo! What's up? What's new? You see this bump, this lump? Given to +me by a grump. Ho! And on such a fine day. You see, I was just idly loafing about the +park when up lumbers this giant fellow from Warsaw-a colossal bear of a man¬ +playing a lute. He was three meters tall, if I'm a day. I mosey on up to the chap, reach +skyward and manage to tap him on the knee, saying, "Pardon me, sir, but you are +Pole-luting our park with your mazurkas." But wow! he had no sense of humor-not a +bit, not a wit-and POW!-he lets loose and belts me one, smack in the eye! Were it in +my nature, I would crab up a storm, but in the time-honored tradition of my species, I +backed off. After all, when we walk forwards, we move backwards. It's in our genes, +you know, turning round and round. That reminds me-I've always wondered, "Which +came first-the Crab, or the Gene?" That is to say, "Which came last the Gene, or the +Crab?" I'm always turning things round and round, you know. It's in our genes, after +all. When we walk backwards, we move forwards. Ah me, oh my! I must lope along +on my merry way-so off I go on such a fine day. Sing "ho!" for the life of a Crab! +TATA! iOle! + +(And he disappears as suddenly as he arrived.) + +Tortoise: That's my good friend. He often plays the fool. But I myself wouldn't touch a +ten-foot Pole with a guitar! + +Achilles: Say, don't you play the guitar? Tortoise: Fiddle. It makes a big difference, + +Achilles: Oh, well, it's all the same to me. + +Tortoise: To be precise, one has no frets. + +Achilles: Tell me, what's it like to be your age? Is it true that one has no worries at all? + +Tortoise: I don't know. But one thing for certain is that I don't worry about arguments of +taste. Disputandum non est de gustibus. + +FIGURE 43. Here is a short section one of the Crab's +Genes, turning round and round. When the two DNA +strands are raveled and laid out side by side, they +read this way: + +* XXTTTTXTTCGAAAAAAAAA +.... A A A A A A A AGCTTTTTTTTTT + +Notice that they are the same, only one forwards while +the other goes backwards This is the defining +property of the form called "crab canon” in music. It +is reminiscent of, though a little different from +palindrome, which is a sentence that reads the same +backwards and forwards ,In molecular biology, +such segments of DNA are called "palindromes "-a +slight misnomer, since "crab canon" would be more +accurate. Not only is this DNA segment crab- +canonical-but moreover its base sequence codes for +the Dialogue's structure Look care fully! + +Achilles: I disagree, in this case. But speaking of taste, I finally heard that Crab Canon +by your favorite composer, J. S Bach, in a concert other day, and I fully appreciate +the beauty and ingenuity with which he made one single theme mesh with itself going +both backwards and forwards. But I'm afraid I will always feel Escher is superior to +Bach + +Tortoise: Oh, you are such a philistine. In this area, the Dutch contributions are of +markedly inferior taste, don’t you think? + +Achilles: Not at all. Here, care for one of my cigars? + +Tortoise: Thank you very much. + +Achilles: Incidentally, you’re looking in very fine fettle these days, I must say. + +Tortoise: Oh, really? I guess there's nothing better for you than walking. +Achilles: And it's a perfect day for a walk. I think I'll be walking home soon. +Tortoise: That echoes my thoughts. + +Achilles: So nice to run into you. + +Tortoise: Why, same to you. + +Achilles: Good day, Mr. T. + +CHAPTER VIII: Typographical Number Theory + +The Crab Canon and Indirect Self-Reference + +THREE EXAMPLES OF indirect self-reference are found in the Crab Canon. Achilles +and the Tortoise both describe artistic creations they know-and, quite accidentally, those +creations happen to have the same structure as the Dialogue they're in. (Imagine my +surprise, when I, the author, noticed this!) Also, the Crab describes a biological structure +and that, too, has the same property. Of course, one could read the Dialogue and +understand it and somehow fail to notice that it, too, has the form of a crab canon. This +would be understanding it on one level, but not on another. To see the self-reference, one +has to look at the form, as well as the content, of the Dialogue. + +Godel’s construction depends on describing the form, as well as the content, of +strings of the formal system we shall define in this Chapter - Typographical Number +Theory (TNT). The unexpected twist is that, because of the subtle mapping which Godel +discovered, the form of strings can be described in the formal system itself. Let us +acquaint ourselves with this strange system with the capacity for wrapping around. + +What We Want to Be Able to Express in TNT + +We'll begin by citing some typical sentences belonging to number theory; then we will +try to find a set of basic notions in terms of which all our sentences can be rephrased. +Those notions will then be given individual symbols. Incidentally, it should be stated at +the outset that the term "number theory" will refer only to properties of positive integers +and zero (and sets of such integers). These numbers are called the natural numbers. +Negative numbers play no role in this theory. Thus the word "number", when used, will +mean exclusively a natural number. And it is important - vital-for you to keep separate in +your mind the formal system (TNT) and the rather ill-defined but comfortable old branch +of mathematics that is number theory itself; this I shall call "N". + +Some typical sentences of N-number theory-are: + +(1) 5 is prime. + +(2) 2 is not a square. + +(3) 1729 is a sum of two cubes. + +(4) No sum of two positive cubes is itself a cube. + +(5) There are infinitely many prime numbers. + +(6) 6 is even. + +Now it may seem that we will need a symbol for each notion such as "prime” or "cube" +or "positive" - but those notions are really not primitive. Primeness, for instance, has to +do with the factors which a number has, which in turn has to do with multiplication. +Cubeness as well is defined in terms multiplication. Let us rephrase the sentences, then, +in terms of what seem to be more elementary notions. + +(1) There do not exist numbers a and b, both greater than 1. such that 5 equals a +times b. + +(2) There does not exist a number b, such that b times b equals 2. + +(3) There exist numbers b and c such that b times b times b, plus c times c times c, +equals 1729. + +(4) For all numbers b and c, greater than 0, there is no number a such that a times a +times a equals b times b times b plus c times c times c. + +(5) For each number a, there exists a number b, greater than a, with the property +that there do not exist numbers c and d, both greater than 1 , such that b equals c +times d. + +(6) There exists a number e such that 2 times e equals 6. + +This analysis has gotten us a long ways towards the basic elements of language of +number theory. It is clear that a few phrases reappear over a over: + +* for all numbers b + +* there exists a number b, such that + +* greater than + +* equals + +* times + +* plus + +* 0 , 1 , 2 ,.. + +Most of these will be granted individual symbols. An exception is "greater than", which +can be further reduced. In fact, the sentence "a is greater than b" becomes + +there exists a number c, not equal to 0, such that a equals b plus c. + +Numerals + +We will not have a distinct symbol for each natural number. Instead, we have a very +simple, uniform way of giving a compound symbol to e natural number - very much as +we did in the pq-system. Here is notation for natural numbers: + +* zero: O + +* one: SO + +* two: SSO + +* three: SSSO + +The symbol S has an interpretation-"the successor of". Hence, the interpretation of SSO +is literally "the successor of the successor of zero". Strings of this form are called +numerals. + +Variables and Terms + +Clearly, we need a way of referring to unspecified, or variable, numbers. For that, we will +use the letters a, b, c, d, e. But five will not be enough. We need an unlimited supply of +them, just as we had of atoms in the Propositional Calculus. We will use a similar method +for making more variables: tacking on any number of primes. (Note: Of course the +symbol "'-read "prime"-is not to be confused with prime numbers!) For instance: + +* e + +* d 1 + +* c" + +* b'"... + +* a"" + +are all variables. + +In a way it is a luxury to use the first five letters of the alphabet when we could +get away with just a and the prime. Later on, I will actually drop b, c, d, and e, which will +result in a sort of "austere" version of TNT-austere in the sense that it is a little harder to +decipher complex formulas. But for now well be luxurious. + +Now what about addition and multiplication? Very simple: we will use the +ordinary symbols '+' and However, we will also introduce a parenthesizing +requirement (we are now slowly slipping into the rules which define well-formed strings +of TNT). To write "b plus c" and "b times c", for instance, we use the strings + +(b + c) + +(b • c) + +There is no laxness about such parentheses; to violate the convention is to produce a non¬ +well-formed formula. ("Formula"? I use the term instead of "string" because it is +conventional to do so. A formula is no more and no less than a string of TNT.) + +Incidentally, addition and multiplication are always to be thought of as binary operations- +that is, they unite precisely two numbers, never three or more. Hence, if you wish to +translate "1 plus 2 plus 3", you have to decide which of the following two expressions +you want: + +(SO + (SSO + SSSO)) + +((SO + SSO) + SSSO) + +The next notion we'll symbolize is equals. That is very simple: we use '=2The advantage +of taking over the standard symbol used N - nonformal number theory - iis obvious: +easy legibility. The disadvantage is very much like the disadvantage of using the words +"point" a "line" in a formal treatment of geometry: unless one is very conscious a careful, +one may blur the distinction between the familiar meaning and strictly rule-governed +behavior of the formal symbol. In discuss geometry, I distinguished between the +everyday word and the formal to by capitalizing the formal term: thus, in elliptical +geometry, a POINT was 1 union of two ordinary points. Here, there is no such +distinction; hen mental effort is needed not to confuse a symbol with all of the association +is laden with. As I said earlier, with reference to the pq-system: the string - is not the +number 3, but it acts isomorphically to 3, at least in the context of additions. Similar +remarks go for the string SSSO. + +Atoms and Propositional Symbols + +All the symbols of the Propositional Calculus except the letters used making atoms (P, Q, +and R) will be used in TNT, and they retain their interpretations. The role of atoms will +be played by strings which, when interpreted, are statements of equality, such as +so=sso or (SO • SO) Now, we have the equipment to do a fair amount of translation of +simple sentences into the notation of TNT: + +* 2 plus 3 equals 4: (SSO + SSSO) = SSSSO + +* 2 plus 2 is not equal to 3: ~(SSO + SSO) = SSSO + +* if 1 equals 0, then 0 equals 1: + +The first of these strings is an atom; the rest are compound formulas (Warning: The 'and' +in the phrase "I and 1 make 2" is just another word for 'plus', and must be represented by +'+' (and the requisite parentheses).) + +Free Variables and Quantifiers + +All the well-formed formulas above have the property that their interpretations are +sentences which are either true or false. There are, however, well-formed formulas which +do-not have that property, such as this one + +(b + SO) = SSO + +Its interpretation is "b plus 1 equals 2". Since b is unspecified, there is way to assign a +truth value to the statement. It is like an out-of-context statement with a pronoun, such as +"she is clumsy". It is neither true nor false; it is waiting for you to put it into a context. +Because it is neither true nor false, such a formula is called open , and the variable b is +called a free variable. + +One way of changing an open formula into a closed formula, or sentence, is by +prefixing it with a quantifier-e ither the phrase "there exists a number b such that , or the +phrase "for all numbers b". In the first instance, you get the sentence + +There exists a number b such that b plus 1 equals 2. + +Clearly this is true. In the second instance, you get the sentence: + +* For all numbers b, b plus 1 equals 2. + +Clearly this is false. We now introduce symbols for both of these quantifiers. These +sentences are translated into TNT-notation as follows: + +* 3b:(b+SO)=SSO ('3' stands for 'exists'.) + +* ¥b:(b+SO)=SSO (’¥' stands for 'all'.) + +It is very important to note that these statements are no longer about unspecified +numbers; the first one is an assertion of existence, and the second one is a universal +assertion. They would mean the same thing, even if written with c instead of b: + +* 3c:(c+SO)=SSO' + +* ¥c:(c+SO)=SSO + +A variable which is under the dominion of a quantifier is called a quantified variable. The +following two formulas illustrate the difference between free variables and quantified +variables: + +(b.b)=SSO (open) + +* --3b:(b*b)=SSO (closed; a sentence of TNT) + +The first one expresses a property which might be possessed by some natural number. Of +course, no natural number has that property. And that is precisely what is expressed by +the second one. It is very crucial to understand this difference between a string with a free +variable, which expresses a property, and a string where the variable is quantified, which +expresses a truth or falsity. The English translation of a formula with at least one free +variable-an open formula-is called a predicate. It is a sentence without a subject (or a +sentence whose subject is an out-of-context pronoun). For instance, + +* "is a sentence without a subject" + +* "would be an anomaly" + +* "runs backwards and forwards simultaneously" + +* "improvised a six-part fugue on demand" + +are nonarithmetical predicates. They express properties which specific entities might or +might not possess. One could as well stick on a "dummy +subject", such as "so-and-so". A string with free variables is like a predicate with "so- +and-so" as its subject. For instance, + +(SO+SO)=b + +is like saying "1 plus 1 equals so-and-so". This is a predicate in the variable b. It +expresses a property which the number b might have. If one wet substitute various +numerals for b, one would get a succession of forms most of which would express +falsehoods. Here is another example of difference between open formulas and sentences : + +* '¥b:'¥c:(b+c)=(c+b) + +The above formula is a sentence representing, of course, the commutativity of addition. +On the other hand, + +* '¥c:(b+c)=(c+b) + +is an open formula, since b is free. It expresses a property which unspecified number b +might or might not have - namely of commuting with all numbers c. + +Translating Our Sample Sentences + +This completes the vocabulary with which we will express all num theoretical statements! +It takes considerable practice to get the hang of expressing complicated statements of N +in this notation, and converse] figuring out the meaning of well-formed formulas. For this +reason return to the six sample sentences given at the beginning, and work their +translations into TNT. By the way, don't think that the translations given below are +unique-far from it. There are many - infinitely many - ways to express each one. + +Let us begin with the last one: "6 is even". This we rephrased in to of more +primitive notions as "There exists a number e such that 2 times e equals 6". This one is +easy + +* 3e:(SSO. e)=SSSSSSO + +note the necessity of the quantifier; it simply would not do to write + +(SSO . e)=SSSSSSO + +alone. This string's interpretation is of course neither true nor false; it expresses a +property which the number e might have. + +It is curious that, since we know multiplication is commutative might easily have +written + +* 3e:(e - SSO)=SSSSSSO + +instead. Or, knowing that equality is a symmetrical relation, we might 1 chosen to write +the sides of the equation in the opposite order: + +* 3e:SSSSSSO=(SSO • e) + +Now these three translations of "6 is even" are quite different strings, and it is by no +means obvious that theoremhood of any one of them is tied to theoremhood of any of the +others. (Similarly, the fact that -p-q- was a theorem had very little to do with the fact +that its "equivalent" string -p-q- was a theorem. The equivalence lies in our minds, +since, as humans, we almost automatically think about interpretations, not structural +properties of formulas.) + +We can dispense with sentence 2: "2 is not a square", almost immediately: + +* -3b:(b • b)=SSO + +However, once again, we find an ambiguity. What if we had chosen to write it this way? + +* Vb: -(b • b) =SSO + +The first way says, "It is not the case that there exists a number b with the property that +b's square is 2", while the second way says, "For all numbers b, it is not the case that b's +square is 2." Once again, to us, they are conceptually equivalent-but to TNT, they are +distinct strings. + +Let us proceed to sentence 3: "1729 is a sum of two cubes." This one will involve +two existential quantifiers, one after the other, as follows: + +* 3b:3c:SSSSSS.SSSSSO=(((b • b) • b)+((c • c) • c)) + +1729 of them + +There are alternatives galore. Reverse the order of the quantifiers; switch the sides of the +equation; change the variables to d and e; reverse the addition; write the multiplications +differently; etc., etc. However, I prefer the following two translations of the sentence: + +* 3b:3c:(((SSSSSSSSSSO.SSSSSSSSSSO).SSSSSSSSSSO)+ +((SSSSSSSSSO • SSSSSSSSSO) • SSSSSSSSSO))=(((b • b) • b)+((c • c) • c)) + +and, + +* 3b:3c:(((SSSSSSSSSSSSO.SSSSSSSSSSSSO). SSSSSSSSSSSSO)+ + +((SO 'SO) • SO))=(((b *b) »b)+((c • c) «c)) + +Do you see why? + +Tricks of the Trade + +Now let us tackle the related sentence 4: "No sum of two positive cubes is itself a cube". +Suppose that we wished merely to state that 7 is not a sum of two positive cubes. The +easiest way to do this is by negating the formula +which asserts that 7 is a sum of two positive cubes. This will be just like the preceding +sentence involving 1729, except that we have to add in the proviso of the cubes being +positive. We can do this with a trick: prefix variables with the symbol S, as follows: + +* 3b:3c:SSSSSSSO=(((Sb • Sb) • Sb)+((Sc • Sc) -Sc)) + +You see, we are cubing not b and c, but their successors, which must be positive, since +the smallest value which either b or c can take on is zero. Hence the right-hand side +represents a sum of two positive cubes. In( tally, notice that the phrase "there exist +numbers b and c such that.”) when translated, does not involve the symbol 'ii' which +stands for ‘and’. That symbol is used for connecting entire well-formed strings, not for +joining two quantifiers. + +Now that we have translated "7 is a sum of two positive cubes", we wish to negate +it. That simply involves prefixing the whole thing by a single (Note: you should not +negate each quantifier, even though the desired phrase runs "There do not exist numbers +b and c such that...".) Thus we get: + +* -3b:3c:SSSSSSSO=(((Sb • Sb) • Sb)+((Sc -Sc) -Sc)) + +Now our original goal was to assert this property not of the number of all cubes. +Therefore, let us replace the numeral SSSSSSSO by the ((a-a)-a), which is the translation +of "a cubed": + +* 3b:3c:((a *a) •a)=(((Sb *Sb) • Sb)+((Sc -Sc) -Sc)) + +At this stage, we are in possession of an open formula, since a is still free. This formula +expresses a property which a number a might or might not have-and it is our purpose to +assert that all numbers do have that property. That is simple - just prefix the whole thing +with a universal quantifier + +* ¥a:-3b:3c:((a -a) • a)=(((Sb • Sb) • Sb) +((Sc -Sc) -Sc)) + +An equally good translation would be this: + +* --3a:3b:3c:((a-a) a)=(((Sb , Sb)»Sb)+((Sc , Sc) , Sc)) + +In austere TNT, we could use a' instead of b, and a" instead of c, and the formula would +become: + +* --3a: 3a': 3a":((a • a) • a) =(((Sa' • Sa') • Sa') +((Sa" • Sa") • Sa")) + +What about sentence 1: "5 is prime"? We had reworded it in this way "There do not exist +numbers a and b, both greater than 1, such equals a times b". We can slightly modify it, +as follows: "There do not exist numbers a and b such that 5 equals a plus 2, times b plus +2". This is another trick-since a and b are restricted to natural number values, this is an +adequate way to say the same thing. Now "b plus 2" could be translated into +(b+SSO), but there is a shorter way to write it - namely, SSb. Likewise, "c plus 2" can +be written SSc. Now, our translation is extremely concise: + +* 3b: 3c:SSSSSO=(SSb • SSc) + +Without the initial tilde, it would be an assertion that two natural numbers do exist, +which, when augmented by 2, have a product equal to 5. With the tilde in front, that +whole statement is denied, resulting in an assertion that 5 is prime. + +If we wanted to assert that d plus e plus 1, rather than 5, is prime, the most +economical way would be to replace the numeral for 5 by the string (d+Se): + +* 3b: 3c:(d+Se)=(SSb SSc) + +Once again, an open formula, one whose interpretation is neither a true nor a false +sentence, but just an assertion about two unspecified numbers, d and e. Notice that the +number represented by the string (d+Se) is necessarily greater than d, since one has +added to d an unspecified but definitely positive amount. Therefore, if we existentially +quantify over the variable e, we will have a formula which asserts that: + +There exists a number which is greater than d and which is prime. + +* 3e:- 3b:3c:(d+Se)=(SSb • SSc) + +Well, all we have left to do now is to assert that this property actually obtains, no matter +what d is. The way to do that is to universally quantify over the variable d: + +* Vd:3e:-3b:3c:(d+Se)=(SSb -SSc) + +That's the translation of sentence 5! + +Translation Puzzles for You + +This completes the exercise of translating all six typical number-theoretical sentences. +However, it does not necessarily make you an expert in the notation of TNT. There are +still some tricky issues to be mastered. The following six well-formed formulas will test +your understanding of TNT notation. What do they mean? Which ones are true (under +interpretation, of course), and which ones are false? (Hint: the way to tackle this exercise +is to move leftwards. First, translate the atom; next, figure out what adding a single +quantifier or a tilde does; then move leftwards, adding another quantifier or tilde; then +move leftwards again, and do the same.) + +* -¥c: 3b:(SSO • b)=c + +* ¥c:- 3b:(SSO • b)=c + +* ¥c: 3b:-(SSO • b)=c + +* ~3b:¥c:(SSO • b)=c + +* 3b:~¥c:(SSO • b)=c + +* 3b:-¥c:-(SSO • b)=c + +(Second hint: Either four of them are true and two false, or four false and two true.) + +How to Distinguish True from False? + +At this juncture, it is worthwhile pausing for breath and contempt what it would mean to +have a formal system that could sift out the true from the false ones. This system would +treat all these strings-which look like statements-as designs having form, but no content. +An( system would be like a sieve through which could pass only designs v special style- +the "style of truth". If you yourself have gone through ti formulas above, and have +separated the true from the false by this about meaning, you will appreciate the subtlety +that any system would to have, that could do the same thing-but typographically! The +bout separating the set of true statements from the set of false statements written in the +TNT-notation) is anything but straight; it is a boundary with many treacherous curves +(recall Fig. 18), a boundary of which mathematicians have delineated stretches, here and +there, working over hundreds years. Just think what a coup it would be to have a +typographical m( which was guaranteed to place any formula on the proper side o border! + +The Rules of Well-Formedness + +It is useful to have a table of Rules of Formation for well-formed formulas This is +* provided below. There are some preliminary stages, defining numerals, variables, and +terms. Those three classes of strings are ingredients of well-formed formulas, but are not +* in themselves well-formed. The smallest well-formed formulas are the atoms ; then there +are ways of compounding atoms. Many of these rules are recursive lengthening rules, in +* that they take as input an item of a given class and produce a longer item of the class. In +this table, I use 'x' and 'y' to stand for well-formed formulas, and 's', 't', and 'u' to stand +* for other kinds of TNT-strings. Needless to say, none of these five symbols is itself a +symbol of TNT. + +NUMERALS + +* O is a numeral. + +* A numeral preceded by S is also a numeral. + +* examples : O SO S5O SSSO SSSSO SSSSSO + +VARIABLES + +* a is a variable. If we're not being austere, so are b, c, d and e. A variable followed +by a prime is also a variable. + +* examples: a b' c" d"' a"" + +TERMS + +* All numerals and variables are terms. + +* A term preceded by S is also a term. + +* If s and t are terms, then so are (,v+ t) and (s • t). + +* examples-. O b SSa' (SO • (SSO+c)) S(Sa • (Sb • Sc)) + +* TERMS may be divided into two categories: + +(1) DEFINITE terms. These contain no variables. + +* examples: O (SO+SO) SS((SSO.SSO)+(SO.SO)) + +(2) INDEFINITE terms. These contain variables. + +* examples: b Sa (b+SO) (((SO+SO)+SO)+e) + +The above rules tell how to make parts of well-formed formulas; the remaining +rules tell how to make complete well-formed formulas. + +ATOMS + +* If v and t are terms, then s = t is an atom. + +* examples: SO=O (SSO+SSO)=5SSSO 5(b+c)=((c«d).e) + +If an atom contains a variable u, then u is free in it. Thus there are +four free variables in the last example. + +NEGATIONS + +* A well-formed formula preceded by a tilde is well-formed. + +* examples: ~SO=O ~3b:(b+b)=SO -SO=O> ~b=SO + +* The quantification status of a variable (which says whether the variable is +free or quantified) does not change under negation. + +COMPOUNDS + +* If x and y are well-formed formulas, and provided that no variable which is free in +one is quantified in the other, then the following are all well-formed formulas: + +* < xa y>, > xv y>, > xd y>. + +* examples: >b=bv~3c:c=b> + +* ¥c:~3b:(b+b)=c> + +* The quantification status of a variable doesn't change here. + +QUANTIFICATIONS + +* If u is a variable, and x is a well-formed formula in which u is free then the +following strings are well-formed formulas: + +* 3u: x and ¥u: x. + +* examples: ¥b: vc:~3b:(b+b)=c ~3c:Sc=d + +* OPEN FORMULAS contain at least one free variable. + +* examples: --c=c b=b <¥b:b=bn-c=c> + +* CLOSED FORMULAS (SENTENCES) contain no free variables. + +* Examples: 5O=O ~Vd:d=O 3c: + +This completes the table of Rules of Formation for the well-formed formulas of TNT. + +A Few More Translation Exercises + +And now, a few practice exercises for you, to test your understanding of the notation of +TNT. Try to translate the first four of the following N-sentences into TNT-sentences, and +the last one into an open formed formula. + +* All natural numbers are equal to 4. + +* There is no natural number which equals its own square. + +* Different natural numbers have different successors. + +* If 1 equals 0, then every number is odd. + +* b is a power of 2. + +The last one you may find a little tricky. But it is nothing, compared to this one: + +* b is a power of 10. + +Strangely, this one takes great cleverness to render in our notation. I would caution you to +try it only if you are willing to spend hours and hours on it - and if you know quite a bit +of number theory! + +A Non-Typographical System + +This concludes the exposition of the notation of TNT; however, we still left with the +problem of making TNT into the ambitious system which we have described. Success +would justify the interpretations which we given to the various symbols. Until we have +done that, however, particular interpretations are no more justified than the "horse-apple +happy" interpretations were for the pq-system's symbols. + +Someone might suggest the following way of constructing TNT: (II) Do not have +any rules of inference; they are unnecessary, because (2) We take as axioms all true +statements of number theory (as written in TNT-notation). What a simple prescription! +Unfortunately it is as empty as instantaneous reaction says it is. Part (2) is, of course, not +a typographical description of strings. The whole purpose of TNT is to figure out if and +how it is possible to- characterize the true strings typographically. + +The Five Axioms and First Rules of TNT + +Thus we will follow a more difficult route than the suggestion above; we will have +axioms and rules of inference. Firstly, as was promised, all of the rules of the +Propositional Calculus are taken over into TNT. Therefore one theorem of TNT will be +this one: + +* + +which can be derived in the same way as was derived. + +Before we give more rules, let us give the five axioms of TNT: + +* AXIOM 1: ¥a:~Sa=O + +* AXIOM 2: ¥a:(a+O)=a + +* AXIOM 3: ¥a:¥b:(a+Sb)=S(a+b) + +* AXIOM 4: ¥a:(a-O)=O + +* AXIOM 5: ¥a:¥b:(a-Sb)=((a-b)+a) + +(In the austere versions, use a' instead of b.) All of them are very simple to understand. +Axiom 1 states a special fact about the number 0; Axioms 2 and 3 are concerned with the +nature of addition; Axioms 4 and 5 are concerned with the nature of multiplication, and in +particular with its relation to addition. + +The Five Peano Postulates + +By the way, the interpretation of Axiom l-"Zero is not the successor of any natural +number"-is one of five famous properties of natural numbers first explicitly recognized +by the mathematician and logician Giuseppe Peano, in 1889. In setting out his postulates, +Peano was following the path of Euclid in this way: he made no attempt to formalize the +principles of reasoning, but tried to give a small set of properties of natural numbers from +which everything else could be derived by reasoning. Peano's attempt might thus be +considered "semiformal". Peano's work had a significant influence, and thus it would be +good to show Peano's five postulates. Since the notion of "natural number" is the one +which Peano was attempting to define, we will not use the familiar term "natural +number", which is laden with connotation. We will replace it with the undefined term +djinn, a word which comes fresh and free of connotations to our mind. Then Peano's five +postulates place five restrictions on djinns. There are two other undefined terms: Genie , +and meta. I will let you figure out for yourself what usual concept each of them is +supposed to represent. The five Peano postulates: + +(1) Genie is a djinn. + +(2) Every djinn has a mesa (which is also a djinn). + +(3) Genie is not the mesa of any djinn. (4) Different djinns have different metas. + +(5) If Genie has X, and each djinn relays X to its mesa, then all djinns get X. + +In light of the lamps of the Little Harmonic Labyrinth, we should name the set of all +djinns "GOD". This harks back to a celebrated statement by the German mathematician +and logician Leopold Kronecker, archenemy of Georg Cantor: "God made the natural +numbers; all the rest is the work of man." + +You may recognize Peano's fifth postulate as the principle of mathematical +induction-another term for a hereditary argument. Peano he that his five restrictions on +the concepts "Genie", "djinn", and "mesa" so strong that if two different people formed +images in their minds o concepts, the two images would have completely isomorphic +structures, example, everybody's image would include an infinite number of distinct +djinns. And presumably everybody would agree that no djinn coins with its own meta, or +its meta's meta, etc. + +Peano hoped to have pinned down the essence of natural numbers in his five +postulates. Mathematicians generally grant that he succeeded that does not lessen the +importance of the question, "How is a true statement about natural numbers to be +distinguished from a false one?" At answer this question, mathematicians turned to totally +formal systems, as TNT. However, you will see the influence of Peano in TNT, because +all of his postulates are incorporated in TNT in one way or another. + +New Rules of TNT: Specification and Generalization + +Now we come to the new rules of TNT. Many of these rules will allow reach in and +change the internal structure of the atoms of TNT. In sense they deal with more +"microscopic" properties of strings than the of the Propositional Calculus, which treat +atoms as indivisible units, example, it would be nice if we could extract the string -SO=O +from the first axiom. To do this we would need a rule which permits us to di universal +quantifier, and at the same time to change the internal strut of the string which remains, if +we wish. Here is such a rule: + +* RULE OF SPECIFICATION: Suppose u is a variable which occurs inside string x. If the +string Yu:x is a theorem, then so is x, and so an strings made from x by replacing u, +wherever it occurs, by one the same term. + +O Restriction : The term which re* places u must not contain any vat that is quantified +in x.) + +The rule of specification allows the desired string to be extracted Axiom 1. It is a one- +step derivation: + +¥a -Sa=O axiom 1* + +* ~SO=O specification + +Notice that the rule of specification will allow some formulas which co: free variables +(i.e., open formulas) to become theorems. For example following strings could also be +derived from Axiom 1, by specification: + +* Sa=O + +* ~S(c+SSO)=O + +There is another rule, the rule of generalization, which allows us to put +back the universal quantifier on theorems which contain variables that became free as a +result of usage of specification. Acting on the lower string, for example, generalization +would give: + +* ¥c:~S(c+SSO)=O + +Generalization undoes the action of specification, and vice versa. Usually, generalization +is applied after several intermediate steps have transformed the open formula in various +ways. Here is the exact statement of the rule: + +RULE OF GENERALIZATION: Suppose x * is a theorem in which u, a variable, occurs +free. Then ¥u:x is a theorem. + +( Restriction'. No generalization is allowed in a fantasy on any variable which +appeared free in the fantasy's premise.) + +The need for restrictions on these two rules will shortly be demonstrated explicitly. +Incidentally, this generalization is the same generalization as was mentioned in Chapter +II, in Euclid's proof about the infinitude of primes. Already we can see how the symbol- +manipulating rules are starting to approximate the kind of reasoning which a +mathematician uses. + +The Existential Quantifier + +These past two rules told how to take off universal quantifiers and put them back on; the +next two rules tell how to handle existential quantifiers. + +RULE OF INTERCHANGE: Suppose u is a variable. Then the strings Vu:- and -3u: are +interchangeable anywhere inside any theorem. + +For example, let us apply this rule to Axiom 1: + +* ¥a:-Sa=O axiom 1 + +* ~3a:Sa=O interchange + +By the way, you might notice that both these strings are perfectly natural renditions, in +TNT, of the sentence "Zero is not the successor of any natural number". Therefore it is +good that they can be turned into each other with ease. + +The next rule is, if anything, even more intuitive. It corresponds to the very +simple kind of inference we make when we go from "2 is prime" to "There exists a +prime". The name of this rule is self-explanatory: + +* RULE OF EXISTENCE: Suppose a term (which may contain variables as long as they +are free) appears once, or multiply, in a theorem. Then any (or several, or all) of the +appearances of the term may be replaced by a variable which otherwise does not occur in +the theorem, and the corresponding existential quantifier must be placed in front. + +Let us apply the rule to -as usual-Axiom 1: + +* ¥a:-Sa=O axiom 1 + +* 3b:¥a:-Sa=b existence + +You might now try to shunt symbols, according to rules so far giver produce the theorem + +* ~¥b: 3a:Sa=b. + +Rules of Equality and Successorship + +We have given rules for manipulating quantifiers, but so far none for symbols '=' and 'S'. +We rectify that situation now. In what follows, r, s, t all stand for arbitrary terms. + +* RULES OF EQUALITY: + +* SYMMETRY: If r = s is a theorem, then so is s = r. + +* TRANSITIVITY: If r = s and s = t are theorems, then so is r = t. + +* RULFS OF SUCCESSORSHIP: + +* ADD S: If r = t is a theorem, then Sr = St is a theorem. + +* DROP S: If Sr = St is a theorem, then r = t is a theorem. + +Now we are equipped with rules that can give us a fantastic variet theorems. For +example, the following derivations yield theorems which pretty fundamental: + +(1) ¥a:-¥b:(a+Sb)=S(a+b) axiom 3 + +(2) ¥b:(SO+Sb)=S(SO+b) specification (SO for a) + +(3) (SO+SO)=S(SO+O) specification (O for b) + +(4) ¥a:(a+O)=a axiom 2 + +(5) (SO+O)=SO specification (SO for a) + +(6) S(SO+O)=SSO addS + +(7) (SO+SO)=SSO transitivity (lines 3,6) + +(1) ¥a:-¥b:(a-Sb)=((a-b)+a) axiom 5 + +(2) ¥b:(SO , Sb)=((SO»b)+SO) specification (SO for a) + +(3) (SO.SO)=((SO.O)+SO) specification (O for b) + +(4) ¥a:-¥b:(a+Sb)=S(a+b) axiom 3 + +(5) ¥b:((SO.O)+Sb)=S((5O O)+b) specification ((SO-O) for a) + +(6) ((SO .O)+SO)=S((SO.O)+O) specification (O for b) + +(7) ¥a:(a+O)=a axiom 2 + +(8) ((SO.O)+O)=(SO.O) specification ((SO.O) for a) + +(9) ¥a:(a.O)=O axiom 4 + +(10) (SO-O)=O specification (SO for a) + +(I1) ((SO.O)+O)=O transitivity (lines 8,10) + +(12) S((SO.O)+O)=SO addS + +(13) ((SO -O)+SO)=SO transitivity (lines 6,12) + +(14) (SO.SO)=SO transitivity (lines 3,13) + +Illegal Shortcuts + +Now here is an interesting question: "How can we make a derivation for the string O=O?" +It seems that the obvious route to go would be first to derive the string ¥a:a=a, and then +to use specification. So, what about the following "derivation" of ¥a:a=a ... What is +wrong with it? Can you fix it up? + +(1) ¥a:(a+O)=a axiom 2 + +(2) ¥a:a=(a+O) symmetry + +(3) ¥a:a=a transitivity (lines 2,1) + +I gave this mini-exercise to point out one simple fact: that one should not jump too fast in +manipulating symbols (such as '=') which are familiar. One must follow the rules, and not +one's knowledge of the passive meanings of the symbols. Of course, this latter type of +knowledge is invaluable in guiding the route of a derivation. + +Why Specification and Generalization Are Restricted + +Now let us see why there are restrictions necessary on both specification and +generalization. Here are two derivations. In each of them, one of the restrictions is +violated. Look at the disastrous results they produce: + +(1) [ push + +(2) a=O premise + +(3) ¥a:a=O generalization ( Wrong ) + +(4) Sa=() specification + +(5) ] pop + +(6) Sa=O> fantasy rule + +(7) ¥a:Sa=O> generalization + +(8) specification + +(9) O=O previous theorem + +(10) SO=O detachment (lines 9,8) + +This is the first disaster. The other one is via faulty specification. + +(1) ¥a:a=a previous theorem + +(2) Sa=Sa specification + +(3) 3b:b=Sa existence + +(4) ¥a: 3b:b=Sa generalization + +(5) 3b:b=Sb specification ( Wrongl ) + +So now you can see why those restrictions are needed. + +Here is a simple puzzle: translate (if you have not already done so) Peano's fourth +postulate into TNT-notation, and then derive that string as a theorem. + +Something Is Missing + +Now if you experiment around for a while with the rules and axioms of TNT so far +presented, you will find that you can produce the following pyramidal family of theorems +(a set of strings all cast from an identical mold, differing from one another only in that the +numerals O, SO, SSO, and s have been stuffed in): + +(O + O) = O + +(O + SO) = SO + +(O+SSO)=SSO + +(O+SSSO)=SSSO + +(O+SSSSO)=SSSSO + +* etc. + +As a matter of fact, each of the theorems in this family can be derived the one directly +above it, in only a couple of lines. Thus it is a so "cascade" of theorems, each one +triggering the next. (These theorem very reminiscent of the pq-theorems, where the +middle and right-] groups of hyphens grew simultaneously.) + +Now there is one string which we can easily write down, and v summarizes the +passive meaning of them all, taken together. That un sally quantified summarizing string +is this: + +* ¥a:(O+a)=a + +Yet with the rules so far given, this string eludes production. Ti produce it yourself if you +don't believe me. + +You may think that we should immediately remedy the situation the following + +(PROPOSED) RULE OF ALL: If all the strings in a pyramidal family are theorems, then +so is the universally quantified string which summarizes them. + +The problem with this rule is that it cannot be used in the M-mode. people who are +thinking about the system can ever know that an infinite set of strings are all theorems. +Thus this is not a rule that can be stuck i any formal system. + +co-Incomplete Systems and Undecidable Strings + +So we find ourselves in a strange situation, in which we can typographically produce +theorems about the addition of any specific numbers, but even a simple string as the one +above, which expresses a property of addition in general , is not a theorem. You might +think that is not all that strange, we were in precisely that situation with the pq-system. +However, the pq-system had no pretensions about what it ought to be able to do; and ii +fact +there was no way to express general statements about addition in its symbolism, let alone +prove them. The equipment simply was not there, and it did not even occur to us to think +that the system was defective. Here, however, the expressive capability is far stronger, +and we have correspondingly higher expectations of TNT than of the pq-system. If the +string above is not a theorem, then we will have good reason to consider TNT to be +defective. As a matter of fact, there is a name for systems with this kind of defect-they +are called co -incomplete. (The prefix 'oo'-'omega'- comes from the fact that the totality of +natural numbers is sometimes denoted by 'oo'.) Here is the exact definition: + +A system is oo-incomplete if all the strings in a pyramidal family are theorems, but +the universally quantified summarizing string is not a theorem. + +Incidentally, the negation of the above summarizing string + +* ~¥a:(O+a)=a + +-is also a nontheorem of TNT. This means that the original string is undecidable within +the system. If one or the other were a theorem, then we would say that it was decidable. +Although it may sound like a mystical term, there is nothing mystical about +undecidability within a given system. It is only a sign that the system could be extended. +For example, within absolute geometry, Euclid's fifth postulate is undecidable. It has to +be added as an extra postulate of geometry, to yield Euclidean geometry; or conversely, +its negation can be added, to yield non-Euclidean geometry. If you think back to +geometry, you will remember why this curious thing happens. It is because the four +postulates of absolute geometry simply do not pin down the meanings of the terms +"point" and "line", and there is room for different extensions of the notions. The points +and lines of Euclidean geometry provide one kind of extension of the notions of "point" +and "line"; the POINTS and LINES of non-Euclidean geometry, another. However, using +the pre-flavored words "point" and "line" tended, for two millennia, to make people +believe that those words were necessarily univalent, capable of only one meaning. + +Non-Euclidean TNT + +We are now faced with a similar situation, involving TNT. We have adopted a notation +which prejudices us in certain ways. For instance, usage of the symbol '+'tends to make +us think that every theorem with a plus sign in it ought to say something known and +familiar and "sensible" about the known and familiar operation we call "addition". +Therefore it would run against the grain to propose adding the following "sixth axiom": + +* ~¥a:(O+a)=a + +It doesn't jibe with what we believe about addition. But it is one possible extension of +TNT, as we have so far formulated TNT. The system which uses this as its sixth axiom is +a consistent system, in the sense of not has, two theorems of the form x and - x. However, +when you juxtapose this "sixth axiom" with the pyramidal family of theorems shown +above, you will probably be bothered by a seeming inconsistency between the family and +the new axiom. But this kind of inconsistency is riot so damaging as the other kind +(where x and x are both theorems). In fact, it is not a true inconsistency, because there is +a way of interpreting the symbols so that everything comes out all right. + +©-Inconsistency Is Not the Same as Inconsistency + +This kind of inconsistency, created by the opposition of (1) a pyramidal family of +theorems which collectively assert that all natural numbers have some property, and (2) a +single theorem which seems to assert that not all numbers have it, is given the name of w- +inconsistency. An w-inconsistent system is more like the at-the-outset-distasteful-but-in- +the-end-accept non-Euclidean geometry. In order to form a mental model of what is +going on, you have to imagine that there are some "extra", unsuspected numbers-let us +not call them "natural", but supernatural numbers-which have no numerals. Therefore, +facts about them cannot be represented in the pyramidal family. (This is a little bit like +Achilles' conception GOD-as a sort of "superdjinn", a being greater than any of the djinn +This was scoffed at by the Genie, but it is a reasonable image, and may I you to imagine +supernatural numbers.) + +What this tells us is that the axioms and rules of TNT, as so presented, do not +fully pin down the interpretations for the symbol TNT. There is still room for variation in +one's mental model of the notions they stand for. Each of the various possible extensions +would pin d, some of the notions further; but in different ways. Which symbols we begin +to take on "distasteful" passive meanings, if we added the "s axiom" given above? Would +all of the symbols become tainted, or we some of them still mean what we want them to +mean? I will let you tt about that. We will encounter a similar question in Chapter XIV, +discuss the matter then. In any case, we will not follow this extension r but instead go on +to try to repair the w-incompleteness of TNT. + +The Last Rule + +The problem with the "Rule of All" was that it required knowing that all lines of an +infinite pyramidal family are theorems - too much for a finite being. But suppose that +each line of the pyramid can be derived from its predecessor in a patterned way. Then +there would be a. finite reason accounting for the fact that all the strings in the pyramid +are theorems. The trick then, is to find the pattern that causes the cascade, and show that +pattern is a theorem in itself. That is like proving that each djinn passes a message to its +meta, as in the children's game of "Telephone". The other thing left to show is that Genie +starts the cascading message-that is, to establish that the first line of the pyramid is a +theorem. Then you know that GOD will get the message! + +In the particular pyramid we were looking at, there is a pattern, captured by lines +4-9 of the derivation below. + +(1) ¥a:¥b:(a+Sb)=S(a+b) axiom 3 + +(2) ¥b:(0+Sb)=S(0+b) specification + +(3) (0+Sb)=S(0+b) specification + +(4) [ push + +(5) (0+b)=b premise + +(6) S(0+b)=Sb addS + +(7) (0+Sb)=S(0+b) carry over line 3 + +(8) (0+Sb)=Sb transitivity + +(9) ] pop + +The premise is (0+b)=b; the outcome is (0+Sb)=Sb. + +The first line of the pyramid is also a theorem; it follows directly from Axiom 2. +All we need now is a rule which lets us deduce that the string which summarizes the +entire pyramid is itself a theorem. Such a rule will he a formalized statement of the fifth +Peano postulate. + +To express that rule, we need a little notation. Let us abbreviate a well-formed +formula in which the variable a is free by the following notation: + +* X{a} + +(There may be other free variables, too, but that is irrelevant.) Then the notation X{Sa/a} +will stand for that string but with every occurrence of a replaced by Sa. Likewise, X{0/a} +would stand for the same string, with each appearance of a replaced by 0. + +A specific example would be to let X{a} stand for the string in question: (0+a)=a. +Then X{Sa/a} would represent the string (0+Sa)=Sa, and X{0/a} would represent +(0+0)=0. (Warning: This notation is not part of TNT; it is for our convenience in talking +about TNT.) + +With this new notation, we can state the last rule of TNT quite precisely: + +RULE OF INDUCTION: Suppose u is a variable, and X{u} is a well-formed formula in +which u occurs free. If both ¥u:< X{u}=3 X{Su/u}> and X{0/u} are theorems, +then ¥u: X{u} is also a theorem. + +This is about as close as we can come to putting Peano's fifth postulate into TNT. Now +let us use it to show that Va:(0+a)=a is indeed a theorem in TNT. Emerging from the +fantasy in our derivation above, we can apply the fantasy rule, to give us + +(10) <(0+b)=b=>(0+Sb)=Sb> fantasy rule + +(11) ¥b:<(0+b)=bz>(0+Sb)=Sb> generalization + +This is the first of the two input theorems required by the induction The other +requirement is the first line of the pyramid, which we have. Therefore, we can apply the +rule of induction, to deduce what we wanted. + +* ¥b:(0+b)=b + +Specification and generalization will allow us to change the variable from b to a; thus +¥a:(0+a)=a is no longer an undecidable string of TNT.. + +A Long Derivation + +Now I wish to present one longer derivation in TNT, so that you ca what one is like, and +also because it proves a significant, if simple, fact of number theory. + +(1) ¥a:-¥b:(a+Sb)=S(a+b) axiom 3 + +(2) ¥b:(d+Sb)=S(d+b) specification + +(3) (d+SSc)=S(d+Sc) specification + +(4) b:(Sd+Sb)=S(Sd+b) specification (line 1) + +(5) (Sd+Sc)-S(Sd+c) specification + +* 6) S(Sd+c)=(Sd+Sc) symmetry + +(7) [ push + +(8) ¥d:(d+Sc)=(Sd+c) premise + +(9) (d+Sc)=(Sd+c) specification + +(10) S(d+Sc)=S(Sd+c) addS + +(11) (d+SSc)=S(d+Sc) carry over 3 + +(12) (d+SSc)=S(Sd+c) transitivity + +(13) S(Sd+c)=(Sd+Sc) carry over 6 + +(14) (d+SSc)=(Sd+Sc) transitivity + +(15) ¥d:(d+SSc)=(Sd+Sc) generalization + +(16) ] pop + +(17) <¥d:(d+5c)=(Sd+c)z>¥d:(d+SSc)=(Sd+Sc)> fantasy rule + +(18) ¥c:<-¥d:(d+Sc)=(Sd+c) 3¥d:(d+SSc)=(Sd+Sc)> generalization sfc ^ ^ ^ 5J: + +(19) (d+S0)=5(d+0) specification (line 2) + +(20) ¥a:(a+0)=a axiom 1 + +(21) (d+0)=d specification + +(22) S(d+0)=Sd addS + +(23) (d+SO)=Sd transitivity (lines 19,2) + +(24) (Sd+0)=Sd specification (line 20) + +(25) Sd=(Sd+0) symmetry + +(26) (d+SO)=(Sd+o) + +(27) ¥d:(d+50)=(Sd+0) transitivity (lines 23,25) generalization + +(28) ¥c:-¥d:(d+Sc)=(Sd+c) induction (lines 18,27) + +[S can be slipped back and forth ^ 5ji jf: sj: 5J: in an addition] + +(29) ¥b:(c+Sb)=S(c+b) specification (line 1) + +(30) (c+Sd)=S(c+d) specification + +(31) ¥b:(d+Sb)=S(d+b) specification (line 1) + +(32) (d+Sc)=S(d+c) specification + +(33) S(d+c)=(d+Sc) symmetry + +(34) bed:(d+Sc)=(Sd+c) specification (line 28) + +(35) (d+Sc)=(Sd+c) specification + +(36) [ push + +(37) ¥c:(c+d)=(d+c) premise + +(38) (c+d)=(d+c) specification + +(39) S(c+d)=S(d+c) addS + +(40) (c+Sd)=S(c+d) carry over 30 + +(41) (c+Sd)=S(d+c) transitivity + +(42) S(d+c)=(d+Sc) carry over 33 + +(43) (c+Sd)=(d+Sc) transitivity + +(44) (d+Sc)=(Sd+c) carry over 35 + +(45) (c+Sd)=(Sd+c) transitivity + +(46) ¥c:(c+Sd)=(Sd+c) generalization + +(47) ] pop + +(48) <¥e:(c+d)=(d+c) 3¥c:(c+Sd)=(Sd+c)> fantasy rule + +(49) ¥d:<-¥c:(c+d)=(d+c) 3¥c:(c+Sd)=(Sd+c)> generalization + +[If d commutes with every c, then Sd does too. +sfc ;Ji jJ: ^ ;Ji + +(50) (c+0)=c specification (line 20) + +(51) ¥a:(0+a)=a previous theorem + +(52) (0+c)=c specification + +(53) c=(0+c) symmetry + +(54) (c+0)=(0+c) transitivity (lines 50,53) + +(55) ¥c:(c+0)=(O+c) generalization + +[0 commutes with every c.] + +(56) ¥d:-¥c:(c+d)=(d+c) induction (lines 49,55) + +[Therefore, every d commutes with every c.] + +Tension and Resolution in TNT + +TNT has proven the commutativity of addition. Even if you do not follow this derivation +in detail, it is important to realize that, like a piece of music, it has its own natural +"rhythm". It is not just a random walk that happens to have landed on the desired last +line. I have inserted "breathing marks” to show some of the "phrasing" of this derivation. +Line 28 in particular turning point in the derivation, something like the halfway point it +AABB type of piece, where you resolve momentarily, even if not in the t key. Such +important intermediate stages are often called "lemmas". + +It is easy to imagine a reader starting at line 1 of this derivation ignorant of where +it is to end up, and getting a sense of where it is going as he sees each new line. This +would set up an inner tension, very much the tension in a piece of music caused by chord +progressions that let know what the tonality is, without resolving. Arrival at line 28 w, +confirm the reader's intuition and give him a momentary feeling of satisfaction while at +the same time strengthening his drive to progress tow what he presumes is the true goal. + +Now line 49 is a critically important tension-increaser, because of "almost-there" +feeling which it induces. It would be extremely unsatisfactory to leave off there! From +there on, it is almost predictable how things must go. But you wouldn't want a piece of +music to quit on you just when had made the mode of resolution apparent. You don't +want to imagine ending-you want to hear the ending. Likewise here, we have to c things +through. Line 55 is inevitable, and sets up all the final tension which are resolved by Line +56. + +This is typical of the structure not only of formal derivations, but of informal +proofs. The mathematician's sense of tension is intimately related to his sense of beauty, +and is what makes mathematics worthy doing. Notice, however, that in TNT itself, there +seems to be no reflection of these tensions. In other words, TNT doesn't formalize the +notions of tension and resolution, goal and subgoal, "naturalness" and "inevitable any +more than a piece of music is a book about harmony and rhythm. Could one devise a +much fancier typographical system which is aware of the tensions and goals inside +derivations? + +Formal Reasoning vs. Informal Reasoning + +I would have preferred to show how to derive Euclid's Theorem (the infinitude of +primes) in TNT, but it would probably have doubled the length of the book. Now after +this theorem, the natural direction to go would be to prove the associativity of addition, +the commutativity and associativity of multiplication and the distributivity of +multiplication over addition. These would give a powerful base to work from. + +As it is now formulated, TNT has reached "critical mass" (perhaps a strange +metaphor to apply to something called "TNT"). It is of the same strength as the system of +Principia Mathematica; in TNT one can now prove every theorem which you would find +in a standard treatise on number theory. Of course, no one would claim that deriving +theorems in TNT is the best way to do number theory. Anybody who felt that way would +fall in the same class of people as those who think that the best way to know what 1000 x +1000 is, is to draw a 1000 by 1000 grid, and count all the squares in it ... No; after total +formalization, the only way to go is towards relaxation of the formal system. Otherwise, +it is so enormously unwieldy as to be, for all practical purposes, useless. Thus, it is +important to embed TNT within a wider context, a context which enables new rules of +inference to be derived, so that derivations can be speeded up. This would require +formalization of the language in which rules of inference are expressed-that is, the +metalanguage. And one could go considerably further. However, none of these speeding- +up tricks would make TNT any more powerful ; they would simply make it more usable. +The simple fact is that we have put into TNT every mode of thought that number +theorists rely on. Embedding it in ever larger contexts will not enlarge the space of +theorems; it will just make working in TNT-or in each "new, improved version"-look +more like doing conventional number theory. + +Number Theorists Go out of Business + +Suppose that you didn't have advance knowledge that TNT will turn out to be +incomplete, but rather, expected that it is complete-that is, that every true statement +expressible in the TNT-notation is a theorem. In that case, you could make a decision +procedure for all of number theory. The method would be easy: if you want to know if N- +statement X is true or false, code it into TNT-sentence x. Now if X is true, completeness +says that x is a theorem; and conversely, if not-X is true, then completeness says that ~x +is a theorem. So either x or ~x must be a theorem, since either X or not-X is true. Now +begin systematically enumerating all the theorems of TNT, in the way we did for the +MlU-system and pq-system. You must come to x or ~x after a while; and whichever one +you hit tells you which of X and not-X is true. (Did you follow this argument? It crucially +depends on your being able to hold separate in your mind the formal system TNT and its +informal counterpart N. Make sure you understand it.) Thus, in principle, if TNT were complete, number theorists would be put out of business any question +in their field could be resolved, with sufficient time, in a purely mechanical way. As it +turns out, this is impossible, which, depending on your point of view, is a cause either for +rejoicing, or for mourning. + +Hilbert's Program + +The final question which we will take up in this Chapter is whether should have +as much faith in the consistency of TNT as we did consistency of the Propositional +Calculus; and, if we don't, whether possible to increase our faith in TNT, by proving it to +be consistent could make the same opening statement on the "obviousness" of TNT’s +consistency as Imprudence did in regard to the Propositional Calculus namely, that each +rule embodies a reasoning principle which we believe in, and therefore to question the +consistency of TNT is to question our own sanity. To some extent, this argument still +carries weight-but not quite so much weight as before. There are just too many rules of +inference and some of them just might be slightly "off ". Furthermore, how do we know +that this mental model we have of some abstract entities called "natural numbers" is +actually a coherent construct? Perhaps our own thought processes, those informal +processes which we have tried to capture in the formal rules of the system, are themselves +inconsistent! It is of course not the kind of thing we expect, but it gets more and more +conceivable that our thoughts might lead us astray, the more complex the subject matter +gets-and natural numbers are by no means a trivial subject matter. Prudence's cry for a +proof of consistency has to be taken more seriously in this case. It's not that we seriously +doubt that TNT could be inconsistent but there is a little doubt, a flicker, a glimmer of a +doubt in our minds, and a proof would help to dispel that doubt. + +But what means of proof would we like to see used? Once again, faced with the +recurrent question of circularity. If we use all the equipment in a proof about our system +as we have inserted into it, what will we have accomplished? If we could manage to +convince ourselves consistency of TNT, but by using a weaker system of reasoning than +we will have beaten the circularity objection! Think of the way a heavy rope is passed +between ships (or so I read when I was a kid): first a light arrow is fired across the gap, +pulling behind it a thin rope. Once a connection has been established between the two +ships this way, then the heavy rope pulled across the gap. If we can use a "light" system +to show that a system is consistent, then we shall have really accomplished something. + +Now on first sight one might think there is a thin rope. Our goal is to prove that +TNT has a certain typographical property (consistency): that no theorems of the form x +and ,~x ever occur. This is similar to trying to show that MU is not a theorem of the +MlU-system. Both are statements about typographical properties of symbol- +manipulation systems. The visions of a thin rope are based on the presumption that facts +about number theory won't be +needed in proving that such a typographical property holds. In other words, if properties +of integers are not used-or if only a few extremely simple ones are used-then we could +achieve the goal of proving TNT consistent, by using means which are weaker than its +own internal modes of reasoning. + +This is the hope which was held by an important school of mathematicians and +logicians in the early part of this century, led by David Hilbert. The goal was to prove the +consistency of formalizations of number theory similar to TNT by employing a very +restricted set of principles of reasoning called "finitistic" methods of reasoning. These +would be the thin rope. Included among finitistic methods are all of propositional +reasoning, as embodied in the Propositional Calculus, and additionally some kinds of +numerical reasoning. But Godel’s work showed that any effort to pull the heavy rope of +TNT's consistency across the gap by using the thin rope of finitistic methods is doomed +to failure. Godel showed that in order to pull the heavy rope across the gap, you can't use +a lighter rope; there just isn't a strong enough one. Less metaphorically, we can say: Any +system that is strong enough to prove TNT's consistency is at least as strong as TNT +itself. And so circularity is inevitable. + +DIALOGUE IX: A Mu Offering + +The Tortoise and Achilles have just been to hear a lecture on the origins of the +Genetic Code, and are now drinking some tea at Achilles' home. + +Achilles: I have something terrible to confess, Mr. T. + +Tortoise: What is it, Achilles? + +Achilles: Despite the fascinating subject matter of that lecture, I drifter to sleep a time or +two. But in my drowsy state, I still was semi-awake aware of the words coming into +my ears. One strange image that floated up from my lower levels was that 'A' and 'T', +instead of standing "adenine" and "thymine", stood for my name and yours-and +double-strands of DNA had tiny copies of me and you along backbones, always +paired up, just as adenine and thymine always Isn't that a strange symbolic image? + +Tortoise: Phooey! Who believes in that silly kind of stuff? Anyway, about 'C' and 'G'? + +Achilles: Well, I suppose 'C' could stand for Mr. Crab, instead o cytosine. I'm not sure +about 'G', but I'm sure one could thin something. Anyway, it was amusing to imagine +my DNA being with minuscule copies of you-as well as tiny copies of myself, for +matter. Just think of the infinite regress THAT leads to! + +Tortoise: I can see you were not paying too much attention to the lecture. + +Achilles: No, you're wrong. I was doing my best, only I had a hard keeping fancy +separated from fact After all, it is such a strange netherworld that those molecular +biologists are exploring. + +Tortoise: How do you mean? + +Achilles: Molecular biology is filled with peculiar convoluted loops which I can't quite +understand, such as the way that folded proteins, which are coded for in DNA, can +loop back and manipulate the DNA which came from, possibly even destroying it. +Such strange loops always confuse the daylights out of me. They're eerie, in a way. + +Tortoise: I find them quite appealing. + +Achilles: You would, of course-they're just down your alley. But me, sometimes I like to +retreat from all this analytic thought any meditate a little, as an antidote. It clears my +mind of all those conf loops and incredible complexities which we were hearing about +tonight. + +Tortoise: Fancy that. I wouldn't have guessed that you were a meditator. + +Achilles: Did I never tell you that I am studying Zen Buddhism? + +Tortoise: Heavens, how did you come upon that? + +Achilles: I have always had a yen for the yin and yang, you know - the +whole Oriental mysticism trip, with the I Ching, gurus, and whatnot. So one day I'm +thinking to myself, "Why not Zen too?" And that's how it all began. + +Tortoise: Oh, splendid. Then perhaps I can finally become enlightened. Achilles: Whoa, +now. Enlightenment is not the first step on the road to Zen; if anything, it', the last +one! Enlightenment is not for novices like you, Mr. T! + +Tortoise: I see we have had a misunderstanding. By "enlightenment", I hardly meant +something so weighty as is meant in Zen. All I meant is that I can perhaps become +enlightened as to what Zen is all about. Achilles: For Pete's sake, why didn't you say +so? Well, I'd be only too happy to tell you what I know of Zen. Perhaps you might +even be tempted to become a student of it, like me. + +Tortoise: Well, nothing's impossible. + +Achilles: You could study with me under my master, Okanisama-the seventh patriarch. + +Tortoise: Now what in the world does that mean? + +Achilles: You have to know the history of Zen to understand that. + +Tortoise: Would you tell me a little of the history of Zen, then? + +Achilles: An excellent idea. Zen is a kind of Buddhism which was founded by a monk +named Bodhidharma, who left India and went to China around the sixth century. +Bodhidharma was the first patriarch. The sixth one was Eno. (I've finally got it +straight now!) + +Tortoise: The sixth patriarch was Zeno, eh? I find it strange that he, of all people, would +get mixed up in this business. + +Achilles: I daresay you underestimate the value of Zen. Listen just a little more, and +maybe you'll come to appreciate it. As I was saying, about five hundred years later, +Zen was brought to Japan, and it took hold very well there. Since that time it has been +one of the principal religions in Japan. + +Tortoise: Who is this Okanisama, the "seventh patriarch"? + +Achilles: He is my master, and his teachings descend directly from those of the sixth +patriarch. He has taught me that reality is one, immutable, and unchanging; all +plurality, change, and motion are mere illusions of the senses. + +Tortoise: Sure enough, that's Zeno, a mile away. But how ever did he come to be tangled +up in Zen? Poor fellow! + +Achilles: Whaaat? I wouldn't put it that way. If ANYONE is tangled up, it's ... But that's +another matter. Anyway, I don't know the answer to your question. Instead, let me tell +you something of the teachings of my master. I have learned that in Zen, one seeks +enlightenment, or SATORI-the state of "No-mind". In this state, one does not think +about the world-one just is. I have also learned that a student of Zen is not supposed +to "attach" to any object or thought or person-which is to say, he must not believe in, +or depend on, any absolute-not even this philosophy of nonattachment. + +Tortoise: Hmm ... Now THERE'S something I could like about Achilles: I had a hunch +you'd get attached to it. + +Tortoise: But tell me: if Zen rejects intellectual activity, does it make sense to +intellectualize about Zen, to study it rigorously? + +Achilles: That matter has troubled me quite a bit. But I think I have finally worked out an +answer. It seems to me that you may begin approaching Zen through any path you +know-even if it is completely antithetical to Zen. As you approach it, you gradually +learn to stray from that path. The more you stray from the path, the closer you get to +Zen. + +Tortoise: Oh, it all begins to sound so clear now. + +Achilles: My favorite path to Zen is through the short, fascinating and weird Zen parables +called "koans". + +Tortoise: What is a koan? + +Achilles: A koan is a story about Zen masters and their student times it is like a riddle; +other times like a fable; and other ti nothing you've ever heard before. + +Tortoise: Sounds rather intriguing. Would you say that to read al koans is to practice +Zen? + +Achilles: I doubt it. However, in my opinion, a delight in koans million times closer to +real Zen than reading volume after about Zen, written in heavy philosophical jargon. + +Tortoise: I would like to hear a koan or two. + +Achilles: And I would like to tell you one-or a few. Perhaps begin with the most famous +one of all. Many centuries ago, the Zen master named Joshu, who lived to be 119 +years old. + +Tortoise: A mere youngster! + +Achilles: By your standards, yes. Now one day while Joshu and monk were standing +together in the monastery, a dog wand The monk asked Joshu, "Does a dog have +Buddha-nature, + +Tortoise: Whatever that is. So tell me-what did Joshu reply? + +Achilles: 'MU'. + +Tortoise: 'MU? What is this 'MU'? What about the dog? What about Buddha-nature? +What's the answer? + +Achilles: Oh, but 'MU' is Joshu's answer. By saying 'MU', Joshu let the other monk know +that only by not asking such questions can one know the answer to them. + +Tortoise: Joshu "unasked" the question. + +Achilles: Exactly! + +Tortoise: 'MU' sounds like a handy thing to have around. I'd like unask a question or two, +sometimes. I guess I'm beginning to get the hang of Zen. Do you know any other +koans, Achilles? I would like to hear some more. + +Achilles: My pleasure. I can tell you a pair of koans which go together +Only ... + +Tortoise: What's the matter? + +Achilles: Well, there is one problem. Although both are widely told koans, my master has +cautioned me that only one of them is genuine. And what is more, he does not know +which one is genuine, and which one is a fraud. + +Tortoise: Crazy! Why don't you tell them both to me and we can speculate to our hearts' +content! + +Achilles: All right. One of the alleged koans goes like this: + +A monk asked Baso: "What is Buddha?" + +Baso said: "This mind is Buddha." + +Tortoise: Hmm ... "This mind is Buddha"? Sometimes I don't quite understand what these +Zen people are getting at. Achilles: You might prefer the other alleged koan then. + +Tortoise: How does it run? Achilles: Like this: + +A monk asked Baso: "What is Buddha?" + +Baso said: "This mind is not Buddha." + +Tortoise: My, my! If my shell isn't green and not green! I like that! Achilles: Now, Mr. T- +you're not supposed to just "like" koans. + +Tortoise: Very well, then-I don't like it. + +Achilles: That's better. Now as I was saying, my master believes only one of the two is +genuine. + +Tortoise: I can't imagine what led him to such a belief. But anyway, I suppose it's all +academic, since there's no way to know if a koan is genuine or phony. + +Achilles: Oh, but there you are mistaken. My master has shown us how to do it. + +Tortoise: Is that so? A decision procedure for genuineness of koans? I should very much +like to hear about THAT. + +Achilles: It is a fairly complex ritual, involving two stages. In the first stage, you must +TRANSLATE the koan in question into a piece of string, folded all around in three +dimensions. + +Tortoise: That's a curious thing to do. And what is the second stage? + +Achilles: Oh, that's easy-all you need to do is determine whether the string has Buddha- +nature, or not! If it does, then the koan is genuine-if not, the koan is a fraud. + +Tortoise: Hmm ... It sounds as if all you've done is transfer the need for a decision +procedure to another domain. Now it's a decision procedure for Buddha-nature that +you need. What next? After all, if you can't even tell whether a Do(; has Buddha- +nature or not, how can you expect to do so for every possible folded string? + +Achilles: Well, my master explained to me that shifting between domains can help. It's +like switching your point of view. Things sometimes look complicated from one +angle, but simple from another. He gave the example of an orchard, in which from +one direction no order is +apparent, but from special angles, beautiful regularity em, You’ve reordered the same +information by changing your way of looking at it. + +Tortoise: I see. So perhaps the genuineness of a koan is concealed how very deeply inside +it, but if you translate it into a string it ma in some way to float to the surface? +Achilles: That's what my master has discovered. + +Tortoise: Then I would very much like to learn about the techniqu first, tell me: how can +you turn a koan (a sequence of words) folded string (a three-dimensional object)? +They are rather dif kinds of entities. + +Achilles: That is one of the most mysterious things I have learned i There are two steps: +"transcription" and "translation". TRANSCF a koan involves writing it in a phonetic +alphabet, which contain four geometric symbols. This phonetic rendition of the koan +is called the MESSENGER. + +Tortoise: What do the geometric symbols look like? + +Achilles: They are made of hexagons and pentagons. Here is what they +look like {picks up a nearby napkin, and draws for the Tortoise these four figures ): + +* O O OO CO + +Tortoise: They are mysterious-looking. + +Achilles: Only to the uninitiated. Now once you have made the messenger, you rub your +hands in some ribo, and + +Toitoise: Some ribo? Is that a kind of ritual anointment? + +Achilles: Not exactly. It is a special sticky preparation which makes the string hold its +shape, when folded up. Tortoise: What is it made of? + +Achilles: I don't know, exactly. But it feels sort of gluey, and it works exceedingly well. +Anyway, once you have some ribo on your hands, you can TRANSLATE the +sequence of symbols in the messenger into certain kinds of folds in the string. It's as +simple as that. Tortoise: Hold on! Not so fast! How do you do that? + +Achilles: You begin with the string entirely straight. Then you go to one end and start +making folds of various types, according to the geometric symbols in the messenger. + +Tortoise: So each of those geometric symbols stands for a different way to curl the string +up? + +Achilles: Not in isolation. You take them three at a time, instead of one at a time. You +begin at one end of the string, and one end of the messenger. What to do with the first +inch of the string is determined by the first three geometric symbols. The next three +symbols tell you how to fold the second inch of string. And so you inch your way +along the string and simultaneously along the messenger, folding each little segment +of string until you have exhausted the messenger. If you have properly applied some +ribo, the string will keep its folded shape, and what you thereby produce is the +translation of the koan into a string. + +Toitoise: The procedure has a certain elegance to it. You must get some wild-looking +strings that way. + +Achilles: That's for sure. The longer koans translate into quite bizarre shapes. + +Tortoise: I can imagine. But in order to carry out the translation of the messenger into the +string, you need to know what kind of fold each triplet of geometric symbols in the +messenger stands for. How do you know this? Do you have a dictionai 7 ? + +Achilles: Yes-there is a venerated book which lists the "Geometric Code”. If you don't +have a copy of this book, of course, you can't translate a koan into a string. + +Tortoise: Evidently not. What is the origin of the Geometric Code Achilles: It came from +an ancient master known as "Great Tutor" who my master says is the only one ever to +attain the Enlightenment' Enlightenment. + +Tortoise: Good gravy! As if one level of the stuff weren't enough. But then there are +gluttons of every sort-why not gluttons for enlighten] Achilles: Do you suppose that +"Enlightenment 'Yond Enlighten] stands for "EYE"? + +Tortoise: In my opinion, it's rather doubtful that it stands for you, Ac More likely, it +stands for "Meta-Enlightenment"-"ME", that is + +Achilles: For you? Why would it stand for you? You haven't even re; the FIRST stage of +enlightenment, let alone the + +Tortoise: You never know, Achilles. Perhaps those who have learn( lowdown on +enlightenment return to their state before enlighten I've always held that "twice +enlightened is unenlightened." But le back to the Grand Tortue-uh, I mean the Great +Tutor. + +Achilles: Little is known of him, except that he also invented the Art of Zen Strings. + +Tortoise: What is that? + +Achilles: It is an art on which the decision procedure for Buddha-nature is based. I shall +tell you about it. + +Tortoise: I would be fascinated. There is so much for novices like absorb! + +Achilles: There is even reputed to be a koan which tells how the Art Strings began. But +unfortunately, all this has long since been lost sands of time, and is no doubt gone +forever. Which may be just a for otherwise there would be imitators who would take +on the m~ name, and copy him in other ways. + +Tortoise: But wouldn't it be a good thing if all students of Zen copied that most +enlightened master of all, the Great Tutor? + +Achilles: Let me tell you a koan about an imitator. + +Zen master Gutei raised his finger whenever he was asked a question about Zen. A +young novice began to irritate him in this way. When Gut was told about the +novice's imitation, he sent for him and asked him if were true. The novice +admitted it was so. Gutei asked him if he understood. In reply the novice held up +his index finger. Gutei promptly cut off. The novice ran from the room, howling in +pain. As he reached it threshold, Gutei called, "Boy!" When the novice turned, +Gutei raised h index finger. At that instant the novice vas enlightened. + +Tortoise: Well, what do you know! Just when I thought Zen was all about Joshu and his +shenanigans, now I find out that Gutei is in on the merriment too. He seems to have +quite a sense of humor. + +Achilles: That koan is very serious. I don't know how you got the idea that it is +humorous. + +Tortoise: Perhaps Zen is instructive because it is humorous. I would guess +that if you took all such stories entirely seriously, you would miss the point as often as +you would get it. + +Achilles: Maybe there's something to your Tortoise-Zen. + +Tortoise: Can you answer just one question for me? I would like to know this: Why did +Bodhidharma come from India into China? + +Achilles: Oho! Shall I tell you what Joshu said when he was asked that very question? + +Tortoise: Please do. + +Achilles: He replied, "That oak tree in the garden." + +Tortoise: Of course; that's just what I would have said. Except that I would have said it in +answer to a different question-namely, "Where can I find some shade from the +midday sun?" + +Achilles: Without knowing it, you have inadvertently hit upon one of the basic questions +of all Zen. That question, innocent though it sounds, actually means, "What is the +basic principle of Zen?" + +Tortoise: How extraordinary. I hadn't the slightest idea that the central aim of Zen was to +find some shade. + +Achilles: Oh, no-you've misunderstood me entirely. I wasn't referring to THAT question. +I meant your question about why Bodhidharma came from India into China. + +Tortoise: I see. Well, I had no idea that I was getting into such deep waters. But let's +come back to this curious mapping. I gather that any koan can be turned into a folded +string by following the method you outlined. Now what about the reverse process? +Can any folded string be read in such a way as to yield a koan? + +Achilles: Well, in a way. However .. . + +Tortoise: What's wrong? + +Achilles: You're just not supposed to do it that way 'round. It would violate the Central +Dogma of Zen strings, you see, which is contained in this picture (picks up a napkin +and draws)'. + +* koan => messenger folded string transcription translation + +You're not supposed to go against the arrows-especially not the second one. + +Tortoise: Tell me, does this Dogma have Buddha-nature, or not? Come to think of it, I +think I'll unask the question. Is that all right? + +Achilles: I am glad you unasked the question. But-I'll let you in on a secret. Promise you +won't tell anyone? + +Tortoise: Tortoise's honor. + +Achilles: Well, once in a while, I actually do go against the arrows. I get sort of an illicit +thrill out of it, I guess. + +Tortoise: Why, Achilles! I had no idea you would do something so irreverent! + +Achilles: I've never confessed it to anyone before-not even Okanisama. + +Tortoise: So tell me, what happens when you go against the arrows i Central Dogma? +Does that mean you begin with a string and m koan? + +Achilles: Sometimes-but some weirder things can happen. + +Tortoise: Weirder than producing koans? + +Achilles: Yes ... When you untranslate and untranscribe, you get THING, but not always +a koan. Some strings, when read out Ion way, only give nonsense. + +Tortoise: Isn't that just another name for koans? + +Achilles: You clearly don't have the true spirit of Zen yet. + +Tortoise: Do you always get stories, at least? + +Achilles: Not always-sometimes you get nonsense syllables, other you get ungrammatical +sentences. But once in a while you get seems to be a koan. + +Tortoise: It only SEEMS to be one? + +Achilles: Well, it might be fraudulent, you see. + +Tortoise: Oh, of course. + +Achilles: I call those strings which yield apparent koans "well-foi strings. + +Tortoise: Why don't you tell me about the decision procedure which allows you to +distinguish phony koans from the genuine article? + +Achilles: That's what I was heading towards. Given the koan, or non* as the case may be, +the first thing is to translate it into the dimensional string. All that’s left is to find out +if the strip Buddha-nature or not. + +Tortoise: But how do you do THAT? + +Achilles: Well, my master has said that the Great Tutor was able, I glancing at a string, to +tell if it had Buddha-nature or not. + +Tortoise: But what if you have not reached the stage of the Enlightenment: 'Yond +Enlightenment? Is there no other way to tell if a string hasi Buddha-nature? + +Achilles: Yes, there is. And this is where the Art of Zen Strings come is a technique for +making innumerably many strings, all of whit Buddha-nature. + +Tortoise: You don't say! And is there a corresponding way of n strings which DON'T +have Buddha-nature? + +Achilles: Why would you want to do that? + +Tortoise: Oh, I just thought it might be useful. + +Achilles: You have the strangest taste. Imagine! Being more intere things that DON'T +have Buddha-nature than things that DO! + +Tortoise: Just chalk it up to my unenlightened state. But go on. T how to make a string +which DOES have Buddha-nature. + +Achilles: Well, you must begin by draping a loop of string over your in one of five legal +starting positions, such as this one ... (Picks up a string and drapes it in a simple loop +between a finger on each hand.:) + +Tortoise: What are the other four legal starting positions? + +Achilles: Each one is a position considered to be a SELF-EVIDENT manner of picking +up a string. Even novices often pick up strings in those positions. And these five +strings all have Buddha-nature. Tortoise: Of course. + +Achilles: Then there are some String Manipulation Rules, by which you can make more +complex string figures. In particular, you are allowed to modify your string by doing +certain basic motions of the hands. For instance, you can reach across like this-and +pull like this-and twist like this. With each operation you are changing the overall +configuration of the string draped over your hands. + +Tortoise: Why, it looks just like making cat's-cradles and such string figures! + +Achilles: That's right. Now as you watch, you'll see that some of these rules make the +string more complex; some simplify it. But whichever way you go, as long as you +follow the String Manipulation Rules, every string you produce will have Buddha- +nature. + +Tortoise: That is truly marvelous. Now what about the koan concealed inside this string +you've just made? Would it be genuine? + +Achilles: Why, according to what I've learned, it must. Since I made it according to the +Rules, and began in one of the five self-evident positions, the string must have +Buddha-nature, and consequently it must correspond to a genuine koan. + +Tortoise: Do you know what the koan is? + +Achilles: Are you asking me to violate the Central Dogma? Oh, you naughty fellow! + +(And with furrowed brow and code book in hand, Achilles points along the string +inch by inch, recording each fold by a triplet of geometric symbols of the strange +phonetic alphabet for koan, until he has nearly a napkinful.) + +Done! + +Tortoise: Terrific. Now let's hear it. + +Achilles: All right. + +A traveling monk asked an old woman the road to Taizan, a popular temple +supposed to give wisdom to the one who worships there. The old woman said: +"Go straight ahead." After the monk had proceeded a few steps, she said to herself, +"He also is a common church-goer." Someone told this incident to Joshu, who +said: "Wait until I investigate." The next day he went and asked the same question, +and the old woman gave the same answer. Joshu remarked: "I have investigated +that old woman." + +Tortoise: Why, with his flair for investigations, it's a shame that Joshu +never was hired by the FBI. Now tell me-what you did, I could also +do, if I followed the Rules from the Art of Zen Strings, right? + +Achilles: Right. + +Tortoise: Now would I have to perform the operations in just the same ORDER as you +did? + +Achilles: No, any old order will do. + +Tortoise: Of course, then I would get a different string, and consequently a different +koan. Now would I have to perform the same NUMBER of steps as you did? + +Achilles: By no means. Any number of steps is fine. + +Tortoise: Well, then there are an infinite number of strings with Buddha nature-and +consequently an infinite number of genuine koans Howdo you know there is any +string which CAN "I- be made by your Achilles: Oh, yes-back to things which lack +Buddha-nature. It just so happens that once you know how to make strings WITH +Buddha nature, you can also make strings WITHOUT Buddha-nature. That is +something which my master drilled into me right at the beg Tortoise: Wonderful! +How does it work? + +Achilles: Easy. Here, for example-M make a string which lacks Buddha-nature .. . + +(He picks up the string out of which the preceding koan was "pulled", ties a little +teeny knot at one end of it, pulling it tight with his thumb forefinger.) + +This is it - no Buddha-nature here. + +Tortoise: Very illuminating. All it takes is adding a knot? How know that the new string +lacks Buddha-nature? + +Achilles: Because of this fundamental property of Buddha-nature; when two well-formed +strings are identical but for a knot at one end, then only ONE of them can have +Buddha-nature. It's a rule of thumb which my master taught me. + +Tortoise: I'm just wondering about something. Are there some strings with Buddha- +nature which you CAN'T reach by following the Rules of Zen Strings, no matter in +what order? + +Achilles: I hate to admit it, but I am a little confused on this point myself. At first my +master gave the strongest impression that Buddha in a string was DEFINED by +starting in one of the five legal positions, and then developing the string according to +the Rules. But then later, he said something about somebody-o "Theorem". I never +got it straight. Maybe I even misheard said. But whatever he said, it put some doubt in +my mind as to this method hits ALL strings with Buddha-nature. To the be +knowledge, at least, it does. But Buddha-nature is a pretty elusive thing, you know. + +Tortoise: I gathered as much, from Joshu's 'MU'. I wonder ... + +Achilles: What is it? + +Tortoise: I was just wondering about those two koans-I mean t and its un-koan-the ones +which say "This mind is Buddha" at mind is not Buddha"-what do they look like, +when turned int via the Geometric Code? + +Achilles: I'd be glad to show you. + +(He writes down the phonetic transcriptions, and then pulls from his pocket a +couple of pieces of string, which he carefully folds inch by inch, following the +triplets of symbols written in the strange alphabet. Then he places the finished +strings side by side.) + +You see, here is the difference. + +Tortoise: They are very similar, indeed. Why, I do believe there is only one difference +between them: it's that one of them has a little knot on its end! + +Achilles: By Joshu, you're right. + +Tortoise: Aha! Now I understand why your master is suspicious. + +Achilles: You do? + +Tortoise: According to your rule of thumb, AT MOST ONE of such a pair can have +Buddha-nature, so you know right away that one of the koans must be phony. + +Achilles: But that doesn't tell which one is phony. I've worked, and so has my master, at +trying to produce these two strings by following the String Manipulation Rules, but to +no avail. Neither one ever turns up. It's quite frustrating. Sometimes you begin to +wonder ... + +Tortoise: You mean, to wonder if either one has Buddha-nature? Perhaps neither of them +has Buddha-nature-and neither koan is genuine! + +Achilles: I never carried my thoughts as far as that-but you're right-it's possible, I guess. +But I think you should not ask so many questions about Buddha-nature. The Zen +master Mumon always warned his pupils of the danger of too many questions. + +Tortoise: All right-no more questions. Instead, I have a sort of hankering to make a string +myself. It would be amusing to see if what I come up with is well-formed or not. + +Achilles: That could be interesting. Here's a piece of string. (He passes one to the +Tortoise.) + +Tortoise: Now you realize that I don't have the slightest idea what to do. + +We'll just have to take potluck with my awkward production, which will follow no rules +and will probably wind up being completely undecipherable. (Grasps the loop +between his feet and, with a few simple manipulations, creates a complex string which +he proffers wordlessly to Achilles. At that moment, Achilles' face lights up.) + +Achilles: Jeepers creepers! I'll have to try out your method myself. I have never seen a +string like this! + +Tortoise: I hope it is well-formed. Achilles: I see it's got a knot at one end. + +Tortoise: Oh just a moment! May I have it back? I want to do one thing to it. + +Achilles: Why, certainly. Here you are. + +(Hands it back to the Tortoise, who ties another knot at the same end. Then the +Tortoise gives a sharp tug, and suddenly both knots disappear!) + +Achilles: What happened? + +Tortoise: I wanted to get rid of that knot. + +Achilles: But instead of untying it, you tied another one, and then BOTH disappeared! +Where did they go? + +Tortoise: Tumbolia, of course. That's the Law of Double Nodulation. + +(Suddenly, the two knots reappear from out of nowhere-that is to say, Tumbolia.) + +Achilles: Amazing. They must lie in a fairly accessible layer of Tumbol they can pop into +it and out of it so easily. Or is all of Tumbolia equally inaccessible? + +Tortoise: I couldn't say. However, it does occur to me that burning string would make it +quite improbable for the knots to come back such a case, you could think of them as +being trapped in a deeper la of Tumbolia. Perhaps there are layers and layers of +Tumbolia. that's neither here nor there. What I would like to know is how string +sounds, if you turn it back into phonetic symbols. (As he hauls it back, once again, the +knots pop into oblivion.) + +Achilles: I always feel so guilty about violating the Central Dogma ( Takes out his pen +and code book, and carefully jots down the many sym triplets which correspond to the +curvy involutions of the Tortoise's string; when he is finished, he clears his voice.) +Ahem. Are you ready to hear w you have wrought? + +Tortoise: I'm willing if you're willing. + +Achilles: All right. It goes like this: + +A certain monk had a habit of pestering the Grand Tortue (the only one who had ever +reached the Enlightenment 'Yond Enlightenment), by asking whether various objects +had Buddha-nature or not. To such questions Tortue invariably sat silent. The monk +had already asked about a bean, a lake, and a moonlit night. One day, he brought to +Tortue a piece of string, and asked the same question. In reply, the Grand Tortue +grasped the loop between his feet and + +Tortoise: Between his feet? How odd! Achilles: Why should you find that odd? + +Tortoise: Well, ah ... you've got a point there. But please go on! + +Achilles: All right. + +The Grand Tortue grasped the loop between his feet and, with a few simple +manipulations, created a complex string which he proffered wordlessly to the +monk. At that moment, the monk was enlightened. + +Tortoise: I'd rather be twice-enlightened, personally. + +Achilles: Then it tells how to make the Grand Tortue's string, if you be, with a string +draped over your feet. I'll skip those boring details concludes this way: + +From then on, the monk did not bother Tortue. Instead, he made string after string +by Tortue's method; and he passed the method on to his own disciples, who passed +it on to theirs. + +Tortoise: Quite a yarn. It's hard to believe it was really hidden inside my string. + +Achilles: Yet it was. Astonishingly, you seem to have created a well-formed string right +off the bat. + +Tortoise: But what did the Grand Tortue's string look like? That's the main point of this +koan, I'd suppose. + +Achilles: I doubt it. One shouldn't "attach" to small details like that inside koans. It's the +spirit of the whole koan that counts, not little parts of it. Say, do you know what I just +realized? I think, crazy though it sounds, that you may have hit upon that long-lost +koan which describes the very origin of the Art of Zen Strings! + +Tortoise: Oh, that would almost be too good to have Buddha-nature. + +Achilles: But that means that the great master-the only one who ever reached the mystical +state of the Enlightenment 'Yond Enlightenment-was named "Tortue", not "Tutor". +What a droll name! + +Tortoise: I don't agree. I think it's a handsome name. I still want to know how Tortue's +string looked. Can you possibly recreate it from the description given in the koan? + +Achilles: I could try ... Of course, I'll have to use my feet, too, since it's described in +terms of foot motions. That's pretty unusual. But I think I can manage it. Let me give +it a go. (He picks up the koan and a piece of string, and for a few minutes twists and +bends the string in arcane ways until he has the finished product.) Well, here it is. +Odd, how familiar it looks. + +Tortoise: Yes, isn't that so? I wonder where I saw it before? Achilles: I know! Why, this +is YOUR string, Mr. T! Or is Tortoise: Certainly not. + +Achilles: Of course not-it's the string which you first handed to me, before you took it +back to tie an extra knot in it. + +Tortoise: Oh, yes-indeed it is. Fancy that. I wonder what that implies. + +Achilles: It's strange, to say the least. + +Tortoise: Do you suppose my koan is genuine? + +Achilles: Wait just a moment ... + +Tortoise: Or that my string has Buddha-nature? + +Achilles: Something about your string is beginning, to trouble me, Mr.Tortoise . + +Tortoise ( looking most pleased with himself and paying no attention to Achilles)-. And +what about Tortue's string? Does it have Buddha nature? There are a host of questions +to ask! + +Achilles: I would be scared to ask such questions, Mr. T. There is something mighty +funny going on here, and I'm not sure I like it. Tortoise: I'm sorry to hear it. I can't +imagine what's troubling you. Achilles: Well, the best way I know to explain it is to +quote the words of another old Zen master, Kyogen. + +Kyogen said: Zen is like a man hanging in a tree by his teeth over a precipice. His +har grasp no branch, his feet rest on no limb, and under the tree anotl person asks +him: "Why did Bodhidharma come to China from India?" the man in the tree does +not answer, he fails; and if he does answer, falls and loses his life. Now what shall +he do? + +Tortoise: That's clear; he should give up Zen, and take up molecular biology. + +CHAPTER IX: Mumon and Godel + +What Is Zen? + +I'M NOT SURE I know what Zen is. In a way, I think I understand it very well; but in a +way, I also think I can never understand it at all. Ever since my freshman English teacher +in college read Joshu's MU out loud to our class, I have struggled with Zen aspects of +life, and probably I will never cease doing so. To me, Zen is intellectual quicksand- +anarchy, darkness, meaninglessness, chaos. It is tantalizing and infuriating. And yet it is +humorous, refreshing, enticing. Zen has its own special kind of meaning, brightness, and +clarity. I hope that in this Chapter, I can get some of this cluster of reactions across to +you. And then, strange though it may seem, that will lead us directly to Godelian matters. + +One of the basic tenets of Zen Buddhism is that there is no way to characterize +what Zen is. No matter what verbal space you try to enclose Zen in, it resists, and spills +over. It might seem, then, that all efforts to explain Zen are complete wastes of time. But +that is not the attitude of Zen masters and students. For instance, Zen koans are a central +part of Zen study, verbal though they are. Koans are supposed to be "triggers" which, +though they do not contain enough information in themselves to impart enlightenment, +may possibly be sufficient to unlock the mechanisms inside one's mind that lead to +enlightenment. But in general, the Zen attitude is that words and truth are incompatible, +or at least that no words can capture truth. + +Zen Master Mumon + +Possibly in order to point this out in an extreme way, the monk Mumon ("No-gate"), in +the thirteenth century, compiled forty-eight koans, following each with a commentary +and a small "poem". This work is called "The Gateless Gate" or the Mumonkan ("No¬ +gate barrier"). It is interesting to note that the lives of Mumon and Fibonacci coincided +almost exactly: Mumon living from 1183 to 1260 in China, Fibonacci from 1180 to 1250 +in Italy. To those who would look to the Mumonkan in hopes of making sense of, or +"understanding", the koans, the Mumonkan may come as a rude shock, for the comments +and poems are entirely as opaque as the koans which they are supposed to clarify. Take +this, for example:' - + +Koan: + +Hogen of Seiryo monastery was about to lecture before dinner when he noticed that the bamboo screen, +lowered for meditation, had not been rolled up. He pointed to it. Two monks arose wordlessly from the +audience and rolled it up. Hogen, observing the physical moment, said, "The state of the first monk is good, +not that of the second." + +Mumon's Commentary: + +I want to ask you: which of those two monks gained and which lost? If any of you has one eye, he will see +the failure on the teacher's part. However, I am not discussing gain and loss. + +Mumon's Poem: + +When the screen is rolled up the great sky opens. + +Yet the sky is not attuned to Zen. + +It is best to forget the great sky +And to retire from every wind. + +Or then again, there is this one Koan: + +Goso said: "When a buffalo goes out of his enclosure to the edge of the abyss, his horns and his +head and his hoofs all pass through, but why can’t the tail also pass?" + +Mumon's Commentary: + +If anyone can open one eye at this point and say a word of Zen, he is qualified to repay +the four gratifications, and, not only that, he can save all sentient beings under him. But if +he cannot say such a word of Zen, he should turn back to his tail. + +Mumon's Poem: + +If the buffalo runs, he will fall into the trench; + +If he returns, he will be butchered. + +That little tail + +Is a very strange thing. + +I think you will have to admit that Mumon does not exactly clear everything up. One +might say that the metalanguage (in which Mumon writes) is not very different from the +object language (the language of the koan). According to some, Mumon's comments are +intentionally idiotic, perhaps meant to show how useless it is to spend one's time in +chattering about Zen. How ever, Mumon's comments can be taken on more than one +level. For instance, consider this: + +Koan: + +A monk asked Nansen: "Is diere a teaching no master ever taught before?" + +Nansen said: "Yes, there is." + +"What is it?" asked the monk. + +Nansen replied: "It is not mind, it is not Buddha, it is not things." + +Mumon’s Commentary: + +Old Nansen gave away his treasure-words. He must have been greatly upset +Mumon’s Poem: + +Nansen was too kind and lost his treasure. + +Truly, words have no power. + +Even though the mountain becomes the sea. + +Words cannot open another's mind. + +In this poem Mumon seems to be saying something very central to Zen, not making +idiotic statements. Curiously, however, the poem is referential, and thus it is a comment +not only on Nansen’s words, but on its own ineffectiveness. This type of paradox is quite +characteristic of Zen It is an attempt to "break the mind of logic”. You see this paradox +quality in the koan, as well. Concerning Mumon's commentary, do think that Nansen was +really so sure of his answer? Or did the "correctness of his answer matter at all? Or does +correctness play any role in Zen? is the difference between correctness and truth, or is +there any? What if Nansen had said, "No, there is not any such teaching"? Would it have +r any difference? Would his remark have been immortalized in a koan? + +Here is another koan which aims to break the mind of logic:' + +The student Doko came to a Zen master, and said: "I am seeking the truth. In what state +of mind should I train myself, so as to find it?" + +Said the master, "There is no mind, so you cannot put it in any state. There is no +truth, so you cannot train yourself for it." + +"If there is no mind to train, and no truths to find, why do you have these monks +gather before you every day to study- Zen and train themselves for this study?" + +"But I haven't an inch of room here,” said the master, "so how could the monks +gather? I have no tongue, so how could I call them together or teach them?" + +"Oh, how can you lie like this?" asked Doko. + +"But if I have no tongue to talk to others, how can I lie to you?" asked the master. +Then Doko said sadly, "I cannot follow you. I cannot understand you +"I cannot understand myself," said the master. + +If any koan serves to bewilder, this one does. And most likely, can bewilderment is its +precise purpose, for when one is in a bewildered s one's mind does begin to operate +nonlogically, to some extent. Only by stepping outside of logic, so the theory goes, can +one make the lea enlightenment. But what is so bad about logic? Why does it prevent the +to enlightenment? + +Zen's Struggle Against Dualism + +To answer that, one needs to understand something about what enlightenment is. Perhaps +the most concise summary of enlightenment w be: transcending dualism. Now what is +dualism? Dualism is the conceptual division of the world into categories. Is it possible to +transcend this natural tendency? By prefixing the word "division" by the word +"conceptual", I may have made it seem that this is an intellectual or cons effort, and +perhaps thereby given the impression that dualism could overcome simply by suppressing +thought (as if to suppress thinking act were simple!). But the breaking of the world into +categories takes plat below the upper strata of thought; in fact, dualism is just as a +perceptual division of the world into categories as it is a conceptual division In other +words, human perception is by nature a dualistic phenomenon which makes the quest for +enlightenment an uphill struggle, to say the least. + +At the core of dualism, according to Zen, are words just plain w The use of words +is inherently dualistic, since each word represents, obviously, a conceptual category. +Therefore, a major part of Zen is the against reliance on words. To combat the use of +words, one of the devices is the koan, where words are so deeply abused that one's mi +practically left reeling, if one takes the koans seriously. Therefore perhaps wrong to say +that the enemy of enlightenment is logic; rather dualistic, verbal thinking. In fact, it is +even more basic than that: perception. As soon as you perceive an object, you draw a line +between it and the rest of the world; you divide the world, artificially, into parts you +thereby miss the Way. + +Here is a koan which demonstrates the struggle against words: + +Koan: + +Shuzan held out his short staff and said: "If you call this a short staff, you oppose its +reality. If you do not call it a short staff, you ignore the fact. N, what do you wish to call +this?" + +Mumon’s Commentary: + +If you call this a short staff, you oppose its reality. If you do not call it a short staff, you +ignore the fact. It cannot be expressed with words and it cannot be expressed without +words. Now say quickly what it is. + +Mumon's Poem: + +Holding out the short staff. + +He gave an order of life or death. + +Positive and negative interwoven, + +Even Buddhas and patriarchs cannot escape this attack. + +("Patriarchs" refers to six venerated founders of Zen Buddhism, of whom Bodhidharma is +the first, and Eno is the sixth.) + +Why is calling it a short staff opposing its reality? Probably because such a +categorization gives the appearance of capturing reality, whereas the surface has not even +been scratched by such a statement. It could be compared to saying "5 is a prime +number". There is so much more-an infinity of facts-that has been omitted. On the other +hand, not to call it a staff is, indeed, to ignore that particular fact, minuscule as it may be. +Thus words lead to some truth-some falsehood, perhaps, as well-but certainly not to all +truth. Relying on words to lead you to the truth is like relying on an incomplete formal +system to lead you to the truth. A formal system will give you some truths, but as we +shall soon see, a formal system-no matter how powerful-cannot lead to all truths. The +dilemma of mathematicians is: what else is there to rely on, but formal systems? And the +dilemma of +Zen people is, what else is there to rely on, but words? Mumon states t dilemma very +clearly: "It cannot be expressed with words and it cannot +expressed without words." + +Here is Nansen, once again:' + +Joshu asked the teacher Nansen, "What is the true Way?" + +Nansen answered, "Everyday way is the true Way.’Joshu asked, "Can I study it?" +Nansen answered, "The more you study, the further from the Way." Joshu asked, "If I +don't study it, how can I know it?" + +Nansen answered, "The Way does not belong to things seen: nor to thing: unseen. It +does not belong to things known: nor to things unknown. Do not seek it, study it, or +name it. To find yourself on it, open yourself wide as the sky." [See Fig. 50.] + +This curious statement seems to abound with paradox. It is a little reminiscent of +this surefire cure for hiccups: "Run around the house three times without thinking of the +word 'wolf." Zen is a philosophy which seems to have embraced the notion that the road +to ultimate truth, like the only surefire cure for hiccups, may bristle with paradoxes. + +Ism, The Un-Mode, and Unmon + +If words are bad, and thinking is bad, what is good? Of course, to ask this is already +horribly dualistic, but we are making no pretense of being faithful to Zen in discussing +Zen-so we can try to answer the question seriously. I have a name for what Zen strives +for: ism. Ism is an antiphilosophy, a way of being without thinking. The masters of ism +are rocks, trees, clams; but it is the fate of higher animal species to have to strive for ism, +without ever being able to attain it fully. Still, one is occasionally granted glimpses of +ism. Perhaps the following koan offers such a glimpse 7 + +Hyakujo wished to send a monk to open a new monastery. He told his pupils that +whoever answered a question most ably would be appointed. Placing a water vase on +the ground, he asked: "Who can say what this is without calling its name?" + +The chief monk said: "No one can call it a wooden shoe." + +Isan, the cooking monk, tipped over the vase with his foot and went out. Hyakujo +smiled and said: "The chief monk loses." And Isan became the +master of the new monastery. + +To suppress perception, to suppress logical, verbal, dualistic thinking-this is the essence +of Zen, the essence of ism. This is the Unmode-not Intelligent, not Mechanical, just "Un". +Joshu was in the Unmode, and that is why his 'MU' unasks the question. The Un-mode +came naturally to Zen Master Unmon: 8 + +One day Unmon said to his disciples, "This staff of mine has transformed itself into a +dragon and has swallowed up the universe! Oh, where are the rivers and mountains +and the great earth?" + +Zen is holism, carried to its logical extreme. If holism claims that things can only be +understood as wholes, not as sums of their parts, Zen goes one further, in maintaining that +the world cannot be broken into parts at all. To divide the world into parts is to be +deluded, and to miss enlightenment. + +A master was asked the question, "What is the Way?" by a curious monk. " + +It is right before your eyes," said the master. "Why do I not see it for myself?" +"Because you are thinking of yourself." + +"What about you: do you see it?" + +"So long as you see double, saying 'I don't 1 , and 'you do', and so on, your +eyes are clouded," said the master. + +"When there is neither 'I' nor 'You', can one see it?" + +"When there is neither T nor 'You', who is the one that wants to see it?" 9 + +Apparently the master wants to get across the idea that an enlighte state is one +where the borderlines between the self and the rest of universe are dissolved. This would +truly be the end of dualism, for a says, there is no system left which has any desire for +perception. But what is that state, if not death? How can a live human being dissolve the +borderlines between himself and the outside world? + +Zen and Tumbolia + +The Zen monk Bassui wrote a letter to one of his disciples who was about to die, and in it +he said: "Your end which is endless is as a snowflake dissolving in the pure air." The +snowflake, which was once very much a discernible subsystem of the universe, now +dissolves into the larger system which 4 held it. Though it is no longer present as a +distinct subsystem, its essence somehow still present, and will remain so. It floats in +Tumbolia, along hiccups that are not being hiccupped and characters in stories that are +being read . . . That is how I understand Bassui's message. + +Zen recognizes its own limitations, just as mathematicians have lea: to recognize +the limitations of the axiomatic method as a method attaining truth. This does not mean +that Zen has an answer to what beyond Zen any more than mathematicians have a clear +understanding the forms of valid reasoning which lie outside of formalization. One ol +clearest Zen statements about the borderlines of Zen is given in the fol ing strange koan, +very much in the spirit of Nansen: 10 + +Tozan said to his monks, "You monks should know there is an even high +understanding in Buddhism." A monk stepped forward and asked, "What the higher +Buddhism?" Tozan answered, "It is not Buddha." + +There is always further to go; enlightenment is not the end-all of And there is no recipe +which tells how to transcend Zen; the only thing can rely on for sure is that Buddha is not +the way. Zen is a system cannot be its own metasystem; there is always something +outside of which cannot be fully understood or described within Zen. + +Escher and Zen + +In questioning perception and posing absurd answerless riddles, Zen company, in the +person of M. C. Escher. Consider Day and Night (Fig. 4 masterpiece of "positive and +negative interwoven" (in the words of Mumoni). One might ask, "Are those really birds, +or are they really field it really night, or day?" Yet we all know there is no point to such +questions The picture, like a Zen koan, is trying to break the mind of logic. Es4 also +delights in setting up contradictory pictures, such as Another World +(Fig. 4S)-pictures that play with reality and unreality the same way as Zen plays with +reality and unreality. Should one take Escher seriously? Should one take Zen seriously? + +There is a delicate, haiku-like study of reflections in Dewclrop (Fig. 47); and then +there are two tranquil images of the moon reflected in still waters: Puddle (Fig. 51), and +Rippled Surface (Fig. 52). The reflected moon is a theme which recurs in various koans. +Here is an example:' + +Chiyono studied Zen for many years under Bukko of Engaku. Still, she could not +attain the fruits of meditation. At last one moonlit night she was carrying water in an +old wooden pail girded with bamboo. The bamboo broke, and the bottom fell out of +the pail. At that moment, she was set free. Chiyono said, "No more water in the pail, +no more moon in the water." + +Three Worlds : an Escher picture (Fig. 46), and the subject of a Zen koan: 12 + +A monk asked Ganto, "When the three worlds threaten me, what shall I do?" Ganto +answered, "Sit down." "I do not understand," said the monk. Canto said, "Pick up the +mountain and bring it to me. Then I will tell you." + +Hemiolia and Escher + +In Verbum (Fig. 149), oppositions are made into unities on several I Going around we see +gradual transitions from black birds to white birds to black fish to white fish to black +frogs to white frogs to black birds ... six steps, back where we started! Is this a +reconciliation of the dichotomy of black and white? Or of the trichotomy of birds, fish, +and frogs? Or sixfold unity made from the opposition of the evenness of 2 an oddness of +3? In music, six notes of equal time value create a rhythmic ambiguity-are they 2 groups +of 3, or 3 groups of 2? This ambiguity has a name: hemiolia. Chopin was a master of +hemiolia: see his Waltz op. his Etude op. 25, no. 2. In Bach, there is the Tempo di +Menuetto from the keyboard Partita no. 5, or the incredible Finale of the first Sonata +unaccompanied violin, in G Minor. + +As one glides inward toward the center of Verbum, the distinctions gradually blur, +so that in the end there remains not three, not two, but one single essence: "VERBUM", +which glows with brilliancy-perhaps a symbol of enlightenment. Ironically, ' verbum" +not only is a word, but "word"-not exactly the most compatible notion with Zen. On the +hand, "verbum" is the only word in the picture. And Zen master I once said, "The +complete Tripitaka can be expressed in one character ("Tripitaka", meaning "three +baskets", refers to the complete texts c original Buddhist writings.) What kind of +decoding-mechanism, I wonder would it take to suck the three baskets out of one +character? Perhaps one with two hemispheres. + +Indra's Net + +Finally, consider Three Spheres 11 (Fig. 53), in which every part of the world seems to +contain, and be contained in, every other part: the writing table reflects the spheres on top +of it, the spheres reflect each other, as well as the writing table, the drawing of them, and +the artist drawing it. The endless connections which all things have to each other is only +hinted at here, yet the hint is enough. The Buddhist allegory of "Indra's Net" tells of an +endless net of threads throughout the universe, the horizontal threads running through +space, the vertical ones through time. At every crossing of threads is an individual, and +every individual is a crystal bead. The great light of "Absolute Being" illuminates and +penetrates every crystal bead; moreover, every crystal bead reflects not only the light +from every other crystal in the net-but also every reflection of every reflection throughout +the universe. + +To my mind, this brings forth an image of renormalized particles: in every +electron, there are virtual photons, positrons, neutrinos, muons ... ; in every photon, there +are virtual electrons, protons, neutrons, pions ... ; in every pion, there are ... + +But then another image rises: that of people, each one reflected in the minds of +many others, who in turn are mirrored in yet others, and so on. + +Both of these images could be represented in a concise, elegant way by using +Augmented Transition Networks. In the case of particles, there would be one network for +each category of particle; in the case of people. +one for each person. Each one would contain calls to many others, t creating a virtual +cloud of ATN's around each ATN. Calling one we create calls on others, and this process +might cascade arbitrarily far, un~ bottomed out. + +Mumon on MU + +Let us conclude this brief excursion into Zen by returning to Mumon. H is his comment +on Joshu's MU 13 + +To realize Zen one has to pass through the barrier of the patriarchs. Enlightenment +always comes after the road of thinking is blocked. If you do nc pass the barrier of the +patriarchs or if your thinking road is not blocked whatever you think, whatever you +do, is like a tangling ghost. You may ask "What is a barrier of a patriarch?" This one +word, 'MU', is it. + +This is the barrier of Zen. If you pass through it, you will see Joshu face t face. +Then you can work hand in hand with the whole line of patriarchs. I this not a pleasant +thing to do? + +If you want to pass this barrier, you must work through every bone in you body, +through every pore of your skin, filled with this question: "What 'MU'?" and carry it +day and night. Do not believe it is the common negative symbol meaning nothing. It is +not nothingness, the opposite of existence. I you really want to pass this barrier, you +should feel like drinking a hot iro ball that you can neither swallow nor spit out. + +Then your previous lesser knowledge disappears. As a fruit ripening i season, +your subjectivity and objectivity naturally become one. It is like dumb man who has +had a dream. He knows about it but he cannot tell i + +When he enters this condition his ego-shell is crushed and he can shake th heaven +and move the earth. He is like a great warrior with a sharp sword. If Buddha stands in +his way, he will cut him down; if a patriarch offers him an obstacle, he will kill him; +and he will be free in his way of birth and death. H can enter any world as if it were +his own playground. I will tell you how to d this with this koan: + +Just concentrate your whole energy into this MU, and do not allow an +discontinuation. When you enter this MU and there is no discontinuation - your +attainment will be as a candle burning and illuminating the who] universe. + +From Mumon to the MU-puzzIe + +From the ethereal heights of Joshu's MU, we now descend to the private lowlinesses of +Hofstadter's MU ... I know that you have already concentrated your whole energy into +this MU (when you read Chapter 1). So n wish to answer the question which was posed +there: + +Has MU theorem-nature, or not? + +The answer to this question is not an evasive MU; rather, it is a resounding NO. In order +to show this, we will take advantage of dualistic, logical thinking. + +We made two crucial observations in Chapter I: + +(1) that the MU-puzzle has depth largely because it involves the interplay of +lengthening and shortening rules; + +(2) that hope nevertheless exists for cracking the problem by employing a tool which + +is in some sense of adequate depth to handle matters of that complexity: the +theory of numbers. + +We did not analyze the MU-puzzle in those terms very carefully in Chapter I; we shall do +so now. And we will see how the second observation (when generalized beyond the +insignificant MlU-system) is one of the most fruitful realizations of all mathematics, and +how it changed mathematicians' view of their own discipline. + +For your ease of reference, here is a recapitulation of the MlU-system: + +* SYMBOLS: M, I, U + +* Axiom: MI + +* RULES: + +* I. If xl is a theorem, so is xIU. + +* II. If Mx is a theorem, so is Mxx. + +* III. In any theorem, III can be replaced by U. + +* IV. UU can be dropped from any theorem. + +Mumon Shows Us How to Solve the MU-puzzle + +According to the observations above, then, the MU-puzzle is merely a puzzle about +natural numbers in typographical disguise. If we could only find a way to transfer it to the +domain of number theory, we might be able to solve it. Let us ponder the words of +Mumon, who said, "If any of you has one eye, he will see the failure on the teacher's +part." But why should it matter to have one eye? + +If you try counting the number of l's contained in theorems, you will soon notice +that it seems never to be 0. In other words, it seems that no matter how much lengthening +and shortening is involved, we can never work in such a way that all l's are eliminated. +Let us call the number of l's in any string the I-count of that string. Note that the I-count +of the axiom MI is 1. We can do more than show that the I-count can't be 0-we can show +that the I-count can never be any multiple of 3. + +To begin with, notice that rules I and IV leave the I-count totally undisturbed. +Therefore we need only think about rules II and III. As far as rule III is concerned, it +diminishes the I-count by exactly 3. After an application of this rule, the I-count of the +output might conceivably be a multiple of 3-but only if the I-count of the input was also. +Rule III, in short, never creates a multiple of 3 from scratch. It can only create one when +it began with one. The same holds for rule II, which doubles the +I-count. The reason is that if 3 divides 2n, then-because 3 does not dig 2-it must divide n +(a simple fact from the theory of numbers). Neither rule II nor rule III can create a +multiple of 3 from scratch. + +But this is the key to the MU-puzzle! Here is what we know: + +(1) The I-count begins at 1 (not a multiple of 3); + +(2) Two of the rules do not affect the I-count at all; (3) + +(3) The two remaining rules which do affect the I-count do so in such a way as never + +to create a multiple of 3 unless given one initially. + +The conclusion-and a typically hereditary one it is, too-is that I-count can never become +any multiple of 3. In particular, 0 is a forbid value of the I-count. Hence, MU is not a +theorem of the MlU-system. + +Notice that, even as a puzzle about I-counts, this problem was plagued by the +crossfire of lengthening and shortening rules. Zero became the goal; I-counts could +increase (rule II), could decrease (rule III). 1 we analyzed the situation, we might have +thought that, with enough switching back and forth between the rules, we might +eventually hit 0. IS thanks to a simple number-theoretical argument, we know that the +impossible. + +Godel-Numbering the MlU-System + +Not all problems of the the type which the MU-puzzle symbolizes at easy to solve as this +one. But we have seen that at least one such pr could be embedded within, and solved +within, number theory. We are going to see that there is a way to embed all problems +about any for system, in number theory. This can happen thanks to the discovery Godel, +of a special kind of isomorphism. To illustrate it, I will use MlU-system. + +We begin by considering the notation of the MlU-system. We map each symbol onto a +new symbol: + +* M <==>3 + +* I <= => 1 + +* U <= => 0 + +The correspondence was chosen arbitrarily; the only rhyme or reason is that each symbol +looks a little like the one it is mapped onto. I number is called the Godel number of the +corresponding letter. Now I sure you can guess what the Godel number of a multiletter +string will be: + +* MU <==>30 + +* MIIU <= =>3110 + +* Etc. + +It is easy. Clearly this mapping between notations is an information preserving +transformation; it is like playing the same melody on two different instruments. + +Let us now take a look at a typical derivation in the MlU-system, written +simultaneously in both notations: + +(1) MI axiom 31 + +(2) Mil rule 2 311 + +(3) miiii rule 2 31111 + +(4) MUI rule 3 301 + +(5) MUIU rule 1 3010 + +(6) MUIUUIU rule 2 3010010 + +(7) MUIIU rule 4 30110 + +The left-hand column is obtained by applying our four familiar typographical rules. The +right-hand column, too, could be thought of as having been generated by a similar set of +typographical rules. Yet the right-hand column has a dual nature. Let me explain what +this means. + +Seeing Things Both Typographically and Arithmetically + +We could say of the fifth string ('3010') that it was made from the fourth, by appending a +'O' on the right; on the other hand we could equally well view the transition as caused by +an arithmetical operation-multiplication by 10, to be exact. When natural numbers are +written in the decimal system, multiplication by 10 and putting a 'O' on the right are +indistinguishable operations. We can take advantage of this to write an arithmetical rule +which corresponds to typographical rule I: + +ARITHMETICAL RULE la: A number whose decimal expansion ends on the right in '1' +can be multiplied by 10. + +We can eliminate the reference to the symbols in the decimal expansion by arithmetically +describing the rightmost digit: + +ARITHMETICAL RULE lb: A number whose remainder when divided by 10 is 1, can +be multiplied by 10. + +Now we could have stuck with a purely typographical rule, such as the following one: + +TYPOGRAPHICAL RULE I: From any theorem whose rightmost symbol is ' 1' a new +theorem can be made, by appending 'O' to the right of that 1'. + +They would have the same effect. This is why the right-hand column has a "dual nature": +it can be viewed either as a series of typographical operations changing one pattern of symbols into another, or as a series arithmetical operations +changing one magnitude into another. But the are powerful reasons for being more +interested in the arithmetical version Stepping out of one purely typographical system +into another isomorphic typographical system is not a very exciting thing to do; whereas +stepping clear out of the typographical domain into an isomorphic part of number theory +has some kind of unexplored potential. It is as if somebody h known musical scores all +his life, but purely visually-and then, all o: sudden, someone introduced him to the +mapping between sounds a musical scores. What a rich, new world! Then again, it is as if +somebody h been familiar with string figures all his life, but purely as string figur devoid +of meaning-and then, all of a sudden, someone introduced him the mapping between +stories and strings. What a revelation! The discovery of Godel-numbering has been +likened to the discovery, by Descartes, of t isomorphism between curves in a plane and +equations in two variables; incredibly simple, once you see it-and opening onto a vast +new world + +Before we jump to conclusions, though, perhaps you would like to a more +complete rendering of this higher level of the isomorphism. It i very good exercise. The +idea is to give an arithmetical rule whose action is indistinguishable from that of each +typographical rule of the MlU-system: + +A solution is given below. In the rules, m and k are arbitrary natural numbers, and n is +any natural number which is less than 10 m + +* RULE 1: If we have made 10m + 1, then we can make 10 x (10m + 1) + +* example: Going from line 4 to line 5. Here, m = 30. + +* RULE 2: If we have made 3 x 10" + n, then we can make 10' X X (3 x 10"'+n)+n. + +* example: Going from line 1 to line 2, where both m and n equal 1. + +* RULE 3: If we have made k x 10 "'+ 111 x 10'+n, then we can make k x 10"+' + n. + +* example: Going from line 3 to line 4. Here, m and n are 1, and k is 3. + +* RULE 4: If we have made k x lOrn+z + n, k x 10" +n. then we can make k x 10m + n + +* example: Going from line 6 to line 7. Here, m = 2, n = 10, and k = 301. + +Let us not forget our axiom! Without it we can go nowhere. Therefore, let us postulate +that: + +* We can make 31. + +Now the right-hand column can be seen as a full-fledged arithmetic process, in a new +arithmetical system which we might call the 310-system + +(1) 31 given + +(2) 311 rule 2 (m=l, n=l) + +(3) 31111 rule 2 (m=2, n=ll) + +(4) 301 rule 3 (m=l, n=l, k=3) + +(5) 3010 rule 1 (m=30) + +(6) 3010010 rule 2 (m=3, n=10) + +(7) 30110 rule 4 (m=2, n=10, k=301) + +Notice once again that the lengthening and shortening rules are ever with us in this "310- +system"; they have merely been transposed into the domain of numbers, so that the Godel +numbers go up and down. If you look carefully at what is going on, you will discover that +the rules are based on nothing more profound than the idea that shifting digits to left and +right in decimal representations of integers is related to multiplications and divisions by +powers of 10. This simple observation finds its generalization in the following + +CENTRAL PROPOSITION: If there is a typographical rule which tells how +certain digits are to be shifted, changed, dropped, or inserted in any number +represented decimally, then this rule can be represented equally well by an +arithmetical counterpart which involves arithmetical operations with powers of 10 +as well as additions, subtractions, and so forth. + +More briefly: + +Typographical rules for manipulating numerals are actually arithmetical rules for +operating on numbers. + +This simple observation is at the heart of Godel’s method, and it will have an absolutely +shattering effect. It tells us that once we have a Godel numbering for any formal system, +we can straightaway form a set of arithmetical rules which complete the Godel +isomorphism. The upshot is that we can transfer the study of any formal system-in fact +the study of all formal systems-into number theory. + +MIU-Producible Numbers + +Just as any set of typographical rules generates a set of theorems, a corresponding set of +natural numbers will be generated by repeated applications of arithmetical rules. These +producible numbers play the same role inside number theory as theorems do inside any +formal system. Of course, different numbers will be producible, depending on which +rules are adopted. "Producible numbers" are only producible relative to a system of +arithmetical rules. For example, such numbers as 31, 3010010, 3111, and so forth could +be called MIU -producible numbers-an ungainly name, which might be shortened to +MIU -numbers, symbolizing the fact that those numbers are the ones that result when you +transcribe the MlU-system into number theory, via Godel-numbering. If we were to +Godel-number the pq-system +and then "arithmetize" its rules, we could call the producible numbers "pq-numbers"-and +so on. + +Note that the producible numbers (in any given system) are defined by a recursive +method: given numbers which are known to be producible, we have rules telling how to +make more producible numbers. Thus, the class of numbers known to be producible is +constantly extending itself, in much the same way that the list of Fibonacci numbers, or +Q-numbers, does. The set of producible numbers of any system is a recursively +enumerable set. What about its complement-the set of nonproducible numbers? Is that set +always recursively enumerable? Do numbers which are nonproducible share some +common arithmetical feature? + +This is the sort of issue which arises when you transpose the study of formal +systems into number theory. For each system which is arithmetized, one can ask, "Can +we characterize producible numbers in a simple way?" "Can we characterize +nonproducible numbers in a recursively enumerable way?" These are difficult questions +of number theory. Depending on the system which has been arithmetized, such questions +might prove too hard for us to resolve. But if there is any hope for solving such problems, +it would have to reside in the usual kind of step-by-step reasoning as it applies to natural +numbers. And that, of course, was put in its quintessential form in the previous Chapter. +TNT seemed, to all appearances, to have captured all valid mathematical thinking +processes in one single, compact system. + +Answering Questions about Producible Numbers by Consulting TNT + +Could it be, therefore, that the means with which to answer any question about any +formal system lies within just a single formal system-TNT? It seems plausible. Take, for +instance, this question: + +Is MU a theorem of the MlU-system? + +Finding the answer is equivalent to determining whether 30 is a MIU number or not. +Because it is a statement of number theory, we should expect that, with some hard work, +we could figure out how to translate the sentence "30 is a MlU-number" into TNT- +notation, in somewhat the same way as we figured out how to translate other number- +theoretical sentences into TNT-notation. I should immediately caution the reader that +such a translation, though it does exist, is immensely complex. If you recall, I pointed out +in Chapter VIII that even such a simple arithmetical predicate as "b is a power of 10" is +very tricky to code into TNT-notation-and the predicate "b is a MlU-number" is a lot +more complicated than that! Still, it can be found; and the numeral +SSSSSSSSSSSSSSSSSSSSSSSSSSSSSSO can be substituted for every b. This will +result in a MONstrous string of TNT, a string of TNT which speaks about the MU- +puzzle. Let us therefore call that string "MUMON". Through MUMON and strings like +it, TNT is now capable of speaking "in code" about the MlU-system. + +The Dual Nature of MUMON + +In order to gain some benefit from this peculiar transformation of the original question, +we would have to seek the answer to a new question: + +Is MUMON a theorem of TNT? + +All we have done is replace one relatively short string (MU) by another (the monstrous +MUMON), and a simple formal system (the MlU-system) by a complicated one (TNT). +It isn't likely that the answer will be any more forthcoming even though the question has +been reshaped. In fact, TNT has a full complement of both lengthening and shortening +rules, and the reformulation of the question is likely to be far harder than the original. +One might even say that looking at MU via MUMON is an intentionally idiotic way of +doing things. However, MUMON can be looked at on more than one level. + +In fact, this is an intriguing point: MUMON has two different passive meanings. +Firstly, it has the one which was given before: + +* 30 is a MlU-number. + +But secondly, we know that this statement is tied (via isomorphism) to the statement + +* MU is a theorem of the MlU-system. + +So we can legitimately quote this latter as the second passive meaning of MUMON. It +may seem very strange because, after all, MUMON contains nothing but plus signs, +parentheses, and so forth-symbols of TNT. How can it possibly express any statement +with other than arithmetical content? + +The fact is, it can. Just as a single musical line may serve as both harmony and +melody in a single piece; just as "BACH" may be interpreted as both a name and a +melody; just as a single sentence may be an accurate structural description of a picture by +Escher, of a section of DNA, of a piece by Bach, and of the dialogue in which the +sentence is embedded, so MUMON can be taken in (at least) two entirely different ways. +This state of affairs comes about because of two facts: + +* Fact 1. Statements such as "MU is a theorem" can be coded into number theory +via Godel’s isomorphism. + +* Fact 2. Statements of number theory can be translated into TNT. + +It could be said that MUMON is, by Fact 1, a coded message, where the symbols of the +code are, by Fact 2, just symbols of TNT. + +Codes and Implicit Meaning + +Now it could be objected here that a coded message, unlike an uncod message, does not +express anything on its own-it requires knowledge the code. But in reality there is no +such thing as an uncoded message. There are only messages written in more familiar +codes, and message written in less familiar codes. If the meaning of a message is to be +revealed it must be pulled out of the code by some sort of mechanism, or isomorphism. It +may be difficult to discover the method by which the decoding should be done; but once +that method has been discovered, the message becomes transparent as water. When a +code is familiar enough, it ceases appearing like a code; one forgets that there is a +decoding mechanism. The message is identified with its meaning. + +Here we have a case where the identification of message and meant is so strong +that it is hard for us to conceive of an alternate meaning: residing in the same symbols. +Namely, we are so prejudiced by the symbols of TNT towards seeing number-theoretical +meaning (and only numb( theoretical meaning) in strings of TNT, that to conceive of +certain string of TNT as statements about the MlU-system is quite difficult. But Godel’s +isomorphism compels us to recognize this second level of meaning certain strings of +TNT. + +Decoded in the more familiar way, MUMON bears the message: + +* 30 is a MlU-number. + +This is a statement of number theory, gotten by interpreting each sign the conventional +way. + +But in discovering Godel-numbering and the whole isomorphism bu upon it, we +have in a sense broken a code in which messages about the MlU-system are written in +strings of TNT. Godel’s isomorphism is a n( information-revealer, just as the +decipherments of ancient scripts we information-revealers. Decoded by this new and less +familiar mechanism MUMON bears the message + +* MU is a theorem of the MlU-system. + +The moral of the story is one we have heard before: that meaning is ; automatic by¬ +product of our recognition of any isomorphism; therefore there are at least two passive +meanings of MUMON-maybe more! + +The Boomerang: Godel-Numbering TNT + +Of course things do not stop here. We have only begun realizing the: potential of Godel’s +isomorphism. The natural trick would be to turn TNT's capability of mirroring other +formal systems back on itself, as the Tortoise turned the Crab's phonographs against +themselves, and as his Goblet G turned against itself, in destroying itself. In order to do +this, we +will have to Godel-number TNT itself, just as we did the MlU-system, and then +"arithmetize" its rules of inference. The Godel-numbering is easy to do. For instance, we +could make the following correspondence: + +* Symbol... + +* Codon + +* Mnemonic Justification + +* 0 + +* 666 + +* Number of the Beast for the Mysterious Zero + +* S + +* 123 + +* successorship: 1, 2, 3, + +* = + +* 111 + +* visual resemblance, turned sideways + +* + + +* 112 + +* 1+1=2 + +* • .... + +* 236 + +* 2x3=6 + +( + +* 362 + +* ends in 2 * + +* ) + +* 323 + +* ends in 3 * + +* < + +* 212 + +* ends in 2 * these three pairs + +* > + +* 213 + +* ends in 3 * form a pattern + +* [ + +* 312 + +* ends in 2 * + +* ] + +* 313 + +* ends in 3 * + +* a + +* 262 + +* opposite to V (626) + +* s + +* 163 + +* 163 is prime + +* A . + +* 161 + +* ' a ' is a "graph" of the sequence 1-6-1 + +* V + +* 616 + +* V is a "graph" of the sequence 6-1-6 + +* 3 + +* 633 + +* ' 6 "implies" 3 and 3, in some sense . + +* ~ + +* 223 + +* . 2 + 2 is not 3 + +* 3 + +* 333 + +* '3’ looks like '3' + +* ¥ + +* 626 + +* opposite to a; also a "graph" of 6-2-6 + +* 636 + +* two dots, two sixes + +* punc. + +* 611 + +* special number, as on Bell system (411, 911) + +Each symbol of TNT is matched up with a triplet composed of the digits 1, 2, 3, +and 6, in a manner chosen for mnemonic value. I shall call each such triplet of digits a +Godel codon, or codon for short. Notice that I have given no codon for b, c, d, or e; we +are using austere TNT. There is a hidden motivation for this, which you will find out +about in Chapter XVI. I will explain the bottom entry, "punctuation", in Chapter XIV. + +Now we can rewrite any string or rule of TNT in the new garb. Here, for instance, +is Axiom 1 in the two notations, the old below the new: + +* 626,262,636,223,123,262,111,666 + +* V a : ~ S a = 0 + +Conveniently, the standard convention of putting in a comma every third digit happens to +coincide with our colons, setting them off for "easy" legibility. + +Here is the Rule of Detachment, in the new notation: + +* RULE: If x and 212x6331213 are both theorems, then 1 is a theorem. Finally, here is an +entire derivation taken from last Chapter, given in austere TNT and also transcribed into +the new notation: + +* 626,262,636,626262,163,636,362262,112,123,262,163,323,111,123,362,262,112,262,163,323 axiom: + +* -¥ a :: ¥ a ' : (a + 5a' )=s (a+a ’) + +* 626,262.163,636,362,123,666,112,123,262,163,323,111,123,362,123,666,112,262,163,32 specification + +* -¥a':(SO+Sa') = S( SO+a') + +* 362,123,666,112,123,666,323,1 11,123,362,123,666,112,666,323 specification + +( SSO + 5O ) = S ( SO + O ) + +* 626,262,636,362 262,112,666, 3 23,111,262 axiom + +* ¥• a : ( a + O ) = a + +* 362.123.666.112.666.323.111.123.666 specification + +( SO + O ) = SO + +* 123,362,123,666,112,666,323,11 1,123,123,666 insert’12; + +* S (SO+O) = SSO + +* 362.123.666.112.123.666.323.111.123.123.666 transitivity + +(SO + SO) = SSO + +Notice that I changed the name of the "Add S" rule to "Insert '123' ", since that is the +typographical operation which it now legitimizes. + +This new notation has a pretty strange feel to it. You lose all sense o meaning; but +if you had been brought up on it, you could read strings it this notation as easily as you do +TNT. You would be able to look and, at glance, distinguish well-formed formulas from +ill-formed ones. Naturally since it is so visual, you would think of this as a typographical +operation but at the same time, picking out well-formed formulas in this notation i +picking out a special class of integers , which have an arithmetical definition too. + +Now what about "arithmetizing" all the rules of inference? As matter stand, they +are all still typographical rules. But wait! According to the Central Proposition, a +typographical rule is really equivalent to al arithmetical rule. Inserting and moving digits +in decimally represented numbers is an arithmetical operation, which can be carried out +typographically. Just as appending a 'O' on the end is exactly the same as multiplying b, +10, so each rule is a condensed way of describing a messy arithmetical operation. +Therefore, in a sense, we do not even need to look for equivalent arithmetical rules, +because all of the rules are already arithmetical! + +TNT-Numbers: A Recursively Enumerable Set of Numbers + +Looked at this way, the preceding derivation of the theorem +"362,123,666,112,123,666,323,111,123,123,666" is a sequence of high] convoluted +number-theoretical transformations, each of which acts on one or more input numbers, +and yields an output number, which is, as before, called a producible number, or, to be +more specific, a TNT -number. Some the arithmetical rules take an old TNT-number and +increase it in a particular way, to yield a new TNT-number; some take an old TNT- +number a and decrease it; other rules take two TNT-numbers, operate on each of them +some odd way, and then combine the results into a new TNT-number +and so on and so forth. And instead of starting with just one know: 'TNT-number, we +have five initial TNT-numbers-one for each (austere axiom, of course. Arithmetized TNT +is actually extremely similar to the +arithmetized MlU-system, only there are more rules and axioms, and to write out +arithmetical equivalents explicitly would be a big bother-and quite unenlightening, +incidentally. If you followed how it was done for the MlU-system, there ought to be no +doubt on your part that it is quite analogous here. + +There is a new number-theoretical predicate brought into being by this +"Godelization" of TNT: the predicate + +* a is a TNT-number. + +For example, we know from the preceding derivation that +362,123,666,112,123,666,323,111,123,123,666 is a TNT-number, while on the other +hand, presumably 123,666,111,666 is not a TNT-number. + +Now it occurs to us that this new number-theoretical! predicate is expressible by +some string of TNT with one free variable, say a. We could put a tilde in front, and that +string would express the complementary notion + +* a is not a TNT-number. + +Now if we replaced all the occurrences of a in this second string by the TNT-numeral for +123,666,111,666-a numeral which would contain exactly 123,666,111,666 S's, much too +long to write out-we would have a TNT-string which, just like MUMON, is capable of +being interpreted on two levels. In the first place, that string would say + +* 123,666,111,666 is not a TNT-number. + +But because of the isomorphism which links TNT-numbers to theorems of TNT, there +would be a second-level meaning of this string, which is: + +* S0=0 is not a theorem of TNT. + +TNT Tries to Swallow Itself + +This unexpected double-entendre demonstrates that TNT contains strings which talk +about other strings of TNT. In other words, the metalanguage in which we, on the +outside, can speak about TNT, is at least partially imitated inside TNT itself. And this is +not an accidental feature of TNT; it happens because the architecture of any formal +system can be mirrored inside N (number theory). It is just as inevitable a feature of TNT +as are the vibrations induced in a record player when it plays a record. It seems as if +vibrations should come from the outside world-for instance, from jumping children or +bouncing balls; but a side effect of producing sounds-and an unavoidable one-is that they +wrap around and shake the very mechanism which produces them. It is no accident; it is a +side effect which cannot be helped. It is in the nature of record players. And it is in the +nature of any formalization of number theory that its metalanguage is embedded within it. + +We can dignify this observation by calling it the Central Dogma of Mathematical +Logic , and depicting it in a two-step diagram: + +* TNT => N => meta-'TNT + +In words: a string of TNT has an interpretation in N; and a statement o may have a +second meaning as a statement about TNT. + +G: A String Which Talks about Itself in Code + +This much is intriguing yet it is only half the story. The rest of the st involves an +intensification of the self-reference. We are now at the st where the Tortoise was when he +realized that a record could be m; which would make the phonograph playing it break-but +now the quest is: "Given a record player, how do you actually figure out what to put the +record?" That is a tricky matter. + +We want to find a string of TNT-which we'll call 'G'-which is ab itself, in the +sense that one of its passive meanings is a sentence about G. particular the passive +meaning will turn out to be + +"G is not a theorem of TNT." + +I should quickly add that G also has a passive meaning which is a statement of number +theory; just like MUMON it is susceptible to being construed in least) two different +ways. The important thing is that each passive mean is valid and useful and doesn't cast +doubt on the other passive meaning in any way. (The fact that a phonograph playing a +record can induce vibrations in itself and in the record does not diminish in any way the +fact t those vibrations are musical sounds!) + +G's Existence Is What Causes TNT's Incompleteness + +The ingenious method of creating G, and some important concepts relating to TNT, will +be developed in Chapters XIII and XIV; for now it is interesting to glance ahead, a bit +superficially, at the consequences finding a self-referential piece of TNT. Who knows? It +might blow up! In a sense it does. We focus down on the obvious question: + +Is G a theorem of TNT, or not? + +Let us be sure to form our own opinion on this matter, rather than rely G's opinion about +itself. After all, G may not understand itself any be than a Zen master understands +himself. Like MUMON, G may express a falsity. Like MU, G may be a nontheorem. We +don't need to believe every possible string of TNT-only its theorems. Now let us use our +power of reasoning to clarify the issue as best we can at this point. + +We will make our usual assumption: that TNT incorporates valid +methods of reasoning, and therefore that TNT never has falsities for theorems. In other +words, anything which is a theorem of TNT expresses a truth. So if G were a theorem, it +would express a truth, namely: "G is not a theorem". The full force of its self-reference +hits us. By being a theorem, G would have to be a falsity. Relying on our assumption that +TNT never has falsities for theorems, we'd be forced to conclude that G is not a theorem. +This is all right; it leaves us, however, with a lesser problem. Knowing that G is not a +theorem, we'd have to concede that G expresses a truth. Here is a situation in which TNT +doesn't live up to our expectations-we have found a string which expresses a true +statement yet the string is not a theorem. And in our amazement, we shouldn't lose track +of the fact that G has an arithmetical interpretation, too-which allows us to summarize +our findings this way: + +A string of TNT has been found; it expresses, unambiguously, a statement about +certain arithmetical properties of natural numbers; moreover, by reasoning outside +the system we can determine not only that the statement is a true one, but also that +the string fails to be a theorem of TNT. And thus, if we ask TNT whether the +statement is true, TNT says neither yes nor no. + +Is the Tortoise's string in the Mu Offering the analogue of G? Not quite. The +analogue of the Tortoise's string is ~G. Why is this so? Well, let us think a moment about +what -G says. It must say the opposite of what G says. G says, "G is not a theorem of +TNT", so ~G must say "G is a theorem". We could rephrase both G and ~G this way: + +* G: "I am not a theorem (of TNT)." + +* ~G: "My negation is a theorem (of TNT)." + +It is ~G which is parallel to the Tortoise's string, for that string spoke not about itself, but +about the string which the Tortoise first proffered to Achilles - which had an extra knot +on it (or one too few, however you want to look at it). + +Mumon Has the Last Word + +Mumon penetrated into the Mystery of the Undecidable anyone, in his concise poem on +Joshu's MU: + +Has a dog Buddha-nature? + +This is the most serious question of all. + +If you say yes or no. + +You lose your own Buddha-nature. + +DIALOGUE X: Prelude + +Achilles and the Tortoise have come to the residence of their friend the Crab, to +make the acquaintance of one of his friends, the Anteater. The introductions +having been made, the four of them settle down to tea. + +Tortoise We have brought along a little something for you, Mr. Crab. Crab: That's most +kind of you. But you shouldn't have. + +Tortoise: Just a token of our esteem. Achilles, would you like to give it to Mr. C? + +Achilles: Surely. Best wishes, Mr. Crab. I hope you enjoy it. + +(Achilles hands the Crab an elegantly wrapped present, square and very thin. The +Crab begins unwrapping it.) + +Anteater: I wonder what it could be. + +Crab: We'll soon find out. (Completes the unwrapping, and pulls out the gif)t Two +records! How exciting! But there's no label. Uh-oh-is this another of your "specials", +Mr. T? + +Tortoise: If you mean a phonograph-breaker, not this time. But it is in fact a custom- +recorded item, the only one of its kind in the entire world. In fact, it's never even been +heard before-except, of course, when Bach played it. + +Crab: When Bach played it? What do you mean, exactly? + +Achilles: Oh, you are going to be fabulously excited, Mr. Crab, when Mr. T tells you +what these records in fact are. + +Tortoise: Oh, you go ahead and tell him, Achilles. + +Achilles: May I? Oh, boy! I'd better consult my notes, then. (Pulls out a small filing card, +and clears his voice.) Ahem. Would you be interested in hearing about the remarkable +new result in mathematics, to which your records owe their existence? + +Crab: My records derive from some piece of mathematics? How curious Well, now that +you've provoked my interest, I must hear about it. + +Achilles: Very well, then. (Pauses for a moment to sip his tea, then resumes) Have you +heard of Fermat's infamous "Last Theorem"? + +Anteater: I'm not sure ... It sounds strangely familiar, and yet I can't qui place it. + +Achilles: It's a very simple idea. Pierre de Fermat, a lawyer by vocation b mathematician +by avocation, had been reading in his copy of the class text Arithmetica by +Diophantus, and came across a page containing the equation + +* a 2 +b 2 =c 2 + +He immediately realized that this equation has infinitely many solutions a, b, c, and then +wrote in the margin the following notorious comment: + +The equation: + +* a 11 +b n =c n + +has solutions in positive integers a, b, c, and n only when n = 2 (an then there are +infinitely many triplets a, b, c which satisfy the equation); but there are no +solutions for n > 2. I have discovered a truly marvelous proof of this statement, +which, unfortunately, this margin is too small to contain. + +Ever since that day, some three hundred years ago, mathematicians have been vainly +trying to do one of two things: either to I Fermat's claim, and thereby vindicate +Fermat's reputation, whit though very high, has been somewhat tarnished by skeptics +who he never really found the proof he claimed to have found-or e: refute the claim, +by finding a counterexample: a set of four integers a, b, c, and n, with n > 2, which +satisfy the equation. Until recently, every attempt in either direction had met with +failure. 1 sure, the Theorem has been proven formally specific values of i particular, +all n up to 125,000. + +Anteater: Shouldn't it be called a "Conjecture" rather than a "Theorem it's never been +given a proper proof? + +Achilles: Strictly speaking, you're right, but tradition has kept it this way. + +Crab: Has someone at last managed to resolve this celebrated question? + +Achilles: Indeed! In fact, Mr. Tortoise has done so, and as usual, by a wizardly stroke. He has not only +found a PROOF of Fermat's Theorem (thus justifying its name as well as vindicating +Fermat; also a COUNTEREXAMPFE, thus showing that the skeptics had good +intuition! + +Crab: Oh my gracious! That is a revolutionary discovery. + +Anteater: But please don't leave us in suspense. What magical integer they, that satisfy +Fermat's equation? I'm especially curious about the value of n. + +Achilles: Oh, horrors! I'm most embarrassed! Can you believe this? the values at home on +a truly colossal piece of paper. Unfortunately was too huge to bring along. I wish I +had them here to show to y( it's of any help to you, I do remember one thing-the value +of n only positive integer which does not occur anywhere in the continued fraction for +7T + +Crab: Oh, what a shame that you don't have them here. But there reason to doubt what +you have told us. + +Anteater: Anyway, who needs to see n written out decimally? Achilles has just told us +how to find it. Well, Mr. T, please accept my hearty felicitations, on the occasion of +your epoch-making discovery! + +Tortoise: Thank you. But what I feel is more important than the result itself is the +practical use to which my result immediately led. + +Crab: I am dying to hear about it, since I always thought number theory was the Queen of +Mathematics - the purest branch of mathematic - the one branch of mathematics +which has No applications! + +Tortoise: You’re not the only one with that belief, but in fact it is quite impossible to +make a blanket statement about when or how some branch-or even some individual +Theorem-of pure mathematics will have important repercussions outside of +mathematics. It is quite unpredictable-and this case is a perfect example of that +phenomenon. + +Achilles: Mr. Tortoise's double-barreled result has created a breakthrough in the field of +acoustico-retrieval! + +Anteater: What is acoustico-retrieval? + +Achilles: The name tells it all: it is the retrieval of acoustic information from extremely +complex sources. A typical task of acoustico-retrieval is to reconstruct the sound +which a rock made on plummeting into a lake from the ripples which spread out over +the lake's surf ace. + +Crab: Why, that sounds next to impossible! + +Achilles: Not so. It is actually quite similar to what one’s brain does, when it reconstructs +the sound made in the vocal cords of another person from the vibrations transmitted +by the eardrum to the fibers in the cochlea. + +Crab: I see. But I still don’t see where number theory enters the picture, or what this all +has to do with my new records. + +Achilles: Well, in the mathematics of acoustico-retrieval, there arise rr questions which +have to do with the number of solutions of cer Diophantine equations. Now Mr. T has +been for years trying to fit way of reconstructing the sounds of Bach playing his +harpsichord, which took place over two hundred years ago, from calculations in% ing +the motions of all the molecules in the atmosphere at the pre time. + +Anteater: Surely that is impossible! They are irretrievably gone, g forever! + +Achilles: Thus think the nave ... But Mr. T has devoted many year this problem, and +came to the realization that the whole thing hinged on the number of solutions to the +equation + +a n +b n =c n + +in positive integers, with n > 2. + +Tortoise: I could explain, of course, just how this equation arises, but I’m sure it would +bore you. + +Achilles: It turned out that acoustico-retrieval theory predicts that Bach sounds can be +retrieved from the motion of all the molecule the atmosphere, provided that EITHER +there exists at least one solution to the equation + +Crab: Amazing! + +Anteater: Fantastic! + +Tortoise: Who would have thought! + +Achilles: I was about to say, "provided that there exists EITHER such a solution OR a +proof that there are tic) solutions!" And therefore, Mr. T, in careful fashion, set about +working at both ends of the problem, simultaneously. As it turns out, the discovery of +the counterexample was the key ingredient to finding the proof, so the one led directly +to the other. + +Crab: How could that be? + +Tortoise: Well, you see, I had shown that the structural layout of any pr of Fermat's Last +Theorem-if one existed-could be described by elegant formula, which, it so happened, +depended on the values ( solution to a certain equation. When I found this second +equation my surprise it turned out to be the Fermat equation. An amusing accidental +relationship between form and content. So when I found the counterexample, all I +needed to do was to use those numbers blueprint for constructing my proof that there +were no solutions to equation. Remarkably simple, when you think about it. I can't +imagine why no one had ever found the result before. + +Achilles: As a result of this unanticipatedly rich mathematical success, Mr. T was able to +carry out the acoustico-retrieval which he had long dreamed of. And Mr. Crab's +present here represents a palpable realization of all this abstract work. + +Crab: Don't tell me it's a recording of Bach playing his own works for harpsichord! + +Achilles: I'm sorry, but I have to, for that is indeed just what it is! This is a set of two +records of Johann Sebastian Bach playing all of his Well Tempered Clavier. Each +record contains one of the two volumes of the Well-Tempered Clavier, that is to say, +each record contains 24 preludes and fugues-one in each major and minor key. + +Crab: Well, we must absolutely put one of these priceless records on, immediately! And +how can I ever thank the two of you? + +Tortoise: You have already thanked us plentifully, with this delicious tea which you have +prepared. + +(The Crab slides one of the records out of its jacket, and puts it on. The sound of +an incredibly masterful harpsichordist fills the room, in the highest imaginable +fidelity. One even hears-or is it one's imagination?-the soft sounds of Bach singing +to himself as he plays ...) + +Crab: Would any of you like to follow along in the score? I happen to have a unique +edition of the Well-Tempered Clavier, specially illuminated by a teacher of mine who +happens also to be an unusually fine calligrapher. Tortoise: I would very much enjoy +that. + +(The Crab goes to his elegant glass-enclosed wooden bookcase, opens the doors, and +draws out two large volumes.) + +Crab: Here you are, Mr. Tortoise. I've never really gotten to know all the beautiful +illustrations in this edition. Perhaps your gift will provide the needed impetus for me +to do so. + +Tortoise: I do hope so. + +Anteater: Have you ever noticed how in these pieces the prelude always sets the mood +perfectly for the following fugue? + +Crab: Yes. Although it may be hard to put it into words, there is always some subtle +relation between the two. Even if the prelude and fugue do not have a common +melodic subject, there is nevertheless always some intangible abstract quality which +underlies both of them, binding them together very strongly. + +Tortoise: And there is something very dramatic about the few moments of silent suspense +hanging between prelude and fugue-that moment where the the theme of the fugue is +about to ring out, in single tones, and then to join with itself in ever-increasingly +complex levels of weird, exquisite harmony. + +Achilles: I know just what you mean. There are so many preludes and fugues which I +haven't yet gotten to know, and for me that fleeting interlude of silence is very +exciting; it's a time when I try to second-guess old Bach. For example, I always +wonder what the fugue's tempo will be: allegro, or adagio? Will it be in 6/8, or 4/4? +Will it have three voices, or five-or four? And then, the first voice starts ... Such an +exquisite moment. + +Crab: Ah, yes, well do I remember those long-gone days of my youth, days when I +thrilled to each new prelude and fugue, filled with excitement of their novelty and +beauty and the many unexpected' surprises which they conceal. + +Achilles: And now? Is that thrill all gone? + +Crab: It's been supplanted by familiarity, as thrills always will be. But that familiarity +there is also a kind of depth, which has its own compensations. For instance, I find +that there are always new surprises whit hadn't noticed before. + +Achilles: Occurrences of the theme which you had overlooked? + +Crab: Perhaps-especially when it is inverted and hidden among several other voices, or +where it seems to come rushing up from the dept out of nowhere. But there are also +amazing modulations which ii marvelous to listen to over and over again, and wonder +how old B2 dreamt them up. + +Achilles: I am very glad to hear that there is something to look forward after I have been +through the first flush of infatuation with the Well Tempered Clavier -although it also +makes me sad that this stage cot not last forever and ever. + +Crab: Oh, you needn't fear that your infatuation will totally die. One the nice things about +that sort of youthful thrill is that it can always resuscitated, just when you thought it +was finally dead. It just takes the right kind of triggering from the outside. + +Achilles: Oh, really? Such as what? + +Crab: Such as hearing it through the ears, so to speak, of someone whom it is a totally +new experience-someone such as you, Achilles. Somehow the excitement transmits +itself, and I can feel thrilled again. + +Achilles: That is intriguing. The thrill has remained dormant somewhere inside you, but +by yourself, you aren't able to fish it up out of your subconscious. + +Crab: Exactly. The potential of reliving the thrill is "coded", in sot unknown way, in the +structure of my brain, but I don't have the power to summon it up at will; I have to +wait for chance circumstance trigger it. + +Achilles: I have a question about fugues which I feel a little embarrass about asking, but +as I am just a novice at fugue-listening, I was wondering if perhaps one of you +seasoned fugue-listeners might help me learning .. . + +Tortoise: I'd certainly like to offer my own meager knowledge, if it might prove of some +assistance. + +Achilles: Oh, thank you. Let me come at the question from an angle. Are you familiar +with the print called Cube with Magic Ribbons , by M. Escher? + +Tortoise: In which there are circular bands having bubble-like distortions which, as soon +as you've decided that they are bumps, seem to turn it dents-and vice versa? + +Achilles: Exactly. + +Crab: I remember that picture. Those little bubbles always seem to flip back and forth +between being concave and convex, depending on the direction that you approach +them from. There’s no way to see them simultaneously as concave AND convex- +somehow one’s brain doesn't allow that. There are two mutually exclusive "modes" in +which one can perceive the bubbles. + +Achilles: Just so. Well, I seem to have discovered two somewhat analogous modes in +which I can listen to a fugue. The modes are these: either to follow one individual +voice at a time, or to listen to the total effect of all of them together, without trying to +disentangle one from another. I have tried out both of these modes, and, much to my +frustration, each one of them shuts out the other. It’s simply not in my power to follow +the paths of individual voices and at the same time to hear the whole effect. I find that +I flip back and forth between one mode and the other, more or less spontaneously and +involuntarily. + +Anteater: Just as when you look at the magic bands, eh? + +Achilles: Yes. I was just wondering ... does my description of they modes of fugue¬ +listening brand me unmistakably as a naive, inexperienced listener, who couldn't even +begin to grasp the deeper mo, perception which exist beyond his ken? + +Tortoise: No, not at all, Achilles. I can only speak for myself, but I to myself shifting +back and forth from one mode to the other without exerting any conscious control +over which mode should he dominant don't know if our other companions here have +also experience( thing similar. + +Crab: Most definitely. It's quite a tantalizing phenomenon, since you feel that the essence +of the fugue is flitting about you, and you can't grasp all of it, because you can't quite +make yourself function ways at once. + +Anteater: Fugues have that interesting property, that each of their voices is a piece of +music in itself; and thus a fugue might be thought o collection of several distinct +pieces of music, all based on one theme, and all played simultaneously. And it is up to +the listener subconscious) to decide whether it should be perceived as a unit, c +collection of independent parts, all of which harmonize. + +Achilles: You say that the parts are "independent", yet that can't be literally true. There +has to be some coordination between them, otherwise when they were put together +one would just have an unsystematic clashing of tones-and that is as far from the truth +as could b, + +Anteater: A better way to state it might be this: if you listened to each on its own, you +would find that it seemed to make sense all by its could stand alone, and that is the +sense in which I meant that it is independent. But you are quite right in pointing out +that each of individually meaningful lines fuses with the others in a highly nonrandom +way, to make a graceful totality. The art of writing a beautiful fugue lies precisely in +this ability, to manufacture several diff lines, each one of which gives the illusion of +having been written I own beauty, and yet which when taken together form a whole, , +does not feel forced in any way. Now, this dichotomy between he a fugue as a whole, +and hearing its component voices, is a part: example of a very general dichotomy, +which applies to many kit structures built up from lower levels. + +Achilles: Oh, really? You mean that my two "modes" may have some general type of +applicability, in situations other than fugue-listening? + +Anteater: Absolutely. + +Achilles: I wonder how that could be. I guess it has to do with alternating between +perceiving something as a whole, and perceiving it as a collection of parts. But the +only place I have ever run into that dichotomy is in listening to fugues. + +Tortoise: Oh, my, look at this! I just turned the page while following the music, and came +across this magnificent illustration facing the page of the fugue. + +Crab: I have never seen that illustration before. Why don't you pass it 'round? + +(The Tortoise passes the book around. Each of the foursome looks at it in a +characteristic way-this one from afar, that one from close up, everyone tipping his +head this way and that in puzzlement. Finally it has made the rounds, and returns +to the Tortoise, who peers at it rather intently.) + +Achilles: Well, I guess the prelude is just about over. I wonder if, as I listen to this fugue, +I will gain any more insight into the question, "What is the right way to listen to a +fugue: as a whole, or as the sum of its parts?" + +Tortoise: Listen carefully, and you will! + +(The prelude ends. There is a moment of silence; and ... + +* [ATTACCA] + +CHAPTER X: Levels of Description, and Computer Systems + +Levels of Description + +GOD EL'S STRING G, and a Bach fugue: they both have the property that they can be +understood on different levels. We are all familiar with this kind of thing; and yet in some +cases it confuses us, while in others w handle it without any difficulty at all. For example, +we all know that w human beings are/ composed of an enormous number of cells (around +twenty-five trillion), and therefore that everything we do could in principle be described +in terms of cells. Or it could even be described on the level c molecules. Most of us +accept this in a rather matter-of-fact way; we go t the doctor, who looks at us on lower +levels than we think of ourselves. W read about DNA and "genetic engineering" and sip +our coffee. We seem t have reconciled these two inconceivably different pictures of +ourselves simply by disconnecting them from each other. We have almost no way t relate +a microscopic description of ourselves to that which we feel ourselves to be, and hence it +is possible to store separate representations of ourselves in quite separate "compartments" +of our minds. Seldom do we have to fir back and forth between these two concepts of +ourselves, wondering "How can these two totally different things be the same me?" + +Or take a sequence of images on a television screen which show Shirley +MacLaine laughing. When we watch that sequence, we know that we are actually looking +not at a woman, but at sets of flickering dots on a flat surface. We know it, but it is the +furthest thing from our mind. We have these two wildly opposing representations of what +is on the screen, but that does not confuse us. We can just shut one out, and pay attention +to th other-which is what all of us do. Which one is "more real"? It depends o; whether +you're a human, a dog, a computer, or a television set. + +Chunking and Chess Skill + +One of the major problems of Artificial Intelligence research is to figure out how to +bridge the gap between these two descriptions; how to construe a system which can +accept one level of description, and produce the other One way in which this gap enters +Artificial Intelligence is well illustrated b the progress in knowledge about how to +program a computer to play goof chess. It used to be thought in the 1950's and on into the +1960's-that the +trick to making a machine play well was to make the machine look further ahead into the +branching network of possible sequences of play than any chess master can. However, as +this goal gradually became attained, the level of computer chess did not have any sudden +spurt, and surpass human experts. In fact, a human expert can quite soundly and +confidently trounce the best chess programs of this day. + +The reason for this had actually been in print for many years. In the 1940's, the +Dutch psychologist Adriaan de Groot made studies of how chess novices and chess +masters perceive a chess situation. Put in their starkest terms, his results imply that chess +masters perceive the distribution of pieces in chunks. There is a higher-level description +of the board than the straightforward "white pawn on K5, black rook on Q6" type of +description, and the master somehow produces such a mental image of the board. This +was proven by the high speed with which a master could reproduce an actual position +taken from a game, compared with the novice's plodding reconstruction of the position, +after both of them had had five-second glances at the board. Highly revealing was the fact +that masters' mistakes involved placing whole groups of pieces in the wrong place, which +left the game strategically almost the same, but to a novice's eyes, not at all the same. The +clincher was to do the same experiment but with pieces randomly assigned to the squares +on the board, instead of copied from actual games. The masters were found to be simply +no better than the novices in reconstructing such random boards. + +The conclusion is that in normal chess play, certain types of situation recur- +certain patterns-and it is to those high-level patterns that the master is sensitive. He thinks +on a different level from the novice; his set of concepts is different. Nearly everyone is +surprised to find out that in actual play, a master rarely looks ahead any further than a +novice does-and moreover, a master usually examines only a handful of possible moves! +The trick is that his mode of perceiving the board is like a filter: he literally does not see +bad moves when he looks at a chess situation-no more than chess amateurs see illegal +moves when they look at a chess situation. Anyone who has played even a little chess has +organized his perception so that diagonal rook-moves, forward captures by pawns, and so +forth, are never brought to mind. Similarly, master-level players have built up higher +levels of organization in the way they see the board; consequently, to them, bad moves +are as unlikely to come to mind as illegal moves are, to most people. This might be called +implicit pruning of the giant branching tree of possibilities. By contrast, explicit pruning +would involve thinking of a move, and after superficial examination, deciding not to +pursue examining it any further. + +The distinction can apply just as well to other intellectual activities - for instance, +doing mathematics. A gifted mathematician doesn't usually think up and try out all sorts +of false pathways to the desired theorem, as less gifted people might do; rather, he just +"smells" the promising paths, and takes them immediately. + +Computer chess programs which rely on looking ahead have not been taught to +think on a higher level; the strategy has just been to use brute +force look-ahead, hoping to crush all types of opposition. But it h worked. Perhaps +someday, a look-ahead program with enough brute ,gill indeed overcome the best human +players-but that will be a intellectual gain, compared to the revelation that intelligence de +crucially on the ability to create high-level descriptions of complex such as chess boards, +television screens, printed pages, or painting + +Similar Levels + +usually, we are not required to hold more than one level of understanding of a situation in +our minds at once. Moreover, the different descriptions a single system are usually so +conceptually distant from each other tl was mentioned earlier, there is no problem in +maintaining them both are just maintained in separate mental compartments. What is +confusing though, is when a single system admits of two or more descriptions different +levels which nevertheless resemble each other in some way. we find it hard to avoid +mixing levels when we think about the system can easily get totally lost. + +Undoubtedly this happens when we think about our psychology-for instance, +when we try to understand people's motivations: for various actions. There are many +levels in the human m structure-certainly it is a system which we do not understand very +we But there are hundreds of rival theories which tell why people act the way they do, +each theory based on some underlying assumptions about he down in this set of levels +various kinds of psychological "forces" are f( Since at this time we use pretty much the +same kind of language f mental levels, this makes for much level-mixing and most +certain] hundreds of wrong theories. For instance, we talk of "drives"-for se power, for +fame, for love, etc., etc.-without knowing where these drives come from in the human +mental structure. Without belaboring the pc simply wish to say that our confusion about +who we are is certainly r( to the fact that we consist of a large set of levels, and we use +overlapping language to describe ourselves on all of those levels. + +Computer Systems + +There is another place where many levels of description coexist for a system, and where +all the levels are conceptually quite close to one an( I am referring to computer systems. +When a computer program is ping, it can be viewed on a number of levels. On each level, +the description is given in the language of computer science, which makes all the de +descriptions similar in some ways to each other-yet there are extremely imp( differences +between the views one gets on the different levels. At the 1 level, the description can be +so complicated that it is like the dot-description of a television picture. For some +purposes, however, this is by far the important view. At the highest level, the description +is greatly chunked and +takes on a completely different feel, despite the fact that many of the same concepts +appear on the lowest and highest levels. The chunks on the high-level description are like +the chess expert's chunks, and like the chunked description of the image on the screen: +they summarize in capsule form a number of things which on lower levels are seen as +separate. (See Fig. 57.) Now before things become too abstract, let us pass on to the +concrete facts about computers, beginning with a very quick skim of what a computer +system is like on the lowest level. The lowest level? Well, not really, for I am not going +to talk about elementary particles-but it is the lowest level which we wish to think about. + +At the conceptual rock-bottom of a computer, we find a memory, a central +processing unit (CPU), and some input-output (I/O) devices. Let us first describe the +memory. It is divided up into distinct physical pieces, called words. For the sake of +concreteness, let us say there are 65,536 words of memory (a typical number, being 2 to +the 16th power). A word is further divided into what we shall consider the atoms of +computer science-bits. The number of bits in a typical word might be around thirty-six. +Physically, a bit is just a magnetic "switch" that can be in either of two positions. + +You could call the two positions "up" and "down", or "x" and "o", o and "0" ... The third +is the usual convention. It is perfectly fine, but i the possibly misleading effect of making +people think that a comp deep down, is storing numbers. This is not true. A set of thirty- +six bits not have to be thought of as a number any more than two bits has i thought of as +the price of an ice cream cone. Just as money can do va things depending on how you use +it, so a word in memory can serve r functions. Sometimes, to be sure, those thirty-six bits +will indeed repn a number in binary notation. Other times, they may represent thin dots +on a television screen. And other times, they may represent a letters of text. How a word +in memory is to be thought of depends eni on the role that this word plays in the program +which uses it. It ma course, play more than one role-like a note in a canon. + +Instructions and Data + +There is one interpretation of a word which I haven't yet mentioned, that is as an +instruction. The words of memory contain not only data t acted on, but also the program +to act on the data. There exists a lin repertoire of operations which can be carried out by +the central proce5 unit-the CPU-and part of a word, usually its first several bits-is it +pretable as the name of the instruction-type which is to be carried What do the rest of the +bits in a word-interpreted-as-instruction stand Most often, they tell which other words in +memory are to be acted upoi other words, the remaining bits constitute a pointer to some +other wor( words) in memory. Every word in memory has a distinct location, li house on +a street; and its location is called its address. Memory may have "street", or many +"streets"-they are called "pages". So a given wo addressed by its page number (if memory +is paged) together wit position within the page. Hence the "pointer" part of an instruction +i numerical address of some word(s) in memory. There are no restric on the pointer, so an +instruction may even "point" at itself, so that whet executed, it causes a change in itself to +be made. + +How does the computer know what instruction to execute at any € time? This is kept +track of in the CPU. The CPU has a special pointer w points at (i.e., stores the address of) +the next word which is to be inter ed as an instruction. The CPU fetches that word from +memory, and c it electronically into a special word belonging to the CPU itself. (Wor the +CPU are usually not called "words", but rather, registers.) Then the executes that +instruction. Now the instruction may call for any of a number of types of operations to be +carried out. Typical ones include: + +ADD the word pointed to in the instruction, to a register. + +(In this case, the word pointed to is obviously interpreted as number.) + +PRINT the word pointed to in the instruction, as letters. + +(In this case, the word is obviously interpreted not as a number, but as a +string of letters.) + +JUMP to the word pointed to in the instruction. + +(In this case, the CPU is being told to interpret that particular word as its +next instruction.) + +Unless the instruction explicitly dictates otherwise, the CPU will pick up +the very next word and interpret it as an instruction. In other words, the CPU +assumes that it should move down the "street" sequentially, like a mailman, +interpreting word after word as an instruction. But this sequential order can be +broken by such instructions as the JUMP instruction, and others. + +Machine Language v.v. Assembly language + +This is a very brief sketch of machine language. In this language, the types of +operations which exist constitute a finite repertoire which cannot be extended. +Thus all programs, no matter how large and complex, must be made out of +compounds of these types of instructions. Looking at a program written in +machine language is vaguely comparable to looking at a DNA molecule atom by +atom. If you glance back to Fig. 41, showing the nucleotide sequence of a DNA +molecule-and then if you consider that each nucleotide contains two dozen atoms +or so-and if you imagine trying to write the DNA, atom by atom, for a small virus +(not to mention a human being !)-then you will get a feeling for what it is like to +write a complex program in machine language, and what it is like to try to grasp +what is going on in a program if you have access only to its machine language +description. , + +It must be mentioned, however, that computer programming was +originally done on an even lower level, if possible, than that of machine language- +-namely, connecting wires to each other, so that the proper operations were "hard¬ +wired" in. This is so amazingly primitive by modern standards that it is painful +even to' imagine. Yet undoubtedly the people who first did it experienced as much +exhilaration as the pioneers of modern computers ever do .. . + +We now wish to move to a higher level of the hierarchy of levels of +description of programs. This is the assembly language level. There is not a +gigantic spread between assembly language and machine language; indeed, the +step is rather gentle. In essence, there is a one-to-one correspondence between +assembly language instructions and machine language instructions. The idea of +assembly language is to "chunk" the individual machine language instructions, so +that instead of writing the sequence of bits "010111000" when you want an +instruction which adds one number to another, you simply write ADD, and then +instead of giving the address in binary representation, you can refer to the word in +memory by a name. + +Therefore, a program in assembly language is very much like a machine language +program made legible to humans. You might compare the machine language +version of a program to a TNT-derivation done in the obscure Godel-numbered +notation, and the assembly language version to the isomorphic TNT-derivation, +done in the original TNT-notation, which is much easier to understand. Or, going +back to the DNA image, we can liken the difference between machine language +and assembly language to the difference between painfully specifying each +nucleotide, atom by atom, and specifying a nucleotide by simply giving its name +(i.e., 'A', 'G', 'C', or 'T'). There is a tremendous saving of labor in this very +simple "chunking" operation, although conceptually not much has been changed. + +Programs That Translate Programs + +Perhaps the central point about assembly language is not its differences from +machine language, which are not that enormous, but just the key idea that +programs could be written on a different level at all\ Just think about it: the +hardware is built to "understand" machine language programs-sequences of bits- +but not letters and decimal numbers. What happens when hardware is fed a +program in assembly language% It is as if you tried to get a cell to accept a piece +of paper with the nucleotide sequence written out in letters of the alphabet, instead +of in chemicals. What can a cell do with a piece of paper? What can a computer +do with an assembly language program? + +And here is the vital point: someone can write, in machine language, a +translation program. This program, called an assembler , accepts mnemonic +instruction names, decimal numbers, and other convenient abbreviations which a +programmer can remember easily, and carries out the conversion into the +monotonous but critical bit-sequences. After the assembly language program has +been assembled (i.e., translated), it is run-ox rather, its machine language +equivalent is run. But this is a matter of terminology. Which level program is +running? You can never go wrong if you say that the machine language program +is running, for hardware is always involved when any program runs-but it is also +quite reasonable to think of the running program in terms of assembly language. +For instance, you might very well say, "Right now, the CPU is executing a JUMP +instruction", instead of saying, "Right now, the CPU is executing a ' 1 11010000' +instruction". A pianist who plays the notes G-E-B E-G-B is also playing an +arpeggio in the chord of E minor. There is no reason to be reluctant about +describing things from a higher-level point of view. So one can think of the +assembly language program running concurrently with the machine language +program. We have two modes of describing what the CPU is doing. + +Higher-Level Languages, Compilers, and Interpreters + +The next level of the hierarchy carries much further the extremely powerful idea +of using the computer itself to translate programs from a high level into lower +levels. After people had programmed in assembly language for a number of years, +in the early 1950's, they realized that there were a number of characteristic +structures which kept reappearing in program after program. There seemed to be, +just as in chess, certain fundamental patterns which cropped up naturally when +human beings tried to formulate algorithms-exact descriptions of processes they +wanted carried out. In other words, algorithms seemed to have certain higher- +level components, in terms of which they could be much more easily and +esthetically specified than in the very restricted machine language, or assembly +language. Typically, a high-level algorithm component consists not of one or two +machine language instructions, but of a whole collection of them, not necessarily +all contiguous in memory. Such a component could be represented in a higher- +level language by a single item-a chunk. + +Aside from standard chunks-the newly discovered components out of +which all algorithms can be built-people realized that almost all programs contain +even larger chunks-superchunks, so to speak. These superchunks differ from +program to program, depending on the kinds of high-level tasks the j program is +supposed to carry out. We discussed superchunks in Chapter V, calling them by +their usual names: "subroutines" and "procedures". It was clear that a most +powerful addition to any programming language would be the ability to define +new higher-level entities in terms of previously known ones, and then to call them +by name. This would build the chunking operation right into the language. Instead +of there being a determinate repertoire of instructions out of which all programs +had to be explicitly assembled, the programmer could construct his own modules, +each with its own name, each usable anywhere inside the program, just as if it had +been a built-in feature of the language. Of course, there is no getting away from +the fact that down below, on a machine language level, everything would still be +composed of the same old machine language instructions, but that would not be +explicitly visible to the highlevel programmer; it would be implicit. + +The new languages based on these ideas were called compiler languages. +One of the earliest and most elegant was called "Algol", for "Algorithmic +Language". Unlike the case with assembly language, there is no straightforward +one-to-one correspondence between statements in Algol and machine language +instructions. To be sure, there is still a type of mapping from Algol into machine +language, but it is far more "scrambled" than that between assembly language and +machine language. Roughly speaking, an Algol program is to its machine +language translation as a word problem in an elementary algebra text is to the +equation it translates into. (Actually, getting from a word problem to an equation +is far more complex, but it gives some inkling of the types of "unscrambling" that +have to be carried out in translating from a high-level language to a lower-level +language.) In the mid-1950's, successful programs called compilers were written +whose function was to carry out the translation from compiler languages to +machine language. + +Also, interpreters were invented. Like compilers, interpreters translate +from high-level languages into machine language, but instead of translating all the +statements first and then executing the machine code, they read one line and' +execute it immediately. This has the advantage that a user need not have written a +complete program to use an interpreter. He may invent his program line by line, +and test it out as he goes along. Thus, an interpreter is to a compiler as a +simultaneous interpreter is to a translator of a written speech. One of the most +important and fascinating of all computer languages is LISP (standing for "List +Processing"), which was invented by John McCarthy around the time Algol was +invented. Subsequently, LISP has enjoyed great popularity with workers in +Artificial Intelligence. + +There is one interesting difference between the way interpreters work and +compilers work. A compiler takes input (a finished Algol program, for instance) +and produces output (a long sequence of machine language instructions). At this +point, the compiler has done its duty. The output is then given to the computer to +run. By contrast, the interpreter is constantly running while the programmer types +in one LISP statement after another, and each one gets executed then' and there. +But this doesn't mean that each statement gets first translated, then executed, for +then an interpreter would be nothing but a line-by-line compiler. Instead, in an +interpreter, the operations of reading a new line, "understanding" it, and executing +it are intertwined: they occur simultaneously. + +Here is the idea, expanded a little more. Each time a new line of LISP is +typed in, the interpreter tries to process it. This means that the interpreter jolts into +action, and certain (machine language) instructions inside it get executed. +Precisely which ones get executed depends on the LISP statement itself, of +course. There are many JUMP instructions inside the interpreter, so that the new +line of LISP may cause control to move around in a complex way-forwards, +backwards, then forwards again, etc.. Thus, each LISP statement gets converted +into a "pathway" inside the interpreter, and the act of following that pathway +achieves the desired effect. + +Sometimes it is helpful to think of the LISP statements as mere pieces of +data which are fed sequentially to a constantly running machine language +program (the LISP interpreter). When you think of things this way, you get a +different image of the relation between a program written in a higher-level +language and the machine which is executing it. + +Bootstrapping + +Of course a compiler, being itself a program, has to be written in some language. +The first compilers were written in assembly language, rather than machine +language, thus taking full advantage of the already acomplished first step up from machine language. A summary of these rather tricky +concepts is presented in Figure 58. + +FIGURE 58. Assemblers and +compilers are both translators into +machine language. This is indicated +by the solid lines. Moreover, since +they are themselves programs, they +are originally written in a language +also. The wavy lines indicate that aa +compiler can be written in assembly +language, and an assembler in +machine language. + +Now as sophistication increased, people realized that a partially written compiler +could be used to compile extensions of itself. In other words, once i certain +minimal core of a compiler had been written, then that minimal compiler could +translate bigger compilers into machine language-which n turn could translate yet +bigger compilers, until the final, full-blown :compiler had been compiled. This +process is affectionately known as 'bootstrapping"-for obvious reasons (at least if +your native language is English it is obvious). It is not so different from the +attainment by a child of a critical level of fluency in his native language, from +which point on his 'vocabulary and fluency can grow by leaps and bounds, since +he can use language to acquire new language. + +Levels on Which to Describe Running Programs + +Compiler languages typically do not reflect the structure of the machines which +will run programs written in them. This is one of their chief advantages over the +highly specialized assembly and machine languages. Of course, when a compiler +language program is translated into machine language, the resulting program is +machine-dependent. Therefore one can describe a program which is being +executed in a machine-independent way or a machine-dependent way. It is like +referring to a paragraph in a book by its subject matter (publisher-independent), or +its page number and position on the page (publisher-dependent). + +As long as a program is running correctly, it hardly matters how you +describe it or think of its functioning. It is when something goes wrong that +it is important to be able to think on different levels. If, for instance, the machine +is instructed to divide by zero at some stage, it will come to a halt and let the user +know of this problem, by telling where in the program the questionable event +occurred. However, the specification is often given on a lower level than that in +which the programmer wrote the program. Here are three parallel descriptions of +a program grinding to a halt: + +Machine Language Level: + +"Execution of the program stopped in location 1110010101110111" +Assembly Language Level*: + +"Execution of the program stopped when the DIV (divide) instruction was +hit" + +Compiler Language Level: + +"Execution of the program stopped during evaluation of the algebraic +expression '(A + B)/Z' + +One of the greatest problems for systems programmers (the people who write +compilers, interpreters, assemblers, and other programs to be used by many +people) is to figure out how to write error-detecting routines in such a way that +the messages which they feed to the user whose program has a "bug" provide +high-level, rather than low-level, descriptions of the problem. It is an interesting +reversal that when something goes wrong in a genetic "program" (e.g., a +mutation), the "bug" is manifest only to people on a high level-namely on the +phenotype level, not the genotype level. Actually, modern biology uses mutations +as one of its principal windows onto genetic processes, because of their multilevel +traceability. + +Microprogramming and Operating Systems + +In modern computer systems, there are several other levels of the hierarchy. For +instance, some systems-often the so-called "microcomputers" come with machine +language instructions which are even more rudimentary than the instruction to add +a number in memory to a number in a register. It is up to the user to decide what +kinds of ordinary machine-level instructions he would like to be able to program +in; he "microprograms" these instructions in terms of the "micro-instructions" +which are available. Then the "higher-level machine language" instructions which +he has designed may be burned into the circuitry and become hard-wired, +although they need not be. Thus microprogramming allows the user to step a little +below the conventional machine language level. One of the consequences is that a +computer of one manufacturer can be hard-wired (via microprogramming) so as +to have the same machine language instruction set as a computer of the same, or +even another, manufacturer. The microprogrammed computer is said to be +"emulating" the other computer. Then there is the level of the operating system, +which fits between the +machine language program and whatever higher level the user is programming in. +The operating system is itself a program which has the functions of shielding the +bare machine from access by users (thus protecting the system), and also of +insulating the programmer from the many extremely intricate and messy problems +of reading the program, calling a translator, running the translated program, +directing the output to the proper channels at the proper time, and passing control +to the next user. If there are several users "talking" to the same CPU at once, then +the operating system is the program that shifts attention from one to the other in +some orderly fashion. The complexities of operating systems are formidable +indeed, and I shall only hint at them by the following analogy. + +Consider the first telephone system. Alexander Graham Bell could phone +his assistant in the next room: electronic transmission of a voice! Now that is like +a bare computer minus operating system: electronic computation! Consider now a +modern telephone system. You have a choice of other telephones to connect to. +Not only that, but many different calls can be handled simultaneously. You can +add a prefix and dial into different areas. You can call direct, through the +operator, collect, by credit card, person-to-person, on a conference call. You can +have a call rerouted or traced. You can get a busy signal. You can get a siren-like +signal that says that the number you dialed isn't "well-formed", or that you have +taken too in long in dialing. You can install a local switchboard so that a group of +phones are all locally connected-etc., etc. The list is amazing, when you think of +how much flexibility there is, particularly in comparison to the erstwhile miracle +of a "bare" telephone. Now sophisticated operating systems carry out similar +traffic-handling and level-switching operations with respect to users and their +programs. It is virtually certain that there are somewhat parallel things which take +place in the brain: handling of many stimuli at the same time; decisions of what +should have priority over what and for how long; instantaneous "interrupts" +caused by emergencies or other unexpected occurrences; and so on. + +Cushioning the User and Protecting the System + +The many levels in a complex computer system have the combined effect of +"cushioning" the user, preventing him from having to think about the many lower- +level goings-on which are most likely totally irrelevant to him anyway. A +passenger in an airplane does not usually want to be aware of the levels of fuel in +the tanks, or the wind speeds, or how many chicken dinners are to be served, or +the status of the rest of the air traffic around the destination-this is all left to +employees on different levels of the airlines hierarchy, and the passenger simply +gets from one place to another. Here again, it is when something goes wrong-such +as his baggage not arriving that the passenger is made aware of the confusing +system of levels underneath him. + +Are Computers Super-Flexible or Super-Rigid? + +One of the major goals of the drive to higher levels has always been to make as +natural as possible the task of communicating to the computer what you want it to +do. Certainly, the high-level constructs in compiler languages are closer to the +concepts which humans naturally think in, than are lower-level constructs such as +those in machine language. But in this drive towards ease of communication, one +aspect of "naturalness" has been quite neglected. That is the fact that interhuman +communication is far less rigidly constrained than human-machine +communication. For instance, we often produce meaningless sentence fragments +as we search for the best way to express something, we cough in the middle of +sentences, we interrupt each other, we use ambiguous descriptions and "improper" +syntax, we coin phrases and distort meanings-but our message still gets through, +mostly. With programming languages, it has generally been the rule that there is a +very strict syntax which has to be obeyed one hundred per cent of the time; there +are no ambiguous words or constructions. Interestingly, the printed equivalent of +coughing (i.e., a nonessential or irrelevant comment) is allowed, but only +provided it is signaled in advance by a key word (e.g., COMMENT), and then +terminated by another key word (e.g., a semicolon). This small gesture towards +flexibility has its own little pitfall, ironically: if a semicolon (or whatever key +word is used for terminating a comment) is used inside a comment, the translating +program will interpret that semicolon as signaling the end of the comment, and +havoc will ensue. + +If a procedure named INSIGHT has been defined and then called seventeen times +in the program, and the eighteenth time it is misspelled as INSIHGT, woe to the +programmer. The compiler will balk and print a rigidly unsympathetic error +message, saying that it has never heard of INSIHGT. Often, when such an error +is detected by a compiler, the compiler tries to continue, but because of its lack of +insihgt, it has not understood what the programmer meant. In fact, it may very +well suppose that something entirely different was meant, and proceed under that +erroneous assumption. Then a long series of error messages will pepper the rest of +the program, because the compiler-not the programmer-got confused. Imagine the +chaos that would result if a simultaneous English-Russian interpreter, upon +hearing one phrase of French in the English, began trying to interpret all the +remaining English as French. Compilers often get lost in such pathetic ways. C'est +la vie. + +Perhaps this sounds condemnatory of computers, but it is not meant to be. In some +sense, things had to be that way. When you stop to think what most people use +computers for, you realize that it is to carry out very definite and precise tasks, +which are too complex for people to do. If the computer is to be reliable, then it is +necessary that it should understand, without the slightest chance of ambiguity, +what it is supposed to do. It is also necessary that it should do neither more nor +less than it is explicitly instructed to do. If there is, in the cushion underneath the +programmer, a program whose purpose is to "guess" what the programmer wants +or +means, then it is quite conceivable that the programmer could try to communicate +his task and be totally misunderstood. So it is important that the high-level +program, while comfortable for the human, still should be unambiguous and +precise. + +Second-Guessing the Programmer + +Now it is possible to devise a programming language-and a program which +translates it into the lower levels-which allows some sorts of imprecision. One +way of putting it would be to say that a translator for such a programming +language tries to make sense of things which are done "outside of the rules of the +language". But if a language allows certain "transgressions", then transgressions +of that type are no longer true transgressions, because they have been included +inside the rules' If a programmer is aware that he may make certain types of +misspelling, then he may use this feature of the language deliberately, knowing +that he is actually operating within the rigid rules of the language, despite +appearances. In other words, if the user is aware of all the flexibilities +programmed into the translator for his convenience, then he knows the bounds +which he cannot overstep, and therefore, to him, the translator still appears rigid +and inflexible, although it may allow him much more freedom than early versions +of the language, which did not incorporate "automatic compensation for human +error". + +With "rubbery" languages of that type, there would seem to be two +alternatives: (1) the user is aware of the built-in flexibilities of the language and +its translator; (2) the user is unaware of them. In the first case, the language is still +usable for communicating programs precisely, because the programmer can +predict how the computer will interpret the programs he writes in the language. In +the second case, the "cushion" has hidden features which may do things that are +unpredictable (from the vantage point of a user who doesn't know the inner +workings of the translator). This may result in gross misinterpretations of +programs, so such a language is unsuitable for purposes where computers are used +mainly for their speed and reliability. + +Now there is actually a third alternative: (3) the user is aware of the built- +in flexibilities of the language and its translator, but there are so many of them +and they interact with each other in such a complex way that he cannot tell how +his programs will be interpreted. This may well apply to the person who wrote the +translating program; he certainly knows its insides as well as anyone could-but he +still may not be able to anticipate how it will react to a given type of unusual +construction. + +One of the major areas of research in Artificial Intelligence today is called +automatic programming, which is concerned with the development of yet higher- +level languages-languages whose translators are sophisticated, in that they can do +at least some of the following impressive things: generalize from examples, +correct some misprints or grammatical errors, +try to make sense of ambiguous descriptions, try to second-guess the user by +having a primitive user model, ask questions when things are unclear, use English +itself, etc. The hope is that one can walk the tightrope between reliability and +flexibility. + +AI Advances Are Language Advances + +It is striking how tight the connection is between progress in computer science +(particularly Artificial Intelligence) and the development of new languages. A +clear trend has emerged in the last decade: the trend to consolidate new types of +discoveries in new languages. One key for the understanding and creation of +intelligence lies in the constant development and refinement of the languages in +terms of which processes for symbol manipulation are describable. Today, there +are probably three or four dozen experimental languages which have been +developed exclusively for Artificial Intelligence research. It is important to realize +that any program which can be written in one of these languages is in principle +programmable in lower-level languages, but it would require a supreme effort for +a human; and the resulting program would be so long that it would exceed the +grasp of humans. It is not that each higher level extends the potential of the +computer; the full potential of the computer already exists in its machine language +instruction set. It is that the new concepts in a high-level language suggest +directions and perspectives by their very nature. + +The "space" of all possible programs is so huge that no one can have a +sense of what is possible. Each higher-level language is naturally suited for +exploring certain regions of "program space"; thus the programmer, by using that +language, is channeled into those areas of program space. He is not forced by the +language into writing programs of any particular type, but the language makes it +easy for him to do certain kinds of things. Proximity to a concept, and a gentle +shove, are often all that is needed for a major discovery-and that is the reason for +the drive towards languages of ever higher levels. + +Programming in different 'languages is like composing pieces in different +keys, particularly if you work at the keyboard. If you have learned or written +pieces in many keys, each key will have its own special emotional aura. Also, +certain kinds of figurations "lie in the hand" in one key but are awkward in +another. So you are channeled by your choice of key. In some ways, even +enharmonic keys, such as C-sharp and D-flat, are quite distinct in feeling. This +shows how a notational system can play a significant role in shaping the final +product. + +A "stratified" picture of Al is shown in Figure 59, -with machine +components such as transistors on the bottom, and "intelligent programs" on the +top. The picture is taken from the book Artificial Intelligence by Patrick Henry +Winston, and it represents a vision of Al shared by nearly all Al workers. +Although I agree with the idea that Al must be stratified in some such way, I do +not think that, with so few layers, intelligent programs +can he reached. Between the machine language level and the level where rue +intelligence will be reached, I am convinced there will lie perhaps mother dozen +(or even several dozen!) layers, each new layer building on and extending the +flexibilities of the layer below. What they will be like we can hardly dream of +now ... + +The Paranoid and the Operating System + +The similarity of all levels in a computer system can lead to some strange level¬ +mixing experiences. I once watched a couple of friends-both computer novices- +playing with the program "PARRY” on a terminal. PARRY s a. rather infamous +program which simulates a paranoid in an extremely rudimentary way, by spitting +out canned phrases in English chosen from a vide repertoire; its plausibility is due +to its ability to tell which of its stock phrases might sound reasonable in response +to English sentences typed to t by a human. + +At one point, the response time got very sluggish-PARRY was taking very +long to reply-and I explained to my friends that this was probably because of the +heavy load on the time-sharing system. I told them they could find out how many +users were logged on, by typing a special "control" character which would go +directly to the operating system, and would )e unseen by PARRY. One of my +friends pushed the control character. In a lash, some internal data about the +operating system's status overwrote some of PARRY's words on the screen. +PARRY knew nothing of this: it is a program with "knowledge" only of horse +racing and bookies-not operating systems and terminals and special control +characters. But to my friends, both PARRY and the operating system were just +"the computer"-a mysterious, remote, amorphous entity that responded to them +when they typed. And so it made perfect sense when one of them blithely typed, +in 3nglish, "Why are you overtyping what's on the screen?" The idea that PARRY +could know' nothing about the operating system it was running +under was not clear to my friends. The idea that "you" know all about "yourself" +is so familiar from interaction with people that it was natural to extend it to the +computer-after all, it was intelligent enough that it could "talk" to them in +English! Their question was not unlike asking a person, "Why are you making so +few red blood cells today?" People do not know about that level-the "operating +system level"-of their bodies. + +The main cause of this level-confusion was that communication with all +levels of the computer system was taking place on a single screen, on a single +terminal. Although my friends' naivete might seem rather extreme, even +experienced computer people often make similar errors when several levels of a +complex system are all present at once on the same screen. They forget "who" +they are talking to, and type something which makes no sense at that level, +although it would have made perfect sense on another level. It might seem +desirable, therefore, to have the system itself sort out the levels-to interpret +commands according to what "makes sense". Unfortunately, such interpretation +would require the system to have a lot of common sense, as well as perfect +knowledge of the programmer's overall intent-both of which would require more +artificial intelligence than exists at the present time. + +The Border between Software and Hardware + +One can also be confused by the flexibility of some levels and the rigidity of +others. For instance, on some computers there are marvelous text-editing systems +which allow pieces of text to be "poured" from one format into another, +practically as liquids can be poured from one vessel into another. A thin page can +turn into a wide page, or vice versa. With such power, you might expect that it +would be equally trivial to change from one font to another-say from roman to +italics. Yet there may be only a single font available on the screen, so that such +changes are impossible. Or it may be feasible on the screen but not printable by +the printer-or the other way around. After dealing with computers for a long time, +one gets spoiled, and thinks that everything should be programmable: no printer +should be so rigid as to have only one character set, or even a finite repertoire of +them-typefaces should be user-specifiable! But once that degree of flexibility has +been attained, then one may be annoyed that the printer cannot print in different +colors of ink, or that it cannot accept paper of all shapes and sizes, or that it does +not fix itself when it breaks ... + +The trouble is that somewhere, all this flexibility has to "bottom out", to +use the phrase from Chapter V. There must be a hardware level which underlies it +all, and which is inflexible. It may lie deeply hidden, and there may be so much +flexibility on levels above it that few users feel the hardware limitations-but it is +inevitably there. + +What is this proverbial distinction between software and hardware? It is +the distinction between programs and machines-between long complicated +sequences of instructions, and the physical machines which carry +them out. I like to think of software as "anything which you could send over he +telephone lines", and hardware as "anything else". A piano is hardware, gut +printed music is software. A telephone set is hardware, but a telephone lumber is +software. 'The distinction is a useful one, but not always so clear-cut. + +We humans also have "software" and "hardware" aspects, and the +difference is second nature to us. We are used to the rigidity of our physiology: +the fact that we cannot, at will, cure ourselves of diseases, or ;row hair of any +color-to mention just a couple of simple examples. We an, however, "reprogram" +our minds so that we operate in new conceptual frameworks. The amazing +flexibility of our minds seems nearly irreconcilable with the notion that our brains +must be made out of fixed-rule hardware, which cannot be reprogrammed. We +cannot make our neurons ire faster or slower, we cannot rewire our brains, we +cannot redesign the interior of a neuron, we cannot make anti choices about the +hardware-and 'et, we can control how we think. + +But there are clearly aspects of thought which are beyond our control. We +cannot make ourselves smarter by an act of will; we cannot learn a new language +as fast as we want; we cannot make ourselves think faster than we lo; we cannot +make ourselves think about several things at once; and so on. This is a kind of +primordial self-knowledge which is so obvious that it is lard to see it at all; it is +like being conscious that the air is there. We never really bother to think about +what might cause these "defects" of our minds: lamely, the organization of our +brains. To suggest ways of reconciling the software of mind with the hardware of +brain is a main goal of this book. + +Intermediate Levels and the Weather + +We have seen that in computer systems, there are a number of rather sharply +defined strata, in terms of any one of which the operation of a running program +can be described. Thus there is not merely a single low bevel and a single high +level-there are all degrees of lowness and highness, s the existence of intermediate +levels a general feature of systems which lave low and high levels? Consider, for +example, the system whose 'hardware" is the earth's atmosphere (not very hard, +but no matter), and whose "software" is the weather. Keeping track of the motions +of all of the molecules simultaneously would be a very low-level way of +"understanding" he weather, rather like looking at a huge, complicated program +on the machine language level. Obviously it is way beyond human +comprehension. 3ut we still have our own peculiarly human ways of looking at, +and describing, weather phenomena. Our chunked view of the weather is based >n +very high-level phenomena, such as: rain, fog, snow, hurricanes, cold fronts, +seasons, pressures, trade winds, the jet stream, cumulo-nimbus clouds, +thunderstorms, inversion layers, and so on. All of these phenomena involve +astronomical numbers of molecules, somehow behaving in concert o that large- +scale trends emerge. This is a little like looking at the weather n a compiler +language. + +Is there something analogous to looking at the weather in an intermediate- +level language, such as assembly language? For instance, are there very small +local "mini-storms", something like the small whirlwinds which one occasionally +sees, whipping up some dust in a swirling column a few feet wide, at most? Is a +local gust of wind an intermediate-level chunk which plays a role in creating +higher-level weather phenomena? Or is there just no practical way of combining +knowledge of such kinds of phenomena to create a more comprehensive +explanation of the weather? + +Two other questions come to my mind. The first is: "Could it be that the +weather phenomena which we perceive on our scale-a tornado, a drought-are just +intermediate-level phenomena: parts of vaster, slower phenomena?" If so, then +true high-level weather phenomena would be global, and their time scale would +be geological. The Ice Age would be a high-level weather event. The second +question is: "Are there intermediate level weather phenomena which have so far +escaped human perception, but which, if perceived, could give greater insight into +why the weather is as it is?" + +From Tornados to Quarks + +This last suggestion may sound fanciful, but it is not all that far-fetched. +We need only look to the hardest of the hard sciences-physics-to find peculiar +examples of systems which are explained in terms of interacting "parts" which are +themselves invisible. In physics, as in any other discipline, a system is a group of +interacting parts. In most systems that we know, the parts retain their identities +during the interaction, so that we still see the parts inside the system. For +example, when a team of football players assembles, the individual players retain +their separateness-they do not melt into some composite entity, in which their +individuality is lost. Still-and this is important-some processes are going on in +their brains which are evoked by the team-context, and which would not go on +otherwise, so that in a minor way, the players change identity when they become +part of the larger system, the team. This kind of system is called a nearly +decomposable system (the term comes from H. A. Simon's article "The +Architecture of Complexity"; see the Bibliography). Such a system consists of +weakly interacting modules, each of which maintains its own private identity +throughout the interaction but by becoming slightly different from how it is when +outside of the system,, contributes to the cohesive behavior of the whole system. +The systems studied in physics are usually of this type. For instance, an atom is +seen as made of 'a nucleus whose positive charge captures a number of electrons +in "orbits", or bound states. The bound electrons are very much like free electrons, +despite their being internal to a composite object. + +Some systems studied in physics offer a contrast to the relatively +straightforward atom. Such systems involve extremely strong interactions, as a +result of which the parts are swallowed up into the larger system, and lose some +or all of their individuality. An example of this is the nucleus of an atom, which is +usually described as being "a collection of protons and +neutrons". But the forces which pull the component particles together are strong +that the component particles do not survive to anything like their “free" form (the +form they have when outside a nucleus). And in fact a nucleus acts in many ways +as a single particle, rather than as a collection of interacting particles. When a +nucleus is split, protons and neutrons are ten released, but also other particles, +such as pi-mesons and gamma rays, are commonly produced. Are all those +different particles physically present side a nucleus before it is split, or are then +just "sparks" which fly off ten the nucleus is split- It is perhaps not meaningful to +try to give an answer to such a question. On the level of particle physics, the +difference between storing the potential to make "sparks" and storing actual sub +particles is not so clear. + +A nucleus is thus one systems whose "parts!, even though they are not +visible while on the inside, can be pulled out and made risible. However, ere are +more pathological cases, such as the proton and neutron seen as stems themselves. +Each of them has been hypothesized to be constituted from a trio of "quarks"- +hypothetical particles which can be combined in twos or threes to make many +known fundamental particles. However, the interaction between quarks is so +strong that not only can they not he seen [side the proton and neutron, but they +cannot even be pulled out at all', bus, although quarks help to give a theoretical +understanding of certain properties of protons and neutrons, their own existence +may perhaps ever be independently established. Here see have the antithesis of a +nearly decomposable system"-it is a system which, if anything, is "nearly +indecomposable". Yet what is curious is that a quark-based theory of rotors and +neutrons (and other particles) has considerable explanatory power, in that many +experimental results concerning the particles which narks supposedly compose +can be accounted for quite well, quantitatively, by using the "quark model". + +Superconductivity: A "Paradox" of Renormalization + +In Chapter V we discussed how renormalized particles emerge from their bare +cores, by recursively compounded interactions with virtual particles. A +renormalized particle can be seen either as this complex mathematical construct, +or as the single lump which it is, physically. One of the strangest rid most +dramatic consequences of this way of describing particles is the explanation it +provides for the famous phenomenon of superconductivity resistance-free flow of +electrons in certain solids, at extremely low temperatures. + +It turns out that electrons in solids are renormalized by their interactions +with strange quanta of vibration called phonons (themselves renormalized as +well!). These renormalized electrons are called polarons. Calculation shows that +at very low temperatures, two oppositely spinning polarons sill begin to attract +each other, and can actually become bound together in i certain way. Under the +proper conditions, all the current-carrying polar +ons will get paired up, forming Cooper pains. Ironically, this pairing comes about +precisely because electrons-the hare cores of the paired polarons-repel each other +electrically. In contrast to the electrons, each Cooper pair feels neither attracted to +nor repelled by an other Cooper pair, and consequently it can slip freely through a +metal as if the metal were a vacuum. If you convert the mathematical description +of such a metal from one whose primitive units are polarons into one whose +primitive units are Cooper pairs, you get a considerable- simplified set of +equations. This mathematical simplicity is the physicist's way of knowing that +"chunking" into Cooper pairs is the natural way to look at superconductivity. + +Here we have several levels of particle: the Cooper pair itself: the two +oppositely-spinning polarons which compose it: the electrons and phonons which +make up the polarons: and then, within the electrons, the virtual photons and +positrons, etc. etc. We can look at each level and perceive phenomena there, +which are explained by an understanding of the levels below. + +"Sealing-off" + +Similarly, and fortunately, one does not have to know all about quarks to +understand many things about the particles which they may compose. Thus, a +nuclear physicist can proceed with theories of nuclei that are based on protons and +neutrons, and ignore quark theories and their rivals. The nuclear physicist has a +chunked picture of protons and neutrons-a description derived from lower-level +theories buf which does not require understanding the lower-level theories. +Likewise, an atomic physicist has a chunked picture of an atomic nucleus derived +from nuclear theory. Then a chemist has a chunked picture of the electrons and +their orbits, and builds theories of small molecules, theories which can be taken +over in a chunked way by the molecular biologist, who has an intuition for how +small molecules hang together, but whose technical expertise is in the field of +extremely large molecules and how they interact. Then the cell biologist has a +chunked picture of the units which the molecular biologist pores over, and tries to +use them to account for the ways that cells interact. The point is clear. Each level +is, in some sense, "sealed off from the levels below it. This is another of Simon's +vivid terms, recalling the way in which a submarine is built in compartments, so +that if one part is damaged, and water begins pouring in, the trouble can be +prevented from spreading, by closing the doors, thereby sealing off the damaged +compartment from neighboring compartments. + +Although there is always some "leakage" between the hierarchical levels +of science, so that a chemist cannot afford to ignore lower-level physics totally, or +a biologist to ignore chemistry totally, there is almost no leakage from one level +to a distant level. That is why people earl, have intuitive understandings of other +people without necessarily understanding the quark model, the structure of nuclei, +the nature of electron orbits. + +The chemical bond, the structure of proteins, the organelles in a cell, the methods +of intercellular communication, the physiology 'of the various organs of the +human body, or the complex interactions among organs. All at a person needs is a +chunked model of how the highest level acts; and as all know, such models are +very realistic and successful. + +The Trade-off between Chunking and Determinism + +There is, however, perhaps one significant negative feature of a chunked model: it +usually does not have exact predictive power. That is, we save ourselves from the +impossible task of seeing people as collections of quarks (or whatever is at the +lowest level) by using chunked models: but of course such models only give us +probabilistic estimates of how other people feel, will react to what we say or do, +and so on. In short, in using chunked high-level models, we sacrifice determinism +for simplicity. Despite not being sure how people will react to a joke, we tell it +with the expectation at they will do something such as laugh, or not laugh-rather +than, say, climb the nearest flagpole. (Zen masters might well do the latter!) A +chunked model defines a "space" within which behavior is expected to fall, and +specifies probabilities of its falling in different parts of that space. + +"Computers Can Only Do What You Tell Them to Do" + +Now these ideas can be applied as well to computer programs as to +compose physical systems. There is an old saw which says, "Computers can only +what you tell them to do." This is right in one sense, but it misses the hint: you +don't know in advance the consequences of what you tell a computer to do; +therefore its behavior can be as baffling and surprising id unpredictable to you as +that of a person. You generally know in advance the space in which the output +will fall, but you don't know details of here it will fall. For instance, you might +write a program to calculate the first million digits of 7r. Your program will spew +forth digits of 7r much faster than you can-but there is no paradox in the fact that +the computer outracing its programmer. You know in advance the space in which +the output will lie-namely the space of digits between 0 and 9-which is to say, )u +have a chunked model of the program's behavior; but if you'd known ie rest, you +wouldn't have written the program. + +There is another sense in which this old saw is rusty. This involves the ct +that as you program in ever higher-level languages, you know less and ss +precisely what you've told the computer to do! Layers and layers of translation +may separate the "front end" of a complex program from the actual machine +language instructions. At the level you think and program, your statements may +resemble declaratives and suggestions more than they resemble imperatives or +commands. And all the internal rumbling provoked by the input of a high-level +statement is invisible to you, generally, just as when you eat a sandwich, you are +spared conscious awareness of the digestive processes it triggers. + +In any case, this notion that "computers can only do what they are told to +do," first propounded by Lady Lovelace in her famous memoir, is so prevalent +and so connected with the notion that "computers cannot think" that we shall +return to it in later Chapters when our level of sophistication is greater. + +Two Types of System + +There is an important division between two types of system built up from many +parts. There are those systems in which the behavior of some parts tends to cancel +out the behavior of other parts, with the result that it does not matter too much +what happens on the low level, because most anything will yield similar high- +level behavior. An example of this kind of system is a container of gas, where all +the molecules bump and bang against each other in very complex microscopic +ways; but the total outcome, from a macroscopic point of view, is a very calm, +stable system with a certain temperature, pressure, and volume. Then there are +systems where the effect of a single low-level event may get magnified into an +enormous high-level consequence. Such a system is a pinball machine, where the +exact angle with which a ball strikes each post is crucial in determining the rest of +its descending pathway. + +A computer is an elaborate combination of these two types of system. It +contains subunits such as wires, which behave in a highly predictable fashion: +they conduct electricity according to Ohm's law, a very precise, chunked law +which resembles the laws governing gases in containers, since it depends on +statistical effects in which billions of random effects cancel each other out, +yielding a predictable overall behavior. A computer also contains macroscopic +subunits, such as a printer, whose behavior is completely determined by delicate +patterns of currents. What the printer prints is not by any means created by a +myriad canceling microscopic effects. In fact, in the case of most computer +programs, the value of every single bit in the program plays a critical role in the +output that gets printed. If any bit were changed, the output would also change +drastically. + +Systems which are made up of "reliable" subsystems only-that is, +subsystems whose behavior can be reliably predicted from chunked descriptions- +play inestimably important roles in our daily lives, because they are pillars of +stability. We can rely on walls not to fall down, on sidewalks to go where they +went yesterday, on the sun to shine, on clocks to tell the time correctly, and so on. +Chunked models of such systems are virtually entirely deterministic. Of course, +the other kind of system which plays a very large role in our lives is a system that +has variable behavior which depends on some internal microscopic parameters- +often a very large number of them, moreover-which we cannot directly observe. +Our chunked model of such a system is necessarily in terms of the "space" of +operation, and involves probabilistic estimates of landing in different regions of +that space. + +A container of gas, which, as I already pointed out, is a reliable system +Because of many canceling effects, obeys precise, deterministic laws of physics. +Such laws are chunked laws, in that they deal with the gas as a whole, nd ignore +its constituents. Furthermore, the microscopic and macroscopic descriptions of a +gas use entirely different terms. The former requires the pacification of the +position and velocity of every single component molecule; the latter requires only +the specification of three new quantities: temperature, pressure, and volume, the +first two of which do not even have microscopic counterparts. The simple +mathematical relationship which elates these three parameters- pV = cT, where c +is a constant-is a law which depends on, yet is independent of, the lower-level +phenomena. Less paradoxically, this law can be derived from the laws governing +the molecular level; in that sense it depends on the lower level. On the other hand, +it is law which allows you to ignore the lower level completely, if you wish: in hat +sense it is independent of the lower level. + +It is important to realize that the high-level law cannot be stated in the +vocabulary of the low-level description. "Pressure" and "temperature" are new +terms which experience with the low level alone cannot convey. We humans +perceive temperature and pressure directly; that is how we are guilt, so that it is +not amazing that we should have found this law. But creatures which knew gases +only as theoretical mathematical constructs would have to have an ability to +synthesize new concepts, if they were to discover this law. + +Epiphenomena + +In drawing this Chapter to a close, I would like to relate a story about a complex +system. I was talking one day with two systems programmers for he computer I +was using. They mentioned that the operating system seemed to be able to handle +up to about thirty-five users with great comfort, but at about thirty-five users or +so, the response time all of a sudden hot up, getting so slow that you might as well +log off and go home and wait until later. Jokingly I said, "Well, that's simple to fix +just find the place in he operating system where the number '35' is stored, and +change it to 60'!" Everyone laughed. The point is, of course, that there is no such +place, where, then, does the critical number-35 users-come from? The answer is: +It is a visible consequence of the overall system organization-an +" epiphenometon,,. + +Similarly, you might ask about a sprinter, "Where is the '9.3' stored, hat +makes him be able to run 100 yards in 9.3 seconds?" Obviously, it is not stored +anywhere. His time is a result of how he is built, what his reaction time is, a +million factors all interacting when he runs. The time is quite 'reproducible, but it +is not stored in his body anywhere. It is spread around among all the cells of his +body and only manifests itself in the act of the print itself. + +Epiphenomena abound. In the game of "Go", there is the feature that “two +eyes live”. It is not built into the rules, but it is a consequence of the +rules. In the human brain, there is gullibility. How gullible are you? Is your +gullibility located in some "gullibility center" in your brain? Could a +neurosurgeon reach in and perform some delicate operation to lower your +gullibility, otherwise leaving you alone? If you believe this, you are pretty +gullible, and should perhaps consider such an operation. + +Mind vs. Brain + +In coming Chapters, where we discuss the brain, we shall examine whether the +brain's top level-the mind-can be understood without understanding the lower +levels on which it both depends and does not depend. Are there laws of thinking +which are "sealed off" from the lower laws that govern the microscopic activity in +the cells of the brain? Can mind be "skimmed" off of brain and transplanted into +other systems? Or is it impossible to unravel thinking processes into neat and +modular subsystems? Is the brain more like an atom, a renormalized electron, a +nucleus, a neutron, or a quark? Is consciousness an epiphenomenon? To +understand the mind, must one go all the way down to the level of nerve cells? + +DIALOGUE XI: ...Ant Fugue + +.... then, one by one, the four voices of the fugue chime in.) + +Achilles: I know the rest of you won't believe this, but the answer to the question is +staring us all in the face, hidden in the picture. It is simply one word-but what an +important one: "MU"! + +CCrab: I know the rest of you won't believe this, but the answer to the question is staring +us all in the face, hidden in the picture. It is simply one word-but what an important +one: "HOLISM"! + +Achilles: Now hold on a minute. You must be seeing things. It's plain as day that the +message of this picture is "MU", not "HOLISM"! + +Crab: I beg your pardon, but my eyesight is extremely good. Please look again, and then +tell me if the the picture doesn't say what I said it says! + +Anteater: I know the rest of you won't believe this, but the answer to the question is +staring us all in the face, hidden in the picture. It is simply one word-but what an +important one: "REDUCTIONISM"! + +Crab: Now hold on a minute. You must be seeing things. It's plain as day that the +message of this picture is "HOLISM", not "REDUCTIONISM"! + +Achilles: Another deluded one! Not "HOLISM", not "REDUCTIONISM", but "MU" is +the message of this picture, and that much is certain. + +Anteater: I beg your pardon, but my eyesight is extremely clear. Please look again, and +then see if the picture doesn't say what I said it says. + +Achilles: Don't you see that the picture is composed of two pieces, and that each of them +is a single letter? + +Crab: You are right about the two pieces, but you are wrong in your identification of +what they are. The piece on the left is entirely composed of three copies of one word: +"HOLISM"; and the piece on the right is composed of many copies, in smaller letters, +of the same word. Why the letters are of different sizes in the two parts, I don't know, +but I know what I see, and what I see is "HOLISM", plain as day. How you see +anything else is beyond me. + +Anteater: You are right about the two pieces, but you are wrong in your identification of +what they are. The piece on the left is entirely composed of many copies of one +word: "REDUCTIONISM"; and the piece on the right is composed of one single +copy, in larger letters, of the same word. Why the letters are of different sizes in the +two parts, I don't know, but I know what I see, and what I see is +"REDUCTIONISM", plain as day. How you see anything else is beyond me. + +Achilles: I know what is going on here. Each of you has seen letters which compose, or +are composed of, other letters. In the left-hand piece, +there are indeed three "HOLISM"'s, but each one of them is composed out of smaller +copies of the word "REDUCTIONISM". And in complementary fashion, in the right- +hand piece, there is indeed one "REDUCTIONISM", but it is composed out of +smaller copies of the word "HOLISM". Now this is all fine and good, but in your +silly squabble, the two of you have actually missed the forest for the trees. You see, +what good is it to argue about whether "HOLISM" or "REDUCTIONISM" is right, +when the proper way to understand the matter is to transcend the question, by +answering "Mu", + +Crab: I now see the picture as you have described it, Achilles, but I have no idea of what +you mean by the strange expression "transcending the question". + +Anteater: I now see the picture as you have described it, Achilles, but I have no idea of +what you mean by the strange expression "Mu", .dies: I will be glad to indulge both +of you, if you will first oblige me, by telling me the meaning of these strange +expressions, "HOLISM" and "REDUCTIONISM". + +Crab: HOLISM is the most natural thing in the world to grasp. It's simply the belief that +"the whole is greater than the sum of its parts". No one in his right mind could reject +holism. + +Anteater: REDUCTIONISM is the most natural thing in the world to grasp. It's simply +the belief that "a whole can be understood completely if you understand its parts, and +the nature of their 'sum'". No one in her left brain could reject reductionism. + +Crab: I reject reductionism. I challenge you to tell me, for instance, how to understand a +brain reductionistically. Any reductionistic explanation of a brain will inevitably fall +far short of explaining where the consciousness experienced by a brain arises from. + +Anteater: I reject holism. I challenge you to tell me, for instance, how a holistic +description of an ant colony sheds any more light on it than is shed by a description +of the ants inside it, and their roles, and their interrelationships. Any holistic +explanation of an ant colony will inevitably fall far short of explaining where the +consciousness experienced by an ant colony arises from. + +Antilles: Oh, no! The last thing which I wanted to do was to provoke another argument. +Anyway, now that I understand the controversy, I believe that my explanation of +"Mu" will help greatly. You see, "Mu" is an ancient Zen answer which, when given +to a question, UNASKS the question. Here, the question seems to be, "Should the +world be understood via holism, or via reductionism?" And the answer of "Mu" here +rejects the premises of the question, which are that one or the other must be chosen. +By unasking the question, it reveals a wider truth: that there is a larger context into +which both holistic and reductionistic explanations fit. + +Anteater: Absurd! Your "Mu" is as silly as a cow's moo. I'll have none of this Zen washy- +wishiness. + +Crab: Ridiculous! Your "ML" is as silly as a kitten's mew. I’ll have none of this Zen +washy-wishiness. + +Achilles: Oh, dear! We're getting nowhere fast. Why have you stayed so strangely silent, +Mr. Tortoise? It makes me very uneasy. Surely you must somehow be capable of +helping straighten out this mess? + +Tortoise: I know the rest of you won't believe this, but the answer to the question is +staring us all in the face, hidden in the picture. It is simply one word-but what an +important one: "Mu"! + +Gust as he says this, the fourth voice in the fugue being played enters, exactly one octave +below the first entry.) + +Achilles: Oh, Mr. T, for once you have let me down. I was sure that you, who always see +the most deeply into things, would be able to resolve this dilemma-but apparently, +you have seen no further than I myself saw. Oh, well, I guess I should feel pleased to +have seen as far as Mr. Tortoise, for once. + +Tortoise: I beg your pardon, but my eyesight is extremely fine. Please look again, and +then tell me if the picture doesn't say what I said it says. + +Achilles: But of course it does! You have merely repeated my own original observation. + +Tortoise: Perhaps "Mu" exists in this picture on a deeper level than you imagine, +Achilles-an octave lower (figuratively speaking). But for now I doubt that we can +settle the dispute in the abstract. I would like to see both the holistic and +reductionistic points of view laid out more explicitly; then there may be more of a +basis for a decision. I would very much like to hear a reductionistic description of an +ant colony, for instance. + +Crab: Perhaps Dr. Anteater will tell you something of his experiences in that regard. +After all, he is by profession something of an expert on that subject. + +Tortoise: I am sure that we have much to learn from you, Dr. Anteater. Could you tell us +more about ant colonies, from a reductionistic point of view? + +Anteater: Gladly. As Mr. Crab mentioned to you, my profession has led me quite a long +way into the understanding of ant colonies. + +Achilles: I can imagine! The profession of anteater would seem to be synonymous with +being an expert on ant colonies! + +Anteater: I beg your pardon. "Anteater" is not my profession; it is my species. By +profession, I am a colony surgeon. I specialize in correcting nervous disorders of the +colony by the technique of surgical removal. + +Achilles: Oh, I see. But what do you mean by "nervous disorders" of an ant colony? + +Anteater: Most of my clients suffer from some sort of speech impairment. You know, +colonies which have to grope for words in everyday situations. It can be quite tragic. +I attempt to remedy the situation by, uhh-removing the defective part of the colony. +These operations +are sometimes quite involved, and of course years of study are required before one +can perform them. + +Achilles: But-isn't it true that, before one can suffer from speech impairment, one must +have the faculty of speech? + +Anteater: Right. + +Achilles: Since ant colonies don’t have that faculty, I am a little confused. Crab: It's too +bad, Achilles, that you weren't here last week, when Dr. + +Anteater and Aunt Hillary were my house guests. I should have thought of having you +over then. + +Achilles: Is Aunt Hillary your aunt, Mr. Crab? Crab: Oh, no, she's not really anybody's +aunt. + +Anteater: But the poor dear insists that everybody should call her that, even strangers. It's +just one of her many endearing quirks. + +Crab: Yes, Aunt Hillary is quite eccentric, but such a merry old soul. It's a shame I didn't +have you over to meet her last week. + +Anteater: She's certainly one of the best-educated ant colonies I have ever had the good +fortune to know. The two of us have spent many a long evening in conversation on +the widest range of topics. + +Achilles: I thought anteaters were devourers of ants, not patrons of antintellectualism! + +Anteater: Well, of course the two are not mutually inconsistent. I am on the best of terms +with ant colonies. It's just ANTS that I eat, not colonies-and that is good for both +parties: me, and the colony. + +Achilles: How is it possible that- + +Tortoise: How is it possible that- + +Achilles: -having its ants eaten can do an ant colony any good? + +Crab: How is it possible that- + +Tortoise: -having a forest fire can do a forest any good? + +Anteater: How is it possible that- + +Crab: -having its branches pruned can do a tree any good? + +Anteater: -having a haircut can do Achilles any good? + +Tortoise: Probably the rest of you were too engrossed in the discussion to notice the +lovely stretto which just occurred in this Bach fugue. + +Achilles: What is a stretto? + +Tortoise: Oh, I'm sorry; I thought you knew the term. It is where one theme repeatedly +enters in one voice after another, with very little delay between entries. + +Achilles: If I listen to enough fugues, soon I'll know all of these things and will be able to +pick them out myself, without their having to be pointed out. + +Tortoise: Pardon me, my friends. I am sorry to have interrupted. Dr. Anteater was trying +to explain how eating ants is perfectly consistent with being a friend of an ant colony. + +Achilles: Well, I can vaguely see how it might be possible for a limited and regulated +amount of ant consumption to improve the overall health of +a colony-but what is far more perplexing is all this talk about having conversations +with ant colonies. That's impossible. An ant colony is simply a bunch of individual +ants running around at random looking for food and making a nest. + +Anteater: You could put it that way if you want to insist on seeing the trees but missing +the forest, Achilles. In fact, ant colonies, seen as wholes, are quite well-defined units, +with their own qualities, at times including the mastery of language. + +Achilles: I find it hard to imagine myself shouting something out loud in the middle of +the forest, and hearing an ant colony answer back. + +Anteater: Silly fellow! That's not the way it happens. Ant colonies don't converse out +loud, but in writing. You know how ants form trails leading them hither and thither? + +Achilles: Oh, yes-usually straight through the kitchen sink and into my peach jam. + +Anteater: Actually, some trails contain information in coded form. If you know the +system, you can read what they're saying just like a book. Achilles: Remarkable. And +can you communicate back to them? Anteater: Without any trouble at all. That's how +Aunt Hillary and I have conversations for hours. I take a stick and draw trails in the +moist ground, and watch the ants follow my trails. Presently, a new trail starts getting +formed somewhere. I greatly enjoy watching trails develop. As they are forming, I +anticipate how they will continue (and more often I am wrong than right). When the +trail is completed, I know what Aunt Hillary is thinking, and I in turn make my reply. + +Achilles: There must be some amazingly smart ants in that colony, I'll say that. + +Anteater: I think you are still having some difficulty realizing the difference in levels +here. Just as you would never confuse an individual tree with a forest, so here you +must not take an ant for the colony. You see, all the ants in Aunt Hillary are as dumb +as can be. They couldn't converse to save their little thoraxes! + +Achilles: Well then, where does the ability to converse come from? It must reside +somewhere inside the colony! I don't understand how the ants can all be unintelligent, +if Aunt Hillary can entertain you for hours with witty banter. + +Tortoise: It seems to me that the situation is not unlike the composition of a human brain +out of neurons. Certainly no one would insist that individual brain cells have to be +intelligent beings on their own, in order to explain the fact that a person can have an +intelligent conversation. + +Achilles: Oh, no, clearly not. With brain cells, I see your point completely. Only ... ants +are a horse of another color. I mean, ants just roam about at will, completely +randomly, chancing now and then upon a morsel of food ... They are free to do what +they want to do, and with that freedom, I don’t see at all how their behaviour, seen as +a whole, can +amount to anything coherent-especially something so coherent as the brain behavior +necessary for conversing. + +Crab: It seems to me that the ants are free only within certain constraints. For example, +they are free to wander, to brush against each other, to pick up small items, to work +on trails, and so on. But they never step out of that small world, that ant-system, +which they are in. It would never occur to them, for they don't have the mentality to +imagine anything of the kind. Thus the ants are very reliable components, in the +sense that you can depend on them to perform certain kinds of tasks in certain ways. + +Achilles: But even so, within those limits they are still free, and they just act at random, +running about incoherently without any regard for the thought mechanisms of a +higher-level being which Dr. Anteater asserts they are merely components of. + +Anteater: Ah, but you fail to recognize one thing. Achilles-the regularity of statistics. + +Achilles: How is that? + +Anteater: For example, even though ants as individuals wander about in what seems a +random way, there are nevertheless overall trends, involving large numbers of ants, +which can emerge from that chaos. + +Achilles: Oh, I know what you mean. In fact, ant trails are a perfect example of such a +phenomenon. There, you have really quite unpredictable motion on the part of any +single ant-and yet, the trail itself seems to remain well-defined and stable. Certainly +that must mean that the individual ants are not just running about totally at random. + +Anteater: Exactly, Achilles. There is some degree of communication among the ants, just +enough to keep them from wandering off completely at random. By this minimal +communication they can remind each other that they are not alone but are +cooperating with teammates. It takes a large number of ants, all reinforcing each +other this way, to sustain any activity-such as trail-building-for any length of time. +Now my very hazy understanding of the operation of brains leads me to believe that +something similar pertains to the firing of neurons. Isn't it true, Mr. Crab, that it takes +a group of neurons firing in order to make another neuron fire? + +Crab: Definitely. Take the neurons in Achilles' brain, for example. Each neuron receives +signals from neurons attached to its input lines, and if the sum total of inputs at any +moment exceeds a critical threshold, then that neuron will fire and send its own +output pulse rushing off to other neurons, which may in turn fire-and on down the +line it goes. The neural flash swoops relentlessly in its Achillean path, in shapes +stranger then the dash of a gnat-hungry swallow; every twist, every turn foreordained +by the neural structure in Achilles' brain, until sensory input messages interfere. + +Achilles: Normally, I think that I'M in control of what I think-but the way you put it turns +it all inside out, so that it sounds as though "I" am just +what comes out of all this neural structure, and natural law. It makes what I consider +my SELF sound at best like a by-product of an organism governed by natural law, +and at worst, an artificial notion produced by my distorted perspective. In other +words, you make me feel like I don't know who or what-I am, if anything. + +Tortoise: You'll come to understand much better as we go along. But Dr. + +Anteater-what do you make of this similarity? + +Anteater: I knew there was something parallel going on in the two very different systems. +Now I understand it much better. It seems that group phenomena which have +coherence-trail-building, for example-will take place only when a certain threshold +number of ants get involved. If an effort is initiated, perhaps at random, by a few ants +in some locale, one of two things can happen: either it will fizzle out after a brief +sputtering start + +Achilles: When there aren't enough ants to keep the thing rolling? + +Anteater: Exactly. The other thing that can happen is that a critical mass of ants is +present, and the thing will snowball, bringing more and more ants into the picture. In +the latter case, a whole "team" is brought into being which works on a single project. +That project might be trailmaking, or food-gathering, or it might involve nest¬ +keeping. Despite the extreme simplicity of this scheme on a small scale, it can give +rise to very complex consequences on a larger scale. + +Achilles: I can grasp the general idea of order emerging from chaos, as you sketch it, but +that still is a long way from the ability to converse. After all, order also emerges from +chaos when molecules of a gas bounce against each other randomly-yet all that +results there is an amorphous mass with but three parameters to characterize it: +volume, pressure, and temperature. Now that's a far cry from the ability to understand +the world, or to talk about it! + +Anteater: That highlights a very interesting difference between the explanation of the +behavior of an ant colony and the explanation of the behavior of gas inside a +container. One can explain the behavior of the gas simply by calculating the +statistical properties of the motions of its molecules. There is no need to discuss any +higher elements of structure than molecules, except the full gas itself. On the other +hand, in an ant colony, you can't even begin to understand the activities of the colony +unless you go through several layers of structure. + +Achilles: I see what you mean. In a gas, one jump takes you from the lowest level- +molecules-to the highest level-the full gas. There are no intermediate levels of +organization. Now how do intermediate levels of organized activity arise in an ant +colony? + +Anteater: It has to do with the existence of several different varieties of ants inside any +colony. + +Achilles: Oh, yes. I think I have heard about that. They are called "castes", aren't they? + +Anteater: That's correct. Aside from the queen, there are males, who do +practically nothing towards, the upkeep of the nest, and then- + +Achilles: And of course there are soldiers-Glorious Fighters Against Communism! + +Crab: Hmm ... I hardly think that could be right, Achilles. An ant colony is quite +communistic internally, so why would its soldiers fight against communism? Or am I +right, Dr. Anteater? . + +Anteater: Yes, about colonies you are right, Mr. Crab; they are indeed based on +somewhat communistic principles. But about soldiers Achilles is somewhat naive. In +fact, the so-called "soldiers" are hardly adept at fighting at all. They are slow, +ungainly ants with giant heads, who can snap with their strong jaws, but are hardly to +be glorified. As in a true communistic state, it is rather the workers who are to be +glorified. It is they who do most of the chores, such as food-gathering, hunting, and +nursing of the young. It is even they who do most of the fighting. + +Achilles: Bah. That is an absurd state of affairs. Soldiers who won't fight! + +Anteater: Well, as I just said, they really aren't soldiers at all. It's the workers who are +soldiers; the soldiers are just lazy fatheads. + +Achilles: Oh, how disgraceful! Why, if I were an ant, I'd put some discipline in their +ranks! I'd knock some sense into those fatheads! + +Tortoise: If you were an ant? How could you be an ant? There is no way to map your +brain onto an ant brain, so it seems to me to be a pretty fruitless question to worry +over. More reasonable would be the proposition of mapping your brain onto an ant +colony ... But let us not get sidetracked. Let Dr. Anteater continue with his most +illuminating description of castes and their role in the higher levels of organization. + +Anteater: Very well. There are all sorts of tasks which must be accomplished in a colony, +and individual ants develop specializations. Usually an ant's specialization changes as +the ant ages. And of course it is also dependent on the ant's caste. At any one +moment, in any small area of a colony, there are ants of all types present. Of course, +one caste may be be very sparse in some places and very dense in others. + +Crab: Is the density of a given caste, or specialization, just a random thing? Or is there a +reason why ants of one type might be more heavily concentrated in certain areas, and +less heavily in others? + +Anteater: I'm glad you brought that up, since it is of crucial importance in understanding +how a colony thinks. In fact, there evolves, over a long period of time, a very delicate +distribution of castes inside a colony. And it is this distribution which allows the +colony to have the complexity which underlies the ability to converse with me. + +Achilles: It would seem to me that the constant motion of ants to and fro would +completely prevent the possibility of a very delicate distribution.Any delicate +distribution would be quickly destroyed by all the random motions of ants, just as +any delicate pattern among molecules in a gas would not survive for an instant, due +to the random bombardment from all sides. + +Anteater: In an ant colony, the situation is quite the contrary. In fact, it is just exactly the +to-ing and fro-ing of ants inside the colony +which adapts the caste distribution to varying situations, and thereby preserves the +delicate caste distribution. You see, the caste distribution cannot remain as one single +rigid pattern; rather, it must constantly be changing so as to reflect, in some manner, +the real-world situation with which the colony is dealing, and it is precisely the +motion inside the colony which updates the caste distribution, so as to keep it in line +with the present circumstances facing the colony. + +Tortoise: Could you give an example? + +Anteater: Gladly. When I, an anteater, arrive to pay a visit to Aunt Hillary, all the foolish +ants, upon sniffing my odor, go into a panic-which means, of course, that they begin +running around completely differently from the way they were before I arrived. + +Achilles: But that's understandable, since you're a dreaded enemy of the colony. + +Anteater: Oh, no. I must reiterate that, far from being an enemy of the colony, I am Aunt +Hillary's favorite companion. And Aunt Hillary is my favorite aunt. I grant you, I'm +quite feared by all the individual ants in the colony-but that's another matter entirely. +In any case, you see that the ants' action in response to my arrival completely changes +the internal distribution of ants. + +Achilles: That's clear. + +Anteater: And that sort of thing is the updating which I spoke of. The new distribution +reflects my presence. One can describe the change from old state to new as having +added a "piece of knowledge" to the colony. + +Achilles: How can you refer to the distribution of different types of ants inside a colony +as a "piece of knowledge"? + +Anteater: Now there's a vital point. It requires some elaboration. You see, what it comes +down to is how you choose to describe the caste distribution. If you continue to think +in terms of the lower levels-individual ants-then you miss the forest for the trees. +That's just too microscopic a level, and when you think microscopically, you're +bound to miss some large-scale features. You've got to find the proper high-level +framework in which to describe the caste distribution-only then will it make sense +how the caste distribution can encode many pieces of knowledge. + +Achilles: Well, how DO you find the proper-sized units in which to describe the present +state of the colony, then? + +Anteater: All right. Let's begin at the bottom. When ants need to get something done, +they form little "teams", which stick together to perform a chore. As I mentioned +earlier, small groups of ants are constantly forming and unforming. Those which +actually exist for a while are the teams, and the reason they don't fall apart is that +there really is something for them to do. + +Achilles: Earlier you said that a group will stick together if its size exceeds a certain +threshold. Now you're saying that a group will stick together if there is something for +it to do. + +Anteater: They are equivalent statements. For instance, in food-gathering. +if there is an inconsequential amount of food somewhere which gets discovered by +some wandering Ant who then attempts to communicate its enthusiasm to other ants, +the number of ants who respond will be proportional to the size of the food sample- +and an inconsequential amount will not attract enough ants to surpass the threshold. +Which is exactly what I meant by saying there is nothing to do-too little food ought +to be ignored. + +Achilles: I see. I assume that these "teams" are one of the levels of structure falling +somewhere in between the single-ant level and the colony level. + +Anteater: Precisely. There exists a special kind of team, which I call a "signal"-and all the +higher levels of structure are based on signals. In fact, all the higher entities are +collections of signals acting in concert. There are teams on higher levels whose +members are not ants, but teams on lower levels. Eventually you reach the lowest- +level teams which is to say, signals-and below them, ants. + +Achilles: Why do signals deserve their suggestive name? + +Anteater: It comes from their function. The effect of signals is to transport ants of various +specializations to appropriate parts of the colony. So the typical story of a signal is +thus: it comes into existence by exceeding the threshold needed for survival, then it +migrates for some distance through the colony, and at some point it more or less +disintegrates into its individual members, leaving them on their own. + +Achilles: It sounds like a wave, carrying sand dollars and seaweed from afar, and leaving +them strewn, high and dry, on the shore. + +4nteater: In a way that's analogous, since the team does indeed deposit something which +it has carried from a distance, but whereas the water in the wave rolls back to the sea, +there is no analogous carrier substance in the case of a signal, since the ants +themselves compose it. + +Tortoise: And I suppose that a signal loses its coherency just at some spot in the colony +where ants of that type were needed in the first place. + +Anteater: Naturally. + +Achilles: Naturally? It's not so obvious to ME that a signal should always go just where it +is needed. And even if it goes in the right direction, how does it figure out where to +decompose? How does it know it has arrived? + +Anteater: Those are extremely important matters, since they involve explaining the +existence of purposeful behavior-or what seems to be purposeful behavior-on the part +of signals. From the description, one would be inclined to characterize the signals' +behavior as being oriented towards filling a need, and to call it "purposeful". But you +can look at it otherwise. + +Achilles: Oh, wait. Either the behavior is purposeful, or it is NOT. I don't see how you +can have it both ways. + +Anteater: Let me explain my way of seeing things, and then see if you agree. Once a +signal is formed, there is no awareness on its part that it +should head off in any particular direction. But here, the delicate caste distribution +plays a crucial role. It is what determines the motion of signals through the colony, +and also how long a signal will remain stable, and where it will "dissolve". + +Achilles: So everything depends on the caste distribution, eh? + +Anteater: Right. Let's say a signal is moving along. As it goes, the ants which compose it +interact, either by direct contact or by exchange of scents, with ants of the local +neighborhoods which it passes through. The contacts and scents provide information +about local matters of urgency, such as nest-building, or nursing, or whatever. The +signal will remain glued together as long as the local needs are different from what it +can supply; but if it CAN contribute, it disintegrates, spilling a fresh team of usable +ants onto the scene. Do you see now how the caste distribution acts as an overall +guide of the teams inside the colony? + +Achilles: I do see that. + +Anteater: And do you see how this way of looking at things requires attributing no sense +of purpose to the signal? + +Achilles: I think so. Actually, I'm beginning to see things from two different vantage +points. From an ant's-eye point of view, a signal has NO purpose. The typical ant in a +signal is just meandering around the colony, in search of nothing in particular, until it +finds that it feels like stopping. Its teammates usually agree, and at that moment the +team unloads itself by crumbling apart, leaving just its members but none of its +coherency. No planning is required, no looking ahead; nor is any search required, to +determine the proper direction. But from the COLONY'S point-of view, the team has +just responded to a message which was written in the language of the caste +distribution. Now from this perspective, it looks very much like purposeful activity. + +Crab: What would happen if the caste distribution were entirely random? Would signals +still band and disband? + +Anteater: Certainly. But the colony would not last long, due to the meaninglessness of the +caste distribution. + +Crab: -Precisely the point I wanted to make. Colonies survive because their caste +distribution has meaning, and that meaning is a holistic aspect, invisible on lower +levels. You lose explanatory power unless you take that higher level into account. + +Anteater: I see your side; but I believe you see things too narrowly. + +Crab: How so? + +Anteater: Ant colonies have been subjected to the rigors of evolution for billions of years. +A few mechanisms were selected for, and most were selected against. The end result +was a set of mechanisms which make ant colonies work as we have been describing. +If you could watch the whole process in a movie-running a billion or so times faster +than life, of course-the emergence of various mechanisms would be seen as natural +responses to external pressures, just as bubbles in boiling water are natural responses +to an external heat source. I don't suppose you +see "meaning" and "purpose", in the bubbles in boiling water-or do you? + +Crab: No, but- + +Anteater: Now that's MY point. No matter how big a bubble is, it owes its existence to +processes on the molecular level, and you can forget about any "higher-level laws". +The same goes for ant colonies and their teams. By looking at things from the vast +perspective of evolution, you can drain the whole colony of meaning and purpose. +They become superfluous notions. + +Achilles: Why, then, Dr. Anteater, did you tell me that you talked with Aunt Hillary? It +now seems that you would deny that she can talk or think at all. + +Anteater: I am not being inconsistent, Achilles. You see, I have as much difficulty as +anyone else in seeing things on such a grandiose time scale, so I find it much easier +to change points of view. When I do so, forgetting about evolution and seeing things +in the here and now, the vocabulary of teleology comes back: the MEANING of the +caste distribution and the PURPOSEFULNESS of signals. This not only happens +when I think of ant colonies, but also when I think about my own brain and other +brains. However, with some effort I can always remember the other point of view if +necessary, and drain all these systems of meaning, too. + +Crab: Evolution certainly works some miracles. You never know the next trick it will pull +out of its sleeve. For instance, it wouldn't surprise me one bit if it were theoretically +possible for two or more "signals" to pass through each other, each one unaware that +the other one is also a signal; each one treating the other as if it were just part of the +background population. + +Anteater: It is better than theoretically possible; in fact it happens routinely! + +Achilles: Hmm ... What a strange image that conjures up in my mind. I can just imagine +ants moving in four different directions, some black, some white, criss-crossing, +together forming an orderly pattern, almost like-like + +Tortoise: A fugue, perhaps? + +Achilles: Yes-that's it! An ant fugue! + +Crab: An interesting image, Achilles. By the way, all that talk of boiling water made me +think of tea. Who would like some more? Achilles: I could do with another cup, Mr. +C. + +Crab: Very good. + +Achilles: Do you suppose one could separate out the different visual "voices" of such an +"ant fugue"? I know how hard it is for me- + +Tortoise: Not for me, thank you. + +Achilles: -to track a single voice- + +Anteater: I'd like some, too, Mr. Crab + +Achilles: -in a musical fugue- + +Anteater: -if it isn't too much trouble. + +Achilles: -when all of them- + +Crab: Not at all. Four cups of tea + +Tortoise: Three? + +Achilles: -are going at once. + +Crab: -coming right up! + +Anteater: That's an interesting thought, Achilles. But its unlikely that anyone could draw +such a picture in a convincing way +Achilles: That's too bad. + +Tortoise: Perhaps you could answer this, Dr. Anteater. Does a signal, from its creation +until its dissolution, always consist of the same set of ants? + +Anteater: As a matter of fact, the individuals in a signal sometimes break off and get +replaced by others of the same caste, if there are a few in the area. Most often, signals +arrive at their disintegration points with nary an ant in common with their starting +lineup. + +Crab: I can see that the signals are constantly affecting the caste distribution throughout +the colony, and are doing so in response to the internal needs of the colony-which in +turn reflect the external situation which the colony is faced with. Therefore the caste +distribution, as you said, Dr. Anteater, gets continually updated in a way which +ultimately reflects the outer world. + +Achilles: But what about those intermediate levels of structure? You were saying that the +caste distribution should best be pictured not in terms of ants or signals, but in terms +of teams whose members were other teams, whose members were other teams, and +so on until you come down to the ant level. And you said that that was the key to +understanding how it was possible to describe the caste distribution as encoding +pieces of information about the world. + +Anteater: Yes, we are coming to all that. I prefer to give teams of a sufficiently high level +the name of "symbols". Mind you, this sense of the word has some significant +differences from the usual sense. My "symbols" are ACTIVE SUBSYSTEMS of a +complex system, and they are composed of lower-level active subsystems ... They are +therefore quite different from PASSIVE symbols, external to the system, such as +letters of the alphabet or musical notes, which sit there immobile, waiting for an +active system to process them. + +Achilles: Oh, this is rather complicated, isn't it? I just had no idea that ant colonies had +such an abstract structure. + +Anteater: Yes, it's quite remarkable. But all these layers of structure are necessary for the +storage of the kinds of knowledge which enable an organism to be "intelligent" in +any reasonable sense of the word. Any system which has a mastery of language has +essentially the same underlying sets of levels. + +Achilles: Now just a cotton-picking minute. Are you insinuating that my brain consists +of, at bottom, just a bunch of ants running around? + +Anteater: Oh, hardly. You took me a little too literally. The lowest level may be utterly +different. Indeed, the brains of anteaters, for instance, are not composed of ants. But +when you go up a level or two in a brain, you reach a level whose elements have +exact counterparts in other systems of equal intellectual strength-such as ant colonies. + +Tortoise: That is why it would be reasonable to think of mapping your brain, Achilles, +onto an ant colony, but not onto the brain of a mere ant. + +Achilles: I appreciate the compliment. But how would such a mapping be carried out? +For instance, what in my brain corresponds to the low level teams which you call +signals? + +Anteater: Oh, I but dabble in brains, and therefore couldn't set up the map in its glorious +detail. But-and correct me if I'm wrong, Mr. Crab-I would surmise that the brain +counterpart to an ant colony's signal is the firing of a neuron; or perhaps it is a larger- +scale event, such as a pattern of neural firings. + +Crab: I would tend to agree. But don't you think that, for the purposes of our discussion, +delineating the exact counterpart is not in itself crucial, desirable though it might be? +It seems to me that the main idea is that such a correspondence does exist, even if we +don't know exactly how to define it right now. I would only question one point, Dr. +Anteater, which you raised, and that concerns the level at which one can have faith +that the correspondence begins. You seemed to think that a SIGNAL might have a +direct counterpart in a brain; whereas I feel that it is only at the level of your +ACTIVE SYMBOLS and above that it is likely that a correspondence must exist. + +Anteater: Your interpretation may very well be more accurate than mine, Mr. Crab. +Thank you for bringing out that subtle point. + +Achilles: What does a symbol do that a signal couldn't do? + +Anteater: It is something like the difference between words and letters. Words, which are +meaning-carrying entities, are composed of letters, which in themselves carry no +meaning. This gives a good idea of the difference between symbols and signals. In +fact it is a useful analogy, as long as you keep in mind the fact that words and letters +are PASSIVE, symbols and signals are ACTIVE. + +Achilles: I'll do so, but I'm not sure I understand why it is so vital to stress the difference +between active and passive entities. + +Anteater: The reason is that the meaning which you attribute to any passive symbol, such +as a word on a page, actually derives from the meaning which is carried by +corresponding active symbols in your brain. So that the meaning of passive symbols +can only be properly understood when it is related to the meaning of active symbols. + +Achilles: All right. But what is it that endows a SYMBOL-an active one, to be sure-with +meaning, when you say that a SIGNAL, which is a perfectly good entity in its own +right, has none? Anteater: It all has to do with the way that symbols can cause other +symbols to be triggered. When one symbol becomes active, it does not do so in +isolation. It is floating about, indeed, in a medium, which is characterized by its caste +distribution. + +Crab: Of course, in a brain there is no such thing as a caste distribution, but the +counterpart is the "brain state". There, you describe the states of all the neurons, and +all the interconnections, and the threshold for firing of each neuron. + +Anteater: Very well; let's lump "caste distribution" and "brain state" under a common +heading, and call them just the "state". Now the state can be described on a low level +or on a high level. A low-level description of the state of an ant colony would involve +painfully specifying the location of each ant, its age and caste, and other similar +items. A very detailed description, yielding practically no global insight as to WHY it +is in that state. On the other hand, a description on a high level would involve +specifying which symbols could be triggered by which combinations of other +symbols, under what conditions, and so forth. + +Achilles: What about a description on the level of signals, or teams? + +Anteater: A description on that level would fall somewhere in between the low-level and +symbol-level descriptions. It would contain a great deal of information about what is +actually going on in specific locations throughout the colony, although certainly less +than an ant-by-ant description, since teams consist of clumps of ants. A team-by-team +description is like a summary of an ant-by-ant description. However, you have to add +extra things which were not present in the ant-by-ant description-such as the +relationships between teams, and the supply of various castes here and there. This +extra complication is the price you pay for the right to summarize. + +Achilles: It is interesting to me to compare the merits of the descriptions at various levels. +The highest-level description seems to carry the most explanatory power, in that it +gives you the most intuitive picture of the ant colony, although strangely enough, it +leaves out seemingly- the most important feature-the ants. + +Anteater: But you see, despite appearances, the ants are not the most important feature. +Admittedly, were it not for them, the colony Wouldn't exist: but something +equivalent-a brain-can exist, ant-free. So, at least from a high-level point of view, the +ants are dispensable. .Achilles: I'm sure no ant would embrace your theory with +eagerness. + +Anteater: Well, I never met an ant with a high-level point of view. + +Crab: What a counterintuitive picture you paint, Dr. Anteater. It seems that, if what you +say is true, in order to grasp the whole structure, you have to describe it omitting any +mention of its fundamental building blocks. + +Anteater: Perhaps I can make it a little clearer by an analogy. Imagine you have before +you a Charles Dickens novel. + +Achilles: The Pickwick Papers-will that do? + +Anteater: Excellently! And now imagine trying the following game: you must find a way +of mapping letters onto ideas, so that the entire Pickwick Papers makes sense when +you read it letter by letter. + +Achilles: Hmm ... You mean that every time I hit a word such as "the", I have to think of +three definite concepts, one after another, with no room for variation? + +Anteater: Exactly. They are the 't'-concept, the 'h'-concept, and the 'e'-concept-and every +time, those concepts are as they were the preceding time. + +Achilles: Well, it sounds like that would turn the experience of "reading" The Pickwick +Papers into an indescribably boring nightmare. It would be an exercise in +meaninglessness, no matter what concept I associated with each letter. + +Anteater: Exactly. There is no natural mapping from the individual letters into the real +world. The natural mapping occurs on a higher level between words, and parts of the +real world. If you wanted to describe the book, therefore, you would make no +mention of the letter level. + +Achilles: Of course not! I'd describe the plot and the characters, and so forth. + +Anteater: So there you are. You would omit all mention of the building blocks, even +though the book exists thanks to them. They are the medium, but not the message. + +Achilles: All right-but what about ant colonies? + +Anteater: Here, there are active signals instead of passive letters, and active symbols +instead of passive words-hut the idea carries over. + +Achilles: Do you mean I couldn't establish a mapping between signals and things in the +real world? + +Anteater: You would find that you could not do it in such a way that the triggering of new +signals would make am sense. Nor could you succeed on any lower level-for example +the ant level. Only on the symbol level do the triggering patterns make sense. +Imagine, for instance, that one day you were watching Aunt Hillary when I arrived to +pay a call. You could watch as carefully as you wanted, and yet you would probably +perceive nothing more than a rearrangement of ants. + +Achilles: I'm sure that's accurate. + +Anteater: And yet, as I watched, reading the higher level instead of the lower level, I +would see several dormant symbols being awakened, those which translate into the +thought, "Oh, here's that charming Dr. Anteater again-how pleasant!"-or words to +that effect. + +Achilles: That sounds like what happened when the four of us all found different levels to +read in the MU-picture-or at least THREE of us did .. . + +Tortoise: What an astonishing coincidence that there should be such a resemblance +between that strange picture which I chanced upon in the Well-Tempered Clavier, +and the trend of our conversation. + +Achilles: Do you think it's just coincidence? + +Tortoise: Of course. + +Anteater: Well, I hope you can grasp now how the thoughts in Aunt Hillary emerge from +the manipulation of symbols composed of signals composed of teams composed of +lower-level teams, all the way down to ants. + +Achilles: Why do you call it "symbol manipulation"? Who does the manipulating, if the +symbols are themselves active? Who is the agent? + +Anteater: This gets back to the question which you earlier raised about purpose. You're +right that symbols themselves are active, but the activities which they follow are +nevertheless not absolutely free. The activities of all symbols are strictly determined +by the state of the full system in which they reside. Therefore, the full system is +responsible for how its symbols trigger each other, and so it is quite reasonable to +speak of the full system as the "agent". As the symbols operate, the state of the +system gets slowly transformed, or updated. But there are many features which +remain over time. It is this partially constant, partially varying system which is the +agent. One can give a name to the +full system. For example, Aunt Hillary is the "who" who can be said to manipulate +her symbols; and you are similar, Achilles. + +Achilles: That's quite a strange characterization of the notion of who I am. I'm not sure I +can fully understand it, but I will give it some thought. + +Tortoise: It would be quite interesting to follow the symbols in your brain as you do that +thinking about the symbols in your brain. + +Achilles: That's too complicated for me. I have trouble enough just trying to picture how +it is possible to look at an ant colony and read it on the symbol level. I can certainly +imagine perceiving it at the ant level; and with a little trouble, I can imagine what it +must be like to perceive it at the signal level; but what in the world can it be like to +perceive an ant colony at the symbol level? + +Anteater: One only learns through long practice. But when one is at my stage, one reads +the top level of an ant colony as easily as you yourself read the "MU" in the MU- +picture. + +Achilles: Really? That must be an amazing experience. + +Anteater: In a way-but it is also one which is quite familiar to you, Achilles. + +Achilles: Familiar to me? What do you mean? I have never looked at an ant colony on +anything but the ant level. + +Anteater: Maybe not; but ant colonies are no different from brains in many respects. + +Achilles: I have never seen nor read any brain either, however. + +Anteater: What about your OWN brain? Aren't you aware of your own thoughts? Isn't +that the essence of consciousness? What else are you doing but reading your own +brain directly at the symbol level? + +Achilles: I never thought of it that way. You mean that I bypass all the lower levels, and +only see the topmost level? + +Anteater: That's the way it is, with conscious systems. They perceive themselves on the +symbol level only, and have no awareness of the lower levels, such as the signal +levels. + +Achilles: Does it follow that in a brain, there are active symbols which are constantly +updating themselves so that they reflect the overall state of the brain itself, always on +the symbol level? + +Anteater: Certainly. In any conscious system there are symbols which represent the brain +state, and they are themselves part of the very brain state which they symbolize. For +consciousness requires a large degree of self-consciousness. + +Achilles: That is a weird notion. It means that although there is frantic activity occurring +in my brain at all times, I am only capable of registering that activity in one way-on +the symbol level; and I am completely insensitive to the lower levels. It is like being +able to read a Dickens novel by direct visual perception, without ever having learned +the letters of the alphabet. I can't imagine anything as weird as that really happening. + +Crab: But precisely that sort of thing can happen when you read “MU”, +without perceiving the lower levels "HOLISM" and "REDUCTIONISM". + +Achilles: You're right-I bypassed the lower levels, and saw only the top. I wonder if I'm +missing all sorts of meaning on lower levels of my brain as well, by reading only the +symbol level. It's too bad that the top level doesn't contain all the information about +the bottom level, so that by reading the top, one also learns what the bottom level +says. But I guess it would be naive to hope that the top level encodes anything from +the bottom level-it probably doesn't percolate up. The MU-picture is the most striking +possible example of that: there, the topmost level says only "ML which bears no +relation whatever to the lower levels! + +Crab: That's absolutely true. ( Picks up the MU-picture, to inspect it more closely.) Hmm +... There's something strange about the smallest letters in this picture; they're very +wiggly ...' + +Anteater: Let me take a look. ( Peers closely at the MU-picture.) I think there's yet +another level, which all of us missed! + +Tortoise: Speak for yourself, Dr. Anteater. + +Achilles: Oh, no-that can't be! Let me see. ( Looks very carefully.) I know the rest of you +won't believe this, but the message of this picture is staring us all in the face, hidden +in its depths. It is simply one word, repeated over and over again, like a mantra-but +what an important one: "Mu"! What do you know! It is the same as the top level! +And none of us suspected it in the least. + +Crab: We would never have noticed it if it hadn't been for you, Achilles. Anteater: I +wonder if the coincidence of the highest and lowest levels happened by chance? Or +was it a purposeful act carried out by some creator? + +Crab: How could one ever decide that? + +Tortoise: I don't see any way to do so, since we have no idea why that particular picture is +in the Crab's edition of the Well-Tempered Clavier. Anteater: Although we have been +having a lively discussion, I have still managed to listen with a good fraction of an +ear to this very long and complex four-voice fugue. It is extraordinarily beautiful. + +Tortoise: It certainly is. And now, in just a moment, comes an organ point. + +Achilles: Isn't an organ point what happens when a piece of music slows down slightly, +settles for a moment or two on a single note or chord, and then resumes at normal +speed after a short silence? + +Tortoise: No, you're thinking of a "fermata"-a sort of musical semicolon. Did you notice +there was one of those in the prelude? + +Achilles: I guess I must have missed it. + +Tortoise: Well, you have another chance coming up to hear a fermata-in fact, there are a +couple of them coming up, towards the end of this fugue. + +Achilles: Oh, good. You'll point them out in advance, won't you? Tortoise: If you like. + +Achilles: But do tell me, what is an organ point? + +Tortoise: An organ point is the sustaining of a single note by one of the +voices in a polyphonic piece (often the lowest voice), while the other voices continue +their own independent lines. This organ point is on the note of G. Listen carefully, +and you'll hear it. + +Anteater:. There occurred an incident one day when I visited with Aunt Hillary which +reminds me of your suggestion of observing the symbols in Achilles' brain as they +create thoughts which are about themselves. + +Crab: Do tell us about it. + +Anteater: Aunt Hillary had been feeling very lonely, and was very happy to have +someone to talk to that day. So she gratefully told me to help myself to the juiciest +ants I could find. (She's always been most generous with her ants.) + +Achilles: Gee! + +Anteater: It just happened that I had been watching the symbols which were carrying out +her thoughts, because in them were some particularly juicy-looking ants. + +Achilles: Gee! + +Anteater: So I helped myself to a few of the fattest ants which had been parts of the +higher-level symbols which I had been reading. Specifically, the symbols which they +were part of were the ones which had expressed the thought, "Help yourself to any of +the ants which look appetizing." + +Achilles: Gee! + +Anteater: Unfortunately for them, but fortunately for me, the little bugs didn't have the +slightest inkling of what they were collectively telling me, on the symbol level. + +Achilles: Gee! That is an amazing wraparound. They were completely unconscious of +what they were participating in. Their acts could be seen as part of a pattern on a +higher level, but of course they were completely unaware of that. Ah, what a pity-a +supreme irony, in fact-that they missed it. + +Crab: You are right, Mr. T-that was a lovely organ point. + +Anteater: I had never heard one before, but that one was so conspicuous that no one could +miss it. Very effective. + +Achilles: What? Has the organ point already occurred? How can I not have noticed it, if it +was so blatant? + +Tortoise: Perhaps you were so wrapped up in what you were saying that you were +completely unaware of it. Ah, what a pity-a supreme irony, in fact-that you missed it. + +Crab: Tell me, does Aunt Hillary live in an anthill? + +Anteater: Well, she owns a rather large piece of property. It used to belong to someone +else, but that is rather a sad story. In any case, her estate is quite expansive. She lives +rather sumptuously, compared to many other colonies. + +!chilies: How does that jibe with the communistic nature of ant colonies which you +earlier described to us? It sounds quite inconsistent, to me, to preach communism and +to live in a fancy estate. + +Anteater: The communism is on the ant level. In an ant colony all ants work for the +common good, even to their own individual detriment at times. Now this is simply a +built-in aspect of Aunt Hillary's structure, but for all I know, she may not even be +aware of this internal communism. Most human beings are not aware of anything +about their neurons; in fact they probably are quite content not to know anything +about their brains, being somewhat squeamish creatures. Aunt Hillary is also +somewhat squeamish; she gets rather antsy whenever she starts to think about ants at +all. So she avoids thinking about them whenever possible. I truly doubt that she +knows anything about the communistic society which is built into her very structure. +She herself is a staunch believer in libertarianism-you know, laissez-faire and all that. +So it makes perfect sense, to me at least, that she should live in a rather sumptuous +manor. + +Tortoise: As I turned the page just now, while following along in this lovely edition of +the Well-Tempered Clavier, I noticed that the first of the two fermatas is coming up +soon-so you might listen for it, Achilles. Achilles: I will, I will. + +Tortoise: Also, there's a most curious picture facing this page. Crab: Another one? What +next? + +Tortoise: See for yourself. (Passes the score over to the Crab.) + +Crab: Aha! It's just a few bunches of letters. Let's see-there are various numbers of the +letters T, 'S', 'B', 'm', V, and't'. It's strange, how the first three letters grow, and then +the last three letters shrink again. Anteater: May I see it? + +Crab: Why, certainly. + +Anteater: Oh, by concentrating on details, you have utterly missed the big picture. In +reality, this group of letters is 'f, V, Y, 'A', "C, 'H', without any repetitions. First +they get smaller, then they get bigger. Here, AchiUes-what do you make of it? + +Achilles: Let me see. Hmm. Well, I see it as a set of upper-case letters which grow as you +move to the right. + +Tortoise: Do they spell anything? + +Achilles: Ah ... "J. S. BACH". Oh! I understand now. It's Bach's name! + +Tortoise: Strange that you should see it that way. I see it as a set of lower-case letters, +shrinking as they move to the right, and ... spelling out... the name of... (Slows down +slightly, especialh drawing out the last few words. Then there is a brief silence. +Suddenly he resumes as if nothing unusual had happened.) -"fermat". + +Achilles: Oh, you've got Fermat on the brain, I do believe. You see Fermat's Last +Theorem everywhere. + +Anteater: You were right, Mr. Tortoise-I just heard a charming little fermata in the fugue. + +Crab: So did I. + +Achilles: Do you mean everybody heard it but me? I'm beginning to feel stupid. + +Tortoise: There, there, Achilles-don't feel bad. I'm sure you won't miss Fugue's Last +Fermata (which is coming up quite soon). But, to return to our previous topic. Dr. +Anteater, what is the very sad story which you alluded to, concerning the former +owner of Aunt Hillary's property + +Anteater: The former owner was an extraordinary individual, one of the most creative ant +colonies who ever lived. His name was Johant Sebastiant Fermant, and he was a +mathematiciant by vocation, but a musiciant by avocation. + +Achilles: How very versantile of him! + +Anteater: At the height of his creative powers, he met with a most untimely demise. One +day, a very hot summer day, he was out soaking up the warmth, when a freak +thundershower-the kind that hits only once every hundred years or so-appeared from +out of the blue, and thoroughly drenched J. S F. Since the storm came utterly without +warning, the ants got completely disoriented and confused. The intricate organization +which had been so finely built up over decades, all went down the drain in a matter of +minutes. It was tragic. + +Achilles: Do you mean that all the ants drowned, which obviously would spell the end of +poor J. S. F. + +Anteater: Actually, no. The ants managed to survive, every last one of them, by crawling +onto various sticks and logs which floated above the raging torrents. But when the +waters receded and left the ants back on their home grounds, there was no +organization left. The caste distribution was utterly destroyed, and the ants +themselves had no ability to reconstruct what had once before been such a finely +tuned organization. They were as helpless as the pieces of Humpty Dumpty in putting +themselves back together again. I myself tried, like all the king's horses and all the +king's men, to put poor Fermant together again. I faithfully put out sugar and cheese, +hoping against hope that somehow Fermant would reappear ... (Pulls out a +handkerchief and wipes his eyes.) + +Achilles: How valiant of you! I never knew Anteaters had such big hearts. + +Anteater: But it was all to no avail. He was Bone, beyond reconstitution. +However, something very strange then began to take place: over the next few +months, the ants which had been components of J. S. F. slowly regrouped, and built +up a new organization. And thus was Aunt Hillary born. + +Crab: Remarkable! Aunt Hillary is composed of the very same ants as Fermant was? + +Anteater: Well, originally she was, yes. By now, some of the older ants have died, and +been replaced. But there are still many holdovers from the J. S. F.-days. + +Crab: And can't you recognize some of J. S. F.'s old traits coming to the fore, from time +to time, in Aunt Hillary% + +Anteater: Not a one. They have nothing in common. And there is no reason they should, +as I see it. There are, after all, often several distinct ways to rearrange a group of +parts to form a "sum". And Aunt Hillary was just a new "sum" of the old parts. Not +MORE than the sum, mind you just that particular KIND of sum. + +Tortoise: Speaking of sums, I am reminded of number theory, where occasionally one +will be able to take apart a theorem into its component symbols, rearrange them in a +new order, and come up with a new theorem. + +Anteater: I've never heard of such a phenomenon, although I confess to being a total +ignoramus in the field. + +Achilles: Nor have I heard of it-and I am rather well versed in the field, If I don't say so +myself. I suspect Mr. T is just setting up one of his elaborate spoofs. I know him +pretty well by now. Anteater: Speaking of number theory, I am reminded of J. S. F. +again, for number theory is one of the domains in which he excelled. In fact, he made +some rather rema, ..able contributions to number theory. Aunt Hillary, on the other +hand, is remarkably dull-witted in anything that has even the remotest connection +with mathematics. Also, she has only a rather banal taste in music, whereas +Sebastiant was extremely gifted in music. + +Achilles: I am very fond of number theory. Could you possibly relate to us something of +the nature of Sebastiant's contributions, + +Anteater: Very well, then. (Pauses for a moment to sip his tea, then resumes.) + +Have you heard of Fourmi's infamous "Well-Tested Conjecture”? + +Achilles. I'm not sure ... It sounds strangely familiar, and yet I can't quite place it. + +Anteater: It's a very simple idea. Lierre de Fourmi, a mathematiciant by vocation but +lawyer by avocation, had been reading in his copy-of the classic text Arithmetica by +Di of Antus, and came across a page containing the equation + +2 a +2 b =2 c + +He immediately realized that this equation has infinitely many solutions a. b, c, and +then wrote in the margin the following notorious comment: + +The equation: + +* n^a + n^b = n^c + +has solutions in positive integers a, b, c, and n only when n = 2 (and then there are +infinitely many triplets a, b, c which satisfy the equation); but there are no solutions +for n > 2. I have discovered a truly marvelous proof of this statement, which, +unfortunately, is so small that it would be well-nigh invisible if written in the margin. +Ever since that year, some three hundred days ago, mathematiciants have been vainly +trying to do one of two things: either to prove Fourmi’s claim, and thereby vindicate +Fourmi’s reputation, which, although very high, has been somewhat tarnished by +skeptics who think he never really found the proof he claimed to have found-or else +to refute the claim, by finding a counterexample: a set of four integers a, b, c, and n, +with n > 2, which satisfy the equation. Until very recently, every attempt in either +direction had met with failure. To be sure, the Conjecture has been verified for many +specific values of n-in particular, all n up to 125,000. But no one had succeeded in +proving it for ALL n-no one, that is, until Johant Sebastiant Fermant came upon the +scene. It was he who found the proof that cleared Fourmi’s name. +It now goes under the name "Johant Sebastiant's Well-Tested Conjecture". + +Achilles: Shouldn't it be called a "Theorem" rather than a "Conjecture", if it's finally been +given a proper proof; + +Anteater: Strictly speaking, you're right, but tradition has kept it this way. + +Tortoise: What sort of music did Sebastiant do? + +Anteater: He had great gifts for composition. Unfortunately, his greatest work is shrouded +in mystery, for he never reached the point of publishing it. Some believe that he had +it all in his mind; others are more unkind, saying that he probably never worked it out +at all, but merely blustered about it. + +Achilles: What was the nature of this magnum opus? + +Anteater: It was to be a giant prelude and fugue; the fugue was to have +twenty-four voices, and to involve twenty-four distinct subjects, one in +each of the major and minor keys. + +Achilles: It would certainly be hard to listen to a twenty-four-voice fugue +as a whole! + +Crab: Not to mention composing one! + +Anteater: But all that we know of it is Sebastiant's description of it, which he wrote in the +margin of his copy of Buxtehude's Preludes and Fugues for Organ. The last words which +he wrote before his tragic demise were: + +I have composed a truly marvelous fugue. In it, I have added +together the power of 24 keys, and the power of 24 themes; I +came up with a fugue with the power of 24 voices. Unfortunately, +this margin is too narrow to contain it. + +And the unrealized masterpiece simply goes by the name, "Fermant’s Last Fugue". + +Achilles: Oh, that is unbearably tragic. + +Tortoise: Speaking of fugues, this fugue which we have been listening to is nearly over. +Towards the end, there occurs a strange new twist on its theme. (Flips the page in the +Well-Tempered Clavier.) Well, what have we here? A new illustration-how +appealing! (Shows it to the Crab.) + +Crab: Well, what have we here? Oh, I see: It's HOLISMIONSIM”, written in large letters +that first shrink and then grow back to their original size. But that doesn't make any +sense, because it's not a word. Oh me, oh my! (Passes it to the Anteater.) + +Anteater: Well, what have we here? Oh, I see: it's "REDUCTHOLISM", written in small +letters that first grow and then shrink back to their original size. But that doesn't make +any sense, because it's not a word. Oh my, oh me! (Passes it to Achilles.) + +Achilles: I know the rest of you won't believe this, but in fact this picture consists of the +word "HOLISM" written twice, with the letters continually shrinking as they proceed +from left to right. (Returns it to the Tortoise.) + +Tortoise: I know the rest of you won't believe this, but in fact this picture consists of the +word "REDUCTIONISM" written once, with the letters continually growing as they +proceed from left to right. + +Achilles: At last-I heard the new twist on the theme this time! I am so glad that you +pointed it out to me, Mr. Tortoise. Finally, I think I am beginning to grasp the art of +listening to fugues. + +CHAPTER XI: Brains and Thoughts + +New Perspectives on Thought + +IT WAS ONLY with the advent of computers that people actually tried to create +"thinking" machines, and witnessed bizarre variations on the theme, of thought. Programs +were devised whose "thinking" was to human thinking as a slinky flipping end over end +down a staircase is to human locomotion. All of a sudden the idiosyncrasies, the +weaknesses and powers, the vagaries and vicissitudes of human thought were hinted at by +the newfound ability to experiment with alien, yet hand-tailored forms of thought-or +approximations of thought. As a result, we have acquired, in the last twenty years or so, a +new kind of perspective on what thought is, and what it is not. Meanwhile, brain +researchers have found out much about the small-scale and large-scale hardware of the +brain. This approach has not yet been able to shed much light on how the brain +manipulates concepts, but it gives us some ideas about the biological mechanisms on +which thought manipulation rests. + +In the coming two Chapters, then, we will try to unite some insights gleaned from +attempts at computer intelligence with some of the facts learned from ingenious +experiments on living animal brains, as well as with results from research on human +thought processes done by cognitive psychologists. The stage has been set by the +Prelude, Ant Fugue', now we develop the ideas more deeply. + +Intensionality and Extensionality + +Thought must depend on representing reality in the hardware of the brain. In the +preceding Chapters, we have developed formal systems which represent domains of +mathematical reality in their symbolisms. To what extent is it reasonable to use such +formal systems as models for how the brain might manipulate ideas? + +We saw, in the pq-system and then in other more complicated systems, how meaning, in +a limited sense of the term, arose as a result of an isomorphism which maps typographical +symbols onto numbers, operations, and relations; and strings of typographical symbols +onto statements. Now in the brain we don't have typographical symbols, but we have +something even better: active elements which can store information and transmit it and +receive it from other active elements. Thus we have active symbols, rather than passive +typographical symbols. In the brain, the rules +remixed right in with the symbols themselves, whereas on paper, the symbols are static +entities, and the rules are in our heads. + +It is important not to get the idea, from the rather strict nature of all ie formal systems we +have seen, that the isomorphism between symbols and real things is a rigid, one-to-one +mapping, like the strings which link a marionette and the hand guiding it. In TNT, the +notion "fifty" can be expressed in different symbolic ways; for example, + +((SSSSSSSO.SSSSSSSO)+(SO-SO)) + +((SSSSSO'SSSSSO)+(SSSSSO.SSSSSO)) + +'hat these both represent the same number is not a priori clear. You can manipulate each +expression independently, and at some point stumble cross a theorem which makes you +exclaim, "Oh-it's that number!" + +In your mind, you can also have different mental descriptions for a single person; for +example, + +The person whose book I sent to a friend in Poland a while back. + +The stranger who started talking with me and my friends tonight in this coffee +house. + +:'hat they both represent the same person is not a priori clear. Both descriptions may sit in +your mind, unconnected. At some point during the evening you may stumble across a +topic of conversation which leads to the revelation that they designate the same person, +making you exclaim, Oh-you're that person!" + +Not all descriptions of a person need be attached to some central symbol for that person, +which stores the person's name. Descriptions can be manufactured and manipulated in +themselves. We can invent nonexistent people by making descriptions of them; we can +merge two descriptions 'hen we find they represent a single entity; we can split one +description into two when we find it represents two things, not one-and so on. This +calculus of descriptions" is at the heart of thinking. It is said to be intentional and not +extensional, which means that descriptions can "float" without Being anchored down to +specific, known objects. The intensionality of thought is connected to its flexibility; it +gives us the ability to imagine hypothetical worlds, to amalgamate different descriptions +or chop one description into separate pieces, and so on. + +Suppose a friend who has borrowed your car telephones you to say hat your car skidded +off a wet mountain road, careened against a bank, .nd overturned, and she narrowly +escaped death. You conjure up a series & images in your mind, which get progressively +more vivid as she adds details, and in the end you "see it all in your mind's eye". Then +she tells you hat it's all been an April Fool's joke, and both she and the car are fine! In +many ways that is irrelevant. The story and the images lose nothing of their vividness, +and the memory will stay with you for a long, long time. Later, you may even think of +her as an unsafe driver because of the strength of +the first impression, which should have been wiped out when you learned it was all +untrue. Fantasy and fact intermingle very closely in our minds, and this is because +thinking involves the manufacture and manipulation of complex descriptions, which need +in no way be tied down to real events or things. + +A flexible, intensional representation of the world is what thinking is all about. Now how +can a physiological system such as the brain support such a system? + +The Brain's "Ants" + +The most important cells in the brain are nerve cells, or neurons (see Fig. 65), of which +there are about ten billion. (Curiously, outnumbering the neurons by about ten to one are +the glial cells, or glia. Glia are believed to play more of a supporting role to the neurons' +starring role, and therefore we will not discuss them.) Each neuron possesses a number of +synapses ("entry ports") and one axon ("output channel"). The input and output are +electrochemical flows: that is, moving ions. In between the entry ports of a neuron and its +output channel is its cell body, where "decisions" are made. + +The type of decision which a neuron faces-and this can take place up to a thousand times +per second-is this: whether or not to fire-that is, to ease ions down its axon, which - +eventually will cross over into the entry its of one or more other neurons, thus causing +them to make the same sort of decision. The decision is made in a very simple manner: if +the sum all inputs exceeds a certain threshold, yes; otherwise, no. Some of the inputs can +be negative inputs, which cancel out positive inputs coming from somewhere else. In any +case, it is simple addition which rules the lowest 'el of the mind. To paraphrase Descartes' +famous remark, "I think, therefore I sum" (from the Latin Cogito, ergo am). + +Now although the manner of making the decision sounds very simple, here is one +fact which complicates the issue: there may be as many as 200,000 separate entry ports to +a neuron, which means that up to 200,000 Karate summands may be involved in +determining the neuron's next ion. Once the decision has been made, a pulse of ions +streaks down the on towards its terminal end. Before the ions reach the end, however, ey +may encounter a bifurcation-or several. In such cases, the single output pulse splits up as +it moves down the bifurcating axon, and by the tine it has reached the end, "it" has +become "they"-and they may reach their destinations at separate times, since the axon +branches along which they travel may be of different lengths and have different +resistivities. The important thing, though, is that they all began as one single pulse, +moving 'ay from the cell body. After a neuron fires, it needs a short recovery time fore +firing again; characteristically this is measured in milliseconds, so at a neuron may fire up +to about a thousand times per second. + +Larger Structures in the Brain + +Now we have described the brain's "ants". What about "teams", or "signals"? What about +"symbols"? We make the following observation: despite e complexity of its input, a +single neuron can respond only in a very primitive way-by firing, or not firing. This is a +very small amount of Formation. Certainly for large amounts of information to be carried +or processed, many neurons must be involved. And therefore one might guess at larger +structures, composed from many neurons, would exist, which handle concepts on a +higher level. This is undoubtedly true, but the most naive assumption-that there is a fixed +group of neurons for each different concept-is almost certainly false. + +There are many anatomical portions of the brain which can be distinguished from +each other, such as the cerebrum, the cerebellum, the hypothalamus (see Fig. 66). The +cerebrum is the largest part of the human am, and is divided into a left hemisphere and a +right hemisphere. The outer few millimeters of each cerebral hemisphere are coated with +a layered "bark", or cerebral cortex. The amount of cerebral cortex is the major +distinguishing feature, in terms of anatomy, between human brains and brains of less +intelligent species. We will not describe any of the brain's suborgans in detail because, as +it turns out, only the roughest mapping can +at this time be made between such large-scale suborgans and the activities, mental or +physical, which they are responsible for. For instance, it is known that language is +primarily handled in one of the two cerebral hemispheres-in fact, usually the left +hemisphere. Also, the cerebellum is the place where trains of impulses are sent off to +muscles to control motor activity. But how these areas carry out their functions is still +largely a mystery. + +Mappings between Brains + +Now an extremely important question comes up here. If thinking does take place in the +brain, then how are two brains different from each other? How is my brain different from +yours? Certainly you do not think exactly as I do, nor as anyone else does. But we all +have the same anatomical divisions in our brains. How far does this identity of brains +extend? Does it go to the neural level? Yes, if you look at animals on a low enough level +of the thinking-hierarchy-the lowly earthworm, for instance. The following quote is from +the neurophysiologist, David Hubei, speaking at a conference on communication with +extraterrestrial intelligence: + +The number of nerve cells in an animal like a wonn would be measured, I +suppose, in the thousands. One very interesting thing is that we may point to a +particular individual cell in a particular earthworm, and then identify the same +cell, the corresponding cell in another earthworm of the same species.' + +Earthworms have isomorphic brains! One could say, "There is only one earthworm." + +But such one-to-one mappability between individuals' brains disappears very soon as +you ascend in the thinking-hierarchy and the number of neurons increases-confirming +one's suspicions that there is not just one pan! Yet considerable physical similarity can be +detected between different human brains when they are compared on a scale larger than a +;le neuron but smaller than the major suborgans of the brain. What s this imply about how +individual mental differences are represented in physical brain? If we looked at my +neurons' interconnections, could we 1 various structures that could be identified as coding +for specific things -tow, specific beliefs I have, specific hopes, fears, likes and dislikes I +harbor? If mental experiences can be attributed to the brain, can knowledge and other +aspects of mental life likewise be traced to specific locations de the brain, or to specific +physical subsystems of the brain? This will be a central question to which we will often +return in this Chapter and the next. + +Localization of Brain Processes: An Enigma + +In an attempt to answer this question, the neurologist Karl Lashley, in a series of +experiments beginning around 1920 and running for many ,s, tried to discover where in +its brain a rat stores its knowledge about :e running. In his book The Conscious Brain, +Steven Rose describes Lashley's trials and tribulations this way: + +Lashley was attempting to identify the locus of memory within the cortex, and, to do so, +first trained rats to run mazes, and then removed various cortical regions. He allowed the +animals to recover and tested the retention of the maze-running skills. To his suiprise it +was not possible to find a particular region corresponding to the ability to remember the +way through a maze, instead all the rats which had had cortex regions removed suffered +some kind f impairment, and the extent of the impairment was roughly proportional to the +amount of cortex taken off. Removing cortex damaged the motor and sensory capacities +of the animals, and they would limp, hop, roll, or stagger, but somehow they always +managed to traverse the maze. So far as memory 'as concerned, the cortex appeared to be +equipotential, that is, with all regions of equal possible utility. Indeed, Lashley concluded +rather gloomily in is last paper "In Search of the Engram", which appeared in 1950, that +the only conclusion was that memory was not possible at all.’ + +Curiously, evidence for the opposite point of view was being developed :in Canada at +roughly the same time that Lashley was doing his last work, in late 1940's. The +neurosurgeon Wilder Penfield was examining the reactions of patients whose brains had +been operated on, by inserting electrodes into various parts of their exposed brains, and +then using small electrical pulses to stimulate the neuron or neurons to which the +electrodes been attached. These pulses were similar to the pulses which come other +neurons. What Penfield found was that stimulation of certain +neurons would reliably create specific images or sensations in the patient. These +artificially provoked impressions ranged from strange but indefinable fears to buzzes and +colors, and, most impressively of all, to entire successions of events recalled from some +earlier time of life, such as a childhood birthday party. The set of locations which could +trigger such specific events was extremely small-basically centered upon a single neuron. +Now these results of Penfield dramatically oppose the conclusions of Lashley, since they +seem to imply that local areas are responsible for specific memories, after all. + +What can one make of this? One possible explanation could be that memories are coded +locally, but over and over again in different areas of the cortex-a strategy perhaps +developed in evolution as security against possible loss of cortex in fights, or in +experiments conducted by neurophysiologists. Another explanation would be that +memories can be reconstructed from dynamic processes spread over the whole brain, but +can be triggered from local spots. This theory is based on the notion of modern telephone +networks, where the routing of a long-distance call is not predictable in advance, for it is +selected at the time the call is placed, and depends on the situation all over the whole +country. Destroying any local part of the network would not block calls; it would just +cause them to be routed around the damaged area. In this sense any call is potentially +nonlocalizable. Yet any call just connects up two specific points; in this sense any call is +localizable. + +Specificity in Visual Processing + +Some of the most interesting and significant work on localization of brain processes has +been done in the last fifteen years by David Hubei and Torsten Wiesel, at Harvard. They +have mapped out visual pathways in the brains of cats, starting with the neurons in the +retina, following their connections towards the rear of the head, passing through the +"relay station" of the lateral geniculate, and ending up in the visual cortex, at the very +back of the brain. First of all, it is remarkable that there exist well defined neural +pathways, in light of Lashley's results. But more remarkable are the properties of the +neurons located at different stages along the pathway. + +It turns out that retinal neurons are primarily contrast sensors. More specifically, the +way they act is this. Each retinal neuron is normally firing at a "cruising speed". When its +portion of the retina is struck by light, it may either fire faster or slow down and even +stop firing. However, it will do so only provided that the surrounding part of the retina is +less illuminated. So this means that there are two types of neuron: ."on-center", and "off- +center". The on-center neurons are those whose firing rate increases whenever, in the +small circular retinal area to which they are sensitive, the center is bright but the outskirts +are dark; the off-center neurons are those which fire faster when there is darkness in the +center and brightness in the +outer ring. If an on-center pattern is shown to an off-center neuron, the neuron will slow +down in firing (and vice versa). Uniform illumination will .leave both types of retinal +neuron unaffected; they will continue to fire at cruising speed. + +From the retina, signals from these neurons proceed via the optic nerve to the lateral +geniculate, located somewhere towards the middle of the brain. There, one can find a +direct mapping of the retinal surface in the .use that there are lateral-geniculate neurons +which are triggered only by specific stimuli falling on specific areas of the retina. In that +sense, the general geniculate is disappointing; it seems to be only a "relay station", and +not a further processor (although to give it its due, the contrast sensitivity ,ms to be +enhanced in the lateral geniculate). The retinal image is coded a straightforward way in +the firing patterns of the neurons in the lateral geniculate, despite the fact that the neurons +there are not arranged on a o-dimensional surface in the form of the retina, but in a three- +dimensional block. So two dimensions get mapped onto three, yet the formation is +preserved: an isomorphism. There is probably some deep meaning to the change in the +dimensionality of the representation, which is not yet fully appreciated. In any case, there +are so many further unexplained stages of vision that we should not be disappointed but +pleased the fact that-to some extent-we have figured out this one stage! + +From the lateral geniculate, the signals proceed back to the visual cortex. Here, some +new types of processing occur. The cells of the visual cortex are divided into three +categories: simple, complex, and hyper complex. Simple cells act very much like retinal +cells or lateral geniculate [Is: they respond to point-like light or dark spots with +contrasting surrounds, in particular regions of the retina. Complex cells, by contrast, +usually receive input from a hundred or more other cells, and they detect light dark bars +oriented at specific angles on the retina (see Fig. 67). Hyper complex cells respond to +corners, bars, or even "tongues" moving in specific directions (again see Fig. 67). These +latter cells are so highly specialized at they are sometimes called "higher-order hyper +complex cells". + +A "Grandmother Cell"? + +Because of the discovery of cells in the visual cortex which can be triggered stimuli of +ever-increasing complexity, some people have wondered if things are not leading in the +direction of "one cell, one concept"-for ample, you would have a "grandmother cell" +which would fire if, and only if, your grandmother came into view. This somewhat +humorous ample of a "superhypercomplex cell" is not taken very seriously. Rower, it is +not obvious what alternative theory seems reasonable. One possibility is that larger neural +networks are excited collectively by sufficiently complex visual stimuli. Of course, the +triggering of these larger multineuron units would somehow have to come from +integration of signals emanating from the many hyper complex cells. How this might be +done nobody knows> Just when we seem to be approaching the threshold where +"symbol" might emerge from "signal", the trail gets lost-a tantalizingly unfinished story. +We will return to this story shortly, however, and try to fill in some of it. + +Earlier I mentioned the coarse-grained isomorphism between all human brains which +exists on a large anatomical scale, and the very fine-grained, neural-level isomorphism +which exists between earthworm brains. It is quite interesting that there is also an +isomorphism between the visual processing apparatus of cat, monkey, and human, the +"grain" of which is somewhere between coarse and fine. Here is how that isomorphism +works. First of all, all three species have "dedicated" areas of cortex at the back of their +brains where visual processing is done: the visual cortex. Secondly, in +each of them, the visual cortex breaks up into three subregions, called areas 18, and 19 of +the cortex. These areas are still universal, in the sense that y can be located in the brain of +any normal individual in any of the three ties. Within each area you can go still further, +reaching the "columnar" organization of the visual cortex. Perpendicular to the surface of +the (ex, moving radially inwards towards the inner brain, visual neurons are inged in +"columns"-that is, almost all connections move along the ial, columnar direction, and not +between columns. And each column ps onto a small, specific retinal region. The number +of columns is not same in each individual, so that one can't find "the same column", ally, +within a column, there are layers in which simple neurons tend to found, and other layers +in which complex neurons tend to be found, to hypercomplex neurons tend to be found in +areas 18 and 19 predominately, while the simple and complex ones are found mostly in +area 17.) appears that we run out of isomorphisms at this level of detail. From here down +to the individual neuron level, each individual cat, monkey, or man has a completely +unique pattern-somewhat like a fingerprint or a signature. + +One minor but perhaps telling difference between visual processing in ;'brains and +monkeys' brains has to do with the stage at which informal from the two eyes is +integrated to yield a single combined higher-level lal. It turns out that it takes place +slightly later in the monkey than in the cat, which gives each separate eye's signal a +slightly longer time to get processed by itself. This is not too surprising, since one would +expect that higher a species lies in the intelligence hierarchy, the more complex will the +problems which its visual system will be called upon to handle; and before signals ought +to pass through more and more early processing ore receiving a final "label". This is quite +dramatically confirmed by observations of the visual abilities of a newborn calf, which +seems to be born with as much power of visual discrimination as it will ever have. It will +shy away from people or dogs, but not from other cattle. Probably its entire visual system +is "hard-wired" before birth, and involves relatively little optical processing. On the other +hand, a human's visual system, so deeply ant on the cortex, takes several years to reach +maturity. + +Funneling into Neural Modules + +A puzzling thing about the discoveries so far made about the organization the brain is +that few direct correspondences have been found between large-scale hardware and high- +level software. The visual cortex, for instance, is a large-scale piece of hardware, which is +entirely dedicated to a it software purpose-the processing of visual information-yet all of +processing so far discovered is still quite low-level. Nothing approaching recognition of +objects has been localized in the visual cortex. This means that no one knows where or +how the output from complex and hypercomplex cells gets transformed into conscious +recognition of shapes, +rooms, pictures, faces, and so on. People have looked for evidence of the "funneling" of +many low-level neural responses into fewer and fewer higher-level ones, culminating in +something such as the proverbial grandmother cell, or some kind of multineuron network, +as mentioned above. It is evident that this will not be found in some gross anatomical +division of the brain, but rather in a more microscopic analysis. + +One possible alternative to the the grandmother cell might be a fixed set of neurons, say +a few dozen, at the thin end of the "funnel", all of which fire when Granny comes into +view. And for each different recognizable object, there would be a unique network and a +funneling process that would focus down onto that network. There are more complicated +alternatives along similar lines, involving networks which can be excited in different +manners, instead of in a fixed manner. Such networks would be the "symbols" in our +brains. + +But is such funneling necessary? Perhaps an object being looked at is implicitly +identified by its "signature" in the visual cortex-that is, the collected responses of simple, +complex, and hypercomplex cells. Perhaps the brain does not need any further recognizer +for a particular form. This theory, however, poses the following problem. Suppose you +are looking at a scene. It registers its signature on your visual cortex; but then how do you +get from that signature to a verbal description of the scene? For instance, the paintings of +Edouard Vuillard, a French post-impressionist, often take a few seconds of scrutiny, and +then suddenly a human figure will jump out at you. Presumably the signature gets +imprinted on the visual cortex in the first fraction of a second-but the picture is only +understood after a few seconds. This is but one example of what is actually a common +phenomenon-a sensation of something "crystallizing" in your mind at the moment of +recognition, which takes place not when the light rays hit your retina, but sometime later, +after some part of your intelligence has had a chance to act on the retinal signals. + +The crystallization metaphor yields a pretty image derived from statistical mechanics, +of a myriad microscopic and uncorrelated activities in a medium, slowly producing local +regions of coherence which spread and enlarge; in the end, the myriad small events will +have performed a complete structural revamping of their medium from the bottom up, +changing' it from a chaotic assembly of independent elements into one large, coherent, +fully linked structure. If one thinks of the early neural activities as independent, and of +the end result of their many independent firings as the triggering of a well-defined large +"module" of neurons, then the word "crystallization" seems quite apt. + +Another argument for funneling is based on the fact that there are a myriad distinct +scenes which can cause you to feel you have perceived the same object-for example, your +grandmother, who may be smiling or frowning, wearing a hat or not, in a bright garden or +a dark train station, seen from near or far, from side or front, and so on. All these scenes +produce extremely different signatures on the visual cortex; yet all of them could prompt +you to say "Hello, Granny." So a funneling process must take +place at some point after the reception of the visual signature and before e words are +uttered. One could claim that this funneling is not part of the perception of Granny, but +just part of verbalization. But it seems quite unnatural to partition the process that way, +for you could internally use the formation that it is Granny without verbalizing it. It +would be very it unwieldy to handle all of the information in the entire visual cortex, +when much of it could be thrown away, since you don't care about where shadows fall or +how many buttons there are on her blouse, etc. + +Another difficulty with a non-funneling theory is to explain how there in be different +interpretations for a single signature-for example, the Escher picture Convex a4 Concave +(Fig. 23). Just as it seems obvious to us tat we do not merely perceive dots on a television +screen, but chunks, likewise it seems ridiculous to postulate that perception has taken +place hen a giant dot-like "signature" has been created on the visual cortex, here must be +some funneling, whose end result is to trigger some specific modules of neurons, each of +which is associated with the concepts-the funks-in the scene. + +Modules Which Mediate Thought Processes + +Thus we are led to the conclusion that for each concept there is a fairly ell-defined +module which can be triggered-a module that consists of a nail group of neurons-a +"neural complex" of the type suggested earlier, problem with this theory-at least if it is +taken naively-is that it would suggest that one should be able to locate such modules +somewhere within to brain. This has not yet been done, and some evidence, such as the +experiments by Lashley, points against localization. However, it is still too early to tell. +There may be many copies of each module spread around, or modules may overlap +physically; both of these effects would tend to obscure any division of neurons into +"packets". Perhaps the complexes are like very thin pancakes packed in layers which +occasionally pass through each other; perhaps they are like long snakes which curl +around each other, here and there flattening out, like cobras' heads; perhaps they are like +spiderwebs; or perhaps they are circuits in which signals travel round id round in shapes +stranger than the dash of a gnat-hungry swallow, here is no telling. It is even possible that +these modules are software, ether than hardware, phenomena-but this is something which +we will discuss later + +There are many questions that come to mind concerning these hypothesized neural +complexes. For instance: + +Do they extend into the lower regions of the brain, such as the +midbrain, the hypothalamus, etc.? + +Can a single neuron belong to more than one such complex? + +To how many such complexes can a single neuron belong? + +By how many neurons can such complexes overlap? + +Are these complexes pretty much the same for everybody? + +Are corresponding ones found in corresponding places in different +people's brains? + +Do they overlap in the same way in everybody's brain? + +Philosophically, the most important question of all is this: "hat would the existence of +modules-for instance, a grandmother module-tell us? Would this give us any insight into +the phenomenon of our own consciousness? Or would it still leave us as much in the dark +about what consciousness is, as does knowledge that a brain is built out of neurons and +glia? As you might guess from reading the Ant Fugue, my feeling is that it would go a +long way towards giving us an understanding of the phenomenon of consciousness. The +crucial step that needs to be taken is from a low-level-neuron-by-neuron-description of +the state of a brain, to a high-level-module-by-module-description of the same state of the +same brain. Or, to revert to the suggestive terminology of the Ant Fugue, we want to shift +the description of the brain state from the signal level to the symbol, level. + +Active Symbols + +Let us from now on refer to these hypothetical neural complexes, neural modules, +neural packets, neural networks, multineuron units-call them what you will, whether they +come in the form of pancakes, garden rakes, rattlesnakes, snowflakes, or even ripples on +lakes-as symbols. A description of a brain state in terms of symbols was alluded to in the +Dialogue. What would such a description be like? What kinds of concepts is it reasonable +to think actually might be "symbolized"? What kinds of interrelations would symbols +have? And what insights would this whole picture provide into consciousness? + +The first thing to emphasize is that symbols can be either dormant, or awake (activated). +An active symbol is one which has been triggered-that is, one in which a threshold +number of neurons have been caused to fire by stimuli coming from outside. Since a +symbol can be triggered in many different ways, it can act in many different ways when +awakened. This suggests that we should think of a symbol not as a fixed entity, but as a +variable entity. Therefore it would not suffice to describe a brain state by saying +"Symbols A, B, ..., N are all active"; rather, we would have to supply in addition a set of +parameters for each active symbol, characterizing some aspects of the symbol's internal +workings. It is an interesting question whether in each symbol there are certain core +neurons, which invariably fire when the symbol is activated. If such a core set of neurons +exists, we might refer to it as the "invariant core" of the symbol. It is tempting to assume +that each time you think of, say, a waterfall, some fixed neural process is repeated, +without doubt embellished in different ways depending on the context, but reliably +occurring. However, it is not clear that this must be so. + +Now what does a symbol do, when awakened? A low-level description would say, +"Many of its neurons fire." But this no longer interests us. The high-level description +should eliminate all reference to neurons, and concentrate exclusively on symbols. So a +high-level description of what makes a symbol active, as distinguished from dormant, +would be, "It sends out messages, or signals, whose purpose is to try to awaken, or +trigger, other symbols." Of course these messages would be carried as streams of nerve +impulses, by neurons-but to the extent that we can avoid such phraseology, we should, +for it represents a low-level way of looking at things, and we hope that we can get along +on purely a high level. In other words, we hope at thought processes can be thought of as +being sealed off from neural events in the same way that the behavior of a clock is sealed +off from the laws of quantum mechanics, or the biology of cells is sealed off from the +laws of quarks. + +But what is the advantage of this high-level picture? Why is it better to say, "Symbols A +and B triggered symbol C" than to say, "Neurons 183 through 612 excited neuron 75 and +caused it to fire"? This question was answered in the Ant Fugue: It is better because +symbols symbolize things, and neurons don't. Symbols are the hardware realizations of +concepts. Whereas group of neurons triggering another neuron corresponds to no outer +event, the triggering of some symbol by other symbols bears a relation to events in the +real world-or in an imaginary world. Symbols are related to each other by the messages +which they can send back and forth, in such a way that their triggering patterns are very +much like the large-scale events rich do happen in our world, or could happen in a world +similar to ours, essence, meaning arises here for the same reason as it did in the -system- +isomorphism; only here, the isomorphism is infinitely more complex, subtle, delicate, +versatile, and intensional. + +Incidentally, the requirement that symbols should be able to pass sophisticated +messages to and fro is probably sufficient to exclude neurons themselves from playing +the role of symbols. Since a neuron has only a single way of sending information out of +itself, and has no way of selectively selecting a signal now in one direction, now in +another, it simply does not have the kind of selective triggering power which a symbol +must have to act e an object in the real world. I n his book The Insect Societies, E. O. +Wilson makes a similar point about how messages propagate around inside ant colonies: + +[Mass communication] is defined as the transfer, among groups, of information that a + +single individual could not pass to another.' + +It is not such a bad image, the brain as an ant colony! + +The next question-and an extremely important one it is, too concerns the +nature and "size" of the concepts which are represented in the tin by single +symbols. About the nature of symbols there are questions like this: Would there be +a symbol for the general notion of waterfalls, or would there be different symbols +for various specific waterfalls? Or would both of these alternatives be realized? +About the "size" of symbols, there are questions like this: Would there be a symbol +for an entire story? Or for a +melody? Or a joke? Or is it more likely that there would only be symbols for concepts +roughly the size of words, and that larger ideas, such as phrases or sentences, would be +represented by concurrent or sequential activation of various symbols? + +Let us consider the issue of the size of concepts represented by symbols. Most thoughts +expressed in sentences are made up out of basic, quasi-atomic components which we do +not usually analyze further. These are of word size, roughly-sometimes a little longer, +sometimes a little shorter. For instance, the noun "waterfall", the proper noun "Niagara +Falls", the past-tense suffix "-ed", the verb "to catch up with", and longer idiomatic +phrases are all close to atomic. These are typical elementary brush strokes which we use +in painting portraits of more complex concepts, such as the plot of a movie, the flavor of +a city, the nature of consciousness, etc. Such complex ideas are not single brush strokes.. +It seems reasonable to think that the brush strokes of language are also brush strokes of +thought, and therefore that symbols represent concepts of about this size. Thus a symbol +would be roughly something for which you know a word or stock phrase, or with which +you associate a proper name. And the representation in the brain of a more complex idea, +such as a problem in a love affair, would be a very complicated sequence of activations +of various symbols by other symbols. + +Classes and Instances + +There is a general distinction concerning thinking: that between categories and +individuals, or classes and instances. (Two other terms sometimes used are "types" and +"tokens".) It might seem at first sight that a given symbol would inherently be either a +symbol for a class or a symbol for an instance-but that is an oversimplification. Actually, +most symbols may play either role, depending on the context of their activation. For +example, look at the list below: + +(1) a publication + +(2) a newspaper + +(3) The San Francisco Chronicle + +(4) the May 18 edition of the Chronicle + +(5) my copy of the May 18 edition of the Chronicle + +(6) my copy of the May 18 edition of the Chronicle as + +it was when I first picked it up (as contrasted with +my copy as it was a few days later: in my fireplace, +burning) + +Here, lines 2 to 5 all play both roles. Thus, line 4 is an instance of of the general class of +line 3, and line 5 is an instance of line 4. Line 6 is a special kind of instance of a class: a +manifestation. The successive stages of an object during its life history are its +manifestations. It is interesting to wonder if the cows on a farm perceive the invariant +individual underneath all the manifestations of the jolly farmer who feeds then hay. + +The Prototype Principle + +The list above seems to be a hierarchy of generality-the top being a very road conceptual +category, the bottom some very humble particular thing located in space and time. +However, the idea that a "class" must always be enormously broad and abstract is far too +limited. The reason- is that our thought makes use of an ingenious principle, which might +be called the prototype principle: + +The most specific event can serve as a general example +of a class of events. + +Everyone knows that specific events have a vividness which imprints them i strongly on +the memory that they can later be used as models for other vents which are like them in +some way. Thus in each specific event, there is the germ of a whole class of similar +events. This idea that there is generality in the specific is of far-reaching importance. + +Now it is natural to ask: Do the symbols in the brain represent classes, r instances? Are +there certain symbols which represent only classes, while other symbols represent only +instances? Or can a single symbol serve duty either as a class symbol or instance symbol, +depending which parts of it are activated? The latter theory seems appealing; one might +think that a "light" activation of a symbol might represent a class, and that a deeper, or +more complex, activation would contain more detailed internal neural firing patterns, and +hence would represent an instance. But on second thought, its is crazy: it would imply, +for example, that by activating the symbol for publication" in a sufficiently complex way, +you would get the very complex symbol which represents a specific newspaper burning +in my fireplace. And very other possible manifestation of every other piece of printed +matter would be represented internally by some manner of activating the single symbol +for "publication". That seems much too heavy a burden to place on to single symbol +"publication". One must conclude, therefore, that finance symbols can exist side by side +with class symbols, and are not just lodes of activation of the latter. + +The Splitting-off of Instances from Classes + +On the other hand, instance symbols often inherit many of their properties from the +classes to which those instances belong. If I tell you I went to see a Movie, you will begin +"minting" a fresh new instance symbol for that particular movie; but in the absence of +more information, the new instance symbol will have to lean rather heavily on your pre¬ +existing class symbol for movie". Unconsciously, you will rely on a host of +presuppositions about at movie-for example, that it lasted between one and three hours, +that it was shown in a local theater, that it told a story about some people, and so i. These +are built into the class symbol as expected links to other symbols e., potential triggering +relations), and are called de fault options. In any +freshly minted instance symbol, the default options can easily be overridden, but unless +this is explicitly done, they will remain in the instance symbol, inherited from its class +symbol. Until they are overridden, they provide some preliminary basis for you to think +about the new instance for example, the movie I went to see-by using the reasonable +guesses which are supplied by the "stereotype", or class symbol. + +A fresh and simple instance is like a child without its own ideas or experiences-it relies +entirely on its parents' experiences and opinions and just parrots them. But gradually, as it +interacts more and more with the rest of the world, the child acquires its own +idiosyncratic experiences and inevitably begins to split away from the parents. +Eventually, the child becomes a full-fledged adult. In the same way, a fresh instance can +split off from its parent class over a period of time, and become a class, or prototype, in +its own right. + +For a graphic illustration of such a splitting-off process, suppose that some Saturday +afternoon you turn on your car radio, and happen to tune in on a football game between +two "random" teams. At first you do not know the names of the players on either team. +All you register, when the announcer says, "Palindromi made the stop on the twenty- +seven yard line, and that brings up fourth down and six to go," is that some player +stopped some other player. Thus it is a case of activation of the class symbol "football +player", with some sort of coordinated activation of the symbol for tackling. But then as +Palindromi figures in a few more key plays, you begin building up a fresh instance +symbol for him in particular, using his name, perhaps, as a focal point. This symbol is +dependent, like a child, on the class symbol for "football player": most of your image of +Palindromi is supplied by your stereotype of a football player as contained in the +"football player" symbol. But gradually, as more information comes to you, the +"Palindromi" symbol becomes more autonomous, and relies less and less on concurrent +activation of its parent class symbol. This may happen in a few minutes, as Palindromi +makes a few good plays and stands out. His teammates may still all be represented by +activations of the class symbol, however. Eventually, perhaps after a few days, when you +have read some articles in the sports section of your paper, the umbilical cord is broken, +and Palindromi can stand on his own two feet. Now you know such things as his home +town and his major in college; you recognize his face; and so on. At this point, +Palindromi is no longer conceived of merely as a football player, but as a human being +who happens also to be a football player. "Palindromi" is an instance symbol which can +become active while its parent class symbol (football player) remains dormant. + +Once, the Palindromi symbol was a satellite orbiting around its mother symbol, like an +artificial satellite circling the Earth, which is so much bigger and more massive. Then +there came an intermediate stage, where one symbol was more important than the other, +but they could be seen as orbiting around each other-something like the Earth and the +Moon. Finally, the new symbol becomes quite autonomous; now it might easily serve as +a class symbol around which could start rotating new satellites - +symbols for other people who are less familiar but who have something in common with +Palindromi, and for whom he can serve as a temporary stereotype, until you acquire more +information, enabling the new symbols so to become autonomous. + +The Difficulty of Disentangling Symbols from Each Other + +These stages of growth and eventual detachment of an instance from a ass will be +distinguishable from each other by the way in which the symbols involved are linked. +Sometimes it will no doubt be very difficult to 11 just where one symbol leaves off and +the other one begins. How "active" the one symbol, compared to the other? If one can be +activated independently of the other, then it would be quite sensible to call them +autonomous. + +We have used an astronomy metaphor above, and it is interesting that to problem of the +motion of planets is an extremely complex one-in fact the general problem of three +gravitationally interacting bodies (such as the Earth, Moon, and Sun) is far from solved, +even after several centuries of work. One situation in which it is possible to obtain good +approximate solutions, however, is when one body is much more massive than the other +two (here, the Sun); then it makes sense to consider that body as stationary, with the other +two rotating about it: on top of this can finally be added the interaction between the two +satellites. But this approximation depends on breaking up the system into the Sun, and a +"cluster": the Earth-Moon 'stem. This is an approximation, but it enables the system to be +understood quite deeply. So to what extent is this cluster a part of reality, and to hat +extent is it a mental fabrication, a human imposition of structure on me universe? This +problem of the "reality" of boundaries drawn between hat are perceived to be autonomous +or semi-autonomous clusters will create endless trouble when we relate it to symbols in +the brain. + +One greatly puzzling question is the simple issue of plurals. How do we visualize, say, +three dogs in a teacup? Or several people in an elevator? Do we begin with the class +symbol for "dog" and then rub three "copies" off of it? That is, do we manufacture three +fresh instance symbols using the class 'symbol "dog" as template? Or do we jointly +activate the symbols "three" and log"? By adding more or less detail to the scene being +imagined, either theory becomes hard to maintain. For instance, we certainly do not have +a separate instance symbol for each nose, mustache, grain of salt, etc., that we have ever +seen. We let class symbols take care of such numerous items, and when we pass people +on the street who have mustaches, we somehow just activate the "mustache" class +symbol, without minting fresh instance symbols, unless we scrutinize them carefully. + +On the other hand, once we begin to distinguish individuals, we cannot rely on a single +class symbol (e.g., "person") to timeshare itself among all the different people. Clearly +there must come into existence separate stance symbols for individual people. It would be +ridiculous to imagine +that this feat could be accomplished by 'juggling"-that is, by the single class symbol +flitting back and forth between several different modes of activation (one for each +person). + +Between the extremes, there must be room for many sorts of intermediate cases. There +may be a whole hierarchy of ways of creating the class-instance distinction in the brain, +giving rise to symbols-and symbol organizations-of varying degrees of specificity. The +following different kinds of individual and joint activation of symbols might be +responsible for mental images of various degrees of specificity: + +(1) various different modes or depths of activation of a single class symbol: + +(2) simultaneous activation of several class symbols in some in some coordinated +manner: + +(3) activation of a single instance symbol: + +(4) activation of a single instance symbol in conjunction with activation of several +class symbols: + +(5) simultaneous activation of several instance symbols and several class symbols +in some coordinated manner. + +This brings us right hack to the question: "When is a symbol a distinguishable +subsystem of the brain For instance, consider the second example-simultaneous +activation of several class symbols in some coordinated manner. This could easily be +what happens when "piano sonata" is the concept under consideration (the symbols for +"piano" and "sonata" being at least two of the activated symbols). But if this pair of +symbols gets activated in conjunction often enough, it is reasonable to assume that the +link between them will become strong enough that they will act as a unit, when activated +together in the proper way. So two or more symbols can act as one, under the proper +conditions, which means that the problem of enumerating the number of symbols in the +brain is trickier than one might guess. + +Sometimes conditions can arise where two previously unlinked symbols get activated +simultaneously and in a coordinated fashion. They may fit together so well that it seems +like an inevitable union, and a single new symbol is formed by the tight interaction of the +two old symbols. If this happens, would it be fair to say that the new symbol "always had +been there but never had been activated"-or should one say that it has been "created"? + +In case this sounds too abstract, let us take a concrete example: the Dialogue Crab +Canon. In the invention of this Dialogue, two existing symbols-that for "musical crab +canon", and that for "verbal dialogue “had to be activated simultaneously and in some +way forced to interact. Once this was done, 'the rest was quite inevitable: a new symbol-a +class symbol-was born from the interaction of these two, and from then on it was able to +be activated on its own. Now had it always been a dormant symbol in my brain? If so, +then it must have also been a dormant symbol in +the brain of every human who ever had its component symbols, even if it never was +awakened in them. This would mean that to enumerate the symbols in anyone's brain, one +would have to count all dormant symbols-all possible combinations and permutations of +all types of activations of all known symbols. This would even include those fantastic +creatures of software that one's brain invents when one is asleep-the strange mixtures of +ideas which wake up when their host goes to sleep ... The existence of these "potential +symbols" shows that it is really a huge oversimplification to imagine that the brain is a +well-defined collection of symbols in well-defined states of activation. It is much harder +than that to pin down a brain state on the symbol level. + +Symbols -Software or Hardware? + +With the enormous and ever-growing repertoire of symbols that exist in each brain, you +might wonder whether there eventually comes a point when the brain is saturated-when +there is just no more room for a new symbol. This would come about, presumably, if +symbols never overlapped each other-if a given neuron never served a double function, so +that symbols would be like people getting into an elevator. "Warning: This brain has a +maximum capacity of 350,275 symbols!" + +This is not a necessary feature of the symbol model of brain function, however. In fact, +overlapping and completely tangled symbols are probably the rule, so that each neuron, +far from being a member of a unique symbol, is probably a functioning part of hundreds +of symbols. This gets a little disturbing, because if it is true, then might it not just as +easily be the case that each neuron is part of every single symbol? If that were so, then +there would be no localizability whatsoever of symbols-every symbol would be identified +with the whole of the brain. This would account for results like Lashley's cortex removal +in rats-but it would also mean abandonment of our original idea of breaking the brain up +into physically distinct subsystems. Our earlier characterization of symbols as "hardware +realizations of concepts" could at best be a great oversimplification. In fact, if every +symbol were made up of the same component neurons as every other symbol, then what +sense would it make to speak of distinct symbols at all? What would be the signature of a +given symbol's activation-that is, how could the activation of symbol A be distinguished +from the activation of symbol B? Wouldn't our whole theory go down the drain? And +even if there is not a total overlap of symbols, is our theory not more and more difficult to +maintain, the more that symbols do overlap? (One possible way of portraying +overlapping symbols is shown in Figure 68.) + +There is a way to keep a theory based on symbols even if physically, they overlap +considerably or totally. Consider the' surface of a pond, which can support many different +types of waves or ripples. The hardware namely the water itself-is the same in all cases, +but it possesses different possible modes of excitation. Such software excitations of the +same +hardware can all be distinguished from each other. By this analogy, I do not mean to go +so far as to suggest that all the different symbols are just different kinds of "waves" +propagating through a uniform neural medium which admits of no meaningful division +into physically distinct symbols. But it may be that in order to distinguish one symbol’s +activation from that of another symbol, a process must be carried out which involves not +only locating the neurons which are firing, but also identifying very precise details of the +timing of the firing of those neurons. That is, which neuron preceded which other neuron, +and by how much? How many times a second was a particular neuron firing? Thus +perhaps several symbols can coexist in the same set of neurons by having different +characteristic neural firing patterns. The difference between a theory having physically +distinct symbols, and a theory having overlapping symbols which are distinguished from +each other by modes of excitation, is that the former gives hardware realizations of +concepts, while the latter gives partly hardware, partly software realizations of concepts. + +Liftability of Intelligence + +Thus we are left with two basic problems in the unraveling of thought processes, as they +take place in the brain. One is to explain how the A,-level traffic of neuron firings gives +rise to the high-level traffic of symbol activations. The other is to explain the high-level +traffic of symbol activation in its own terms-to make a theory which does not talk about +the ,v-level neural events. If this latter is possible-and it is a key assumption the basis of +all present research into Artificial Intelligence-then intelligence can be realized in other +types of hardware than brains. Then intelligence will have been shown to be a property +that can be "lifted" right out of e hardware in which it resides-or in other words, +intelligence will be a software property. This will mean that the phenomena of +consciousness and intelligence are indeed high-level in the same sense as most other +complex + +FIGURE 69. The construction of an arch by workers of the termite Macrotermes belosus. Each +column is built up by the addition of pellets of soil and excrement. #n the outer part of the left +column a worker is seen depositing a round fecal pellet. #ther workers, having carried pellets in +their mandibles up the columns, are now placing them at the growing ends of ’ columns. When a +column reaches a certain height the termites, evidently guided by odor, ;in to extend it at an angle +in the direction of a neighboring column. A completed arch is shown in the background +phenomena of nature: they have their own high-level laws which depend on, yet are +"liftable" out of, the lower levels. If, on the other hand, there is absolutely no way to +realize symbol-triggering patterns without having all the hardware of neurons (or +simulated neurons), this will imply that intelligence is a brain-bound phenomenon, and +much more difficult to unravel than one which owes its existence to a hierarchy of laws +on several different levels. + +Here we come back to the mysterious collective behavior of ant colonies, which can build +huge and intricate nests, despite the fact that the roughly 100,000 neurons of an ant brain +almost certainly do not carry any. information about nest structure. How, then, does the +nest get created? Where does the information reside? In particular, ponder where the +information describing an arch such as is shown in Figure 69 can be found. Somehow, it +must be spread about in the colony, in the caste distribution, the age distribution-and +probably largely in the physical properties of the ant-body itself. That is, the interaction +between ants is determined just as much by their six-leggedness and their size and so on, +as by the information stored in their brain. Could there be an Artificial Ant Colony? + +Can One Symbol Be Isolated? + +Is it possible that one single symbol could be awakened in isolation from all others? +Probably not. Just as objects in the world always exist in a context of other objects, so +symbols are always connected to a constellation of other symbols. This does not +necessarily mean that symbols can never be disentangled from each other. To make a +rather simple analogy, males and females always arise in a species together: their roles +are completely intertwined, and yet this does not mean that a male cannot be +distinguished from a female. Each is reflected in the other, as the beads in Indra's net +reflect each other. The recursive intertwining of the functions F(n) and M(n) in Chapter V +does not prevent each function from having its own characteristics. The intertwining of F +and M could be mirrored in a pair of RTN's which call each other. From this we can jump +to a whole network of ATN's intertwined with each other-a heterarchy of interacting +recursive procedures. Here, the meshing is so inherent that no one ATN could be +activated in isolation; yet its activation may be completely distinctive, not confusable +with that of any other of the ATN's. It is not such a bad image, the brain as an ATN- +colony! + +Fikewise, symbols, with all their multiple links to each other, are meshed together and +yet ought to be able to be teased apart. This might involve identifying a neural network, a +network plus a mode of excitation-or possibly something of a completely different kind. +In any case, if symbols are part of reality, presumably there exists a natural way to chart +them out in a real brain. However, if some symbols were finally identified in a brain, this +would not mean that any one of them could be awakened in isolation. + +The fact that a symbol cannot be awakened in isolation does not diminish the +separate identity of the symbol; in fact, quite to the contrary: a symbol's identity lies +precisely in its ways of being connected (via potential triggering links) to other symbols. +The network by which symbols can potentially trigger each other constitutes the brain's +working model of the real universe, as well as of the alternate universes which it +considers (and which are every bit as important for the individual's survival in the real +world as the real world is). + +The Symbols of Insects + +Our facility for making instances out of classes and classes out of instances lies at the +basis of our intelligence, and it is one of the great differences between human thought and +the thought processes of other animals. Not that I have ever belonged to another species +and experienced at first hand how it feels to think their way-but from the outside it is +apparent that no other species forms general concepts as we do, or imagines hypothetical +worlds-variants on the world as it is, which aid in figuring out which future pathway to +choose. For instance, consider the celebrated "language of the bees"-information-laden +dances which are performed by worker bees returning to the hive, to inform other bees of +the location of nectar. While there may be in each bee a set of rudimentary symbols +which are activated by such a dance, there is no reason to believe that a bee has an +expandable vocabulary of symbols. Bees and other insects do not seem to have the power +to generalize-that is, to develop new class symbols from instances which we would +perceive as nearly identical. + +A classic experiment with solitary wasps is reported in Dean Wooldridge's book, +Mechanical Man, from which I quote: + +When the time comes for egg laying, the wasp Sphex builds a burrow for the +purpose and seeks out a cricket which she stings in such a way as to paralyze but not +kill it. She drags the cricket into the burrow, lays her eggs alongside, closes the +burrow, then flies away, never to return. In due course, the eggs hatch and the wasp +grubs feed off the paralyzed cricket, which has not decayed, having been kept in the +wasp equivalent of a deepfreeze. To the human mind, such an elaborately organized +and seemingly purposeful routine conveys a convincing flavor of logic and +thoughtfulness-until more details are examined. For example, the wasp's routine is to +bring the paralyzed cricket to the burrow, leave it on the threshold, go inside to see +that all is well, emerge, and then drag the cricket in. If the cricket is moved a few +inches away while the wasp is inside making her preliminary inspection, the wasp, +on emerging from the burrow, will bring the cricket back to the threshold, but not +inside, and will then repeat the preparatory procedure of entering the burrow to see +that everything is all right. If again the cricket is removed a few inches while the +wasp is inside, once again she will move the cricket up to the threshold and reenter +the burrow for a final check. The wasp never thinks of pulling the cricket straight in. +On one occasion this procedure was repeated forty times, always with the same +result.' + +This seems to be completely hard-wired behavior. Now in the wasp brain, there may be +rudimentary symbols, capable of triggering each other; but there is nothing like the +human capacity to see several instances as instances of an as-yet-unformed class, and +then to make the class symbol; nor is there anything like the human ability to wonder, +"What if I did this-what would ensue in that hypothetical world%" This type of thought +process requires an ability to manufacture instances and to manipulate them as if they +were symbols standing for objects in a real situation, although that situation may not be +the case, and may never be the case. + +Class Symbols and Imaginary Worlds + +Let us reconsider the April Fool's joke about the borrowed car, and the images conjured +up in your mind during the telephone call. To begin with, you need to activate symbols +which represent a road, a car, a person in a car. Now the concept "road" is a very general +one, with perhaps several stock samples which you can unconsciously pull out of +dormant memory when the occasion arises. "Road" is a class, rather than an instance. As +you listen to the tale, you quickly activate symbols which are instances with gradually +increasing-specificity. For instance, when you learn that the road' was wet, this conjures +up a more specific image, though you realize that it is most likely quite different from the +actual road where the incident took place. But that is not important; what matters is +whether your symbol is sufficiently well suited for the story-that is, whether the symbols +which it can trigger are the right kind. + +As the story progresses, you fill in more aspects of this road: there is a high bank against +which a car could smash. Now does this mean that you are activating the symbol for +"bank", or does it mean that you are setting some parameters in your symbol for "road +Undoubtedly both. That is, the network of neurons which represents "road" has many +different ways of firing, and you are selecting which subnetwork actually shall fire. At +the same time, you are activating the symbol for "bank", and this is probably instrumental +in the process of selecting the parameters for. "road", in that its neurons may send signals +to some of those in "road"-and vice versa. (In case this seems a little confusing, it is +because I am somewhat straddling levels of description-I am trying to set up an image of +the symbols, as well as of their component neurons.) + +No less important than the nouns are the verbs, prepositions, etc: They, too, activate +symbols, which send messages back and forth to each other. There are characteristic +differences between the kinds of triggering patterns of symbols for verbs and symbols for +nouns, of course, which means that they may be physically somewhat differently +organized. For instance, nouns might have fairly localized symbols, while verbs and +prepositions might have symbols with many "tentacles" reaching all around the cortex; or +any number of other possibilities. + +After the story is all over, you learn it was all untrue. The power of +"rubbing off instances from classes, in the way that one makes rubbings from brasses in +churches, has enabled you to represent the situation, and has freed you from the need to +remain faithful to the real world. The fact that symbols can act as templates for other +symbols gives you some mental independence of reality: you can create artificial +universes, in which there can happen nonreal events with any amount of detail that you +care to imbue them with. But the class symbols themselves, from which all of this +richness springs, are deeply grounded in reality. + +Usually symbols play isomorphic roles to events which seem like they could happen, +although sometimes symbols are activated which represent situations which could not +happen-for example, watches sizzling, tubas laying eggs, etc. The borderline between +what could and what could not happen is an extremely fuzzy one. As we imagine a +hypothetical event, we bring certain symbols into active states-and depending on how +well they interact (which is presumably reflected in our comfort in continuing the train of +thought), we say the event "could" or "could not" happen. Thus the terms "could" and +"could not" are extremely subjective. Actually, there is a good deal of agreement among +people about which events could or could not happen. This reflects the great amount of +mental structure which we all share-but there is a borderline area where the subjective +aspect of what kinds of hypothetical worlds we are willing to entertain is apparent. A +careful study of the kinds of imaginary events that people consider could and could not +happen would yield much insight into the triggering patterns of the symbols by which +people think. + +Intuitive Laws of Physics + +When the story has been completely told, you have built up quite an elaborate mental +model of a scene, and in this model all the objects obey physical law. This means that +physical law itself must be implicitly present in the triggering patterns of the symbols. Of +course, the phrase "physical law" here does not mean "the laws of physics as expounded +by a physicist", but rather the intuitive, chunked laws which all of us have to have in our +minds in order to survive. + +A curious sidelight is that one can voluntarily manufacture mental sequences of events +which violate physical law, if one so desires. For instance, if I but suggest that you +imagine a scene with two cars approaching each other and then passing right through +each other, you won't have any trouble doing so. The intuitive physical laws can be +overridden by imaginary laws of physics; but how this overriding is done, how such +sequences of images are manufactured-indeed what any one visual image is-all of these +are deeply cloaked mysteries-inaccessible pieces of knowledge. + +Needless to say, we have in our brains chunked laws not only of how inanimate objects +act, but also of how plants, animals, people and societies act-in other words, chunked +laws of biology, psychology, sociology, and so +on. All of the internal representations of such entities involve the inevitable feature of +chunked models: determinism is sacrificed for simplicity. Our representation of reality +ends up being able only to predict probabilities of ending up in certain parts of abstract +spaces of behavior-not to predict anything with the precision of physics. + +Procedural and Declarative Knowledge + +A distinction which is made in Artificial Intelligence is that between procedural and +declarative types of knowledge. A piece of knowledge is said to be declarative if it is +stored explicitly, so that not only the programmer but also the program can "read" it as if +it were in an encyclopedia or an almanac. This usually means that it is encoded locally, +not spread around. By contrast, procedural knowledge is not encoded as facts-only as +programs. A programmer may be able to peer in and say, "I see that because of these +procedures here, the program 'knows' how to write English sentences "-but the program +itself may have no explicit awareness of how it writes those sentences. For instance, its +vocabulary may include none of the words "English", "sentence", and "write" at all! Thus +procedural knowledge is usually spread around in pieces, and you can't retrieve it, or +"key" on it. It is a global consequence of how the program works, not a local detail. In +other words, a piece of purely procedural knowledge is an epiphenomenon. + +In most people there coexists, along with a powerful procedural representation of +the grammar of their native language, a weaker declarative representation of it. The two +may easily be in conflict, so that a native speaker will often instruct a foreigner to say +things he himself would never say, but which agree with the declarative "book learning" +he acquired in school sometime. The intuitive or chunked laws of physics and other +disciplines mentioned earlier fall mainly on the procedural side; the knowledge that an +octopus has eight tentacles falls mainly on the declarative side. + +In between the declarative and procedural extremes, there are all possible shades. +Consider the recall of a melody. Is the melody stored in your brain, note by note? Could a +surgeon extract a winding neural filament from your brain, then stretch it straight, and +finally proceed to pinpoint along it the successively stored notes, almost as if it were a +piece of magnetic tape? If so, then melodies are stored declaratively. Or is the recall of a +melody mediated by the interaction of a large number of symbols, some of which +represent tonal relationships, others of which represent emotional qualities, others of +which represent rhythmic devices, and so on? If so, then melodies are stored +procedurally. In reality, there is probably a mixture of these extremes in the way a +melody is stored and recalled. + +It is interesting that, in pulling a melody out of memory, most people do not +discriminate as to key, so that they are as likely to sing "Happy Birthday" in the key of F- +sharp as in the key of C. This indicates that tone relationships, rather than absolute tones, +are stored. But there is no reason +that tone relationships could not be stored quite declaratively. On the other hand, some +melodies are very easy to memorize, whereas others are extremely elusive. If it were just +a matter of storing successive notes, any melody could be stored as easily as any other. +The fact that some melodies are catchy and others are not seems to indicate that the brain +has a certain repertoire of familiar patterns which are activated as the melody is heard. +So, to "play back" the melody, those patterns would have to be activated in the same +order. This returns us to the concept of symbols triggering one another, rather than a +simple linear sequence of declaratively stored notes or tone relationships. + +How does the brain know whether a piece of knowledge is stored declaratively? +For instance, suppose you are asked, "What is the population of Chicago?" Somehow the +number five million springs to mind, without your wondering, "Gee, how would I go +about counting them all?" Now suppose I ask you, "How many chairs are there in your +living room?" Here, the opposite happens-instead of trying to dredge the answer out of a +mental almanac, you immediately either go to the room and count the chairs, or you +manufacture the room in your head and count the chairs in the image of the room. The +questions were of a single type-"how many?"-yet one of them caused a piece of +declarative knowledge to be fetched, while the other one caused a procedural method of +finding the answer to be invoked. This is one example where it is clear that you have +knowledge about how you classify your own knowledge; and what is more, some of that +metaknowledge may itself be stored procedurally, so that it is used without your even +being aware of how it is done. + +Visual Imagery + +One of the most remarkable and difficult-to-describe qualities of consciousness is visual +imagery. How do we create a visual image of our living room? Of a roaring mountain +brook? Of an orange? Even more mysterious, how do we manufacture images +unconsciously, images which guide our thoughts, giving them power and color and +depth? From what store are they fetched? What magic allows us to mesh two or three +images, hardly giving a thought as to how we should do it? Knowledge of how to do this +is among the most procedural of all, for we have almost no insight into what mental +imagery is. + +It may be that imagery is based on our ability to suppress motor activity. By this, I +mean the following. If you imagine an orange, there may occur in your cortex a set of +commands to pick it up, to smell it, to inspect it, and so on. Clearly these commands +cannot be carried out, because the orange is not there. But they can be sent along the +usual channels towards the cerebellum or other suborgans of the brain, until, at some +critical point, a "mental faucet" is closed, preventing them from actually being carried +out. Depending on how far down the line this "faucet" is situated, the images may be +more or less vivid and real-seeming. Anger can cause us to +imagine quite vividly picking up some object and throwing it, or kicking something; yet +we don't actually do so. On the other hand, we feel so "near" to actually doing so. +Probably the faucet catches the nerve impulses "at the last moment". + +Here is another way in which visualization points out the distinction between +accessible and inaccessible knowledge. Consider how you visualized the scene of the car +skidding on the mountain road. Undoubtedly you imagined the mountain as being much +larger than the car. Now did this happen because sometime long ago you had occasion to +note that "cars are not as big as mountains"; then you committed this statement to rote +memory: and in imagining the story, you retrieved this fact, and made use of it in +constructing your image? A most unlikely theory. Or did it happen instead as a +consequence of some introspectively inaccessible interactions of the symbols which were +activated in your brain? Obviously the latter seems far more likely. This knowledge that +cars are smaller than mountains is not a piece of rote memorization, but a piece of +knowledge which can be created by deduction. Therefore, most likely it is not stored in +any single symbol in your brain, but rather it can be produced as a result of the activation, +followed by the mutual interaction, of many symbols-for example, those for "compare", +"size", "car", "mountain", and probably, others. This means that the knowledge is stored +not explicitly, but implicitly, in a spread-about manner, rather than as a local "packet of +information". Such simple facts as relative sizes of objects have to be assembled, rather +than merely retrieved. Therefore, even in the case of a verbally accessible piece of +knowledge, there are complex inaccessible processes which mediate its coming to the +state of being ready to be said. + +We shall continue our exploration of the entities called "symbols" in different +Chapters. In Chapters XVIII and XIX, on Artificial Intelligence, we shall discuss some +possible ways of implementing active symbols in programs. And next Chapter, we shall +discuss some of the insights that our symbol-based model of brain activity give into the +comparison of brains. + +DIALOGUE XII: English French German Suite + +By Lewis Carroll... + +... et Frank L. Warrin. + +. and Robert Scott + +'Twas brillig, and the slithy toves +Did gyre and gimble in the wabe: + +All mimsy were the borogoves. + +And the mome raths outgrabe. + +II brilgue: les toves lubricilleux +Se gyrent en vrillant dans le guave. + +Enmimes sont les gougebosqueux +Et le momerade horsgrave. + +Es brillig war. Die schlichten Toven +Wirrten and wimmelten in Waben; +Und aller-mumsige Burggoven +Die mohmen Rath' ausgraben. + +"Beware the Jabberwock, my son! + +The jaws that bite, the claws that catch! + +Beware the Jubjub bird, and shun +The framious Bandersnatch!" + +((Garde-toi du Jaseroque, mon fits! + +La gueule qui mord; la griffe qui prend! +Garde-toi de I'oiseau Jube, evite +Le frumieux Band-a-prend!)) + +))Bewahre doch vor Jammerwoch! + +Die Zahne knirschen, Krallen kratzen! +Bewahr' vor Jubjub-Vogel, vor +Frumiosen Banderschnatzchen!)), + +He took his vorpal sword in hand: + +Long time the manxome foe he sought +So rested he by the Tumtum tree, + +And stood awhile in thought. + +Son glaive vorpal en main, it va +T-a la recherche du fauve manscant; + +Puis arrive a I'arbre Te-te, + +1 y reste, reflechissant + +Er griff sein vorpals Schwertchen zu, + +Er suchte lang das manchsam' Ding; + +Dann, stehend unterm Tumtum Baum, + +Er an-zu-denken-fing. + +And, as in uffish thought he stood, + +The Jabberwock, with eyes of flame. + +Came whiffling through the tulgey wood, + +And burbled as it came! + +Pendant qu'il pense, tout uffuse, + +Le Jaseroque, a l'oeil flambant, + +Vient siblant par le bois tullegeais, + +Et burbule en venant. + +Als stand er tief in Andacht auf, + +Des Jammerwochen's Augen-feuer +Durch turgen Wald mit Wiffek kam +Fin burbelnd Ungeheuer! + +One, two! One, two! And through and through +The vorpal blade went snicker-snack! + +He left it dead, and with its head +He went galumphing back. + +Un deux, un deux, par le milieu, + +Le glaive vorpal fait pat-a-pan! + +La bete defaite, avec sa tete, + +II rentre gallomphant. + +Eins, Zwei! Eins, Zwei! Und durch and durch +Sein vorpals Schwert zerschnifer-schnuck, + +Da blieb es todt! Er, Kopf in Hand, + +Gelaumfig zog zuriick. + +"And hast thou slain the Jabberwock? + +Come to my arms, my beamish boy! + +0 frabjous day! Callooh! Callay!" + +He chortled in his joy. + +((As-tu tue le Jaseroque? + +Viens amon coeur, fils rayonnais! + +O jour frabbejais! Calleau! Callai!)) + +II cortule clans sa joie. + +))Und schlugst Du ja den Jammerwoch? +Umarme mich, mein Bohm'sches Kind! + +O Freuden-Tag! 0 Halloo-Schlag!(( + +Er schortelt froh-gesinnt. + +'Twas brillig, and the slithy toves +Did gyre and gimble in the wabe: + +All mimsy were the borogoves. + +And the mome raths outgrabe. + +II brilgue: les toves lubricilleux +Se gyrent en vrillant dans le guave. +Enmimes sont les gougebosqueux +Et le momerade horsgrave. + +Es brillig war. Die schlichten Toven +Wirrten and wimmelten in Waben: +Und aller-mumsige Burggoven +Die mohmen Rath' ausgraben. + +CHAPTER XII: Minds and Thoughts + +Can Minds Be Mapped onto Each Other? + +Now THAT WE have hypothesized the existence of very high-level active +subsystems of the brain (symbols), we may return to the matter of a possible +isomorphism, or partial isomorphism, between two brains. Instead of asking about an +isomorphism on the neural level (which surely does not exist), or on the macroscopic +suborgan level (which surely does exist but does not tell us very much), we ask about the +possibility of an isomorphism between brains on the symbol level: a correspondence +which not only maps symbols in one brain onto symbols in another brain, but also maps +triggering patterns onto triggering patterns. This means that corresponding symbols in the +two brains are linked in corresponding ways. This would be a true functional +isomorphism-the same type of isomorphism as we spoke of when trying to characterize +what it is that is invariant about all butterflies. + +It is clear from the outset that such an isomorphism does not exist between any +pair of human beings. If it did, they would be completely indistinguishable in their +thoughts; but in order for that to be true, they would have to have completely +indistinguishable memories, which would mean they would have to have led one and the +same life. Even identical twins do not approach, in the remotest degree, this ideal. + +How about a single individual When you look back over things which you +yourself wrote a few years ago, you think "How awful!" and smile with amusement at the +person you once were. What is worse is when you do the same thing with something you +wrote or said five minutes ago. When this happens, it shows that you do not fully +understand the person you were moments ago. The isomorphism from your brain now to +your brain then is imperfect. What, then, of the isomorphisms to other people, other +species ... + +The opposite side of the coin is shown by the power of the communication that +arises between the unlikeliest partners. Think of the barriers spanned when you read lines +of poetry penned in jail by Francois Villon, the French poet of the 1400's. Another human +being, in another era, captive in jail, speaking another language ... How can you ever +hope to have a sense of the connotations behind the facade of his words, translated into +English% Yet a wealth of meaning comes through. + +Thus, on the one hand, we can drop all hopes of finding exactly isomorphic +software in humans, but on the other, it is clear that some people think more alike than +others do. It would seem an obvious conclusion that there is some sort of partial software isomorphism connecting the brains of +people whose style of thinking is similar-in particular, a correspondence of (1) the +repertoire of symbols, and (2) the triggering patterns of symbols + +Comparing Different Semantic Networks + +But what is a partial isomorphism? This is a most difficult question to answer. It is made +even more difficult by the fact that no one has found an adequate way to represent the +network of symbols and their triggering patterns. Sometimes a picture of a small part of +such a network of symbols is drawn, where each symbol is represented as a node into +which, and out of which, lead some arcs. The lines represent triggering relationships-in +some sense. Such figures attempt to capture something of the intuitively sensible notion +of "conceptual nearness". However, there are many different kinds of nearness, and +different ones are relevant in different contexts. A tiny portion of my own "semantic +network" is shown in Figure 70. The problem is that representing a complex +interdependency of many symbols cannot be carried out very easily with just a few lines +joining vertices. + +Another problem with such a diagram is that it is not accurate to think of a symbol +as simply "on" or "off. While this is true of neurons, it does not carry upwards, to +collections of them. In this respect, symbols are quite a bit more complicated than +neurons-as you might expect, since they are made up of many neurons. The messages that +are exchanged between symbols are more complex than the mere fact, "I am now +activated". That is more like the neuron-level messages. Each symbol can be activated in +many different ways, and the type of activation will be influential in determining which +other symbols it tries to activate. How these intertwining triggering relationships can be +represented in a pictorial manner-indeed, whether they can be at all-is not clear. + +But for the moment, suppose that issue had been solved. Suppose we now agree +that there are certain drawings of nodes, connected by links (let us say they come in +various colors, so that various types of conceptual nearness can be distinguished from +each other), which capture precisely the way in which symbols trigger other symbols. +Then under what conditions would we feel that two such drawings were isomorphic, or +nearly isomorphic? Since we are dealing with a visual representation of the network of +symbols, let us consider an analogous visual problem. How would you try to determine +whether two spiderwebs had been spun by spiders belonging to the same species? Would +you try to identify individual vertices which correspond exactly, thereby setting up an +exact map of one web onto the other, vertex by vertex, fiber by fiber, perhaps even angle +by angle? This would be a futile effort. Two webs are never exactly the same: yet there is +still some sort of "style", "form", what-have-you, that infallibly brands a given species' +web. + +In any network-like structure, such as a spiderweb, one can look at local +properties and global properties. Local properties require only a very +nearsighted observer-for example an observer who can only see one vertex at a time; and +global properties require only a sweeping vision, without attention to detail. Thus, the +overall shape of a spiderweb is a global property, whereas the average number of lines +meeting at a vertex is a local property. Suppose we agree that the most reasonable +criterion for calling two spiderwebs "isomorphic" is that they should have been spun by +spiders of the same species. Then it is interesting to ask which kind of observation-local +or global-tends to be a more reliable guide in determining whether two spiderwebs are +isomorphic. Without answering the question for spiderwebs, let us now return to the +question of the closeness-or isomorphicness, if you will-of two symbol networks. + +Translations of "Jabberwocky" + +Imagine native speakers of English, French, and German, all of whom have excellent +command of their respective native languages, and all of whom enjoy wordplay in their +own language. Would their symbol networks be similar on a local level, or on a global +level? Or is it meaningful to ask such a question? The question becomes concrete when +you look at the preceding translations of Lewis Carroll's famous "Jabberwocky". + +I chose this example because it demonstrates, perhaps better than an example in +ordinary prose, the problem of trying to find "the same node" in two different networks +which are, on some level of analysis, extremely nonisomorphic. In ordinary language, the +task of translation is more straightforward, since to each word or phrase in the original +language, there can usually be found a corresponding word or phrase in the new +language. By contrast, in a poem of this type, many "words" do not carry ordinary +meaning, but act purely as exciters of nearby symbols. However, what is nearby in one +language may be remote in another. + +Thus, in the brain of a native speaker of English, "slithy" probably activates such +symbols as "slimy", "slither", "slippery", "lithe", and "sly", to varying extents. Does +"lubricilleux" do the corresponding thing in the brain of a Frenchman? What indeed +would be "the corresponding thing"? Would it be to activate symbols which are the +ordinary translations of those words? What if there is no word, real or fabricated, which +will accomplish that? Or what if a word does exist, but is very intellectual-sounding and +Latinate ("lubricilleux"), rather than earthy and Anglo-Saxon ("slithy")? Perhaps +"huilasse" would be better than "lubricilleux"? Or does the Latin origin of the word +"lubricilleux" not make itself felt to a speaker of French in the way that it would if it were +an English word ("lubricilious", perhaps)? + +An interesting feature of the translation into French is the transposition into the +present tense. To keep it in the past would make some unnatural turns of phrase +necessary, and the present tense has a much fresher flavor in French than the past. The +translator sensed that this would be "more appropriate"-in some ill-defined yet +compelling senseand made the switch. Who can say whether remaining faithful to the +English tense would have been better? + +In the German version, the droll phrase "er an-zu-denken-fing" occurs; it does not +correspond to any English original. It is a playful reversal of words, whose flavor vaguely +resembles that of the English phrase "he out-to-ponder set", if I may hazard a reverse +translation. Most likely this funny turnabout of words was inspired by the similar playful +reversal in the English of one line earlier: "So rested he by the Tumtum tree". It +corresponds, yet doesn't correspond. + +Incidentally, why did the Tumturn tree get changed into an "arbre T6-t6" in +French? Figure it out for yourself. + +The word "manxome" in the original, whose "x" imbues it with many rich +overtones, is weakly rendered in German by "manchsam", which hack-translates into +English as "maniful". The French "manscant" also lacks the manifold overtones of +"manxome". There is no end to the interest of this kind of translation task. + +When confronted with such an example, one realizes that it is utterly impossible +to make an exact translation. Yet even in this pathologically difficult case of translation, +there seems to be some rough equivalence obtainable. Why is this so, if there really is no +isomorphism between the brains of people who will read the different versions? The +answer is that there is a kind of rough isomorphism, partly global, partly local, between +the brains of all the readers of these three poems. + +ASU's + +An amusing geographical fantasy will give some intuition for this kind of quasi¬ +isomorphism. (Incidentally, this fantasy is somewhat similar to a geographical analogy +devised by M. Minsky in his article on "frames", which can be found in P. H. Winston's +book The Psychology of Computer Vision.) Imagine that you are given a strange atlas of +the USA, with all natural geological features premarked-such as rivers, mountains, lakes, +and so on-but with nary a printed word. Rivers are shown as blue lines, mountains b +color, and so on. Now you are told to convert it into a road atlas for a trip which you will +soon make. You must neatly fill in the names of all states, their boundaries, time zones, +then all counties, cities, towns, all freeways and highways and toll routes, all county +roads, all state and national parks, campgrounds, scenic areas, dams, airports, and so on +... All of this must be carried out down to the level that would appear in a detailed road +atlas. And it must be manufactured out of your own head. You are not allowed access to +any information which would help you for the duration of your task. + +You are told that it will pay off, in ways that will become clear at a later date, to +make your map as true as you can. Of course, you will begin by filling in large cities and +major roads, etc., which you know. And when you have exhausted your factual +knowledge of an area, it will be to your advantage to use your imagination to help you +reproduce at least the flavor of that area, if not its true geography, by making up fake +town names, fake populations, fake roads, fake parks, and so on. This arduous task will +take +months. To make things a little easier, you have a cartographer on hand to print +everything in neatly. The end product will be your personal map of the "Alternative +Structure of the Union"-your own personal "ASU". + +Your personal ASU will be very much like the USA in the area where you grew +up. Furthermore, wherever your travels have chanced to lead you, or wherever you have +perused maps with interest, your ASU will have spots of striking agreement with the +USA: a few small towns in North Dakota or Montana, perhaps, or the whole of +metropolitan New York, might be quite faithfully reproduced in your ASU. + +A Surprise Reversal + +When your ASU is done, a surprise takes place. Magically, the country you have +designed comes into being, and you are transported there. A friendly committee presents +you with your favorite kind of-automobile, and explains that, "As a reward for your +designing efforts, you may now enjoy an all-expense-paid trip, at a leisurely pace, around +the good old A. S. of U. You may go wherever you want, do whatever you wish to do, +taking as long as you wish-compliments of the Geographical Society of the ASU. And-to +guide you around-here is a road atlas." To your surprise, you are given not the atlas +which you designed, but a regular road atlas of the USA. + +When you embark on your trip, all sorts of curious incidents will take place. A +road atlas is being used to guide you through a country which it only partially fits. As +long as you stick to major freeways, you will probably be able to cross the country +without gross confusions. But the moment you wander off into the byways of New +Mexico or rural Arkansas, there will be adventure in store for you. The locals will not +recognize any of the towns you're looking for, nor will they know the roads you're asking +about. They will only know the large cities you name, and even then the routes to those +cities will not be the same as are indicated on your map. It will happen occasionally that +some of the cities which are considered huge by the locals are nonexistent on your map of +the USA; or perhaps they exist, but their population according to the atlas is wrong by an +order of magnitude. + +Centrality and Universality + +What makes an ASU and the USA, which are so different in some ways, nevertheless so +similar? It is that their most important cities and routes of communication can be mapped +onto each other. The differences between them are found in the less frequently traveled +routes, the cities of smaller size, and so on. Notice that this cannot be characterized either +as a local or a global isomorphism. Some correspondences do extend down to the very +local level-for instance, in both New Yorks, the main street may be Fifth Avenue, and +there may be a Times Square in both as well-yet there may not be a single town that is +found in both Montanas. So the local-global +distinction is not relevant here. What is relevant is the centrality of the city, in terms of +economics, communication, transportation, etc. The more vital the city is, in one of these +ways, the more certain it will be to occur in both the ASU and the USA. + +In this geographic analogy, one aspect is very crucial: that there are certain +definite, absolute points of reference which will occur in nearly all ASU's: New York, +San Francisco, Chicago, and so on. From these it is then possible to orient oneself. In +other words, if we begin comparing my ASU with yours, I can use the known agreement +on big cities to establish points of reference with which I can communicate the location +of smaller cities in my ASU. And if I hypothesize a voyage from Kankakee to Fruto and +you don't know where those towns are, I can refer to something we have in common, and +thereby guide you. And if I talk about a voyage from Atlanta to Milwaukee, it may go +along different freeways or smaller roads, but the voyage itself can still be carried out in +both countries. And if you start describing a trip from Horsemilk to Janzo, I can plot out +what seems to me to be an analogous trip in my ASU, despite not having towns by those +names, as long as you constantly keep me oriented by describing your position with +respect to nearby larger towns which are found in my ASU as well as in yours. + +My roads will not be exactly the same as yours, but, with our separate maps, we +can each get from a particular part of the country to another. We can do this, thanks to the +external, predetermined geological facts mountain chains, streams, etc.-facts which were +available to us both as we worked on our maps. Without those external features, we +would have no possibility of reference points in common. For instance, if you had been +given only a map of France, and I had been given a map of Germany, and then we had +both filled them in in great detail, there would he no way to try to find "the same place" +in our fictitious lands. It is necessary to begin with identical external conditions- +otherwise nothing will match. + +Now that we have carried our geographical analogy quite far, we return to the +question of isomorphisms between brains. You might well wonder why this whole +question of brain isomorphisms has been stressed so much. What does it matter if two +brains are isomorphic, or quasi-isomorphic, or not isomorphic at all? The answer is that +we have an intuitive sense that, although other people differ from us in important ways, +they are still "the same" as we are in some deep and important ways. It would be +instructive to be able to pinpoint what this invariant core of human intelligence is, and +then to be able to describe the kinds of "embellishments" which can be added to it, +making each one of us a unique embodiment of this abstract and mysterious quality +called "intelligence". + +In our geographic analogy, cities and towns were the analogues of symbols, while +roads and highways were analogous to potential triggering paths. The fact that all ASU's +have some things in common, such as the East Coast, the West Coast, the Mississippi +River, the Great Lakes, the Rockies, and many major cities and roads is analogous to the +fact that we are all forced, by external realities, to construct certain class symbols and +trigger +ing paths in the same way. These core symbols are like the large cities, to which everyone +can make reference without ambiguity. (Incidentally, the fact that cities are localized +entities should in no way be taken as indicative that symbols in a brain are small, almost +point-like entities. They are merely symbolized in that manner in a network.) + +The fact is that a large proportion of every human's network of symbols is +universal. We simply take what is common to all of us so much for granted that it is hard +to see how much we have in common with other people. It takes the conscious effort of +imagining how much-or how little-we have in common with other types of entities, such +as stones, cars, restaurants, ants, and so forth, to make evident the large amount of +overlap that we have with randomly chosen people. What we notice about another person +immediately is not the standard overlap, because that is taken for granted as soon as we +recognize the humanity of the other person; rather, we look beyond the standard overlap +and generally find some major differences, as well as some unexpected, additional +overlap. + +Occasionally, you find that another person is missing some of what you thought +was the standard, minimal core-as if Chicago were missing from their ASU, which is +almost unimaginable. For instance, someone might not know what an elephant is, or who +is President, or that the earth is round. In such cases, their symbolic network is likely to +be so fundamentally different from your own that significant communication will be +difficult. On the other hand, perhaps this same person will share some specialized kind of +knowledge with you-such as expertise in the game of dominoes-so that you can +communicate well in a limited domain. This would be like meeting someone who comes +from the very same rural area of North Dakota as you do, so that your two ASU's +coincide in great detail over a very small region, which allows you to describe how to get +from one place to another very fluently. + +How Much Do Language and Culture Channel Thought? + +If we now go back to comparing our own symbol network with those of a Frenchman and +a German, we can say that we expect them to have the standard core of class symbols, +despite the fact of different native languages. We do not expect to share highly +specialized networks with them, but we do not expect such sharing with a randomly +chosen person who shares our native language, either. The triggering patterns of people +with other languages will be somewhat different from our own, but still the major class +symbols, and the major routes between them, will be universally available, so that more +minor routes can be described with reference to them. + +Now each of our three people may in addition have some command of the +languages of the other two. What is it that marks the difference between true fluency, and +a mere ability to communicate? First of all, someone fluent in English uses most words at +roughly their- regular frequencies. A non-native speaker will have picked up some words +from +dictionaries, novels, or classes-words which at some time may have been prevalent or +preferable, but which are now far down in frequency-for example, "fetch" instead of +"get", "quite" instead of "very", etc. Though the meaning usually comes through, there is +an alien quality transmitted by the unusual choice of words. + +But suppose that a foreigner learns to use all words at roughly the normal +frequencies. Will that make his speech truly fluent? Probably not. Higher than the word +level, there is an association level, which is attached to the culture as a whole-its history, +geography, religion, children's stories, literature, technological level, and so on. For +instance, to be able to speak modern Hebrew absolutely fluently, you need to know the +Bible quite well in Hebrew, because the language draws on a stock of biblical phrases +and their connotations. Such an association level permeates each language very deeply. +Yet there is room for all sorts of variety inside fluency-otherwise the only truly fluent +speakers would be people whose thoughts were the most stereotyped possible! + +Although we should recognize the depth to which culture affects thought, we +should not overstress the role of language in molding thoughts. For instance, what we +might call two "chairs" might be perceived by a speaker of French as objects belonging to +two distinct types: "chaise" and "fauteuil" ("chair" and "armchair"). People whose native +language is French are more aware of that difference than we are-but then people who +grow up in a rural area are more aware of, say, the difference between a pickup and a +truck, than a city dweller is. A city dweller may call them both "trucks". It is not the +difference in native language, but the difference in culture (or subculture), that gives rise +to this perceptual difference. + +The relationships between the symbols of people with different native languages +have every reason to be quite similar, as far as the core is concerned, because everyone +lives in the same world. When you come down to more detailed aspects of the triggering +patterns, you will find that there is less in common. It would he like comparing rural +areas in Wisconsin in ASU's which had been made up by people who had never lived in +Wisconsin. This will be quite irrelevant, however, as long as there is sufficient agreement +on the major cities and major routes, so that there are common points of reference all +over the map. + +Trips and Itineraries in ASU's + +Without making it explicit, I have been using an image of what a "thought" is in the +ASU-analogy-namely, I have been implying that a thought corresponds to a trip. The +towns which are passed through represent the symbols which are excited. This is not a +perfect analogy, but it is quite strong. One problem with it is that when a thought recurs +in someone's mind sufficiently often, it can get chunked into a single concept. This would +correspond to quite a strange event in an ASU: a commonly taken trip would become, in +some strange fashion, a new town or city! If one is to continue to use the ASU-metaphor, +then, it is important to remember that +the cities represent not only the elementary symbols, such as those for "grass", "house", +and "car", but also symbols which get created as a result of the chunking ability of a +brain-symbols for such sophisticated concepts as "crab canon", "palindrome", or "ASU". + +Now if it is granted that the notion of taking a trip is a fair counterpart to the +notion of having a thought, then the following difficult issue comes up: virtually any +route leading from one city to a second, then to a third, and so on, can be imagined, as +long as one remembers that some intervening cities are also passed through. This would +correspond to the activation of an arbitrary sequence of symbols, one after another, +making allowance for some extra symbols-those which lie en route. Now if virtually any +sequence of symbols can be activated in any desired order, it may seem that a brain is an +indiscriminate system, which can absorb or produce any thought whatsoever. But we all +know that that is not so. In fact, there are certain kinds of thoughts which we call +knowledge, or beliefs, which play quite a different role from random fancies, or +humorously entertained absurdities. How can we characterize the difference between +dreams, passing thoughts, beliefs, and pieces of knowledge? + +Possible, Potential, and Preposterous Pathways + +There are some pathways-you can think of them as pathways either in an ASU or in a +brain-which are taken routinely in going from one place to another. There are other +pathways which can only be followed if one is led through them by the hand. These +pathways are "potential pathways", which would be followed only if special external +circumstances arose. The pathways which one relies on over and over again are pathways +which incorporate knowledge-and here I mean not only knowledge of facts (declarative +knowledge), but also knowledge of how-to's (procedural knowledge). These stable, +reliable pathways are what constitute knowledge. Pieces of knowledge merge gradually +with beliefs, which are also represented by reliable pathways, but perhaps ones which are +more susceptible to replacement if, so to speak, a bridge goes out, or there is heavy fog. +This leaves us with fancies, lies, falsities, absurdities, and other variants. These would +correspond to peculiar routes such as: New York City to Newark via Bangor, Maine and +Lubbock, Texas. They are indeed possible pathways, but ones which are not likely to be +stock routes, used in everyday voyages. + +A curious, and amusing, implication of this model is that all of the "aberrant" +kinds of thoughts listed above are composed, at rock bottom, completely out of beliefs or +pieces of knowledge. That is, any weird and snaky indirect route breaks up into a number +of non-weird, non-snaky direct stretches, and these short, straightforward symbol¬ +connecting routes represent simple thoughts that one can rely on-beliefs and pieces of +knowledge. On reflection, this is hardly surprising, however, since it is quite reasonable +that we should only be able to imagine fictitious things that are somehow grounded in the +realities we have experienced, no matter how +wildly they deviate from them. Dreams are perhaps just such random meanderings about +the ASU's of our minds. Locally, they make sense-but globally ... + +Different Styles of Translating Novels + +A poem like 'Jabberwocky" is like an unreal journey around an ASU, hopping from one +state to another very quickly, following very curious routes. The translations convey this +aspect of the poem, rather than the precise sequence of symbols which are triggered, +although they do their best in that respect. In ordinary prose, such leaps and bounds are +not so common. However, similar problems of translation do occur. Suppose you are +translating a novel from Russian to English, and come across a sentence whose literal +translation is, "She had a bowl of borscht." Now perhaps many of your readers will have +no idea what borscht is. You could attempt to replace it by the "corresponding" item in +their culture-thus, your translation might run, "She had a bowl of Campbell's soup." Now +if you think this is a silly exaggeration, take a look at the first sentence of Dostoevsky's +novel Crime and Punishment in Russian and then in a few different English translations. I +happened to look at three different English paperback translations, and found the +following curious situation. + +The first sentence employs the street name "S. Pereulok" (as transliterated). What +is the meaning of this? A careful reader of Dostoevsky's work who knows Leningrad +(which used to be called "St. Petersburg "-or should I say "Petrograd"?) can discover by +doing some careful checking of the rest of the geography in the book (which incidentally +is also given only by its initials) that the street must be "Stoliarny Pereulok". Dostoevsky +probably wished to tell his story in a realistic way, yet not so realistically that people +would take literally the addresses at which crimes and other events were supposed to +have occurred. In any case, we have a translation problem; or to be more precise, we have +several translation problems, on several different levels. + +First of all, should we keep the initial so as to reproduce the aura of semi-mystery +which appears already in this first sentence of the book? We would get "S. Lane" ("lane" +being the standard translation of "pereulok"). None of the three translators took this tack. +However, one chose to write "S. Place". The translation of Crime and Punishment which +I read in high school took a similar option. I will never forget the disoriented feeling I +experienced when I began reading the novel and encountered those streets with only +letters for names. I had some sort of intangible malaise about the beginning of the book; I +was sure that I was missing something essential, and yet I didn't know what it was ... I +decided that all Russian novels were very weird. + +Now we could be frank with the reader (who, it may be assumed, probably won't +have the slightest idea whether the street is real or fictitious anyway!) and give him the +advantage of our modern scholarship, writing + +"Stoliarny Lane" (or "Place"). This was the choice of translator number 2, who gave the +translation as "Stoliarny Place". + +What about number 3? This is the most interesting of all. This translation says +"Carpenter's Lane". And why not, indeed? After all, "stoliar" means "carpenter" and "ny" +is an adjectival ending. So now we might imagine ourselves in London, not Petrograd, +and in the midst of a situation invented by Dickens, not Dostoevsky. Is that what we +want-, Perhaps we should just read a novel by Dickens instead, with the justification that +it is "the corresponding work in English". When viewed on a sufficiently high level, it is +a "translation" of the Dostoevsky novel-in fact, the best possible one! Who needs +Dostoevsky? + +We have come all the way from attempts at great literal fidelity to the author's +style, to high-level translations of flavor. Now if this happens already in the first +sentence, can you imagine how it must go on in the rest of the book? What about the +point where a German landlady begins shouting in her German-style Russian% How do +you translate broken Russian spoken with a German accent, into English? + +Then one may also consider the problems of how to translate slang and colloquial +modes of expression. Should one search for an "analogous" phrase, or should one settle +for a word-by-word translation? If you search for an analogous phrase, then you run the +risk of committing a "Campbell's soup" type of blunder; but if you translate every +idiomatic phrase word by word, then the English will sound alien. Perhaps this is +desirable, since the Russian culture is an alien one to speakers of English. But a speaker +of English who reads such a translation will constantly be experiencing, thanks to the +unusual turns of phrase, a sense-an artificial sense-of strangeness, which was not intended +by the author, and which is not experienced by readers of the Russian original. + +Problems such as these give one pause in considering such statements as this one, +made by Warren Weaver, one of the first advocates of translation by computer, in the late +1940's: "When I look at an article in Russian, I say, 'This is really written in English, but +it has been coded in some strange symbols. I will now proceed to decode."" Weaver's +remark simply cannot be taken literally; it must rather be considered a provocative way of +saying that there is an objectively describable meaning hidden in the symbols, or at least +something pretty close to objective; therefore, there would be no reason to suppose a +computer could not ferret it out, if sufficiently well programmed. + +High-Level Comparisons between Programs + +Weaver's statement is about translations between different natural languages. Let's +consider now the problem of translating between two computer languages. For instance, +suppose two people have written programs which run on different computers, and we +want to know if the two programs carry out the same task. How can we find out? We +must compare the programs. But on what level should this be done? Perhaps one programmer wrote in a machine language, the other in a compiler language. Are two such +programs comparable? Certainly. But how to compare them? One way might be to +compile the compiler language program, producing a program in the machine language of +its home computer. + +Now we have two machine language programs. But there is another problem: +there are two computers, hence two different machine languages-and they may be +extremely different. One machine may have sixteen-bit words; the other thirty-six-bit +words. One machine may' have built-in stack-handling instructions (pushing and +popping), while the other lacks them. The differences between the hardware of the two +machines may make the two machine language programs seem incomparable-and yet we +suspect they are performing the same task, and we would like to see that at a glance. We +are obviously looking at the programs from much too close a distance. + +What we need to do is to step back, away from machine language, towards a +higher, more chunked view. From this vantage point, we hope we will be able to perceive +chunks of program which make each program seem rationally planned out on a global, +rather than a local, scale-that is, chunks which fit together in a way that allows one to +perceive the goals of the programmer. Let us assume that both programs were originally +written in high-level languages. Then some chunking has already been done for us. But +we will run into other troubles. There is a proliferation of such languages: Fortran, Algol, +LISP, APL, and many others. How can you compare a program written in APL with one +written in Algol: Certainly not by matching them up line by line. You will again chunk +these programs in your mind, looking for conceptual, functional units which correspond. +Thus, you are not comparing hardware, you are not comparing software-you are +comparing "etherware"-the pure concepts which lie back of the software. There is some +sort of abstract "conceptual skeleton" which must be lifted out of low levels before you +can carry out a meaningful comparison of two programs in different computer languges, +of two animals, or of two sentences in different natural languages. + +Now this brings us back to an earlier question which we asked about computers +and brains: How can we make sense of a low-level description of a computer or a brain? +Is there, in any reasonable sense, an objective way to pull a high-level description out of a +low-level one, in such complicated systems? In the case of a computer, a full display of +the contents of memory-a so-called memory dump-is easily available. Dumps were +commonly printed out in the early days of computing, when something went wrong with +a program. Then the programmer would have to go home and pore over the memory +dump for hours, trying to understand what each minuscule piece of memory represented. +In essence, the programmer would be doing the opposite of what a compiler does: he +would be translating from machine language into a higher-level language, a conceptual +language. In the end, the programmer would understand the goals of the program and +could describe it in high-level terms-for example, "This program translates novels front +Russian to English", or "This program composes an eight-voice fugue based on any +theme which is fed in". + +High-Level Comparisons between Brains + +Now our question must be investigated in the case of brains. In this case, we are asking, +"Are people's brains also capable of being 'read', on a high level? Is there some objective +description of the content of a brain?" In the Ant Fugue, the Anteater claimed to be able +to tell what Aunt Hillary was thinking about, by looking at the scurryings of her +component ants. Could some superbeing-a Neuroneater, perhaps-conceivably look down +on our neurons, chunk what it sees, and come up with an analysis of our thoughts? + +Certainly the answer must be yes, since we are all quite able to describe, in +chunked (i.e., non-neural) terms, the activity of our minds at any given time. This means +that we have a mechanism which allows us to chunk our own brain state to some rough +degree, and to give a functional description of it. To be more precise, we do not chunk all +of the brain state-we only chunk those portions of it which are active. However, if +someone asks us about a subject which is coded in a currently inactive area of our brain, +we can almost instantly gain access to the appropriate dormant area and come up with a +chunked description of it-that is, some belief on that subject. Note that we come back +with absolutely zero information on the neural level of that part of the brain: our +description is so chunked that we don't even have any idea what part of our brain it is a +description of. This can be contrasted with the programmer whose chunked description +comes from conscious analysis of every part of the memory dump. + +Now if a person can provide a chunked description of any part of his own brain, +why shouldn't an outsider too, given some nondestructive means of access to the same +brain, not only be able to chunk limited portions of the brain, but actually to give a +complete chunked description of it-in other words, a complete documentation of the +beliefs of the person whose brain is accessible? It is obvious that such a description +would have an astronomical size, but that is not of concern here. We are interested in the +question of whether, in principle, there exists a well-defined, highlevel description of a +brain, or whether, conversely, the neuron-level description-or something equally +physiological and intuitively unenlightening-is the best description that in principle +exists. Surely, to answer this question would be of the highest importance if we seek to +know whether we can ever understand ourselves. + +Potential Beliefs, Potential Symbols + +It is my contention that a chunked description is possible, but when we get it, all will not +suddenly be clear and light. The problem is that in order to pull a chunked description out +of the brain state, we need a language to describe our findings. Now the most appropriate +way to describe a brain, it would seem, would be to enumerate the kinds of thoughts it +could entertain, and the kinds of thoughts it could not entertain-or, perhaps, to enumerate +its beliefs and the things which it does not believe. If that is the +kind of goal we will be striving for in a chunked description, then it is easy to see what +kinds of troubles we will run up against. + +Suppose you wanted to enumerate all possible voyages that could be taken in an +ASU; there are infinitely many. How do you determine which ones are plausible, though? +Well, what does "plausible" mean? We will have precisely this kind of difficulty in trying +to establish what a "possible pathway" from symbol to symbol in a brain is. We can +imagine an upsidedown dog flying through the air with a cigar in its mouth-or a collision +between two giant fried eggs on a freeway-or any number of other ridiculous images. The +number of far-fetched pathways which can be followed in our brains is without bound, +just as is the number of insane itineraries that could be planned on an ASU. But just what +constitutes a "sane" itinerary, given an ASU? And just what constitutes a "reasonable" +thought, given a brain state? The brain state itself does not forbid anv pathway, because +for any pathway there are always circumstances which could force the following of that +pathway. The physical status of a brain, if read correctly, gives information telling not +which pathways could be followed, but rather how much resistance would be offered +along the way. + +Now in an ASU, there are many trips which could be taken along two or more +reasonable alternative routes. For example, the trip from San Francisco to New York +could go along either a northern route or a southern route. Each of them is quite +reasonable, but people tend to take them under different circumstances. Looking at a map +at a given moment in time does not tell you anything about which route will be preferable +at some remote time in the future-that depends on the external circumstances under which +the trip is to be taken. Likewise, the "reading" of a brain state will reveal that several +reasonable alternative pathways are often available, connecting a given set of symbols. +However, the trip among these symbols need not be imminent; it may be simply one of +billions of "potential" trips, all of which figure in the readout of the brain state. Lrom this +follows an important conclusion: there is no information in the brain state itself which +tells which route will be chosen. The external circumstances will play a large determining +role in choosing the route. + +What does this imply? It implies that thoughts which clash totally may be +produced by a single brain, depending on the circumstances. And any high-level readout +of the brain state which is worth its salt must contain all such conflicting versions. +Actually this is quite obvious-that we all are bundles of contradictions, and we manage to +hang together by bringing out only one side of ourselves at a given time. The selection +cannot be predicted in advance, because the conditions which will force the selection are +not known in advance. What the brain state can provide, if properly read, is a conditional +description of the selection of routes. + +Consider, for instance, the Crab's plight, described in the Prelude. He can react in +various ways to the playing of a piece of music. Sometimes he will be nearly immune to +it, because he knows it so well. Other times, he will be quite excited by it, but this +reaction requires the right kind of triggering from the outside-for instance, the presence of +an enthusiastic listener, to +whom the work is new. Presumably, a high-level reading of the Crab's brain state would +reveal the potential thrill (and conditions which would induce it), as well as the potential +numbness (and conditions which would induce it). The brain state itself would not tell +which one would occur on the next hearing of the piece, however: it could only say, "If +such-&-such conditions obtain, then a thrill will result; otherwise ..." + +Thus a chunked description of a brain state would give a catalogue of beliefs +which could be evoked conditionally, dependent on circumstances. Since not all possible +circumstances can be enumerated, one would have to settle for those which one thinks are +"reasonable". Furthermore, one would have to settle for a chunked description of the +circumstances themselves, since they obviously cannot-and should not-be specified down +to the atomic level! Therefore, one will not be able to make an exact, deterministic +prediction saying which beliefs will be pulled out of the brain state by a given chunked +circumstance. In summary, then, a chunked description of a brain state will consist of a +probabilistic catalogue, in which are listed those beliefs which are most likely to be +induced (and those symbols which are most likely to be activated) by various sets of +"reasonably likely" circumstances, themselves described on a chunked level. Trying to +chunk someone's beliefs without referring to context is precisely as silly as trying to +describe the range of a single person's "potential progeny" without referring to the mate. + +The same sorts of problems arise in enumerating all the symbols in a given +person's brain. There are potentially not only an infinite number of pathways in a brain, +but also an infinite number of symbols. As was pointed out, new concepts can always be +formed from old ones, and one could argue that the symbols which represent such new +concepts are merely dormant symbols in each individual, waiting to be awakened. They +may never get awakened in the person's lifetime, but it could be claimed that those +symbols are nonetheless always there, just waiting for the right circumstances to trigger +their synthesis. However, if the probability is very low, it would seem that "dormant" +would be a very unrealistic term to apply in the situation. To make this clear, try to +imagine all the "dormant dreams" which are sitting there inside your skull while you're +awake. Is it conceivable that there exists a decision procedure which could tell +"potentially dreamable themes" from "undreamable themes", given your brain State + +Where Is the Sense of Self? + +Looking back on what we have discussed, you might think to yourself, "These +speculations about brain and mind are all well and good, but what about the feelings +involved in consciousness. These symbols may trigger each other all they want, but +unless someone perceives the whole thing, there's no consciousness." + +This makes sense to our intuition on some level, but it does not make much sense +logically. For we would then be compelled to look for an +explanation of the mechanism which does the perceiving of all the active symbols, if it is +not covered by what we have described so far. Of course, a "soulist" would not have to +look any further-he would merely assert that the perceiver of all this neural action is the +soul, which cannot be described in physical terms, and that is that. However, we shall try +to give a "nonsoulist" explanation of where consciousness arises. + +Our alternative to the soulist explanation-and a disconcerting one it is, too- is to +stop at ohe symbol level and say, "This is it-this is what consciousness is. Consciousness +is that property of a system that arises whenever there exist symbols in the system which +obey triggering patterns somewhat like the ones described in the past several sections." +Put so starkly, this may seem inadequate. How does it account for the sense of "I", the +sense of self? + +Subsystems + +There is no reason to expect that "I", or "the self'", should not be represented by a +symbol. In fact, the symbol for the self is probably the most complex of all the symbols +in the brain. For this reason, I choose to put it on a new level of the hierarchy and call it a +subsystem, rather than a symbol. To be precise, by "subsystem", I mean a constellation of +symbols, each of which can be separately activated under the control of the subsystem +itself. The image I wish to convey of a subsystem is that it functions almost as an +independent "subbrain", equipped with its own repertoire of symbols which can trigger +each other internally. Of course, there is also much communication between the +subsystem and the "outside" world-that is, the rest of the brain. "Subsystem" is just +another name for an overgrown symbol, one which has gotten so complicated that it has +many subsymbols which interact among themselves. Thus, there is no strict level +distinction between symbols and subsystems. + +Because of the extensive links between a subsystem and the rest of the brain +(some of which will be described shortly), it would be very difficult to draw a sharp +boundary between the subsystem and the outside; but even if the border is fuzzy, the +subsystem is quite a real thing. The interesting thing about a subsystem is that, once +activated and left to its own devices, it can work on its own. Thus, two or more +subsystems of the brain of an individual may operate simultaneously. I have noticed this +happening on occasion in my own brain: sometimes I become aware that two different +melodies are running through my mind, competing for "my" attention. Somehow, each +melody is being manufactured, or "played", in a separate compartment of my brain. Each +of the systems responsible for drawing a melody out of my brain is presumably activating +a number of symbols, one after another, completely oblivious to the other system doing +the same thing. Then they both attempt to communicate with a third subsystem of my +brain-mv self-symbol- and it is at that point that the "1" inside my brain gets wind of +what’s going on: in other words, it starts picking up a chunked description of the activities +of those two subsystems. + +Subsystems and Shared Code + +Typical subsystems might be those that represent the people we know intimately. They +are represented in such a complex way in our brains that their symbols enlarge to the rank +of subsystem, becoming able to act autonomously, making use of some resources in our +brains for support. By this, I mean that a subsystem symbolizing a friend can activate +many of the symbols in my brain just as I can. For instance, I can fire up my subsystem +for a good friend and virtually feel myself in his shoes, running through thoughts which +he might have, activating symbols in sequences which reflect his thinking patterns more +accurately than my own. It could be said that my model of this friend, as embodied in a +subsystem of my brain, constitutes my own chunked description of his brain. + +Does this subsystem include, then, a symbol for every symbol which I think is in +his brain? That would be redundant. Probably the subsystem makes extensive use of +symbols already present in my brain. For instance, the symbol for "mountain" in my brain +can be borrowed by the subsystem, when it is activated. The way in which that symbol is +then used by the subsystem will not necessarily be identical to the way it is used by my +full brain. In particular, if I am talking with my friend about the Tien Shan mountain +range in Central Asia (neither of us having been there), and I know that a number of years +ago he had a wonderful hiking experience in the Alps, then my interpretation of his +remarks will be colored in part by my imported images of his earlier Alpine experience, +since I will be trying to imagine how he visualizes the area. + +In the vocabulary we have been building up in this Chapter, we could say that the +activation of" the "mountain" symbol in me is under control of my subsystem +representing him. The effect of this is to open up a different window onto to my +memories from the one which I normally use-namely, my "default option" switches from +the full range of my memories to the set of my memories of his memories. Needless to +say, my representations of his memories are only approximations to his actual memories, +which are complex modes of activation of the symbols in his brain, inaccessible to me. + +My representations of his memories are also complex modes of activation of my +own symbols-those for "primordial" concepts, such as grass, trees, snow, sky, clouds, and +so on. These are concepts which I must assume are represented in him "identically" to the +way they are in me. I must also assume a similar representation in him of even more +primordial notions: the experiences of gravity, breathing, fatigue, color, and so forth. +Less primordial but perhaps a nearly universal human quality is the enjoyment of +reaching a summit and seeing a view. Therefore, the intricate processes in my brain +which are responsible for this enjoyment can be taken over directly by the friend- +subsystem without much loss of fidelity. + +We could go on to attempt to describe how I understand an entire tale told by my +friend, a tale filled with many complexities of human relationships and mental +experiences. But our terminology would quickly become inadequate. There would be +tricky recursions connected with representations in him of representations in me of representations in him of one thing and another. +If mutual friends figured in the tale being told, I would unconsciously look for +compromises between my image of his representations of them, and my own images of +them. Pure recursion would simply be an inappropriate formalism for dealing with +symbol amalgams of this type. And I have barely scratched the surface! + +We plainly lack the vocabulary today for describing the complex interactions that are +possible between symbols. So let us stop before we get bogged down. + +We should note, however, that computer systems are beginning to run into some +of the some kinds of complexity, and therefore some of these notions have been given +names. For instance, my "mountain" symbol is analogous to what in computer jargon is +called shared (or reentrant) codecode which can be used by two or more separate +timesharing programs running on a single computer. The fact that activation of one +symbol can have different results when it is part of different subsystems can be explained +by saying that its code is being processed by different interpreters. Thus, the triggering +patterns in the "mountain" symbol are not absolute; they are relative to the system within +which the symbol is activated. + +The reality of such "subbrains" may seem doubtful to some. Perhaps the +following quote from M. C. Escher, as he discusses how he creates his periodic plane¬ +filling drawings, will help to make clear what kind of phenomenon I am referring to: + +While drawing I sometimes feel as if I were a spiritualist medium, controlled +by the creatures which I am conjuring up. It is as if they themselves decide on +the shape in which they choose to appear. They take little account of my +critical opinion during their birth and I cannot exert much influence on the +measure of their development. They are usually very difficult and obstinate +creatures + +Here is a perfect example of the near-autonomy of certain subsystems of the +brain, once they are activated. Escher's subsystems seemed to him almost to be able to +override his esthetic judgment. Of course, this opinion must be taken with a grain of salt, +since those powerful subsystems came into being as a result of his many years of training +and submission to precisely the forces that molded his esthetic sensitivities. In short, it is +wrong to divorce the subsystems in Escher's brain from Escher himself or from his +esthetic judgment. They constitute a vital part of his esthetic sense, where "he" is the +complete being of the artist. + +The Self-Symbol and Consciousness + +A very important side effect of the self-subsystem is that it can play the role of "soul", in +the following sense: in communicating constantly with the rest of the subsystems and +symbols in the brain, it keeps track of what symbols are active, and in what way. This +means that it has to have symbols for mental activity-in other words, symbols for +symbols, and symbols for the +actions of symbols. + +Of course, this does not elevate consciousness or awareness to any "magical", +nonphysical level. Awareness here is a direct effect of the complex hardware and +software we have described. Still, despite its earthly origin, this way of describing +awareness-as the monitoring of brain activity by a subsystem of the brain itself-seems to +resemble the nearly indescribable sensation which we all know and call "consciousness". +Certainly one can see that the complexity here is enough that many unexpected effects +could be created. For instance, it is quite plausible that a computer program with this kind +of structure would make statements about itself which would have a great deal of +resemblance to statements which people commonly make about themselves. This +includes insisting that it has free will, that it is not explicable as a "sum of its parts", and +so on. (On this subject, see the article "Matter, Mind, and Models" by M. Minsky in his +book Semantic Information Processing.) + +What kind of guarantee is there that a subsystem, such as I have here postulated, +which represents the self, actually exists in our brains? Could a whole complex network +of symbols such as has been described above evolve without a self-symbol evolving, +How could these symbols and their activities play out "isomorphic" mental events to real +events in the surrounding universe, if there were no symbol for the host organism, All the +stimuli coming into the system are centered on one small mass in space. It would be quite +a glaring hole in a brain's symbolic structure not to have a symbol for the physical object +in which it is housed, and which plays a larger role in the events it mirrors than any other +object. In fact, upon reflection, it seems that the only way one could make sense of the +world surrounding a localized animate object is to understand the role of that object in +relation to the other objects around it. This necessitates the existence of a selfsymbol; and +the step from symbol to subsystem is merely a reflection of the importance of the self¬ +symbol', and is not a qualitative change. + +Our First Encounter with Lucas + +The Oxford philosopher J. R. Lucas (not connected with the Lucas numbers described +earlier) wrote a remarkable article in 1961, entitled "Minds, Machines, and Godel". His +views are quite opposite to mine, and yet he manages to mix many of the same +ingredients together in coming up with his opinions. The following excerpt is quite +relevant to what we have just been discussing: + +At one's first and simplest attempts to philosophize, one becomes entangled in questions of +whether when one knows something one knows that one knows it, and what, when one is +thinking of oneself, is being thought about, and what is doing the thinking. After one has +been puzzled and bruised by this problem for a long time, one learns not to press these +questions: the concept of a conscious being is, implicitly, realized to be different from that +of an unconscious object. In saying that a conscious being knows something, we are saying +not onh that he knows it, but that he knows that he knows it, and that he knows that he +knows that he knows it, and so on, as long as we care to pose the +question: there is, we recognize, an infinity here, but it is not an infinite regress in the had +sense, for it is the questions that peter out, as being pointless, rather than the answers. The +questions are felt to be pointless because the concept contains within itself the idea of +being able to go on answering such questions indefinitely. Although conscious beings have +the power of going on, we do not wish to exhibit this simply as a succession of tasks they +are able to perforin, nor do we see the mind as an infinite sequence of selves and super¬ +selves and super-super-selves. Rather, we insist that a conscious being is a unity, and +though we talk about parts of the mind, we (to so only as a metaphor, and will not allow it +to be taken literally. + +The paradoxes of consciousness arise because a conscious being can be aware of itself +as well as of other things, and yet cannot really be construed as being divisible into parts. It +means that a conscious being can deal with Godelian questions in a was in which a +machine cannot, because a conscious being can both consider itself and its perform a rice +and vet not be other than that which did the performance. A machine can be made in a +manner of speaking to "consider" its performance, but it cannot take this "into account" +without thereby becoming a different machine, namely the old machine with a "new part" +added. Btu it is inherent in our idea of a conscious mind that it can reflect upon itself and +criticize its own performances, and no extra part is required to (to this: it is already +complete, and has no Achilles' heel. + +The thesis thus begins to become more of a matter of conceptual analysis than +mathematical discovery. This is borne out by considering another argument put forward by +Turing. So far, we have constructed only fairly simple and predictable artifacts. When we +increase the complexity of our machines, there may, perhaps, be suiprises in store for us. +He draws a parallel with a fission pile. Below a certain "critical" size, nothing much +happens: but above the critical size, the sparks begin to fly. So too, perhaps, with brains +and machines. Most brains and all machines are, at present, sub-critical"-they react to +incoming stimuli in a stodgy and uninteresting way, have no ideas of their own, can +produce only stock responses-but a few brains at present, and possibly some machines in +the future, are super-critical, and scintillate on their own account. Turing is suggesting that +it is only a matter of complexity, and that above a certain level of complexity a qualitative +difference appears, so that "super-critical" machines will be quite unlike the simple ones +hitherto envisaged. + +This may be so. Complexity often does introduce qualitative differences. Although it +sounds implausible, it might turn out that above a certain level of complexity, a machine +ceased to be predictable, even in principle, and started doing things on its own account, or, +to use a very revealing phrase, it might begin to have a mind of its own. It might begin to +have a mind of its own. It would begin to have a mind of its own when it was no longer +entirely predictable and entirely docile, but was capable of doing things which we +recognized as intelligent, and not just mistakes or random shots, but which we had not +programmed into it. But then it would cease to be a machine, within the meaning of the act. +What is at stake in the mechanist debate is not how minds are, or might be, brought into +being, but how they operate. It is essential for the mechanist thesis that the mechanical +model of the mind shall operate according to "mechanical principles," that is, that we can +understand the operation of the whole in terms of the operations of its parts, and the +operation of each part either shall be determined by its initial state and the construction of +the machine, or shall be a random choice between a determinate number of determinate +operations. If the mechanist produces a machine which is so complicated that this ceases to +hold good of it, then it is no longer a +machine for the purposes of our discussion, no matter how it was constructed. We should +say, rather, that he had created a mind, in the same sort of sense as we procreate people at +present. There would then be two ways of bringing new minds into the world, the +traditional way, by begetting children born of women, and a new way by constructing very, +very complicated systems of, say, valves and relays. When talking of the second way. we +should take care to stress that although what was created looked like a machine, it was not +one really, because it was not just the total of its parts. One could not tell what it was going +to do merely by knowing the way in which it was built up and the initial state of its parts: +one could not even tell the limits of what it could do, for even when presented with a +Godel-type question, it got the answer right. In fact we should say briefly that any system +which was not floored by the Godel question was eo ipso not a Turing machine, i.e. not a +machine within the meaning of the act .3 + +In reading this passage, my mind constantly boggles at the rapid succession of topics, +allusions, connotations, confusions, and conclusions. We jump from a Carrollian paradox +to Godel to Turing to Artificial Intelligence to holism and reductionism, all in the span of +two brief pages. About Lucas one can say that he is nothing if not stimulating. In the +following Chapters, we shall come back to many of the topics touched on so tantalizingly +and fleetingly in this odd passage. + +DIALOGUE XIII: Aria with Diverse Variations + +Achilles has been unable to 'sleep these past few nights. His friend the +Tortoise has come over tonight, to keep him company during these annoying +hours. + +Tortoise: I am so sorry to hear of the troubles that have been plaguing you, my dear +Achilles. I hope my company will provide a welcome relief from all the unbearable +stimulation which has kept you awake. Perhaps I will bore you sufficiently that you +will at long last go to sleep. In that way, I will be of some service. + +Achilles: Oh, no, I am afraid that I have already had some of the world's finest bores try +their hand at boring me to sleep-and all, sad to say, to no avail. So you will be no +match for them. No, Mr. T, I invited you over hoping that perhaps you could +entertain me with a little this or that, taken from number theory, so that I could at +least while away these long hours in an agreeable fashion. You see, I have found that +a little number theory does wonders for my troubled psyche. + +Tortoise: How quaint an idea! You know, it reminds me, just a wee bit, of the story of +poor Count Kaiserling. + +'Achilles: Who was he? + +Tortoise: Oh, he was a Count in Saxony in the eighteenth century-a Count of no account, +to tell the truth-but because of him-well, shall I tell you the story? It is quite +entertaining. + +Achilles: In that case, by all means, do! + +Tortoise: There was a time when the good Count was suffering from sleeplessness, and it +just so happened that a competent musician lived in the same town, and so Count +Kaiserling commissioned this musician to compose a set of variations to be played +by the Count's court harpsichordist for him during his sleepless nights, to make the +hours pass by more pleasantly. + +Achilles: Was the local composer up to the challenge? + +Tortoise: I suppose so, for after they were done, the Count rewarded him most +lucratively-he presented him with a gold goblet containing one hundred Louis d'or. + +Achilles: You don't say! I wonder where he came upon such a goblet and all those Louis +d'or, in the first place. + +Tortoise. Perhaps he saw it in a museum, and took a fancy to it. + +Achilles: Are you suggesting he absconded with it? + +Tortoise: Now, now, I wouldn't put it exactly that way, but... Those days. Counts could +get away with most anything. Anyway, it is clear that the Count was most pleased +with the music, for he was constantly entreating his harpsichordist-a mere lad of a +fellow, name of Goldberg-to +play one or another of these thirty variations. Consequently (and somewhat +ironically) the variations became attached to the name of young Goldberg, rather +than to the distinguished Count's name. + +Achilles: You mean, the composer was Bach, and these were the so-called "Goldberg +Variations"? + +Tortoise: Do I ever! Actually, the work was entitled Aria with Diverse Variations, of +which there are thirty. Do you know how Bach structured these thirty magnificent +variations? + +Achilles: Do tell. + +Tortoise: All the pieces-except the final one-are based on a single theme, which he called +an "aria". Actually, what binds them all together is not a common melody, but a +common harmonic ground. The melodies may vary, but underneath, there is a +constant theme. Only in the last variation did Bach take liberties. It is a sort of "post¬ +ending ending". It contains extraneous musical ideas having little to do with the +original Theme-in fact, two German folk tunes. That variation is called a +"quodlibet". + +Achilles: What else is unusual about the Goldberg Variations? + +Tortoise: Well, every third variation is a canon. First a canon in two canonizing voices +enter on the SAME note. Second, a canon in which one of the canonizing voices +enters ONE NOTE HIGHER than the first. Third, one voice enters Two notes higher +than the other. And so on, until the final canon has entries just exactly one ninth +apart. Ten canons, all told. And + +Achilles: Wait a minute. Don't I recall reading somewhere or other about fourteen +recently discovered Goldberg canons ... + +Tortoise: Didn't that appear in the same journal where they recently reported the +discovery of fourteen previously unknown days in November? + +Achilles: No, it's true. A fellow named Wolff-a musicologist-heard about a special copy +of the Goldberg Variations in Strasbourg. He went there to examine it, and to his +surprise, on the back page, as a sort of "post-ending ending", he found these fourteen +new canons, all based on the first eight notes of the theme of the Goldberg +Variations. So now it is known that there are in reality forty-four Goldberg +Variations, not thirty. + +Tortoise: That is, there are forty-four of them, unless some other musicologist discovers +yet another batch of them in some unlikely spot. And although it seems improbable, +it is still possible, even if unlikely, that still another batch will be discovered, and +then another one, and on and on and on ... Why, it might never stop! We may never +know if or when we have the full complement of Goldberg Variations. + +Achilles: That is a peculiar idea. Presumably, everybody thinks that this latest discovery +was just a fluke, and that we now really do have all the Goldberg Variations. But just +supposing that you are right, and some turn up sometime, we shall start to expect +this kind of thing. At +that point, the name "Goldberg Variations" will start to shift slightly in meaning, to +include not only the known ones, but also any others which might eventually turn up. +Their number-call it 'g'-is certain to be finite, wouldn't you agree?-but merely +knowing that g is finite isn't the same as knowing how big g is. Consequently, this +information won't tell us when the last Goldberg Variation has been located. + +Tortoise: That is certainly true. + +Achilles: Tell me-when was it that Bach wrote these celebrated variations? + +Tortoise: It all happened in the year 1742, when he was Cantor in Leipzig. Achilles: +1742? Hmm ... That number rings a bell. + +Tortoise: It ought to, for it happens to be a rather interesting number, being a sum of two +odd primes: 1729 and 13. + +Achilles: By thunder! What a curious fact' I wonder how often one runs across an even +number with that property. Let's see + +* 6= 3+3 + +* 8= 3+5 + +* 10= 3+7= 5+5 + +* 12= 5+7 + +* 14=3+11= 7+7 + +* 16=3+13= 5+11 + +* 18=5+13= 7+11 + +* 20=3+ 17= 7+ 13 + +* 22 = 2 + 19 = 4 + 17 = 11 +11 + +* 24=5+19= 7+17=11+13 + +* 26=3+23= 7+19=13+13 + +* 28 = 5 +23 = 11 + 17 + +* 30 = 7 +23 = 11 + 19= 13 + 17 + +Now what do you know-according to my little table here, it seems to be quite a +common occurrence. Yet I don't discern any simple regularity in the table so far. + +Tortoise: Perhaps there is no regularity to be discerned. + +Achilles: But of course there is! I am just not clever enough to spot it right off the bat. + +Tortoise: You seem quite convinced of it. + +Achilles: There's no doubt in my mind. I wonder ... Could it be that ALL even numbers +(except 4) can be written as a sum of two odd primes? + +Tortoise: Hmm ... That question rings a bell ... Ah, I know why! You're not the first +person to ask that question. Why, as a matter of fact, in the year 1742, a +mathematical amateur put forth this very question in a + +Achilles: Did you say 1742? Excuse me for interrupting, but I just noticed that 1742 +happens to be a rather interesting number, being a difference of two odd primes: +1747 and 5. + +Tortoise: By thunder! What a curious fact! I wonder how often one runs across an even +number with that property. + +Achilles: But please don't let me distract you from your story. + +Tortoise: Oh, yes-as I was saying, in 1742. a certain mathematical amateur, whose name +escapes me momentarily, sent a letter to Euler, who at the time was at the court of +King Frederick the Great in Potsdam, and-well, shall I tell you the story? It is not +without charm. Achilles: In that case, by all means, do! + +Tortoise: Very well. In his letter, this dabbler in number theory propounded an unproved +conjecture to the great Euler: "Every even number can he represented as a sum of +two odd primes." Now what was that fellow's name? + +Achilles: I vaguely recollect the story, from some number theory book or other. Wasn't +the fellow named Iiupfergiidel + +Tortoise: Hmm ... No, that sounds too long. + +Achilles: Could it have been "Silberescher"? + +Tortoise: No, that's not it, either. There's a name on the tip of my tongue-ah-ah-oh yes! It +was "Goldbach"! Goldbach was the fellow. Achilles: I knew it was something like +that. + +Tortoise: Yes-your guesses helped jog my memory. It's quite odd, how one occasionally +has to hunt around in one's memory as if for a book in a library without call numbers +... But let us get back to 1742. + +Achilles: Indeed, let's. I wanted to ask you: did Euler ever prove that this guess by +Goldbach was right? + +Tortoise: Curiously enough, he never even considered it worthwhile working on. +However, his disdain was not shared by all mathematicians. In fact, it caught the +fancy of many, and became known as the "Goldbach Conjecture". + +Achilles: Has it ever been proven correct? + +Tortoise: No, it hasn't. But there have been some remarkable near misses. For instance, in +1931 the Russian number theorist Schnirelmann proved that any number-even or +odd-can be represented as the sum of not more than 300,000 primes. + +Achilles: What a strange result. Of what good is it? + +Tortoise: It has brought the problem into the domain of the finite. Previous to +Schnirelmann's proof, it was conceivable that as you took larger and larger even +numbers, they would require more and more primes to represent them. Some even +number might take a trillion primes to represent it! Now it is known that that is not +so-a sum of 300,000 primes (or fewer) will always suffice. + +Achilles: I see. + +Tortoise: Then in 1937, a sly fellow named Vinogradov-a Russian too-managed to +establish something far closer to the desired result: namely, every sufficiently large +ODD number can be represented as a sum of no more than THREE odd primes. For +example, 1937 = 641 + 643 + 653. We could say that an odd number which is +representable as a sum of three odd primes has "the Vinogradov property. Thus, all +sufficiently large odd numbers have the Vinigradov properties + +Achilles: Very well-but what does "sufficiently large" mean? + +Tortoise: It means that some finite number of odd numbers may fail to have the +Vinogradov property, but there is a number-call it 'v'beyond which all odd numbers +have the Vinogradov property. But Vinogradov was unable to say how big v is. So in +a way, v is like g, the finite but unknown number of Goldberg Variations. Merely +knowing that v is finite isn't the same as knowing how big v is. Consequently, this +information won't tell us when the last odd number which needs more than three +primes to represent it has been located. + +Achilles: I see. And so any sufficiently large even number 2N can be represented as a +sum of FOUR primes, by first representing 2N - 3 as a sum of three primes, and then +adding back the prime number 3. + +Tortoise: Precisely. Another close approach is contained in the Theorem which says, "All +even numbers can be represented as a sum of one prime and one number which is a +product of at most two primes." + +Achilles: This question about sums of two primes certainly leads you into strange +territory. I wonder where you would be led if you looked at DIFFERENCES of two +odd primes. I'll bet I could glean some insight into this teaser by making a little table +of even numbers, and their representations as differences of two odd primes, just as I +did for sums. Let's see ... + +* 2= 5-3, + +* 7-5, + +* 13-11, + +* 19-17, etc. + +* 4= 7-3, + +* 11-7, + +* 17 - 13, + +* 23 - 19,etc. + +* 6= 11 -5, + +* 13-7, + +* 17 - 11, + +* 19- 13, etc. + +* 8= 11-3, + +* 13-5, + +* 19-11, + +* 31 - 23,etc. + +* 10=13-3, + +* 17-7, + +* 23 - 13, + +* 29- 19, etc. + +My gracious! There seems to be no end to the number of different representations I can +find for these even numbers. Yet I don't discern any simple regularity in the table so +far. + +Tortoise: Perhaps there is no regularity to be discerned. + +Achilles: Oh, you and your constant rumblings about chaos! I'll hear none of that, thank +you. + +Tortoise: Do you suppose that EVERY even number can be represented somehow as the +difference of two odd primes? + +Achilles: The answer certainly would appear to be yes, from my table. But then again, I +suppose it could also be no. That doesn't really get us very far, does it? + +Tortoise: With all due respect, I would say there are deeper insights to be had on the +matter. + +Achilles: Curious how similar this problem is to Goldbach's original one. Perhaps it +should be called a "Goldbach Variation". + +Tortoise: Indeed. But you know, there is a rather striking difference between the +Goldbach Conjecture, and this Goldbach Variation, which I would like to tell you +about. Let us say that an even number 2N has the “Goldbach property” if it is the +SUM of two odd primes, and it has the “Tortoise property” if it is the DIFFERENCE +of two odd primes + +Achilles: I think you should call it the "Achilles property". After all, I suggested the +problem. + +Tortoise: I was just about to propose that we should say that a number which LACKS the +Tortoise property has the "Achilles property". Achilles: Well, all right.. . + +Tortoise: Now consider, for instance, whether I trillion has the Goldbach property or the +Tortoise property. Of course, it may have both. + +Achilles: I can consider it, but I doubt whether I can give you an answer to either +question. + +Tortoise: Don't give up so soon. Suppose I asked you to answer one or the other question. +Which one would you pick to work on? + +Achilles: I suppose I would flip a coin. I don't see much difference between them. + +Tortoise: Aha: But there's a world of difference' If you pick the Goldbach property, +involving SUMS of primes, then you are limited to using primes which are bounded +between 2 and 1 trillion, right? + +Achilles: Of course. + +Tortoise: So your search for a representation for 1 trillion as a sum of two primes is +GUARANTEED TO TERMINATE. + +Achilles: Ahhh! I see your point. Whereas if I chose to work on representing 1 trillion as +the DIFFERENCE of two primes, I would not have any bound on the size of the +primes involved. They might be so big that it would take me a trillion years to find +them. + +Tortoise: Or then again, they might not even EXIST! After all, that's what the question +was asking-do such primes exist, It wasn't of much concern how big they might turn +out to be. + +Achilles: You're right. If they didn't exist, then a search process would lead on forever, +never answering yes, and never answering no. And nevertheless, the answer would +be no. + +Tortoise: So if you have some number, and you wish to test whether it has the Goldbach +property or the Tortoise property, the difference between the two tests will be this: in +the former, the search involved is GUARANTEED TO TERMINATE; in the latter, +it is POTENTIALLY ENDLESS-there are no guarantees of any type. It might just +go merrily on forever, without yielding an answer. And yet, on the other hand, in +some cases, it might stop on the first step. + +Achilles: I see there is a rather vast difference between the Goldbach and Tortoise +properties. + +Tortoise: Yes, the two similar problems concern these vastly different properties. The +Goldbach Conjecture is to the effect that all even numbers have the Goldbach +property; the Goldbach Variation suggests that all even numbers have the Tortoise +property. Both problems are unsolved, but what is interesting is that although they +sound very much alike, they involve properties of whole numbers which are quite +different. + +Achilles: I see what you mean. The Goldbach property is a detectable, or +recognizable property of any even number, since I know how to test for its presence +just embark on a search. It will automatically come to an end with a yes or no +answer. The Tortoise property, however, is more elusive, since a brute force search +just may never give an answer. + +Tortoise: Well, there may be cleverer ways of searching in the case of the Tortoise +property, and maybe following one of them would always come to an end, and yield +an answer. + +Achilles: Couldn't the search only end if the answer were yes? + +Tortoise: Not necessarily. There might be some way of proving that whenever the search +lasts longer than a certain length of time, then the answer must be no. There might +even be some OTHER way of searching for the primes, not such a brute force way, +which is guaranteed to find them if they exist, and to tell if they don't. In either case, +a finite search would be able to yield the answer no. But I don't know if such a thing +can be proven or not. Searching through infinite spaces is always a tricky matter, you +know. + +Achilles: So as things stand now, you know of no test for the Tortoise property which is +guaranteed to terminate-and yet there MIGHT exist such a search. + +Tortoise: Right. I suppose one could embark on a search for such a search, but I can give +no guarantee that that "meta-search" would terminate, either. + +Achilles: You know, it strikes me as quite peculiar that if some even number-for +example, a trillion-failed to have the Tortoise property, it would be caused by an +infinite number of separate pieces of information. It's funny to think of wrapping all +that information up into one bundle, and calling it, as you so gallantly suggested, +"the Achilles property" of 1 trillion. It is really a property of the number system as a +"HOLE, not just of the number 1 trillion. + +Tortoise: That is an interesting observation, Achilles, but I maintain that it makes a good +deal of sense to attach this fact to the number 1 trillion nevertheless. For purposes of +illustration, let me suggest that you . consider the simpler statement "29 is prime". +Now in fact, this statement really means that 2 times 2 is not 29, and 5 times 6 is not +29, and so forth, doesn't it? + +Achilles: It must, I suppose. + +Tortoise: But you are perfectly happy to collect all such facts together, and attach them in +a bundle to the number 29, saying merely, "29 is prime" + +Achilles: Yes ... + +Tortoise: And the number of facts involved is actually infinite, isn't it:, After all, such +facts as "4444 times 3333 is not 29" are all part of it, aren't they% + +Achilles: Strictly speaking, I suppose so. But you and I both know that you can't produce +29 by multiplying two numbers which are both bigger than 29. So in reality, saying +"29 is prime" is only summarizing a FINITE number of facts about multiplication + +Tortoise: You can put it that way if you want, but think of this: the fact that two numbers +which are bigger than 29 can't have a product equal to 29 involves the entire +structure of the number system. In that sense, that fact in itself is a summary of an +infinite number of facts. You can't get away from the fact, Achilles, that when you +say "29 is prime'-', you are actually stating an infinite number of things. + +Achilles: Maybe so, but it feels like just one fact to me. + +Tortoise: That's because an infinitude of facts are contained in your prior knowledge-they +are embedded implicitly in the way you visualize things. You don't see an explicit +infinity because it is captured implicitly inside the images you manipulate. + +Achilles: I guess that you're right. It still seems odd to lump a property of the entire +number system into a unit, and label the unit "primeness of 29" + +Tortoise: Perhaps it seems odd, but it is also quite a convenient way to look at things. +Now let us come back to your hypothetical idea. If, as you suggested, the number 1 +trillion has the Achilles property, then no matter what prime you add to it, you do not +get another prime. Such a state of affairs would be caused by an infinite number of +separate mathematical "events". Now do all these "events" necessarily spring from +the same source? Do they have to have a common cause? Because if they don't, then +some sort of "infinite coincidence" has created the fact, rather than an underlying +regularity. + +Achilles: An "infinite coincidence"? Among the natural numbers, NoTHING is +coincidental-nothing happens without there being some underlying pattern. Take 7, +instead of a trillion. I can deal with it more easily, because it is smaller. 7 has the +Achilles property. + +Tortoise: You're sure? + +Achilles: Yes. Here's why. If you add 2 to it, you get 9, which isn't prime. And if you add +any other prime to 7, you are adding two odd numbers, resulting in an even number- +thus you again fail to get a prime. So here the "Achilleanity" of 7, to coin a term, is a +consequence of just Two reasons: a far cry from any "infinite coincidence". Which +just goes to support my assertion: that it never takes an infinite number of reasons to +account for some arithmetical truth. If there WERE some arithmetical fact which +were caused by an infinite collection of unrelated coincidences, then you could never +give a finite proof for that truth. And that is ridiculous. + +Tortoise: That is a reasonable opinion, and you are in good company in making it. +However + +Achilles: Are there actually those who disagree with this view? Such people would have +to believe that there are "infinite coincidences", that there is chaos in the midst of the +most perfect, harmonious, and beautiful of all creations: the system of natural +numbers. + +Tortoise: Perhaps they do; but have you ever considered that such chaos might be an +integral part of the beauty and harmony? + +Achilles: Chaos, part of perfection? Order and chaos make a pleasing unity? Heresy! + +Tortoise: Your favorite artist, M. C. Escher, has been known to suggest such a heretical +point of view in one of his pictures ... And while we're on the subject of chaos, I +believe that you might be interested in hearing about two different categories of +search, both of which are guaranteed to terminate. + +Achilles: Certainly. + +Tortoise: The first type of search-the non-chaotic type-is exemplified by the test involved +in checking for the Goldbach property. You just look at primes less than 2N, and if +some pair adds up to 2N, then 2N has the Goldbach property; otherwise, it doesn't. +This kind of test is not only sure to terminate, but you can predict BY '"HEN it will +terminate, as well. + +Achilles: So it is a PREDICTABLY TERMINATING test. Are you going to tell me that +checking for some number-theoretical properties involves tests which are guaranteed +to terminate, but about which there is no way to know in advance how long they will +take? + +Tortoise: How prophetic of you, Achilles. And the existence of such tests shows that +there is intrinsic chaos, in a certain sense, in the natural number system. + +Achilles: Well, in that case, I would have to say that people just don't know enough about +the test. If they did a little more research, they could figure out how long it will take, +at most, before it terminates. After all, there must always be some rhyme or reason to +the patterns among integers. There can't just be chaotic patterns which defy +prediction' + +Tortoise: I can understand your intuitive faith, Achilles. However, it's not always +justified. Of course, in many cases you are exactly right just because somebody +doesn't know something, one can't conclude that it is unknowable' But there are +certain properties of integers for which terminating tests can be proven to exist, and +yet about which it can also be PROVEN that there is no way to predict in advance +how long they will take. + +Achilles: I can hardly believe that. It sounds as if the devil himself managed to sneak in +and throw a monkey wrench into God's beautiful realm of natural numbers' + +Tortoise: Perhaps it will comfort you to know that it is by no means easy, or natural, to +define a property for which there is a terminating but not PREDICTABLY +terminating test. Most "natural" properties of integers do admit of predictably +terminating tests. For example, primeness, squareness, being a power of ten, and so +on. + +Achilles: Yes, I can see that those properties are completely straightforward to test for. +Will you tell me a property for which the only possible test is a terminating but +nonpredictable one? + +Tortoise: That's too complicated for me in my sleepy state. Let me instead show you a +property which is very easy to define, and yet for which no terminating test is +known. I'm not saying there won't ever be one discovered, mind you just that none is +known. You begin with a number-would you care to pick one? + +Achilles: How about 15? + +Tortoise: An excellent choice. We begin with your number, and if it is ODD, we triple it, +and add 1. If it is EVEN, we take half of it. Then we repeat the process. Call a +number which eventually reaches 1 this way a WONDROUS number, and a number +which doesn't, an UNWONDROUS number + +Achilles: Is 15 wondrous, or unwondrous? Let's see: + +* 15 is ODD, so I make 3n + 1: 46 + +* 46 is EVEN, so I take half: 23 + +* 23 is ODD, so I make 3n + 1: 70 + +* 70 is EVEN, so I take half: 35 + +* 35 is ODD, so I make 3n + 1: 106 + +* 106 is EVEN, so I take half: 53 + +* 53 is ODD, so I make 3n + 1: 160 + +* 160 is EVEN, so I take half: 80 + +* 80 is EVEN, so I take half: 40 + +* 40 is EVEN, so I take half: 20 + +* 20 is EVEN, so I take half: 10 + +* 10 is EVEN, so I take half: 5 + +* 5 is ODD, so I make 3n + 1: 16 + +* 16 is EVEN, so I take half: 8 + +* 8 is EVEN, so I take half: 4 + +* 4 is EVEN, so I take half: 2 + +* 2 is EVEN, so I take half: 1 + +Wow! That's quite a roundabout journey, from 15 to 1. But I finally reached it. That +shows that 15 has the property of being wondrous. I wonder what numbers are +UN wondrous ... + +Tortoise: Did you notice how the numbers swung up and down, in this simply defined +process? + +Achilles: Yes. I was particularly surprised, after thirteen turns, to find myself at 16, only +one greater than 15, the number I started with. In one sense, I was almost back where +I started-yet in another sense, I' was nowhere near where I had started. Also, I found +it quite curious that I had to go as high as 160 to resolve the question. I wonder how +come. + +Tortoise: Yes, there is an infinite "sky" into which you can sail, and it is very hard to +know in advance how high into the sky you will wind up sailing. Indeed, it is quite +plausible that you might just sail up and up and up, and never come down. + +Achilles: Really? I guess that is conceivable-but what a weird coincidence it would +require! You'd just have to hit odd number after odd number, with only a few evens +mixed in. I doubt if that would ever happen-but I just don't know for sure. + +Tortoise: Why don't you try starting with 27? Mind you, I don't promise anything. But +sometime, just try it, for your amusement. And I'd advise you to bring along a rather +large sheet of paper. + +Achilles: Hmm ... Sounds interesting. You know, it still makes me feel funny to associate +the wondrousness (or unwondrousness) with the starting number, when it is so +obviously a property of the entire number system. + +Tortoise: I understand what you mean, but it's not that different from saying “29 is +prime” or “gold is valuable” - both statements attribute to +a single entity a property which it has only by virtue of being embedded in a +particular context. + +Achilles: I suppose you're right. This "wondrousness" problem is wondrous tricky, +because of the way in which the numbers oscillate-now increasing, now decreasing. +The pattern OUGHT to be regular,-yet on the surface it appears to be quite chaotic. +Therefore, I can well imagine why, as of yet, no one knows of a test for the property +of wondrousness which is guaranteed to terminate. + +Tortoise: Speaking of terminating and nonterminating processes, and those which hover +in between, I am reminded of a friend of mine, an author, who is at work on a book. + +Achilles: Oh, how exciting! What is it called? + +Tortoise: Copper, Silver, Gold: an Indestructible Metallic Alloy. Doesn't that sound +interesting? + +Achilles: Frankly, I'm a little confused by the title. After all, what do Copper, Silver, and +Gold have to do with each other? Tortoise: It seems clear to me. + +Achilles: Now if the title were, say, Giraffes, Silver, Gold, or Copper, Elephants, Gold, +why, I could see it.. . + +Tortoise: Perhaps you would prefer Copper, Silver, Baboons? + +Achilles: Oh, absolutely! But that original title is a loser. No one would understand it. + +Tortoise: I'll tell my friend. He'll be delighted to have a catchier title (as will his +publisher). + +Achilles: I'm glad. But how were you reminded of his book by our discussion? + +Tortoise: Ah, yes. You see, in his book there will be a Dialogue in which he wants to +throw readers off by making them SEARCH for the ending. + +Achilles: A funny thing to want to do. How is it done? + +Tortoise: You've undoubtedly noticed how some authors go to so much trouble to build +up great tension a few pages before the end of their stories-but a reader who is +holding the book physically in his hands can FEEL that the story is about to end. +Hence, he has some extra information which acts as an advance warning, in a way. +The tension is a bit spoiled by the physicality of the book. It would be so much better +if, for instance, there were a lot of padding at the end of novels. + +Achilles: Padding? + +Tortoise: Yes; what I mean is, a lot of extra printed pages which are not part of the story +proper, but which serve to conceal the exact location of the end from a cursory +glance, or from the feel of the book. + +Achilles: I see. So a story's true ending might occur, say, fifty or a hundred pages before +the physical end of the book? + +Tortoise: Yes. This would provide an element of surprise, because the reader wouldn't +know in advance how many pages are padding, and how many are story. + +Achilles: If this were standard practice, it might be quite effective. But +there is a problem. Suppose your padding were very obvious-such as a lot of blanks, +or pages covered with X's or random letters. Then, it would be as good as absent. + +Tortoise: Granted. You'd have to make it resemble normal printed pages. + +Achilles: But even a cursory glance at a normal page from one story will often suffice to +distinguish it from another story. So you will have to make the padding resemble the +genuine story rather closely. + +Tortoise: That's quite true. The way I've always envisioned it is this: you bring the story +to an end; then without any break, you follow it with something which looks like a +continuation but which is in reality just padding, and which is utterly unrelated to the +true theme. The padding is, in a way, a "post-ending ending". It may contain +extraneous literary ideas, having little to do with the original theme. + +Achilles: Sneaky! But then the problem is that you won't be able to tell when the real +ending comes. It'll just blend right into the padding. + +Tortoise: That's the conclusion my author friend and I have reached as well. It's a shame, +for I found the idea rather appealing. + +Achilles: Say, I have a suggestion. The transition between genuine story and padding +material could be made in such a way that, by sufficiently assiduous inspection of +the text, an intelligent reader will be able to detect where one leaves off and the other +begins. Perhaps it will take him quite a while. Perhaps there will be no way to +predict how long it will take ... But the publisher could give a guarantee that a +sufficiently assiduous search for the true ending will always terminate, even if he +can't say how long it will be before the test terminates. + +Tortoise: Very well-but what does "sufficiently assiduous" mean? + +Achilles: It means that the reader must be on the lookout for some small but telltale +feature in the text which occurs at some point. That would signal the end. And he +must be ingenious enough to think up, and hunt for, many such features until he +finds the right one. + +Tortoise: Such as a sudden shift of letter frequencies or word lengths? Or a rash of +grammatical mistakes? + +Achilles: Possibly. Or a hidden message of some sort might reveal the true end to a +sufficiently assiduous reader. Who knows? One could even throw in some +extraneous characters or events which are inconsistent with the spirit of the +foregoing story. A naive reader would swallow the whole thing, whereas a +sophisticated reader would be able to spot the dividing line exactly. + +Tortoise: That's a most original idea, Achilles. I'll relay it to my friend, and perhaps he +can incorporate it in his Dialogue. + +Achilles: I would be highly honored. + +Tortoise: Well, I am afraid that I myself am growing a little groggy, Achilles. It would be +well for me to take my leave, while I am still capable of navigating my way home. + +Achilles: I am most flattered' that you have stayed up for so long, and at such an odd hour +of the night, just for my benefit. I assure you that +your number-theoretical entertainment has been a perfect antidote to my usual +tossing and turning. And who knows-perhaps I may even be able to go to sleep +tonight. As a token of my gratitude, Mr. T, I would like to present you with a special +gift. + +Tortoise: Oh, don't be silly, Achilles. + +Achilles: It is my pleasure, Mr. T. Go over to that dresser; on it, you will see an Asian +box. + +(The Tortoise moseys over to Achilles' dresser.) + +Tortoise. You don't mean this very gold Asian box, do you? + +Achilles: That's the one. Please accept it, Mr. T, with my warmest compliments. + +Tortoise: Thank you very much indeed, Achilles. Hmm ... Why are all these +mathematicians' names engraved on the top? What a curious list: + +* De Morgan + +* Abel + +* Boole + +* Brouwer + +* Sierpinski + +* Weierstrass + +Achilles: I believe it is supposed to be a Complete List of All Great Mathematicians. +What I haven't been able to figure out is why the letters running down the diagonal +are so much bolder. + +Tortoise: At the bottom it says, "Subtract 1 from the diagonal, to find Bach in Leipzig". +Achilles: I saw that, but I couldn't make head or tail of it. Say, how about a shot of +excellent whiskey? I happen to have some in that decanter on my shelf. + +Tortoise: No, thanks. I'm too tired. I'm just going to head home. (Casually, he opens the +box.) Say, wait a moment, Achilles-there are one hundred Louis d'or in here! + +Achilles: I would be most pleased if you would accept them, Mr. T. Tortoise: But-but +Achilles: No objections, now. The box, the gold-they're yours. And thank you for an +evening without parallel. + +Tortoise: Now whatever has come over you, Achilles? Well, thank you for your +outstanding generosity and I hope you have sweet dreams about the strange +Goldbach Conjecture, and its Variation. Good night. + +(And he picks up the very gold Asian box filled with the one hundred Louis d'or, and +walks towards the door. As he is about to leave, there is a loud knock.) + +Who could be knocking at this ungodly hour, Achilles? + +Achilles: I haven't the foggiest idea. It seems suspicious to me. Why don't you go hide +behind the dresser, in case there's any funny business. + +Tortoise: Good idea. (Scrambles in behind the dresser.) Achilles: Who's there? + +Voice: Open up-it's the cops. + +Achilles: Come in, it's open. + +(Two burly policemen walk in, wearing shiny badges.) + +Cop: I'm Silva. This is Gould. (Points at his badge.) Is there an Achilles at this address? +Achilles: That's me! + +Cop: Well, Achilles, we have reason to believe that there is a very gold Asian box here, +filled with one hundred Louis d'or. Someone absconded with it from the museum +this afternoon. Achilles: Heavens to Betsy! + +Cop: If it is here, Achilles, since you would be the only possible suspect, I' regret to say +that I should have to take you into custody. Now I have here a search warrant +Achilles: Oh, sirs, am I ever glad you arrived! All evening long, I have been being +terrorized by Mr. Tortoise and his very Asian gold box. Now at last you have come +to liberate me! Please, sirs, just take a look behind that dresser, and there you will +find the culprit! + +(The cops look behind the dresser and spy the Tortoise huddled behind it, holding +his very gold Asian box, and trembling.) + +Cop: So there it is! And so Mr. Tortoise is the varmint, eh? I never would have suspected +HIM. But he's caught, red-handed. + +Achilles: Haul the villain away, kind sirs! Thank goodness, that's the last I'll have to hear +of him, and the Very Asian Gold Box! + +CHAPTER XIII: BlooP and FlooP and GlooP + +Self-Awareness and Chaos + +BLOOP, FLOOP, AND GLOOP are not trolls, talking ducks, or the sounds made by a +sinking ship-they are three computer languages, each one with is own special purpose. +These languages were invented specially for this chapter. They will be of use in +explaining some new senses of the word 'recursive -in particular, the notions of primitive +recursivity and general recursivity. They will prove very helpful in clarifying the +machinery of self-reference in TNT. + +We seem to be making a rather abrupt transition from brains and hinds to +technicalities of mathematics and computer science. Though the transition is abrupt in +some ways, it makes some sense. We just saw how a certain kind of self-awareness +seems to be at the crux of consciousness. Vow we are going to scrutinize "self- +awareness" in more formal settings, such as TNT. The gulf between TNT and a mind is +wide, but some of the ideas will be most illuminating, and perhaps metaphorically +transportable back to our thoughts about consciousness. + +One of the amazing things about TNT's self-awareness is that it is intimately +connected to questions about order versus chaos among the natural numbers. In +particular, we shall see that an orderly system of sufficient complexity that it can mirror +itself cannot be totally orderly-it must contain some strange, chaotic features. For readers +who have some Achilles in them, this will be hard to take. However, there is a "magical" +compensation: there is a kind of order to the disorder, which is now its own field of +study, called "recursive function theory". Unfortunately, we will not be able to do much +more than hint at the fascination of this subject. + +Representability and Refrigerators + +Phrases such as "sufficiently complex", "sufficiently powerful" and the like lave cropped +up quite often earlier. Just what do they mean? Let us go back to the battle of the Crab +and Tortoise, and ask, "What qualifies something as a record player?" The Crab might +claim that his refrigerator s a "Perfect" record player. Then to prove it, he could set any +record whatsoever atop it, and say, "You see-it's playing it!" The Tortoise, if he wanted to +counter this Zen-like act, would have to reply, "No-your refrigerator is too low-fidelity to +be counted as a phonograph: it cannot reproduce sounds-at all (let alone its self-breaking +sound)." The Tortoise +can only make a record called "I Cannot Be Played on Record Player X" provided that +Record Player X is really a record player! The Tortoise's method is quite insidious, as it +plays on the strength, rather than on the weakness, of the system. And therefore he +requires "sufficiently hi-fi" record players. + +Ditto for formal versions of number theory. The reason that TNT is a +formalization of N is that its symbols act the right way: that is, its theorems are not silent +like a refrigerator-they speak actual truths of N. Of course, so do the theorems of the pq- +system. Does it, too, count as "a formalization of number theory", or is it more like a +refrigerator? Well, it is a little better than a refrigerator, but it is still pretty weak. The pq- +system does not include enough of the core truths of N to count as "a number theory". + +What, then, are these "core truths" of N? They are the primitive recursive truths', +that means they involve only predictably terminating calculations. These core truths +serve for N as Euclid's first four postulates served for geometry: they allow you to throw +out certain candidates before the game begins, on the grounds of "insufficient power". +From here on out, the representability of all primitive recursive truths will be the +criterion for calling a system "sufficiently powerful". + +Ganto's Ax in Metamathematics + +The significance of the notion is shown by the following key fact: If you have a +sufficiently powerful formalization of number theory, then Godel’s method is applicable, +and consequently your system is incomplete. If, on the other hand, your system is not +sufficiently powerful (i.e., not all primitive recursive truths are theorems), then your +system is, precisely by virtue of that lack, incomplete. Here we have a reformulation of +"Ganto's Ax" in metamathematics: whatever the system does, Godel’s Ax will chop its +head off! Notice also how this completely parallels the high-fidelity-versus-low fidelity +battle in the Contracrostipunctus. + +Actually, it turns out that much weaker systems are still vulnerable to the Godel method; +the criterion that all primitive recursive truths need be represented as theorems is far too +stringent. It is a little like a thief who will only rob "sufficiently rich" people, and whose +criterion is that the potential victim should be carrying at least a million dollars in cash. +In the case of TNT, luckily, we will be able to act in our capacity as thieves, for the +million in cash is there-which is to say, TNT does indeed contain all primitive recursive +truths as theorems. + +Now before we plunge into a detailed discussion of primitive recursive functions +and predicates, I would like to tie thee themes of this Chapter to themes from earlier +Chapters, so as to provide a bit better motivation. + +Finding Order by Choosing the Right Filter + +We saw at a very early stage that formal systems can be difficult and unruly beasts +because they have lengthening and shortening rules, which can +possibly lead to never-ending searches among strings. The discovery of Godel-numbering +showed that any search for a string having a special typographical property has an +arithmetical cousin: an isomorphic search for an integer with a corresponding special +arithmetical property. Consequently, the quest for decision procedures for formal systems +involves solving the mystery of unpredictably long searches- chaos -among the integers. +Now in the Aria with Diverse Variations, I gave perhaps too much weight to apparent +manifestations of chaos in problems about integers. As a matter of fact, people have +tamed wilder examples of apparent chaos than the "wondrousness" problem, finding them +to be quite gentle beasts after all. Achilles' powerful faith in the regularity and +predictability of numbers should therefore be accorded quite a bit of respect-especially as +it reflects the beliefs of nearly all mathematicians up till the 1930's. To show why order +versus chaos is such a subtle and significant issue, and to tie it in with questions about the +location and revelation of meaning, I would like to quote a beautiful and memorable +passage from Arc Quanta Reall-a Galilean Dialogue by the late J. M. Jauch: + +SALVIATI Suppose I give you two sequences of numbers, such as: + +* 78539816339744830961566084... + +And, + +* 1, -1/3, +1/5, -1/7, +1/9, -1/11, +1/13, -1/15, ... + +If I asked you, Simplicio, what the next number of the first sequence is, what +would you say? + +SIMPLICIO I could not tell you. I think it is a random sequence and that there is +no law in it. + +SALVIATI And for the second sequence? + +SIMPLICIO That would be easy. It must be +1/17. + +SALVIATI Right. But what would you say if I told you that the first + +sequence is also constructed by a law and this law is in fact identical with the + +one you have just discovered for the second sequence? SIMPLICIO This does not +seem probable to me. + +SALVIATI But it is indeed so, since the first sequence is simply the beginning of +the decimal fraction [expansion] of the sum of the second. Its value is Tr/4. + +SIMPLICIO You are full of such mathematical tricks, but I do not see what this +has to do with abstraction and reality. + +SALVIATI The relationship with abstraction is easy to see. The first sequence +looks random unless one has developed through a process of abstraction a kind of +filter which sees a simple structure behind the apparent randomness. + +It is exactly in this manner that laws of nature are discovered. Nature + +presents us with a host of phenomena which appear mostly as chaotic randomness +until we select some significant events, and abstract from their particular, irrelevant +circumstances so that they become idealized. Only then can they exhibit their true +structure in full splendor. + +SAGREDO This is a marvelous idea! It suggests that when we try to understand +nature, we should look at the phenomena as if they were messages to be +understood. Except that each message appears to be random until we establish a code +to read it. This code takes the form of an abstraction, that is, we choose to ignore +certain things as irrelevant and we thus partially select the content of the message by +a free choice. These irrelevant signals form the "background noise," which will limit +the accuracy of our message. + +But since the code is not absolute there may be several messages in the same raw +material of the data, so changing the code will result in a message of equally deep +significance in something that was merely noise before, and conversely: In a new +code a former message may be devoid of meaning. + +Thus a code presupposes a free choice among different, complementary aspects, +each of which has equal claim to reality, if I may use this dubious word. + +Some of these aspects may be completely unknown to us now but they may +reveal themselves to an observer with a different system of abstractions. + +But tell me, Salviati, how can we then still claim that we discover something out +there in the objective real world? Does this not mean that we are merely creating +things according to our own images and that reality is only within ourselves? + +SALVIATI I don't think that this is necessarily so, but it is a question which +requires deeper reflection.' + +Jauch is here dealing with messages that come not from a "sentient being" but from +nature itself. The questions that we raised in Chapter VI on the relation of meaning to +messages can be raised equally well with messages from nature. Is nature chaotic, or is +nature patterned? And what is the role of intelligence in determining the answer to this +question? + +To back off from the philosophy, however, we can consider the point about the +deep regularity of an apparently random sequence. Might the function Q(n) from Chapter +V have a simple, nonrecursive explanation, too? Can every problem, like an orchard, be +seen from such an angle that its secret is revealed? Or are there some problems in number +theory which, no matter what angle they are seen from, remain mysteries? + +With this prologue, I feel it is time to move ahead to define the precise meaning +of the term "predictably long search". This will be accomplished in terms of the language +BlooP. + +Primordial Steps of the Language BlooP + +Our topic will be searches for natural numbers which have various properties. In order to +talk about the length of any search, we shall have to define some primordial steps, out of +which all searches are built, so that length can be measured in terms of number of steps. +Some steps which we might consider primordial are: + +adding any two natural numbers; + +multiplying any two natural numbers; + +determining if two numbers are equal; + +determining the larger (smaller) of two numbers. + +Loops and Upper Bounds + +If we try to formulate a test for, say, primality in terms of such steps, we shall soon see +that we have to include a control structure -that is, descriptions of the order to do things +in, when to branch back and try something again, when to skip over a set of steps, when +to stop, and similar matters. + +It is typical of any algorithm-that is, a specific delineation of how to carry out a task-that +it includes a mixture of (1) specific operations to be performed, and (2) control +statements. Therefore, as we develop our language for expressing predictably long +calculations, we shall have to incorporate primordial control structures also. In fact, the +hallmark of BlooP is its limited set of control structures. It does not allow you to branch +to arbitrary steps, or to repeat groups of steps without limit; in BlooP, essentially the only +control structure is the bounded loop: a set of instructions which can be executed over +and over again, up to a predefined maximum number of times, called the upper bound, or +ceiling, of the loop. If the ceiling were 300, then the loop might be executed 0, 7, or 300 +times-but not 301. + +Now the exact values of all the upper bounds in a program need not be put in numerically +by the programmer-indeed, they may not be known in advance. Instead, any upper bound +may be determined by calculations carried out before its loop is entered. For instance, if +you wanted to calculate the value of 2"', there would be two loops. First, you evaluate 3", +which involves n multiplications. Then, you put 2 to that power, which involves 3" +multiplications. Thus, the upper bound for the second loop is the result of the calculation +of the first loop. + +Here is how you would express this in a BlooP program: + +* DEFINE PROCEDURE "TWO-TO-THE-THREE-TO-THE" [N]: + +* BLOCK 0: BEGIN + +* CELL(O) <= 1; + +* LOOP N TIMES: + +* BLOCK 1: BEGIN + +* CELL(0)' 3 x CELL(O); + +* BLOCK 1: END; + +* CELL(l) <= 1; + +* LOOP CELL(O) TIMES: + +* BLOCK 2: BEGIN + +* CELL(l) # 2 X CELL(1); + +* BLOCK 2: END; + +* OUTPUT <= CELL( I); + +* BLOCK 0: END. + +Conventions of BlooP + +Now it is an acquired skill to be able to look at an algorithm written in a computer +language, and figure out what it is doing. However, I hope that this algorithm is simple +enough that it makes sense without too much +scrutiny. A procedure is defined, having one input parameter, N; its output is the desired +value. + +This procedure definition has what is called block structure , which means that +certain portions of it are to be considered as units, or blocks. All the statements in a block +get executed as a unit. Each block has a number (the outermost being BLOCK 0), and is +delimited by a BEGIN and an END. In our example, BLOCK 1 and BLOCK 2 contain +just one statement each but shortly you will see longer blocks. A LOOP statement always +means to execute the block immediately under it repeatedly. As can be seen above, +blocks can be nested. + +The strategy of the above algorithm is as described earlier. You begin by taking +an auxiliary variable, called CELL(O); you set it initially to 1, and then, in a loop, you +multiply it repeatedly by 3 until you've done so exactly N times. Next, you do the +analogous thing for CELL(l)-set it to 1, multiply by 2 exactly CELL(O) times, then +quit. Finally, you set OUTPUT to the value of CELL(l). This is the value returned to the +outside world-the only externally visible behavior of the procedure. + +A number of points about the notation should be made here. First, the meaning of +the left-arrow <= is this: + +Evaluate the expression to its right, then take the result and set the CELL (or OUTPUT) +on its left to that value. + +So the meaning of a command such as CELL(l) <= 3 X CELL(l) is to triple the value +stored in CELL(l). You may think of each CELL as being a separate word in the +memory of some computer. The only difference between a CELL and a true word is that +the latter can only hold integers up to some finite limit, whereas we allow a CELL to +hold any natural number, no matter how big. + +Every procedure in BlooP, when called, yields a value-namely the value of the +variable called OUTPUT. At the beginning of execution of any procedure, it is assumed +as a default option that OUTPUT has the value 0. That way, even if the procedure never +resets OUTPUT at all, OUTPUT has a well-defined value at all times. + +IF-Statements and Branching + +Now let us look at another procedure which will show us some other features of BlooP +which give it more generality. How do you find out, knowing only how to add, what the +value of M - N is? The trick is to add various numbers onto N until you find the one +which yields M. However, what happens if M is smaller than N? What if we are trying to +take 5 from 2? In the domain of natural numbers, there is no answer. But we would like +our BlooP procedure to give an answer anyway-let's say 0. Here, then, is a BlooP +procedure which does subtraction: + +* DEFINE PROCEDURE "MINUS" [M,N]: + +* BLOCK 0: BEGIN + +* IF M < N, THEN: + +* QUIT BLOCK 0; + +* LOOP AT MOST M + 1 TIMES: + +* BLOCK 1: BEGIN + +* IF OUTPUT + N = M, THEN: + +* ABORT LOOP 1; + +* OUTPUT, <= OUTPUT + 1; + +* BLOCK 1: END; + +* BLOCK 0: END. + +Here we are making use of the implicit feature that OUTPUT begins at 0. If M is +less than N, then the subtraction is impossible, and we simply jump to the bottom of +BLOCK 0 right away, and the answer is 0. That is what is meant by the line QUIT +BLOCK 0. But if M is not less than N, then we skip over that QUIT-statement, and +carry out the next command in sequence (here, a LOOP-statement). That is how IF- +statements always work in BlooP. + +So we enter LOOP 1, so called because the block which it tells us to repeat is +BLOCK 1. We try adding 0 to N, then 1, 2, etc., until we find a number that gives M. At +that point, we ABORT the loop we are in, meaning we jump to the statement +immediately following the END which marks the bottom of the loop's block. In this case, +that jump brings us just below BLOCK 1: END, which is to say, to the last statement of +the algorithm, and we are done. OUTPUT now contains the correct answer. + +Notice that there are two distinct instructions for jumping downwards: QUIT, and +ABORT. The former pertains to blocks, the latter to loops. QUIT BLOCK n means to +jump to the last line of BLOCK n, whereas ABORT LOOP n means to jump just below +the last line of BLOCK n. This distinction only matters when you are inside a loop and +want to continue looping but to quit the block this time around. Then you can say QUIT +and the proper thing will happen. + +Also notice that the words AT MOST now precede the upper bound of the loop, +which is a warning that the loop may be aborted before the upper bound is reached. + +Automatic Chunking + +Now there are two last features of BlooP to explain, both of them very important. The +first is that, once a procedure has been defined , it may be called inside later procedure +definitions. The effect of this is that once an operation has been defined in a procedure, it +is considered as simple as a primordial step. Thus, BlooP features automatic chunking. +You might compare it to the way a good ice skater acquires new motions: not by defining +them as long sequences of primordial muscle-actions, but in terms of previously learned +motions, which were themselves learned as compounds of earlier +learned motions, etc.-and the nestedness, or chunkedness, can go back many layers until +you hit primordial muscle-actions And thus, the repertoire of BlooP programs, like the +repertoire of a skater's tricks, grows, quite literally, by loops and bounds. + +BlooP Tests + +The other feature of BlooP is that certain procedures can have YES or NO as their +output, instead of an integer value. Such procedures are tests, rather than functions. To +indicate the difference, the name of a test must terminate in a question mark. Also, in a +test, the default option for OUTPUT is not 0, of course, but NO. + +Let us see an example of these last two features of BlooP in an algorithm which tests its +argument for primality: + +* DEFINE PROCEDURE "PRIME?" [N]: + +* BLOCK 0: BEGIN + +* IF N = 0, THEN: + +* QUIT BLOCK 0; + +* CELL(O) <= 2; + +* LOOP AT MOST MINUS [N,2] TIMES: + +* BLOCK 1: BEGIN + +* IF REMAINDER [N,CELL(0)] = 0, THEN: +QUIT BLOCK 0; + +* CELL(O) <= CELL(O) + 1; + +* BLOCK 1: END; + +* OUTPUT <= YES; + +* BLOCK 0: END. + +Notice that I have called two procedures inside this algorithm: MINUS and +REMAINDER. (The latter is presumed to have been previously defined, and you may +work out its definition yourself.) Now this test for primality works by trying out potential +factors of N one by one, starting at 2 and increasing to a maximum of N - 1. In case any +of them divides N exactly (i.e., gives remainder 0), then we jump down to the bottom, +and since OUTPUT still has its default value at this stage, the answer is NO. Only if N +has no exact divisors will it survive the entirety of LOOP 1; then we will emerge +smoothly at the statement OUTPUT <= YES, which will get executed, and then the +procedure is over. + +BlooP Programs Contain Chains of Procedures + +We have seen how to define procedures in BlooP; however, a procedure definition is only +a part of a program. A program consists of a chain of procedure definitions (each only +calling previously defined procedures), optionally followed by one or more calls on the +procedures defined. Thus, an +example of a full BlooP program would be the definition of the procedure TWO-TO- +THE-THREE-TO-THE, followed by the call +TWO-TO-THE-THREE-TO-THE [2] +which would yield an answer of 512. + +If you have only a chain of procedure definitions, then nothing ever gets executed; +they are all just waiting for some call, with specific numerical values, to set them in +motion. It is like a meat grinder waiting for some meat to grind-or rather, a chain of meat +grinders all linked together, each of which is fed from earlier ones ... In the case of meat +grinders, the image is perhaps not so savory; however, in the case of BlooP programs, +such a construct is quite important, and we will call it a "call-less program". This notion +is illustrated in Figure 72. + +Now BlooP is our language for defining predictably terminating calculations. The +standard name for functions which are BlooP-computable is primitive recursive +functions; and the standard name for properties which can be detected by BlooP-tests is +primitive recursive predicates. Thus, the function 2 3n is a primitive recursive function; +and the statement "n is a prime number" is a primitive recursive predicate. + +It is clear intuitively that the Goldbach property is primitive recursive, and to +make that quite explicit, here is a procedure definition in BlooP, showing how to test for +its presence or absence: + +* DEFINE PROCEDURE "GOLDBACH?" [N]: + +* BLOCK 0: BEGIN + +* CELL(O) 2; + +* LOOP AT MOST N TIMES: + +* BLOCK 1: BEGIN + +* IF {PRIME? [CELL(O)] + +* AND PRIME? [MINUS [N,CELL(0)]]}, + +* THEN: + +* BLOCK 2: BEGIN + +* OUTPUT,# YES; + +* QUIT BLOCK 0-, + +* BLOCK 2: END + +* CELL(O) <= CELL(O) + + +* BLOCK 1: END; + +* BLOCK 0: END. + +As usual, we assume NO until proven YES, and we do a brute force search among pairs +of numbers which sum up to N. If both are prime, we quit the outermost block; otherwise +we just go back and try again, until all possibilities are exhausted. + +(Warning: The fact that the Goldbach property is primitive recursive does not make the +question “Do all numbers have the Goldbach property?” a simple question-far from it!) + +Suggested Exercises + +Can you write a similar BlooP procedure which tests for the presence or absence of the +Tortoise property (or the Achilles property)? If so, do it. If not, is it merely because you +are ignorant about upper bounds, or could it be that there is a fundamental obstacle +preventing the formulation of such an algorithm in BlooP? And what about the same +questions, with respect to the property of wondrousness, defined in the Dialogue? + +Below, I list some functions and properties, and you ought to take the time to determine +whether you believe they are primitive recursive (BlooP-programmable) or not. This +means that you must carefully consider what kinds of operations will be involved in the +calculations which they require, and whether ceilings can be given for all the loops +involved. + +* FACTORIAL [N] = NI (the factorial of N) +(e.g., FACTORIAL [4] = 24) + +* REMAINDER [M,N] = the remainder upon dividing M by N +(e.g., REMAINDER [24,7] = 3) + +* PI-DIGIT [N] = the Nth digit of pi, after the decimal point + +(e.g. PI-DIGIT [1] = 1, + +* PI-DIGIT [2] = 4 + +* PI-DIGIT [1000000] = 1) + +* FIBO [N] = the Nth Fibonacci number +(e.g., FIBO [9] = 34) + +* PRIME-BEYOND [N[ = the lowest prime beyond N +(e g., PRIME-BEYOND [33] = 37) + +* PERFECT [N] = the Nth "perfect" number (a number such as 28 whose divisors sum up +to itself: 28 = 1 + 2 + 4 + 7 + 14) +(e.g., PERFECT [2] = 28) + +* PRIME? [N] = YES if N is prime, otherwise NO. + +* PERFECT? [N] = YES if N is perfect, otherwise NO. + +* TRIVIAL? [A,B,C,N] = YES if A"+B" = C n is correct; otherwise NO. +(e.g., TRIVIAL? [3,4,5,2] = YES, + +* TRIVIAL? [3,4,5,3] = NO) + +* PIERRE? [A,B,C] = YES if A"+B" = C" is satisfiable for some value of N greater than +1, otherwise NO. +(e.g., PIERRE? [3,4,5] = YES, + +* PIERRE? [1,2,3] = NO) + +* FERMAT? [N] = YES if A"+B" = CN is satisfied by some positive +values of A, B, C; otherwise NO. +(e.g., FERMAT? [2] = YES) + +* TORTOISE-PAIR? [M,N] = YES if both M and M + N are prime, otherwise NO. +(e.g., ORTOISE-PAIR [5,1742] = YES, + +* TORTOISE-PAIR [5,100] = NO) + +* TORTOISE? [N] = YES if N is the difference of two primes, otherwise NO. +(e.g., TORTOISE [1742] = YES, + +* TORTOISE [7] = NO) + +* MIU-WELL-FORMED? [N] = YES if N, when seen as a string of the MlU-System, is +well-formed; otherwise NO. +(e.g., MIU-WELL-FORMED? [310] = YES, + +* MIU-WELL-FORMED? [415] = NO) + +* MIU-PROOF-PAIR? [M,N] = YES If M, as seen as a sequence of strings of the MIU- +system, is a derivation of N, as seen as a string of the MlU-system; otherwise NO. +(e.g., MIU-PROOF-PAIR? [3131131111301,301] = YES, +MIU-PROOF-PAIR? [311130,30] = NO) + +* MIU-THEOREM? [N] = YES if N, seen as a MlU-system string, is a theorem; +otherwise NO. +(e.g., MIU-THEOREM? [311] = YES, + +* MIU-THEOREM? [30] = NO, + +* MIU-THEOREM? [701] = NO) + +* TNT-THEOREM? [N] = YES if N, seen as a TNT-string, is a theorem. +(e.g., TNT-THEOREM? [666111666] = YES, + +* TNT-THEOREM? [123666111666] = NO, + +* TNT-THEOREM? [7014] = NO) + +* FALSE? [N] = YES if N, seen as a TNT-string, is a false statement of number theory; +otherwise NO. +(e.g., FALSE? [6661 1 1666] = NO, + +* FALSE? [2236661 1 1666] = YES, + +* FALSE? [7014] = NO) + +The last seven examples are particularly relevant to our future metamathematical +explorations, so they highly merit your scrutiny. + +Expressibility and Representability + +Now before we go on to some interesting questions about BlooP and are led to its +relative, FlooP, let us return to the reason for introducing BlooP in the first place, and +connect it to TNT. Earlier, I stated that the critical mass for Godel’s method to be +applicable to a formal system is attained when all primitive recursive notions are +representable in that system. Exactly what does this mean? First of all, we must +distinguish between the notions of representability and expressibility. Expressing a +predicate is a mere matter of translation from English into a strict formalism. It has +nothing to do with theoremhood. For a predicate to be represented, on the other hand, is a +much stronger notion. It means that + +(1) All true instances of the predicate are theorems; + +(2) All false instances are nontheorems. + +By "instance", I mean the string produced when you replace all free variables by +numerals. For example, the predicate m + n = k is represented in the pq-system, because +each true instance of the predicate is a theorem, each false instance is a nontheorem. Thus +any specific addition, whether true or false, translates into a decidable string of the pq- +system. However, the pq-system is unable to express-let alone represent-any other +properties of natural numbers. Therefore it would be a weak candidate indeed in a +competition of systems which can do number theory. + +Now TNT has the virtue of being able to express virtually any number-theoretical +predicate; for example, it is easy to write a TNT-string which expresses the predicate "b +has the Tortoise property". Thus, in terms of expressive power, TNT is all we want. + +However, the question "Which properties are represented in TNT?" is Precisely +the question "How powerful an axiomatic system is TNT?" Are all Possible predicates +represented in TNT? If so, then TNT can answer any question of number theory; it is +complete. + +Primitive Recursive Predicates Are Represented in TNT + +Now although completeness will turn out to be a chimera. TNT is at least complete with +respect to primitive recursive predicates. In other words, any statement of number theory +whose truth or falsity can be decided by a +computer within a predictable length of time is also decidable inside TNT. Or, one final +restatement of the same thing: + +If a BlooP test can be written for some property of natural numbers, then that +property is represented in TNT. + +Are There Functions Which Are Not Primitive Recursive? + +Now the kinds of properties which can be detected by BlooP tests are widely varied, +including whether a number is prime or perfect, has the Goldbach property, is a power of +2, and so on and so forth. It would not be crazy to wonder whether every property of +numbers can be detected by some suitable BlooP program. The fact that, as of the present +moment, we have no way of testing whether a number is wondrous or not need not +disturb us too much, for it might merely mean that we are ignorant about wondrousness, +and that with more digging around, we could discover a universal formula for the upper +bound to the loop involved. Then a BlooP test for wondrousness could be written on the +spot. Similar remarks could be made about the Tortoise property. + +So the question really is, "Can upper bounds always be given for the length of +calculations-or, is there an inherent kind of jumbliness to the natural number system, +which sometimes prevents calculation lengths from being predictable in advance?" The +striking thing is that the latter is the case, and we are about to see why. It is the sort of +thing that would have driven Pythagoras, who first proved that the square root of 2 is +irrational, out of his mind. In our demonstration, we will use the celebrated diagonal +method, discovered by Georg Cantor, the founder of set theory. + +Pool B, Index Numbers, and Blue Programs + +We shall begin by imagining a curious notion: the pool of all possible BlooP programs. +Needless to say, this pool-"Pool B"-is an infinite one. We want to consider a subpool of +Pool B, obtained by three successive filtering operations. The first filter will retain for us +only call-less programs. From this subpool we then eliminate all tests, leaving only +functions. (By the way, in call-less programs, the last procedure in the chain determines +whether the program as a whole is considered a test, or a function.) The third filter will +retain only functions which have exactly one input parameter. (Again referring to the +final procedure in the chain.) What is left? + +A complete pool of all call-less BlooP programs which calculate functions of +exactly one input parameter. + +Let us call these special BlooP programs Blue Programs. + +What we would like to do now is to assign an unambiguous index +number to each Blue Program. How can this be done? The easiest way-we shall use it- +is to list them in order of length: the shortest possible. Blue +Program being # 1, the second shortest being #2, etc. Of course, there will be many +programs tied for each length. To break such ties, we use alphabetical order. Here, +"alphabetical order" is taken in an extended sense, where the alphabet includes all the +special characters of BlooP, in some arbitrary order, such as the following: + +* ABCDEFGHIJK LMN + +* OPQRSTUVWXY Z + x + +* 0123456789 <==>> + +()[]{}-'?:; , • + +-and at the end comes the lowly blank! Altogether, fifty-six characters. For convenience's +sake, we can put all Blue Programs of length 1 in Volume 1, programs of 2 characters in +Volume 2, etc. Needless to say, the first few volumes will be totally empty, while later +volumes will have many, many entries (though each volume will only have a finite +number). The very first Blue Program would be this one: + +* DEFINE PROCEDURE "A" [B]: + +* BLOCK 0: BEGIN + +* BLOCK 0: END. + +This rather silly meat grinder returns a value of 0 no matter what its input is. It occurs in +Volume 56, since it has 56 characters (counting necessary blanks, including blanks +separating successive lines). + +Soon after Volume 56, the volumes will get extremely fat, because there are just +so many millions of ways of combining symbols to make Blue BlooP programs. But no +matter-we are not going to try to print out this infinite catalogue. All that we care about is +that, in the abstract, it is well-defined, and that each Blue BlooP program therefore has a +unique and definite index number. This is the crucial idea. + +Let us designate the function calculated by the kth Blue Program this way: + +* Blueprogram{#k} [N] + +Here, k is the index number of the program, and N is the single input parameter. For +instance, Blue Program #12 might return a value twice the size of its input: + +* Blueprogram{#12} [N] = 2 x N + +The meaning of the equation above is that the program named on the left-hand side +returns the same value as a human would calculate from the ordinary algebraic +expression on the right-hand side. As another example, perhaps the 5000th Blue Program +calculates the cube of its input parameter: + +* Blueprogram{#5000} [N] = N3 + +The Diagonal Method + +Very well-now we apply the "twist": Cantor's diagonal method. We shall take this +catalogue of Blue Programs and use it to define a new function of one variabl e-Bluediag +[N]-which will turn out not to be anywhere in the list (which is why its name is in italics). +Yet Bluediag will clearly be a well-defined, calculable function of one variable, and so +we will have to conclude that functions exist which simply are not programmable in +BlooP. + +Here is the definition of Bluediag ~N]: + +* Equation (1)... Bluediag [N] = 1 + Blueprogram{#N} [N] + +The strategy is: feed each meat grinder with its own index number, then add 1 to the +output. To illustrate, let us find Bluediag [12], We saw that Blueprogram{# 12} is the +function 2N; therefore, Bluediag [12] must have the value 1 + 2 x 12, or 25. Likewise, +Bluediag [5000] would have the value 125,000,000,001, since that is 1 more than the +cube of 5000. Similarly, you can find Bluediag of any particular argument you wish. + +The peculiar thing about Bluediag [N] is that it is not represented in the catalogue +of Blue Programs. It cannot be. The reason is this. To be a Blue Program, it would have +to have an index number-say it were Blue Program # X. This assumption is expressed by +writing + +* Equation (2)... Bluediag [N] = Blueprogram{# X] [N] + +But there is an inconsistency between the equations (1) and (2). It becomes apparent at +the moment we try to calculate the value of Bluediag [ X], for we can do so by letting N +take the value of X in either of the two equations. If we substitute into equation (1), we +get: + +* Bluediag [ X] = 1 + Blueprogram{# X] [ X] + +But if we substitute into equation (2) instead, we get: + +* Bluediag [ X] = Blueprogram}# X] [ X] + +Now Bluediag [ X] cannot be equal to a number and also to the successor of that number. +But that is what the two equations say. So we will have to go back and erase some +assumption on which the inconsistency is based. The only possible candidate for erasure +is the assumption expressed by Equation (2): that the function Bluediag [N] is able to be +coded up as a Blue BlooP program. And that is the proof that Bluediag lies outside the +realm of primitive recursive functions. Thus, we have achieved our aim of destroying +Achilles' cherished but naive notion that every number-theoretical function must be +calculable within a predictable number of steps. + +There are some subtle things going on here. You might ponder this, for instance: +the number of steps involved in the calculation of Bluediag [N],for each specific value of +N, is predictable-but the different methods of prediction cannot all be united into a +general recipe for predicting the length of calculation of Bluediag [N]. This is an "infinite conspiracy", related to +the Tortoise's notion of "infinite coincidences", and also to w-incompleteness. But we +shall not trace out the relations in detail. + +Cantor's Original Diagonal Argument + +Why is this called a diagonal argument? The terminology comes from Cantor's original +diagonal argument, upon which many other arguments (such as ours) have subsequently +been based. To explain Cantor's original argument will take us a little off course, but it is +worthwhile to do so. Cantor, too, was concerned with showing that some item is not in a +certain list. Specifically, what Cantor wanted to show was that if a "directory" of real +numbers were made, it would inevitably leave some real numbers out-so that actually, the +notion of a complete directory of real numbers is a contradiction in terms. + +It must be understood that this pertains not just to directories of finite size, but +also to directories of infinite size. It is a much deeper result than the statement "the +number of reals is infinite, so of course they cannot be listed in a finite directory". The +essence of Cantor's result is that there are (at least) two distinct types of infinity: one kind +of infinity describes how many entries there can be in an infinite directory or table, and +another describes how many real numbers there are (i.e., how many points there are on a +line, or line segment)-and this latter is "bigger", in the sense that the real numbers cannot +be squeezed into a table whose length is described by the former kind of infinity. So let +us see how Cantor's argument involves the notion of diagonal, in a literal sense. + +Let us consider just real numbers between 0 and 1. Assume, for the sake of +argument, that an infinite list could be given, in which each positive integer N is matched +up with a real number r(N) between 0 and 1, and in which each real number between 0 +and 1 occurs somewhere down the line. Since real numbers are given by infinite +decimals, we can imagine that the beginning of the table might look as follows: + +* r(l): -1 + +* r(2): .3 + +* r(3): .7 + +* r(4): .4 + +* r(5): .5 + +* 4 1 + +* 3 3 + +* 1 8 + +* 1 4 + +* 0 0 + +* 5 9 + +* 3 3 + +* 2 8 + +* 2 1 + +* 0 0 + +* 2 6 + +* 3 3 + +* 1 8 + +* 3 5 + +* 0 0 + +* 5 3 + +* 3 3 + +* 2 8 + +* 6 2 + +* 0 0 + +The digits that run down the diagonal are in boldface: 1, 3, 8, 2, 0.... Now those diagonal +digits are going to be used in making a special real number d, which is between 0 and 1 +but which, we will see, is not in the list. To make d, you take the diagonal digits in order, +and change each one of them to some other digit. When you prefix this sequence of digits +by a decimal point you have d. There are of course many ways of changing a digit to +some other digit, and correspondingly many different d's. Suppose for, +example, that we subtract 1 from the diagonal digits (with the convention that 1 taken +from 0 is 9). Then our number d will be: + +* .0 2 7 1 9. + +Now, because of the way we constructed it, + +* d's 1st digit is not the same as the 1st digit of r(l); + +* d's 2nd digit is not the same as the 2nd digit of r(2); + +* d's 3rd digit is not the same as the 3rd digit of r(3); + +... and so on. + +Hence, + +* d is different from r(l); + +* d is different from r(2); + +* d is different from r(3); + +... and soon. + +In other words, d is not in the list! + +What Does a Diagonal Argument Prove? + +Now comes the crucial difference between Cantor's proof and our proofit is in the matter +of what assumption to go back and undo. In Cantor's argument, the shaky assumption +was that such a table could be drawn up. Therefore, the conclusion warranted by the +construction of d is that no exhaustive table of reals can be drawn up after all-which +amounts to saying that the set of integers is just not big enough to index the set of reals. +On the other hand, in our proof, we know that the directory of Blue BlooP programs can +be drawn up-the set of integers is big enough to index the set of Blue BlooP programs. +So, we have to go back and retract some shakier idea which we used. And that idea is that +Bluediag [N] is calculable by some program in BlooP. This is a subtle difference in the +application of the diagonal method. + +It may become clearer if we apply it to the alleged "List of All Great +Mathematicians" in the Dialogue-a more concrete example. The diagonal itself is +"Dboups". If we perform the desired diagonal-subtraction, we will get "Cantor". Now two +conclusions are possible. If you have an unshakable belief that the list is complete, then +you must conclude that Cantor is not a Great Mathematician, for his name differs from all +those on the list. On the other hand, if you have an unshakable belief that Cantor is a +Great Mathematician, then you must conclude that the List of All Great Mathematicians +is incomplete, for Cantor's name is not on the list! (Woe to those who have unshakable +beliefs on both sides!) The former case corresponds to our proof that Bluediag [N] is not +primitive recursive; the latter case corresponds to Cantor's proof that the list of reals is +incomplete; +Cantor’s proof uses a diagonal in the literal sense of the word. Other "diagonal* proofs are +based on a more general notion, which is abstracted from the geometric sense of the +word. The essence of the diagonal method is the fact of using one integer in two different +ways-or, one could say, using one integer on two different tevW.y-thanks to which one can +construct an item which is outside of some predetermined list. One time, the integer +serves as a vertical index, the other time as a horizontal index. In Cantor's construction +this is very clear. As for the function Bluediag [N], it involves using one integer on two +different levels-first, as a Blue Program index number; and second, as an input parameter. + +The Insidious Repeatability of the Diagonal Argument + +At first, the Cantor argument may seem less than fully convincing. Isn't there some way +to get around it? Perhaps by throwing in the diagonally constructed number d, one might +obtain an exhaustive list. If you consider this idea, you will see it helps not a bit to throw +in the number d, for as soon as you assign it a specific place in the table, the diagonal +method becomes applicable to the new table, and a new missing number d’ can be +constructed, which is not in the new table. No matter how many times you repeat the +operation of constructing a number by the diagonal method and then throwing it in to +make a "more complete" table, you still are caught on the ineradicable hook of Cantor’s +method. You might even try to build a table of reals which tries to outwit the Cantor +diagonal method by taking +the whole trick, lock, stock, and barrel, including its insidious repeatability, into account +somehow. It is an interesting exercise. But if you tackle it, you will see that no matter +how you twist and turn trying to avoid the Cantor "hook", you are still caught on it. One +might say that any self-proclaimed "table of all reals" is hoist by its own petard. + +The repeatability of Cantor's diagonal method is similar to the repeatability of the +Tortoise's diabolic method for breaking the Crab's phonographs, one by one, as they got +more and more "hi-fi" and-at least so the Crab hoped-more "Perfect". This method +involves constructing, for each phonograph, a particular song which that phonograph +cannot reproduce. It is not a coincidence that Cantor's trick and the Tortoise's trick share +this curious repeatability; indeed, the Contracrostipunctus might well have been named +" Cantorcrostipunctus" instead. Moreover, as the Tortoise subtly hinted to the innocent +Achilles, the events in the Contracrostipunctus are a paraphrase of the construction which +Godel used in proving his Incompleteness Theorem; it follows that the Godel +construction is also very much like a diagonal construction. This will become quite +apparent in the next two Chapters. + +From BIooP to FIooP + +We have now defined the class of primitive recursive functions and primitive recursive +properties of natural numbers by means of programs written in the language BIooP. We +have also shown that BIooP doesn't capture all the functions of natural numbers which we +can define in words. We even constructed an "unBlooPable" function, Bluediag [N], by +Cantor's diagonal method. What is it about BIooP that makes Bluediag unrepresentable in +it? How could BIooP be improved so that Bluediag became representable? + +BlooP's defining feature was the boundedness of its loops. What if we drop that +requirement on loops, and invent a second language, called "FIooP" ('F' for "free")? +FIooP will be identical to BIooP except in one respect: we may have loops without +ceilings, as well as loops with ceilings (although the only reason one would include a +ceiling when writing a loop-statement in FIooP would be for the sake of elegance). These +new loops will be called MU-LOOPS. This follows the convention of mathematical +logic, in which "free" searches (searches without bounds) are usually indicated by a +symbol called a "p-ope rat or" (mu-operator). Thus, loop statements in FIooP may look +like this: + +* MU-LOOP: + +* BLOCK n: BEGIN + +* BLOCK n: END + +This feature will allow us to write tests in FlooP for such properties as wondrousness +and the Tortoise property-tests which we did not know how to program in BlooP because +of the potential open-endedness of the searches involved. I shall leave it to interested +readers to write a FlooP test for wondrousness which does the following things: + +(1) If its input, N, is wondrous, the program halts and gives the answer YES. + +(2) If N is unwondrous, but causes a closed cycle other than 1-4-2-1-4-2-1- ... , the +program halts and gives the answer NO. + +(3) If N is unwondrous, and causes an "endlessly rising progression", the program +never halts. This is FlooP's way of answering by not answering. FlooP's +nonanswer bears a strange resemblance to Joshu's nonanswer "MU". + +The irony of case 3 is that OUTPUT always has the value NO, but it is always +inaccessible, since the program is still grinding away. That troublesome third alternative +is the price that we must pay for the right to write free loops. In all FlooP programs +incorporating the MU-LOOP option, nontermination will always be one theoretical +alternative. Of course there will be many FlooP programs which actually terminate for all +possible input values. For instance, as I mentioned earlier, it is suspected by most people +who have studied wondrousness that a FlooP program such as suggested above will +always terminate, and moreover with the answer YES each time. + +Terminating and Nonterminating FlooP Programs + +It would seem extremely desirable to be able to separate FlooP procedures into two +classes: terminators and nonterminators. A terminator will eventually halt no matter what +its input, despite the "MU-ness" of its loops. A nonterminator will go on and on forever, +for at least one choice of input. If we could always tell, by some kind of complicated +inspection of a FlooP program, to which class it belonged, there would be some +remarkable repercussions (as we shall shortly see). Needless to say, the operation of +class-checking would itself have to be a terminating operation-otherwise +one would gain nothing! + +Turing's Trickery + +The idea springs to mind that we might let a BlooP procedure do the inspection. But +BlooP procedures only accept numerical input, not programs! However, we can get +around that ... by coding programs into numbers! This sly trick is just Godel-numbering +in another of its many +a very long Godel number. For instance, the shortest BlooP function (which is also a +terminating FlooP program) + +* DEFINE PROCEDURE "A" [B]: + +* BLOCK 0: BEGIN + +* BLOCK 0: END. + +-would get the Godel number partially shown below: + +* 904, 905, 906, 909, 914, 905 905, 914.904, 955, + +* DEFINE END. + +Now our scheme would be to write a BlooP test called TERMINATOR? which +says YES if its input number codes for a terminating FlooP program, NO if not. This way +we could hand the task over to a machine and with luck, distinguish terminators from +non terminators. However, an ingenious argument given by Alan Turing shows that no +BlooP program can make this distinction infallibly. The trick is actually much the same +as Godel’s trick, and therefore closely related to the Cantor diagonal trick. We shall not +give it here-suffice it to say that the idea is to feed the termination tester its own Godel +number. This is not so simple, however, for it is like trying to quote an entire sentence +inside itself. You have to quote the quote, and so forth; it seems to lead to an infinite +regress. However, Turing figured out a trick for feeding a program its own Godel +number. A solution to the same problem in a different context will be presented next +Chapter. In the present Chapter, we shall take a different route to the same goal, which is +namely to prove that a termination tester is impossible. For readers who wish to see an +elegant and simple presentation of the Turing approach, I recommend the article by +Hoare and Allison, mentioned in the Bibliography. + +A Termination Tester Would Be Magical + +Before we destroy the notion, let us delineate just why having a termination tester would +be a remarkable thing. In a sense, it would be like having a magical dowsing rod which +could solve all problems of number theory in one swell FlooP. Suppose, for instance, that +we wished to know if the Goldbach Variation is a true conjecture or not. That is, do all +numbers have the Tortoise property? We would begin by writing a FlooP test called +TORTOISE? which checks whether its input has the Tortoise property. Now the defect +of this procedure-namely that it doesn't terminate if the Tortoise property is absent-here +turns into a virtue! For now we run the termination tester on the procedure TORTOISE?. +If it says YES, that means that TORTOISE? terminates for all values of its input-in other +words, all numbers have the Tortoise property. If it says NO, then we know there exists a +number which has the Achilles property. The irony is that we never actually use the +program TORTOISE at all-we just inspect it. + +This idea of solving any problem in number theory by coding it into a +program and then waving a termination tester over the program is not unlike the idea of +testing a khan for genuineness by coding it into a folded string and then running a test for +Buddha-nature on the string instead. As + +Achilles suggested, perhaps the desired information lies "closer to the surface" in one +representation than in another. + +Pool F, Index Numbers, and Green Programs + +Well, enough daydreaming. How can we prove that the termination tester is impossible? +Our argument for its impossibility will hinge on trying to apply the diagonal argument to +FlooP, just as we did to BlooP. We shall see that there are some subtle and crucial +differences between the two cases. + +As we did for BlooP, imagine the pool of all FlooP programs. We shall call it +"Pool F". Then perform the same three filtering operations on Pool F, so that you get, in +the end: + +A complete pool of all call-less FlooP programs which calculate functions of +exactly one input parameter. + +Let us call these special FlooP-programs Green Programs (since they may go forever). + +Now just as we assigned index numbers to all Blue Programs, we can assign +index numbers to Green Programs, by ordering them in a catalogue, each volume of +which contains all Green Programs of a fixed length, arranged in alphabetical order. + +So far, the carry-over from BlooP to FlooP has been straightforward. Now let us see if we +can also carry over the last part: the diagonal trick. What if we try to define a diagonal +function? + +* Greendiag [N] = 1 + Greenprogram{#N} [N] + +Suddenly, there is a snag: this function Greendiag [N] may not have a well-defined +output value for all input values N. This is simply because we have not filtered out the +non terminator programs from Pool F, and therefore we have no guarantee that we can +calculate Greendiag [N] for all values of N. Sometimes we may enter calculations which +never terminate. And the diagonal argument cannot be carried through in such a case, for +it depends on the diagonal function having a value for all possible inputs. + +The Termination Tester Gives Us Red Programs + +To remedy this, we would have to make use of a termination tester, if one existed. So let +us deliberately introduce the shaky assumption that one exists, and let us use it as our +fourth filter. We run down the list of Green Programs, eliminating one by one all +nonterminators, so that in the end we are left with: + +A complete pool of all call-less FlooP programs which calculate functions of +exactly one input parameter, and which terminate for all values of their input.. + +Let us call these special FlooP programs Red Programs (since they all must stop). Now, +the diagonal argument will go through. We define + +* Reddiag [N] = 1 + Redprogram(#N} [N] + +and in an exact parallel to Bluediag, we are forced to conclude that Reddiag [N] is a well- +defined, calculable function of one variable which is not in the catalogue of Red +Programs, and is hence not even calculable in the powerful language FlooP. Perhaps it is +time to move on to GlooP? + +GlooP ... + +Yes, but what is GlooP? If FlooP is BlooP unchained, then GlooP must be FlooP +unchained. But how can you take the chains off twice% How do you make a language +whose power transcends that of FlooP? In Reddiag , we have found a function whose +values we humans know how to calculate-the method of doing so has been explicitly +described in English-but which seemingly cannot be programmed in the language FlooP. +This is a serious dilemma because no one has ever found any more powerful computer +language than FlooP. + +Careful investigation into the power of computer languages has been carried out. +We need not do it ourselves; let it just be reported that there is a vast class of computer +languages all of which can be proven to have exactly the same expressive power as FlooP +does, in this sense: any calculation which can be programmed in any one of the languages +can be programmed in them all. The curious thing is that almost any sensible attempt at +designing a computer language ends up by creating a member of this class-which is to +say, a language of power equal to that of FlooP. It takes some doing to invent a +reasonably interesting computer language which is weaker than those in this class. BlooP +is, of course, an example of a weaker language, but it is the exception rather than the rule. +The point is that there are some extremely natural ways to go about inventing algorithmic +languages; and different people, following independent routes, usually wind up creating +equivalent languages, with the only difference being style, rather than power. + +... Is a Myth + +In fact, it is widely believed that there cannot be any more powerful -language for +describing calculations than languages that are equivalent to FlooP. This hypothesis was +formulated in the 1930's by two people, independently of each other: Alan Turing-about +whom we shall say more later-and Alonzo Church, one of the eminent logicians of this +century. It +is called the Church-Turing Thesis. If we accept the CT-Thesis, we have to conclude that +"GlooP" is a myth-there are no restrictions to remove in FlooP, no ways to increase its +power by "unshackling" it, as we did BlooP. + +This puts us in the uncomfortable position of asserting that people can calculate +Reddiag [N] for any value of N, but there is no way to program a computer to do so. For, +if it could be done at all, it could be done in FlooP-and by construction, it can't be done in +FlooP. This conclusion is so peculiar that it should cause us to investigate very carefully +the pillars on which it rests. And one of them, you will recall, was our shaky assumption +that there is a decision procedure which can tell terminating from nonterminating FlooP +programs. The idea of such a decision procedure already seemed suspect, when we saw +that its existence would allow all problems of number theory to be solved in a uniform +way. Now we have double the reason for believing that any termination test is a myth- +that there is no way to put FlooP programs in a centrifuge and separate out the +terminators from the nonterminators. + +Skeptics might maintain that this is nothing like a rigorous proof that such a +termination test doesn't exist. That is a valid objection; however, the Turing approach +demonstrates more rigorously that no computer program can be written in a language of +the FlooP class which can perform a termination test on all FlooP programs. + +The Church-Turing Thesis + +Let us come back briefly to the Church-Turing Thesis. We will talk about it-and +variations on it-in considerable detail in Chapter XVII; for now it will suffice to state it in +a couple of versions, and postpone discussion of its merits and meanings until then. Here, +then, are three related ways to state the CT-Thesis: + +(1) What is human-computable is machine-computable. + +(2) What is machine-computable is FlooP-computable. + +(3) What is human-computable is FlooP-computable +(i.e., general or partial recursive). + +Terminology: General and Partial Recursive + +We have made a rather broad survey, in this Chapter, of some notions from number +theory and their relations to the theory of computable functions. It is a very wide and +flourishing field, an intriguing blend of computer science and modern mathematics. We +should not conclude this Chapter without introducing the standard terminology for the +notions we have been dealing with. + +As has already been mentioned, “BlooP-computable” is synonymous with +“primitive recursive”. Now FlooP computable functions can be divided into two realms: (1) those which are computable by terminating FlooP programs: +these are said to be general recursive', and (2) those which are computable only by +nonterminating FlooP programs: these are said to be partial recursive. (Similarly for +predicates.) People often just say "recursive" when they mean "general recursive". + +The Power of TNT + +It is interesting that TNT is so powerful that not only are all primitive recursive +predicates represented, but moreover all general recursive predicates are represented. We +shall not prove either of these facts, because such proofs would be superfluous to our +aim, which is to show that TNT is incomplete. If TNT could not represent some +primitive or general recursive predicates, then it would be incomplete in an uninteresting +way-so we might as well assume that it can, and then show that it is incomplete in an +interesting way. + +DIALOGUE XIV: Air on G's String + +The Tortoise and Achilles have just completed a tour of a porridge factory. + +Achilles: You don't mind if I change the subject, do you? Tortoise: Be my guest. + +Achilles: Very well, then. It concerns an obscene phone call I received a few days ago. + +Tortoise: Sounds interesting. + +Achilles: Yes. Well-the problem was that the caller was incoherent, at least as far as I +could tell. He shouted something over the line and then hung up-or rather, now that I +think of it, he shouted something, shouted it again, and then hung up. + +Tortoise: Did you catch what that thing was? + +Achilles: Well, the whole call went like this: + +Myself. Hello? + +Caller (shouting wildly ): Yields falsehood when preceded by its quotation! Yields +falsehood when preceded by its quotation! + +(Click.) + +Tortoise: That is a most unusual thing to say to somebody on an obscene phone call. +Achilles: Exactly how it struck me. + +Tortoise: Perhaps there was some meaning to that seeming madness. + +Achilles: Perhaps. + +(They enter a spacious courtyard framed by some charming three-story stone +houses. At its center stands a palm tree, and to one side is a tower. Near the +tower there is a staircase where a boy sits, talking to a young woman in a +window.) + +Tortoise: Where are you taking me, Achilles? + +Achilles: I would like to show you the pretty view from the top of this tower. + +Tortoise: Oh, how nice. + +(They approach the boy, who watches them with curiosity, then says something to +the young woman-they both chuckle. Achilles and Mr. T, instead of going up the +boy's staircase, turn left and head down a short flight of stairs which leads to a +small wooden door.) + +Achilles: We can just step inside right here. Follow me. + +(Achilles opens the door. They enter, and begin climbing the steep helical staircase +inside the tower.) + +Tortoise (puffing slightly ): I'm a little out of shape for this sort of exercise, + +Achilles. How much further do we have to go? + +Achilles: Another few flights ... but I have an idea. Instead of walking on the top side of +these stairs, why don't you walk on the underside? + +Tortoise: How do I do THAT? + +Achilles: Just hold on tightly, and climb around underneath-there's room enough for you. + +You'll find that the steps make just as much sense from below as from above ... +Tortoise ( gingerly shifting himself about): Am I doing it right? + +Achilles: You've got it! + +Tortoise (his voice slightly muffled): Say-this little maneuver has got me confused. +Should I head upstairs or downstairs, now? + +Achilles: Just continue heading in the same direction as you were before. On your side of +the staircase, that means go DOWN, on mine it means UP. + +Tortoise: Now you're not going to tell me that I can get to the top of the tower by going +down, are you? + +Achilles: I don't know, but it works ... + +(And so they begin spiraling in synchrony, with A always on one side, and T +matching him on the other side. Soon they reach the end of the staircase.) + +Now just undo the maneuver, Mr. T. Here-let me help you up. + +(He lends an arm to the Tortoise, and hoists him back to the other side of the +stairs.) + +Tortoise: Thanks. It was a little easier getting back up. + +(And they step out onto the roof, overlooking the town.) + +That's a lovely view, Achilles. I'm glad you brought me up here-or rather, DOWN +here. + +Achilles: I figured you'd enjoy it. + +Tortoise: I've been thinking about that obscene phone call. I think I understand it a little +better now. + +Achilles: You do? Would you tell me about it? + +Tortoise: Gladly. Do you perchance feel, as I do, that that phrase "preceded by its +quotation" has a slightly haunting quality about it? + +Achilles: Slightly, yes-extremely slightly. + +Tortoise: Can you imagine something preceded by its quotation? + +Achilles: I guess I can conjure up an image of Chairman Mao walking into a banquet +room in which there already hangs a large banner with some of his own writing on it. +Here would be Chairman Mao, preceded by his quotation. + +Tortoise: A most imaginative example. But suppose we restrict the word +"preceded" to the idea of precedence on a printed sheet, rather than elaborate entries +into a banquet room. + +Achilles: All right. But what exactly do you mean by "quotation" here? Tortoise: When +you discuss a word or a phrase, you conventionally put it in quotes. For example, I can +say. + +The word "philosopher" has five letters. + +Here, I put "philosopher" in quotes to show that I am speaking about the WORD +"philosopher" rather than about a philosopher in the flesh. This is called the USE- +MENTION distinction. + +Achilles: Oh? + +Tortoise: Let me explain. Suppose I were to say to you, + +Philosophers make lots of money. + +Here, I would be USING the word to manufacture an image in your mind of a twinkle¬ +eyed sage with bulging moneybags. But when I put this word-or any word-in quotes, I +subtract out its meaning and connotations, and am left only with some marks on paper, +or some sounds. That is called "MENTION". Nothing about the word matters, other +than its typographical aspects-any meaning it might have is ignored. + +Achilles: It reminds me of using a violin as a fly swatter. Or should I say mentioning"? +Nothing about the violin matters, other than its solidity-any meaning or function it +might have is being ignored. Come to think of it, I guess the fly is being treated that +way, too. + +Tortoise: Those are sensible, if slightly unorthodox, extensions of the use-mention +distinction. But now, I want you to think about preceding something by its own +quotation. + +Achilles: All right. Would this be correct? + +"HUBBA" HUBBA + +Tortoise: Good. Try another. + +Achilles: All right. + +"'PLOP' IS NOT THE TITLE OF ANY BOOK. SO FAR AS I KNOW"' + +'PLOP' IS NOT THE TITLE OF ANY BOOK, SO FAR AS I KNOW. + +Tortoise: Now this example can be modified into quite an interesting specimen, simply +by dropping 'Plop 1 . Achilles: Really? Let me see what you mean. It becomes + +"IS NOT THE TITLE OF ANY BOOK, SO FAR AS I KNOW" + +IS NOT THE TITLE OF ANY BOOK, SO FAR AS I KNOW. + +Tortoise: You see, you have made a sentence. + +Achilles: So I have. It is a sentence about the pjrase “is not the toitle of any book, as far +as I know”, and quite a silly one too. + +Tortoise: Why silly? + +Achilles: Because it's so pointless. Here's another one for you: + +“WILL BE BOYS" WILL BE BOYS. + +Now what does that mean? Honestly, what a silly game. + +Tortoise: Not to my mind. It's very earnest stuff, in my opinion. In fact this operation of +preceding some phrase by its quotation is so overwhelmingly important that I think I'll +give it a name. + +Achilles: You will? What name will you dignify that silly operation by? + +Tortoise: I believe I'll call it "to quine a phrase", to quine a phrase. + +Achilles: "Quine"? What sort of word is that? + +Tortoise: A five-letter word, if I'm not in error. + +Achilles: What 1 was driving at is why you picked those exact five letters in that exact +order. + +Tortoise: Oh, now I understand what you meant when you asked me "What sort of word +is that?" The answer is that a philosopher by the name of "Willard Van Orman Quine" +invented the operation, so I name it in his honor. However, I cannot go any further +than this in my explanation. Why these particular five letters make up his name-not to +mention why they occur in this particular order-is a question to which I have no ready +answer. However, I'd be perfectly willing to go and +Achilles: . Please don't bother! I didn't really want to know everything about Quine's +name. Anyway, now I know how to quine a phrase. It's quite amusing. Here's a quined +phrase: + +”IS A SENTENCE FRAGMENT" IS A SENTENCE FRAGMENT. + +It's silly but all the same I enjoy it. You take a sentence fragment, quine +it, and lo and behold, you've made a sentence! A true sentence, in this case. + +Tortoise: How about quining the phrase "is a king with without no subject”? + +Achilles: A king without a subject would be- + +Tortoise: -an anomaly, of course. Don't wander from the point. Let's have quines first, +and kings afterwards! + +Achilles: I'm to quine that phrase, am I? All right. + +"IS A KING WITH NO SUBJECT" IS A KING WITH NO SUBJECT. + +It seems to me that it might make more sense if it said "sentence" instead of "king". +Oh, well. Give me another! + +Tortoise: All right just one more. Try this one: + +"WHEN QUINED, YIELDS A TORTOISE'S LOVE SONG" + +Achilles: That should be easy ... I'd say the quining gives this: + +"WHEN QUINED, YIELDS A TORTOISE'S LOVE SONG" + +WHEN QUINED, YIELDS A TORTOISE'S LOVE SONG + +Hmmm... There's something just a little peculiar here. Oh, I see what it is! The +sentence is talking about itself! Do you see that? + +Tortoise: What do you mean? Sentences can't talk. + +Achilles: No, but they REFER to things-and this one refers directly unambiguously- +unmistakably-to the very sentence which it is! You just have to think back and +remember what quining is all about. + +Tortoise: I don't see it saying anything about itself. Where does it say "me", or: "this +sentence", or the like? + +Achilles: Oh, you are being deliberately thick-skulled. The beauty of it lies in just that: + +it talks about itself without having to come right out and say so! + +Tortoise: Well, as I'm such a simple fellow, could you just spell it all out for me, +Achilles: Oh, he is such a Doubting Tortoise ... All right, let me see ... Suppose I make +up a sentence-I'll call it "Sentence P"-with a blank in it. + +Tortoise: Such as? + +Achilles: Such as ... + +“_WHEN QUINED, YIELDS A TORTOISE'S LOVE SONG". + +Now the subject matter of Sentence P depends on how you fill in the blank. But +once you've chosen how to fill in the blank, then the subject matter is determined: it +is the phrase which you get by QUINING the blank. Call that "Sentence Q", since it +is produced by an act of quining. + +Tortoise: That makes sense. If the blank phrase were "is written on old jars of mustard +to keep them fresh", then Sentence Q would have to be + +"IS WRITTEN ON OLD JARS OF MUSTARD TO KEEP THEM FRESH" + +IS WRITTEN ON OLD JARS OF MUSTARD TO KEEP THEM FRESH. + +Achilles: True, and Sentence P makes the claim (though whether it is valid or not, I do +not know) that Sentence Q is a Tortoise's love song. In any case, Sentence P here is +not talking about itself, but rather about Sentence Q. Can we agree on that much? +Tortoise: By all means, let us agree-and what a beautiful song it is, too. + +Achilles: But now I want to make a different choice for the blank, namely: "WHEN QUINED, YIELDS A TORTOISE'S LOVE SONG". + +Tortoise: Oh, heavens, you're getting a little involved here. I hope this all isn't going to +be too highbrow for my modest mind. + +Achilles: Oh, don't worry-you'll surely catch on. With this choice, Sentence Q +becomes .. . + +"WHEN QUINED, YIELDS A TORTOISE'S LOVE-SONG" + +WHEN QUINED, YIELDS A TORTOISE'S LOVE-SONG. + +Tortoise: Oh, you wily old warrior you, I catch on. Now Sentence Q is just the same as +Sentence P. + +Achilles: And since Sentence Q is always the topic of Sentence P, there is a loop now, +P points back to itself. But you see, the self-reference is a +sort of accident. Usually Sentences Q and P are entirely unlike each other; but with +the right choice for the blank in Sentence-P, quining will do this magic trick for +you. + +Tortoise: Oh, how clever. I wonder why I never thought of that myself. Now tell me: +is the following sentence self-referential? + +"IS COMPOSED OF FIVE WORDS" IS COMPOSED OF FIVE WORDS. + +Achilles: Hmm ... I can't quite tell. The sentence which you just gave is not really +about itself, but rather about the phrase "is composed of five words". Though, of +course, that phrase is PART of the sentence ... + +Tortoise: So the sentence refers to some part of itself-so what? Achilles: Well, +wouldn't that qualify as self-reference, too? + +Tortoise: In my opinion, that is still a far cry from true-self-reference. But don't worry +too much about these tricky matters. You'll have ample time to think about them in +the future. Achilles: I will? + +Tortoise: Indeed you will. But for now, why don't you try quining the phrase "yields +falsehood when preceded by its quotation"? + +Achilles: I see what you're getting at-that old obscene phone call. Quining it produces +the following: + +"YIEEDS FAFSEHOOD WHEN PRECEDED BY ITS QUOTATION" + +YIELDS FALSEHOOD WHEN PRECEDED BY ITS QUOTATION. + +So this is what that caller was saying! I just couldn't make out where the quotation +marks were as he spoke. That certainly is an obscene remark! People ought to be +jailed for saying things like that! + +Tortoise: Why in the world? + +Achilles: It just makes me very uneasy. Unlike the earlier examples, I can't quite make +out if it is a truth or a falsehood. And the more I think about it, the more I can't +unravel it. It makes my head spin. I wonder what kind of a lunatic mind would +make something like that up, and torment innocent people in the night with it? + +Tortoise: I wonder ... Well, shall we go downstairs now? + +Achilles: We needn't go down-we're at ground level already. Let's go back inside - +you'll see. ( They go into the tower, and come to a small wooden door.) We can just +step outside right here. Follow me. + +Tortoise: Are you sure? I don't want to fall three floors and break my shell. + +Achilles: Would I fool you? + +(And he opens the door. In front of them sits, to all appearances, the same boy, +talking to the same young woman. Achilles and Mr. T walk up what seem to be the +same stairs they walked down to enter the tower, and find themselves in what looks +like just the same courtyard they first came into.) +Thank you, Mr. T, for your lucid clarification of that obscene telephone call. + +Tortoise: And thank you, Achilles, for the pleasant promenade. I hope we meet again +soon. + +CHAPTER XIV: On Formally Undecidable Propositions of TNT and Related Systems' + +The Two Ideas of the "Oyster" + +THIS CHAPTER'S TITLE is an adaptation of the title of Godel’s famous 1931 paper- +"TNT" having been substituted for "Principia Mathematica". Godel’s paper was a +technical one, concentrating on making his proof watertight and rigorous; this Chapter +will be more intuitive, and in it I will stress the two key ideas which are at the core of the +proof. The first key idea is the deep discovery that there are strings of TNT which can be +interpreted as speaking about other strings of TNT; in short, that TNT, as a language, is +capable of "introspection", or self-scrutiny. This is what comes from Godel-numbering. +The second key idea is that the property of self scrutiny can be entirely concentrated into +a single string; thus that string's sole focus of attention is itself. This "focusing trick" is +traceable, in essence, to the Cantor diagonal method. + +In my opinion, if one is interested in understanding Godel’s proof, in a deep way, +then one must recognize that the proof, in its essence, consists of a fusion of these two +main ideas. Each of them alone is a master stroke; to put them together took an act of +genius. If I were to choose, however, which of the two key ideas is deeper, I would +unhesitatingly pick the first one-the idea of Godel-numbering, for that idea is related to +the whole notion of what meaning and reference are, in symbol-manipulating systems. +This is an idea which goes far beyond the confines of mathematical logic, whereas the +Cantor trick, rich though it is in mathematical consequences, has little if any relation to +issues in real life. + +The First Idea: Proof-Pairs + +Without further ado, then, let us proceed to the elaboration of the proof itself. We have +already given a fairly careful notion of what the Godel isomorphism is about, in Chapter +IX. We now shall describe a mathematical notion which allows us to translate a statement +such as "The string 0=0 is a theorem of TNT into a statement of number theory. This will +involve the notion of proof-pairs. A proof-pair is a pair of natural numbers related in a +particular way. Here is the idea: + +Two natural numbers, m and n respectively, form a TNT proof-pair if and only if m +is the Godel number of a TNT derivation whose bottom line is the string with +Godel number n. + +The analogous notion exists with respect to the MlU-system, and it is a little easier on the +intuition to consider that case first. So, for a moment, let us back off from TNT -proof- +pairs, and look at MlU-proof-pairs. Their definition is parallel: + +Two natural numbers, m and n respectively, form a MlU-proof pair if and only if m +is the Godel number of a MlU-system derivation whose bottom line is the string +with Godel number n. + +Let us see a couple of examples involving MlU-proof-pairs. First, let m = +3131131111301, n = 301. These values of m and n do indeed form a MlU-proof-pair, +because m is the Godel number of the MlU-derivation + +* MI + +* MII + +* MIIII + +* MUI + +whose last line is MUI, having Godel number 301, which is n. By contrast, let m = +31311311130, and n = 30. Why do these two values not form a MlU-proof-pair? To see +the answer, let us write out the alleged derivation which m codes for: + +* MI + +* MII + +* MIII + +* MU + +There is an invalid step in this alleged derivation! It is the step from the second to the +third line: from Mil to Mill. There is no rule of inference in the MlU-system which +permits such a typographical step. Correspondingly-and this is most crucial-there is no +arithmetical rule of inference which carries you from 311 to 3111. This is perhaps a +trivial observation, in light of our discussion in Chapter IX, yet it is at the heart of the +Godel isomorphism. What we do in any formal system has its parallel in arithmetical +manipulations. + +In any case, the values m = 31311311130, n = 30 certainly do not form a MIU- +proof-pair. This in itself does not imply that 30 is not a MlU-number. There could be +another value of m which forms a MIU proof-pair with 30. (Actually, we know by earlier +reasoning that MU is not a MlU-theorem, and therefore no number at all can form a +MlU-proof-pair with 30.) + +Now what about TNT proof pairs? Here are two parallel examples, one being +merely an alleged TNT proof-pair, the other being a valid TNT proof-pair. Can you spot +which is which? (Incidentally, here is where +the '611' codon comes in. Its purpose is to separate the Godel numbers of successive lines +in a TNT-derivation. In that sense, '611' serves as a punctuation mark. In the MIU- +system, the initial '3' of all lines is sufficient-no extra punctuation is needed.) + +(1) m = 626.262,636,223,123,262,111,666,611,223,123.666.111,666 + +* n= 123,666.111,666 + +(2) m=626,262.636,223.123,262,111,666,611223,333,262.636,123.262,111,666 + +* n = 223,333,262,636,123,262.111,666 + +It is quite simple to tell which one is which, simply by translating back to the old +notation, and making some routine examinations to see + +(1) whether the alleged derivation coded for by m is actually a legitimate derivation; + +(2) if so, whether the last line of the derivation coincides with the string which n codes +for. + +Step 2 is trivial; and step 1 is also utterly straightforward, in this sense: there are no open- +ended searches involved, no hidden endless loops. Think of the examples above +involving the MlU-system, and now just mentally substitute the rules of TNT for the +MlU-system's rules, and the axioms of TNT for the MlU-system's one axiom. The +algorithm in both cases is the same. Let me make that algorithm explicit: + +Go down the lines in the derivation one by one. Mark those which are axioms. + +For each line which is not an axiom, check whether it follows by any of the +rules of inference from earlier lines in the alleged derivation. + +If all nonaxioms follow by rules of inference from earlier lines, then you have a +legitimate derivation; otherwise it is a phony derivation. + +At each stage, there is a clear set of tasks to perform, and the number of them is quite +easily determinable in advance. + +Proof-Pair-ness Is Primitive Recursive... + +The reason I am stressing the boundedness of these loops is, as you may have +sensed, that I am about to assert + +* FUNDAMENTAL FACT 1: The property of being a proof-pair is a primitive +recursive number-theoretical property, and can therefore be tested for by a BlooP +program. + +There is a notable contrast to be made here with that other closely related number- +theoretical property: that of being a theorem-number. To + +assert that n is a theorem-number is to assert that some value of in exists which forms a +proof-pair with n. (Incidentally, these comments apply equally well to TNT and to the +MlU-system; it may perhaps help to keep both in mind, the MlU-system serving as a +prototype.) To check whether n is a theorem-number, you must embark on a search +through all its potential proof-pair "partners" m-and here you may be getting into an +endless chase. No one can say how far you will have to look to find a number which +forms a proof-pair with n as its second element. That is the whole problem of having +lengthening and shortening rules in the same system: they lead to a certain degree of +unpredictability. + +The example of the Goldbach Variation may prove helpful at this point. It is +trivial to test whether a pair of numbers ( m,n ) form a Tortoise pair, that is to say, both m +and n + m should be prime. The test is easy because the property of primeness is +primitive recursive: it admits of a predictably terminating test. But if we want to know +whether n possesses the Tortoise property, then we are asking, "Does any number m form +a Tortoise-pair with n as its second element?"-and this, once again, leads us out into the +wild, MU-loopy unknown. + +... And Is Therefore Represented in TNT + +The key concept at this juncture, then, is Fundamental Fact 1 given above, for from it we +can conclude + +* FUNDAMENTAL FACT 2: The property of forming a proof-pair is testable in +BlooP, and consequently, it is represented in TNT by some formula having two +free variables. + +Once again, we are being casual about specifying which system these proof-pairs +are relative to; it really doesn't matter, for both Fundamental Facts hold for any formal +system. That is the nature of formal systems: it is always possible to tell, in a predictably +terminating way, whether a given sequence of lines forms a proof, or not-and this carries +over to the corresponding arithmetical notions. + +The Power of Proof-Pairs + +Suppose we assume we are dealing with the MlU-system, for the sake of concreteness. +You probably recall the string we called "MUMON", whose interpretation on one level +was the statement "MU is a theorem of the MlU-system". We can show how MUMON +would be expressed in TNT, in terms of the formula which represents the notion of MIU- +proof-pairs. Let us abbreviate that formula, whose existence we are assured of by +Fundamental Fact 2, this way: + +* MIU-PROOF-PAIR {a,a } + +Since it is a property of two numbers, it is represented by a formula with two free +variables. (Note: In this Chapter we shall always use austere TNT-so be careful to +distinguish between the variables a, a', a".) In order to assert "MU is a theorem of the +MlU-system", we would have to make the isomorphic statement "30 is a theorem- +number of the MlU-system", and then translate that into TNT-notation. With the aid of +our abbreviation, this is easy (remember also from Chapter VIII that to indicate the +replacement of every a' by a numeral, we write that numeral followed by "/a 1 1): + +* 3a:MIU-PROOF- PAIR{a,SSSSSSSSSSSSSSSSSSSSSSSSSSSSSSO/a'} + +Count the S's: there are 30. Note that this is a closed sentence of TNT, because one free +variable was quantified, the other replaced by a numeral. A clever thing has been done +here, by the way. Fundamental Fact 2 gave us a way to talk about proof-pairs; we have +figured out how to talk about theorem-numbers, as well: you just add an existential +quantifier in front! A more literal translation of the string above would be, "There exists +some number a that forms a MllJ-proof-pair with 30 as its second element". + +Suppose that we wanted to do something parallel with respect to TNT-say, to +express the statement "0=0 is a theorem of TNT". We may abbreviate the formula which +Fundamental Fact 2 assures us exists, in an analogous way (with two free variables, +again): + +* TNT- PROOF- PAIR{a,a'} + +(The interpretation of this abbreviated TNT-formula is: "Natural numbers a and a' form a +TNT-proof-pair.") The next step is to transform our statement into number theory, +following the MUMON-model above. The statement becomes "There exists some +number a which forms a TNT proof-pair with 666,111,666 as its second element". The +TNT-formula which expresses this is: + +* 3a:TNT-PROOF-PAI R{a,SSSSS SSSSSO/a'} + +many, many 5's! (in fact, 666,111,666 of them) + +-a closed sentence of TNT. (Let us call it "JOSHtU", for reasons to appear +momentarily.) So you see that there is a way to talk not only about the primitive recursive +notion of TNT-proof-pairs, but also about the related but trickier notion of TNT- +theorem-numbers. + +To check your comprehension of these ideas, figure out how to translate into TNT +the following statements of meta-TNT:. + +(1) 0=0 is not a theorem o f TNT. + +(2) ~0=0 is a theorem of TNT. + +(3) ~0=0 is not a theorem of TNT. + +How do the solutions differ from the example done above, and from each other' Here are +a few more translation exercises. + +(4) JOSHU is a theorem of TNT. (Call the TNT-string which expresses this +":METAJOSH t"\) + +(5) META-JOSH[. is a theorem of TNT. (Call the TNT-string which expresses this +"META-META-JOSHC".) + +(6) META-META-JOSHU is a theorem of TNT + +(7) META-META- ME IA -JOSHU is a theorem of TNT + +(etc., etc.) + +Example 5 shows that statements of meta-meta-TNT can be translated into TNT-notation; +example 6 does the same for meta-meta-meta-TNT, etc. + +It is important to keep in mind the difference between expressing a property, and +representing it, at this point. The property of being a TNT theorem-number, for instance, +is expressed by the formula + +* 3a:TNT- PROOF- PAI R{a,a'} + +Translation: "a 1 is a TNT-theorem-number". However, we have no guarantee that this +formula represents the notion, for we have no guarantee that this property is primitive +recursive-in fact, we have more than a sneaking suspicion that it isn't. (This suspicion is +well warranted. The property of being a TNT-theorem-number is not primitive recursive, +and no TNT-formula can represent the property!) By contrast, the property of being a +proof-pair, by virtue of its primitive recursivity, is both expressible and representable, by +the formula already introduced. + +Substitution Leads to the Second Idea + +The preceding discussion got us to the point where we saw how TNT can "introspect" on +the notion of TNT-theoremhood. This is the essence of the first part of the proof. We +now wish to press on to the second major idea of the proof, by developing a notion which +allows the concentration of this introspection into a single formula. To do this, we need to +look at what happens to the Godel number of a formula when you modify the formula +structurally in a simple way. In fact, we shall consider this specific modification: +replacement of all free variables by a specific numeral +. Below are shown a couple of examples of this operation in the left hand column, and in +the right hand column are exhibited the parallel changes in Godel numbers. + +Godel number + +* 262,1 11,262 + +* 123,123,666,111.123,123,666 + +* 223,333,262,636,333,262,163,636, +262,163,163,111,362,123,123,262, +236,123,123,262,163,323 + +* 223,333,262,636,333,262,163,636, + +* -3a:3a':SSSSO=(SSa-SSa') 123,123,123,123,666,111,362,123, + +* 123,262,236,123,123,262,163,323 + +An isomorphic arithmetical process is going on in the right-hand column, in +which one huge number is turned into an even huger number. The function which makes +the new number from the old one would not be too difficult to describe arithmetically, in +terms of additions, multiplications, powers of 10 and so on-but we need not do so. The +main point is this: that the relation among (1) the original Godel number, (2) the number +whose numeral is inserted, and (3) the resulting Godel number, is a primitive recursive +relation. That is to say, a BlooP test could be written which, when fed as input any three +natural numbers, says YES if they are related in this way, and NO if they aren't. You may +test yourself on your ability to perform such a test-and at the same time convince yourself +that there are no hidden open-ended loops to the process-by checking the following two +sets of three numbers: + +(1) 362,262,112,262,163,323,111,123,123,123,123,666; + +* 2 : + +* 362,123,123,666,112,123,123,666,323,111,123,123,123,123,666. + +(2) 223,362,123,666,236,123,666,323,111,262,163. + +* 1 + +* 223,362,262,236,262,323,111,262,163; + +As usual, one of the examples checks, the other does not. Now this relationship between +three numbers will be called the substitution relationship. Because it is primitive +recursive, it is represented by some formula of TNT having three free variables. Lets us +abbreviate that TNT - formula by the following notation + +* SUB (a,a\a") + +Formula + +* a=a + +We now replace all +free variables by +the numeral for 2: + +* SSO=SSO + +* 3a:3a':a"=(SSa*SSa') + +We now replace all +free variables by +the numeral for 4: + +Because this formula represents the substitution relationship, the formula shown +below must be a TNT-theorem: + +* SU B{SSSSS SSSSSO/a,SSO/a\SSSSSS SSSSO/a"} + +* 262,111,262 S's 123,123,666,111,123,123,666 S's + +(This is based on the first example of the substitution relation shown in the parallel +columns earlier in this section.) And again because the SUB formula represents the +substitution relation, the formula shown below certainly is not a TNT-theorem: + +* SU B{SSSO/a,SSO/a',SO/a"} + +Arithmoquining + +We now have reached the crucial point where we can combine all of our disassembled +parts into one meaningful whole. We want to use the machinery of the TNT-PROOF- +PAIR and SUB formulas in some way to construct a single sentence of TNT whose +interpretation is: "This very string of TNT is not a TNT-theorem." How do we do it% +Even at this point, with all the necessary machinery in front of us, the answer is not easy +to find. + +A curious and perhaps frivolous-seeming notion is that of substituting a formula's +own Godel number into itself. This is quite parallel to that other curious, and perhaps +frivolous-seeming, notion of "quining" in the Air on G's String. Yet quining turned out to +have a funny kind of importance, in that it showed a new way of making a self-referential +sentence. Self reference of the Quine variety sneaks up on you from behind the first time +you see it-but once you understand the principle, you appreciate that it is quite simple and +lovely. The arithmetical version of quining-let's call it arithmoquining-'wiW allow us to +make a TNT-sentence which is "about itself". + +Let us see an example of arithmoquining. We need a formula with at least one +free variable. The following one will do: + +* a=SO + +This formula's Godel number is 262,111,123,666, and we will stick this number into the +formula itself-or rather, we will stick its numeral in. Here is the result: + +* SSSSS SSSSSO=SO + +* 262,111,123,666 S's + +This new formula a asserts a silly falsity-that 262.111.123.666 equals 1: If we had begun +with the string ~a=S0 and then arthmoquined, we would have cone up with a true +statement-as you can see for yourself. + +When you arithmoquine, you are of course performing a special case +of the substitution operation we defined earlier. If we wanted to speak about +arithmoquining inside TNT, we would use the formula + +* SUB{a" a” a’} + +where the first two variables are the same. This comes from the fact that we are using a +single number in two different ways (shades of the Cantor diagonal method!). The +number a" is both (1) the original Godel number, and (2) the insertion-number. Let us +invent an abbreviation for the above formula: + +* ARITHMOQUINE{a", a'} + +What the above formula says, in English, is: + +* a' is the Godel number of the formula gotten by arithmoquining the formula with +Godel number a". + +Now the preceding sentence is long and ugly. Let's introduce a concise and elegant term +to summarize it. We'll say + +* a' is the arithmoquinification of a" + +to mean the same thing. For instance, the arithmoquinification of 262,111,123,666 is this +unutterably gigantic number: + +* 123,123,123 123,123,123,666,111,123,666 + +* 262,111,123,666 copies of '1231 + +(This is just the Godel number of the formula we got when we arithmoquined a=SO.) We +can speak quite easily about arithmoquining inside TNT. + +The Last Straw + +Now if you look back in the Air on G's String, you will see that the ultimate trick +necessary for achieving self-reference in Quine's way is to quine a sentence which itself +talks about the concept of quining. It's not enough just to quine-you must quine a quine- +mentioning sentence! All right, then the parallel trick in our case must be to arithmoquine +some formula which itself is talking about the notion of arithmoquining! + +Without further ado, we'll now write that formula down, and call it G's uncle : + +* -3a:3a': + +You can see explicitly how arithmoquinification is thickly involved in the plot, Now this +“uncle” has a Godel number, of course, which we’ll call 'u' + +The head and tail of u's decimal expansion, and even a teeny bit of its midsection, can be +read off directly: + +* u = 223,333,262,636,333,262,163,636,212,... ,161,... ,213 + +For the rest, we'd have to know just how the formulas TNT-PROOF-PAIR and +ARITHMOQUINE actually look when written out. That is too complex, and it is quite +beside the point, in any case. + +Now all we need to do is-arithmoquine this very uncle! What this entails is +"booting out" all free variables-of which there is only one, namely a"-and putting in the +numeral for u everywhere. This gives us: + +-3a:3a’: + +* u S's + +And this, believe it or not, is Godel’s string, which we can call 'G'. Now there are two +questions we must answer without delay. They are + +(1) What Is G's Godel number? + +(2) What is the interpretation of G? + +Question 1 first. How did we make G? Well, we began with the uncle, and arithmoquined +it. So, by the definition of arithmoquinification, G's Godel number is +the arithmoquinification of u. + +Now question 2. We will translate G into English in stages, getting gradually more +comprehensible as we go along. For our first rough try, we make a pretty literal +translation: + +"There do not exist numbers a and a' such that both (1) they form a TNT-proof- +pair. and (2) a' is the arithmoquinification of u." + +Now certainly there is a number a' which is the arithmoquinification of u-so the problem +must lie with the other number, a. This observation allows us to rephrase the translation +of G as follows: + +* "There is no number a that forms a TNT-proof-pair with the arithmoquinification +of u." + +(This step, which can be confusing, is explained below in more detail.) Do you see what +is happening? G is saying this: + +* "The formula whose Godel number is the arithmoquinification +of u is not a theorem of TNT." + +But-and this should come as no surprise by now-that formula is none other than G itself; +whence we can make the ultimate translation of G; as + +* “G is not a theorem of TNT.” + +-or if you prefer, + +* "I am not a theorem of TNT." + +We have gradually pulled a high-level interpretation-a sentence of meta-TNT-out of what +was originally a low-level interpretation-a sentence of number theory. + +TNT Says "Uncle!" + +The main consequence of this amazing construction has already been delineated in +Chapter IX: it is the incompleteness of TNT. To reiterate the argument: + +Is G a TNT-theorem? If so, then it must assert a truth. But what in fact does G +assert? Its own nontheoremhood. Thus from its theoremhood would follow its +nontheoremhood: a contradiction. + +Now what about G being a nontheorem? This is acceptable, in that it doesn't +lead to a contradiction. But G's nontheoremhood is what G asserts-hence G asserts +a truth. And since G is not a theorem, there exists (at least) one truth which is not a +theorem of TNT. + +Now to explain that one tricky step again. I will use another similar example. Take this +string: + +* -3a:3a': + +where the two abbreviations are for strings of TNT which you can write down yourself. +TENTH-POWER{a",a'} represents the statement "a' is the tenth power of a"". The +literal translation into English is then: + +* "There do not exist numbers a and a' such that both (1) they form a Tortoise-pair, +and (2) a' is the tenth power of 2." + +But clearly, there is a tenth power of 2-namely 1024. Therefore, what the string is really +saying is that + +"There is no number a that forms a Tortoise-pair with 1024" +which can be further boiled down to: + +* "1024 does not have the Tortoise property." + +The point is that we have achieved a way of substituting a description of a number, rather +than its numeral, into a predicate. It depends on using one “extra quantified variable (a'). +Here, it was the number 1024 that was described as the “tenth power of 2”; above it was +the number described as the arithmoquinification of a”. + +"Yields Nontheoremhood When Arithmoquined" + +Let us pause for breath for a moment, and review what has been done. The best way I +know to give some perspective is to set out explicitly how it compares with the version of +the Epimenides paradox due to Quine. Here is a map: + +* Falsehood <==> nontheoremhood + +* quotation of a phrase +<==> +preceding a predicate +by a subject +<==> +definite term) into an open formula + +* preceding a predicate +by a quoted phrase +<==> +substituting the Godel number of a +string into an open formula + +* preceding a predicate +by itself, in quotes +("quining") +<==> +substituting the Godel number of an +open formula into the formula itself +("arithmoquining") + +* yields falsehood when quined +(a predicate without a subject) +<==> +"uncle" of G” + +the(an open formula of TNT + +* 'yields falsehood when quined" +(the above predicate, quoted) +<==> +the number a (the Godel number +of the above open formula) + +* 'yields falsehood when quined" +yields falsehood when quined +(complete sentence formed by +quining the above predicate) +<==> +G itself + +(sentence of TNT formed +by substituting a into the uncle, i.e. +arithmoquining the uncle) + +Godel’s Second Theorem + +Since G's interpretation is true, the interpretation of its negation -G is false. And we +know that no false statements are derivable in TNT. Thus neither G nor its negation -G +can be a theorem of TNT. We have found a "hole" in our system-an undecidable +proposition. This has a number of ramifications. Here is one curious fact which follows +from G's undecidability: although neither G nor -G is a theorem, the formula is +a theorem, since the rules of the Propositional Calculus ensure that all well-formed +formulas of the form are theorems. + +This is one simple example where an assertion inside the system and an assertion about +the system seem at odds with each other. It makes one wonder if the system really +reflects itself accurately. Does the "reflected metamathematics" which exists inside TNT +correspond well to the metamathematics which we do? This was one of the questions +which intrigued Godel when he wrote his paper. In particular, he was interested in +whether it was possible, in the “reflected metamathematics”, to prove TNT’s consistency. +Recall that this was a great philosophical dilemma of + +the day: how to prove a system consistent. Godel found a simple way to express the +statement "TNT is consistent" in a TNT formula; and then he showed that this formula +(and all others which express the same idea) are only theorems of TNT under one +condition: that TNT is inconsistent. This perverse result was a severe blow to optimists +who expected that one could find a rigorous proof that mathematics is contradiction-free. + +How do you express the statement "TNT is consistent" inside TNT It hinges on +this simple fact: that inconsistency means that two formulas, x and x, one the negation of +the other, are both theorems. But if both x and - x are theorems, then according to the +Propositional Calculus, all well-formed formulas are theorems. Thus, to show TNT's +consistency, it would suffice to exhibit one single sentence of TNT which can be proven +to be a nontheorem. Therefore, one way to express "TNT is consistent" is to say "The +formula -0=0 is not a theorem of TNT". This was already proposed as an exercise a few +pages back. The translation is: + +* -3a:TNT-PROOF- PAIR{a,SSSSS SSSSSOIa'} + +* 223,666,111,666 S's + +It can be shown, by lengthy but fairly straightforward reasoning, that-as long as TNT is +consistent-this oath-of-consistency by TNT is not a theorem of TNT. So TNT's powers +of introspection are great when it comes to expressing things, but fairly weak when it +comes to proving them. This is quite a provocative result, if one applies it metaphorically +to the human problem of self-knowledge. + +TNT Is (o-incomplete + +Now what variety of incompleteness does TNT "enjoy? We shall see that TNT's +incompleteness is of the "omega" variety-defined in Chapter VIII. This means that there +is some infinite pyramidal family of strings all of which are theorems, but whose +associated "summarizing string" is a nontheorem. It is easy to exhibit the summarizing +string which is a non theorem: + +* u S’s + +* Va: 3a': + +To understand why this string is a nontheorem, notice that it is extremely similar to G +itself-in fact, G can be made from it in one step (viz., according to TNT's Rule of +Interchange). Therefore, if it were a theorem, so would G be. But since G isn't a theorem, +neither can this be. + +Now we want to show that all of the strings in the related pyramidal family are +theorems. We can write them own easily enough: + +* u S's + +* -3a': + +* -3a': + +* -3a': + +* -3a': + +What does each one assert? Their translations, one by one, are: + +* "0 and the arithmoquinification of u do not form a TNT-proof-pair." + +* "1 and the arithmoquinification of u do not form a TNT-proof-pair." + +* "2 and the arithmoquinification of u do not form a TNT-proof-pail." + +* "3 and the arithmoquinification of u do not form a TNT-proof-pair." + +Now each of these assertions is about whether two specific integers form a proof-pair or +not. (By contrast, G itself is about whether one specific integer is a theorem-number or +not.) Now because G is a nontheorem, no integer forms a proof-pair with G's Godel +number. Therefore, each of the statements of the family is true. Now the crux of the +matter is that the property of being a proof-pair is primitive recursive, hence represented, +so that each of the statements in the list above, being true, must translate into a theorem +of TNT-which means that everything in our infinite pyramidal family is a theorem. And +that shows why TNT is w-incomplete. + +Two Different Ways to Plug Up the Hole + +Since G's interpretation is true, the interpretation of its negation -G is false. And, using +the assumption that TNT is consistent, we know that no false statements are derivable in +TNT. Thus neither G nor its negation -G is a theorem of TNT. We have found a hole in +our system-an undecidable proposition. Now this need be no source of alarm, if we are +philosophically detached enough to recognize what this is a symptom of. It signifies that +TNT can be extended, just as absolute geometry could be. In fact, TNT can be extended +in two distinct directions, just as absolute geometry could be. It can be extended in a +standard direction-which corresponds to extending absolute geometry in the Euclidean +direction; or, it can be extended in a nonstandard direction-which corresponds, of course, +to extending absolute geometry in the non-Euclidean direction. Now the standard type of +extension would involve + +Adding G as a new axiom. + +This suggestion seems rather innocuous and perhaps even desirable, since, after all, G +asserts something true about the natural number system. But what about the nonstandard +type of extensions If it is at all parallel to the case of the parallel postulate, it must +involve +adding the negation of G as a new axiom. + +But how can we even contemplate doing such a repugnant, hideous thing? After all, to +paraphrase the memorable words of Girolamo Saccheri, isn't what --G says "repugnant to +the nature of the natural numbers'? + +Supernatural Numbers + +I hope the irony of this quotation strikes you. The exact problem with Saccheri's approach +to geometry was that he began with a fixed notion of what was true and what was not +true, and he set out only to prove what he'd assessed as true to start with. Despite the +cleverness of his approach-which involved denying the fifth postulate, and then proving +many "repugnant" propositions of the ensuing geometry-Saccheri never entertained the +possibility of other ways of thinking about points and lines. Now we should be wary of +repeating this famous mistake. We must consider impartially, to the extent that we can, +what it would mean to add -G as an axiom to TNT. Just think what mathematics would +be like today if people had never considered adding new axioms of the following sorts: + +* 3a:(a+a)=S0 + +* 3a:Sa=0 + +* 3a:(a»a)=SSO + +* 3a:S(a»a) =0 + +While each of them is "repugnant to the nature of previously known number systems", +each of them also provides a deep and wonderful extension of the notion of whole +numbers: rational numbers, negative numbers, irrational numbers, imaginary numbers. +Such a possibility is what -G is trying to get us to open our eyes to. Now in the past, each +new extension of the notion of number was greeted with hoots and catcalls. You can hear +this particularly loudly in the names attached to the unwelcome arrivals, such as +"irrational numbers", "imaginary numbers". True to this tradition, we shall name the +numbers which -'-G is announcing to us the supernatural numbers, showing how we feel +they violate all reasonable and commonsensical notions. + +If we are going to throw -G in as the sixth axiom of TNT, we had better +understand how in the world it could coexist, in one system, with the infinite pyramidal +family we just finished discussing. To put it bluntly, -G says: + +* “There exists some number which forms a TNT-proof-pair with the +arithmoquinification of u” + +-but the various members of the pyramidal family successively assert: + +* "0 is not that number" + +* "1 is not that number" + +* "2 is not that number" + +This is rather confusing, because it seems to be a complete contradiction (which is why it +is called "co-inconsistency"). At the root of our confusion-much as in the case of the +splitting of geometry-is our stubborn resistance to adopt a modified interpretation for the +symbols, despite the fact that we are quite aware that the system is a modified system. +We want to get away without reinterpreting any symbols-and of course that will prove +impossible. + +The reconciliation comes when we reinterpret 3 as "There exists a generalized +natural number", rather than as "There exists a natural number". As we do this, we shall +also reinterpret V in the corresponding way. This means that we are opening the door to +some extra numbers besides the natural numbers. These are the supernatural numbers. +The naturals and supematurals together make up the totality of generalized naturals. + +The apparent contradiction vanishes into thin air, now, for the pyramidal family +still says what it said before: "No natural number forms a TNT-proof-pair with the +arithmoquinification of u." The family doesn't say anything about supernatural numbers, +because there are no numerals for them. But now, -G says, "There exists a generalized +natural number which forms a TNT-proof-pair with the arithmoquinification of u." It is +clear that taken together, the family and -G tell us something: that there is a supernatural +number which forms a TNT-proof-pair with the arithmoquinification of u. That is all- +there is no contradiction any more. TNT+-G is a consistent system, under an +interpretation which includes supernatural numbers. + +Since we have now agreed to extend the interpretations of the two quantifiers, this +means that any theorem which involves either of them has an extended meaning. For +example, the commutativity theorem + +* Va:da':(a+a')=(a'+a) + +now tells us that addition is commutative for all generalized natural numbers-in other +words, not only for natural numbers, but also for supernatural numbers. Likewise, the +TNT-theorem which says "2 is not the square of a natural number"- + +* -3a:(a • a)=SSO + +-now tells us that 2 is not the square of a supernatural number, either. In fact, +supernatural numbers share all the properties of natural numbers, as +long as those properties are given to us in theorems of TNT. In other words, everything +that can be formally proven about natural numbers is thereby established also for +supernatural numbers. This means, in particular, that supernatural numbers are not +anything already familiar to you, such as fractions, or negative numbers, or complex +numbers, or whatever. The supernatural numbers are, instead, best visualized as integers +which are greater than all natural numbers-as infinitely large integers. Here is the point: +although theorems of TNT can rule out negative numbers, fractions, irrational numbers, +and complex numbers, still there is no way to rule out infinitely large integers. The +problem is, there is no way even to express the statement "There are no infinite +quantities". + +This sounds quite strange, at first. Just exactly how big is the number which +makes a TNT-proof-pair with G's Godel number= (Let's call it 7 . for no particular +reason.) Unfortunately, we have not got any good vocabulary for describing the sizes of +infinitely large integers, so I am afraid I cannot convey a sense of I's magnitude. But then +just how big is i (the square root of -1)? Its size cannot be imagined in terms of the sizes +of familiar natural numbers. You can't say, "Well, i is about half as big as 14, and 9/10 as +big as 24." You have to say, "i squared is -1", and more or less leave it at that. A quote +from Abraham Lincoln seems a propos here. When he was asked, "How long should a +man's legs be?" he drawled, "Long enough to reach the ground." That is more or less how +to answer the question about the size of I-it should be just the size of a number which +specifies the structure of a proof of G-no bigger, no smaller. + +Of course, any theorem of TNT has many different derivations, so you might +complain that my characterization of I is nonunique. That is so. But the parallel with 1- +the square root of -1-still holds. Namely, recall that there is another number whose square +is also minus one: -i. Now i and -i are not the same number. They just have a property in +common. The only trouble is that it is the property which defines them! We have to +choose one of them-it doesn't matter which one-and call it "i". In fact there's no way of +telling them apart. So for all we know we could have been calling the wrong one "i" for +all these centuries and it would have made no difference. Now, like i, I is also +nonuniquely defined. So you just have to think of I as being some specific one of the +many possible supernatural numbers which form TNT-proof-pairs with the +arithmoquinification of u. + +Supernatural Theorems Have Infinitely Long Derivations. + +We haven't yet faced head on what it means to throw -G in as an axiom. We have said it +but not stressed it. The point is that -G asserts that G has a proof. How can a system +survive, when one of its axioms asserts that its own negation has a proof? We must be in +hot water now! Well, it is not so bad as you might think. As long as we only construct +finite proofs, we will never prove G Therefore, no calamitous collision between G and its +negative ~G will ever take place. The supernatural number -I won’t cause any disaster. + +However, we will have to get used to the idea that -G is now the one which asserts a +truth ("G has a proof"), while G asserts a falsity ("G has no proof'). In standard number +theory it is the other way around-but then, in standard number theory there aren't any +supernatural numbers. Notice that a supernatural theorem of TNT -namely G-may assert a +falsity, but all natural theorems still assert truths. + +Supernatural Addition and Multiplication + +There is one extremely curious and unexpected fact about supematurals which I would +like to tell you, without proof. (I don't know the proof either.) This fact is reminiscent of +the Heisenberg uncertainty principle in quantum mechanics. It turns out that you can +"index" the supematurals in a simple and natural way by associating with each +supernatural number a trio of ordinary integers (including negative ones). Thus, our +original supernatural number, 7, might have the index set (9,-8,3), and its successor, 7+1, +might have the index set (9,-8,4). Now there is no unique way to index the supematurals; +different methods offer different advantages and disadvantages. Under some indexing +schemes, it is very easy to calculate the index triplet for the sum of two supernaturals, +given the indices of the two numbers to be added. Under other indexing schemes, it is +very easy to calculate the index triplet for the product of two supernaturals, given the +indices of the two numbers to be multiplied. But under no indexing scheme is it possible +to calculate both. More precisely, if the sum's index can be calculated by a recursive +function, then the product's index will not be a recursive function; and conversely, if the +product's index is a recursive function, then the sum's index will not be. Therefore, +supernatural schoolchildren who learn their supernatural plus-tables will have to be +excused if they do not know their supernatural times-tables-and vice versa! You cannot +know both at the same time. + +Supernaturals Are Useful... + +One can go beyond the number theory of supematurals, and consider supernatural +fractions (ratios of two supernaturals), supernatural real numbers, and so on. In fact, the +calculus can be put on a new footing, using the notion of supernatural real numbers. +Infinitesimals such as dx and dy, those old bugaboos of mathematicians, can be +completely justified, by considering them to be reciprocals of infinitely large real +numbers! Some theorems in advanced analysis can be proven more intuitively with the +aid of "nonstandard analysis". + +But Are They Real? + +Nonstandard number theory is a disorienting thing when you first meet up with it. But, +then, non-Euclidean geometry is also a disorienting subject. In +both instances, one is powerfully driven to ask, "But which one of these two rival theories +is correct? Which is the truthT In a certain sense, there is no answer to such a question. +(And vet, in another sense-to be discussed later-there is an answer.) The reason that there +is no answer to the question is that the two rival theories, although they employ the same +terms, do not talk about the same concepts. Therefore, they are only superficially rivals, +just like Euclidean and non-Euclidean geometries. In geometry, the words "point", "line", +and so on are undefined terms, and their meanings are determined by the axiomatic +system within which they are used. + +Likewise for number theory. When we decided to formalize TNT. we preselected +the terms we would use as interpretation words-for instance, words such as "number", +"plus", "times", and so on. By taking the step of formalization, we were committing +ourselves to accepting whatever passive meanings these terms might take on. But just like +Saccheri-we didn't anticipate any surprises. We thought we knew what the true, the real, +the only theory of natural numbers was. We didn't know that there would be some +questions about numbers which TNT would leave open, and which could therefore be +answered ad libitum by extensions of TNT heading off in different directions. Thus, there +is no basis on which to say that number theory "really" is this way or that, just as one +would be loath to say that the square root of -1 "really" exists, or "really" does not. + +Bifurcations in Geometry, and Physicists + +There is one argument which can be, and perhaps ought to be, raised against the +preceding. Suppose experiments in the real, physical world can be explained more +economically in terms of one particular version of geometry than in terms of any other. +Then it might make sense to say that that geometry is "true". From the point of view of a +physicist who wants to use the "correct" geometry, then it makes some sense to +distinguish between the "true" geometry, and other geometries. But this cannot be taken +too simplistically. Physicists are always dealing with approximations and idealizations of +situations. For instance, my own Ph.D. work, mentioned in Chapter V, was based on an +extreme idealization of the problem of a crystal in a magnetic field. The mathematics +which emerged was of a high degree of beauty and symmetry. Despite-or rather, because +of-the artificiality of the model, some fundamental features emerged conspicuously in the +graph. These features then suggest some guesses about the kinds of things that might +happen in more realistic situations. But without the simplifying assumptions which +produced my graph, there could never be such insights. One can see this kind of thing +over and over again in physics, where a physicist uses a "nonreal" situation to learn about +deeply hidden features of reality. Therefore, one should be extremely cautious in saying +that the brand of geometry which physicists might wish to use would represent “the +true geometry", for in fact, physicists will always use a variety of different geometries, +choosing in any given situation the one that seems simplest and most convenient. + +Furthermore-and perhaps this is even more to the point-physicists do not study +just the 3-D space we live in. There are whole families of "abstract spaces" within which +physical calculations take place, spaces which have totally different geometrical +properties from the physical space within which we live. Who is to say, then, that "the +true geometry" is defined by the space in which Uranus and Neptune orbit around the +sun? There is "Hilbert space", where quantum-mechanical wave functions undulate; there +is "momentum space", where Fourier components dwell; there is "reciprocal space", +where wave-vectors cavort; there is "phase space", where many-particle configurations +swish; and so on. There is absolutely no reason that the geometries of all these spaces +should be the same; in fact, they couldn't possibly be the same! So it is essential and vital +for physicists that different and "rival" geometries should exist. + +Bifurcations in Number Theory, and Bankers + +So much for geometry. What about number theory? Is it also essential and vital that +different number theories should coexist with each other? If you asked a bank officer, my +guess is that you would get an expression of horror and disbelief. How could 2 and 2 add +up to anything but 4? And moreover, if 2 and 2 did not make 4, wouldn't world +economies collapse immediately under the unbearable uncertainty opened up by that +fact? Not really. First of all, nonstandard number theory doesn't threaten the age-old idea +that 2 plus 2 equals 4. It differs from ordinary number theory only in the way it deals with +the concept of the infinite. After all, every theorem of TNT remains a theorem in any +extension of TNT\ So bankers need not despair of the chaos that will arrive when +nonstandard number theory takes over. + +And anyway, entertaining fears about old facts being changed betrays a +misunderstanding of the relationship between mathematics and the real world. +Mathematics only tells you answers to questions in the real world after you have taken +the one vital step of choosing which kind of mathematics to apply. Even if there were a +rival number theory which used the symbols '2', '3', and '+', and in which a theorem said +"2 + 2 = 3", there would be little reason for bankers to choose to use that theory! For that +theory does not fit the way money works. You fit your mathematics to the world, and not +the other way around. For instance, we don't apply number theory to cloud systems, +because the very concept of whole numbers hardly fits. There can be one cloud and +another cloud, and they will come together and instead of there being two clouds, there +will still only be one. This doesn't prove that 1 plus 1 equals 1; it just proves that our +number theoretical concept of “one” is not applicable in its full power to cloud counting. + +Bifurcations in Number Theory, and Metamathematicians + +So bankers, cloud-counters, and most of the rest of us need not worry ,about the advent of +supernatural numbers: they won't affect our everyday perception of the world in the +slightest. The only people who might actually be a little worried are people whose +endeavors depend in some crucial way on the nature of infinite entities. There aren't too +many such people around-but mathematical logicians are members of this category. How +can the existence of a bifurcation in number theory affect them Well, number theory +plays two roles in logic: (1) when axiomatized, it is an object of study; and (2) when used +informally, it is an indispensable tool with which formal systems can be investigated. +This is the use-mention distinction once again, in fact: in role (1), number theory is +mentioned, in role (2) it is used. + +Now mathematicians have judged that number theory is applicable to the study of +formal systems even if not to cloud-counting, just as bankers have judged that the +arithmetic of real numbers is applicable to their transactions. This is an +extramathematical judgement, and shows that the thought processes involved in doing +mathematics, just like those in other areas, involve "tangled hierarchies" in which +thoughts on one level can affect thoughts on any other level. Levels are not cleanly +separated, as the formalist version of what mathematics is would have one believe. + +The formalist philosophy claims that mathematicians only deal with abstract +symbols, and that they couldn't care less whether those symbols have any applications to +or connections with reality. But that is quite a distorted picture. Nowhere is this clearer +than in metamathematics. If the theory of numbers is itself used as an aid in gaining +factual knowledge about formal systems, then mathematicians are tacitly showing that +they believe these ethereal things called "natural numbers" are actually part of reality not +just figments of the imagination. This is why I parenthetically remarked earlier that, in a +certain sense, there is an answer to the question of which version of number theory is +"true". Here is the nub of the matter: mathematical logicians must choose which version +of number theory to put their faith in. In particular, they cannot remain neutral on the +question of the existence or nonexistence of supernatural numbers, for the two different +theories may give different answers to questions in metamathematics. + +For instance, take this question: "Is -G finitely derivable in TNT?" No one +actually knows the answer. Nevertheless, most mathematical logicians would answer no +without hesitation. The intuition which motivates that answer is based on the fact that if - +G were a theorem, TNT would be w-inconsistent, and this would force supematurals +down your throat if you wanted to interpret TNT meaningfully-a most unpalatable +thought for most people. After all, we didn't intend or expect supematurals to be part of +TNT when we invented it. That is, we-or most of us-believe that it is possible to make a +formalization of number theory which does not force you into believing that supernatural +numbers are every bit as real as naturals. It is that intuition about reality which +determines which “fork” of number theory mathematicians will put their faith in, when +the chips are +down. But this faith may be wrong. Perhaps every consistent formalization of number +theory which humans invent will imply the existence of supernaturals, by being co- +inconsistent. This is a queer thought, but it is conceivable. + +If this were the case-which I doubt, but there is no disproof available-then G +would not have to be undecidable. In fact, there might be no undecidable formulas of +TNT at all. There could simply be one unbifurcated theory of numbers-which necessarily +includes supernaturals. This is not the kind of thing mathematical logicians expect, but it +is something which ought not to be rejected outright. Generally, mathematical logicians +believe that TNT-and systems similar to it-are co-consistent, and that the Godel string +which can be constructed in any such system is undecidable within that system. That +means that they can choose to add either it or its negation as an axiom. + +Hilbert's Tenth Problem and the Tortoise + +I would like to conclude this Chapter by mentioning one extension of Godel’s +Theorem. (This material is more fully covered in the article "Hilbert's Tenth Problem" by +Davis and Hersh, for which see the Bibliography.) For this, I must define what a +Diophantine equation is. This is an equation in which a polynomial with fixed integral +coefficients and exponents is set to 0. For instance, + +* a -0 + +and, + +* 5jc+13v-1=0 + +and, + +* 5p5 + \lq\l - 177-0 + +and, + +* 123,666,111,666 + ^123,-666,111,666 c 123,666,111,666 _ q + +are Diophantine equations. It is in general a difficult matter to know whether a given +Diophantine equation has any integer solutions or not. In fact, in a famous lecture at the +beginning of the century, Hilbert asked mathematicians to look for a general algorithm by +which one could determine in a finite number of steps if a given Diophantine equation +has integer solutions or not. Little did he suspect that no such algorithm exists! + +Now for the simplification of G. It has been shown that whenever you have a sufficiently +powerful formal number theory and a Godel-numbering for it, there is a Diophantine +equation which is equivalent to G. The equivalence lies in the fact that this equation, +when interpreted on a metamathematical level, asserts of itself that it has no solutions. +Turn it around: if you found a solution to it, you could construct from it the Godel +number of a proof in the system that the equation has no solutions! This is what the +Tortoise did in the Prelude, using Fermat's equation as his Diophantine equation. It is +nice to know that when you do this, you can retrieve the sound of Old Bach from the +molecules in the air! + +DIALOGUE XV: Birthday Cantatatata + +One (tine May day, the Tortoise and Achilles meet, wandering in the woods. + +The latter, all decked out handsomely, is doing a jiggish sort of thing to a +tune which he himself is humming. On his vest he is wearing a great big +button with the words "Today is my Birthday!" + +Tortoise: Hello there, .Achilles. What makes you so joyful today? Is it your birthday, by +any chance? + +Achilles: Yes, yes! Yes it is, today is my birthday! + +Tortoise: That is what I had suspected, on account of that button which you are wearing, +and also because unless I am mistaken, you are singing a tune from a Birthday +Cantata by Bach, one written in 1727 for the fifty-seventh birthday of Augustus, King +of Saxony. + +Achilles: You're right. And Augustus' birthday coincides with mine, so THIS Birthday +Cantata has double meaning. However, I shan't tell you my age. + +Tortoise: Oh, that's perfectly all right. However, I would like to know one other thing. +From what you have told me so far, would it be correct to conclude that today is your +birthday? + +Achilles: Yes, yes, it would be. Today is my birthday. + +Tortoise: Excellent. That's just as I suspected. So now, I WILL conclude it is your +birthday, unless + +Achilles: Yes-unless what? + +Tortoise: Unless that would be a premature or hasty conclusion to draw, you know. +Tortoises don't like to jump to conclusions, after all. (We don't like to jump at all, but +especially not to conclusions.) So let me just ask you, knowing full well of your +fondness for logical thought, whether it would be reasonable to deduce logically from +the foregoing sentences, that today is in fact your birthday. + +Achilles: I do believe I detect a pattern to your questions, Mr. T. But rather than jump to +conclusions myself, I shall take your question at face value, and answer it +straightforwardly. The answer is: YES. + +Tortoise: Fine! Fine! Then there is only one more thing I need to know, to be quite +certain that today is + +Achilles: Yes, yes, yes, yes ... I can already see the line of your questioning, Mr. T. I'll +have you know that I am not so gullible as I was when we discussed Euclid's proof, a +while back. + +Tortoise: Why, who would ever have thought you to be gullible? Quite to the contrary, I +regard you as an expert in the forms of logical thought, an authority in the science of +valid deductions, a fount of knowledge about certain correct methods of reasoning. . . +To tell the truth, Achilles, you are, in my opinion, a veritable titan in the art of rational +cogitation. +And it is only for that reason that I would ask you, "Do the foregoing sentences present +enough evidence that I should conclude without further puzzlement that today is your +birthday + +Achilles: You flatten me with your weighty praise, Mr. T-FLATTER, I mean. But I am +struck by the repetitive nature of your questioning and in my estimation, you, just as +well as I, could have answered 'yes' each time. + +Tortoise: Of course I could have, Achilles. But you see, to do so would have been to +make a Wild Guess-and Tortoises abhor Wild Guesses. Tortoises formulate only +Educated Guesses. Ah, yes-the power of the Educated Guess. You have no idea how +many people fail to take into account all the Relevant Factors when they're guessing. + +Achilles: It seems to me that there was only one relevant factor in this rigmarole, and that +was my first statement. + +Tortoise: Oh, to be sure, it's at least ONE of the factors to take into account, I'd say-but +would you have me neglect Logic, that venerated science of the ancients? Logic is +always a Relevant Factor in making Educated Guesses, and since I have with me a +renowned expert in Logic, I thought it only Logical to take advantage of that fact, and +confirm my hunches, by directly asking him whether my intuitions were correct. So +let me finally come out and ask you point blank: "Do the preceding sentences allow +me to conclude, with no room for doubt, that Today is your Birthday?" + +Achilles: For one more time, YES. But frankly speaking, I have the distinct impression +that you could have supplied that answer-as well as all the previous ones-yourself. + +Tortoise: How your words sting! Would I were so wise as your insinuation suggests! But +as merely a mortal Tortoise, profoundly ignorant and longing to take into account all +the Relevant Factors, I needed to know the answers to all those questions. + +Achilles: Well then, let me clear the matter up for once and for all. The answer to all the +previous questions, and to all the succeeding ones which you will ask along the same +line, is just this: YES. + +Tortoise: Wonderful! In one fell swoop, you have circumvented the whole mess, in your +characteristically inventive manner. I hope you won't mind if I call this ingenious +trick an ANSWER SCHEMA. It rolls up yes-answers numbers 1, 2, 3, etc., into one +single ball. In fact, coming as it does at the end of the line, it deserves the title +"Answer Schema Omega", 'w' being the last letter of the Greek alphabet-as if YOU +needed to be told THAT! + +Achilles: I don't care what you call it. I am just very relieved that you finally agree that it +is my birthday, and we can go on to some other topic-such as what you are going to +give me as a present. + +Tortoise: Hold on-not so fast. I WILL agree it is your birthday, provided one thing. + +Achilles: What? That I Ask for no present? + +Tortoise: Not at all. In fact, Achilles, I am looking forward to treating you to a fine +birthday dinner, provided merely that I am convinced that knowledge of all those yes- +answers at once (as supplied by Answer Schema w) allows me to proceed directly and +without any further detours to the conclusion that today is your birthday. That's the +case, isn't it? + +Achilles: Yes, of course it is. + +Tortoise: Good. And now I have yes-answer co + 1. Armed with it, I can proceed to +accept the hypothesis that today is your birthday, if it is valid to do so. Would you be +so kind as to counsel me on that matter, Achilles? + +Achilles: What is this? I thought I had seen through your infinite plot. Now doesn't yes- +answer co + 1 satisfy you? All right. I'll give you not only yes-answer co + 2, but also +yes-answers co + 3, co + 4, and so on. + +Tortoise: How generous of you, Achilles. And here it is your birthday, when I should be +giving YOU presents instead of the reverse. Or rather, I SUSPECT it is your birthday. +I guess I can conclude that it IS your birthday, now, armed with the new Answer +Schema, which I will call "Answer Schema 2co ". But tell me, Achilles: Does Answer +Schema 2co REALLY allow me to make that enormous leap, or am I missing +something? + +Achilles: You won't trick me any more, Mr. T. I've seen the way to end this silly game. I +hereby shall present you with an Answer Schema to end all Answer Schemas! That is, +I present you simultaneously with Answer Schemas co, 2 co, 3 co, 4 co, 5 co, etc. With +this Meta-Answer-Schema, I have JUMPED OUT of the whole system, kit and +caboodle, transcended this silly game you thought you had me trapped in-and now we +are DONE! + +Tortoise: Good grief! I feel honored, Achilles, to be the recipient of such a powerful +Answer Schema. I feel that seldom has anything so gigantic been devised by the mind +of man, and I am awestruck by its power. Would you mind if I give a name to your +gift? + +Achilles: Not at all. + +Tortoise: Then I shall call it "Answer Schema co"". And we can shortly proceed to other +matters-as soon as you tell me whether the possession of Answer Schema co 2 allows +me to deduce that today is your birthday. + +Achilles: Oh, woe is me! Can't I ever reach the end of this tantalizing trail? What comes +next? + +Tortoise: Well, after Answer Schema co 2 there's answer co 2 + 1. And then answer co 2 + 2. +And so forth. But you can wrap those all together into a packet, being Answer +Schema co 2 + co. And then there are quite a few other answer-packets, such as co 2 + 2co, +and co 2 + 3co.... Eventually you come to Answer Schema 2co 2, and after a while. +Answer Schemas 3co 2 and 4co 2 . Beyond them there +are yet further Answer Schemas, such as co 3 ;, co 4 , or, and so on. It goes on quite a +ways, you know. + +Achilles: I can imagine, I suppose it comes to Answer Schema are yet further Answer +Schemas, such as w;, w4, w5, and so on. It goes on quite a ways, you know. + +Achilles: I can imagine, I suppose it comes to Answer Schema co“ after a while. + +Tortoise: Of course. + +Achilles: And then co““, and co“““', + +Tortoise: You're catching on mighty fast, Achilles. I have a suggestion for you, if you +don't mind. Why don't you throw all of those together into a single Answer Schema? + +Achilles: All right, though I'm beginning to doubt whether it will do any good. + +Tortoise: It seems to me that within our naming conventions as so far set up, there is no +obvious name for this one. So perhaps we should just arbitrarily name it Answer +Schema (Eo. + +Achilles: Confound it all! Every time you give one of my answers a NAME, it seems to +signal the imminent shattering of my hopes that that answer will satisfy you. Why +don't we just leave this Answer Schema nameless? + +Tortoise: We can hardly do that, Achilles. We wouldn't have any way to refer to it +without a name. And besides, there is something inevitable and rather beautiful about +this particular Answer Schema. It would be quite ungraceful to leave it nameless! And +you wouldn't want to do something lacking in grace on your birthday, would you? Or +is it your birthday? Say, speaking of birthdays, today is MY' birthday! + +Achilles: It is? + +Tortoise: Yes, it is. Well, actually, it's my uncle's birthday, but that's almost the same. +How would you like to treat me to a delicious birthday dinner this evening? + +Achilles: Now just a cotton-picking minute, Mr. T. Today is MY birthday. You should do +the treating! + +Tortoise: Ah, but you never did succeed in convincing me of the veracity of that remark. +You kept on beating around the bush with answers, Answer Schemas, and whatnot. +All I wanted to know was if it was your birthday or not, but you managed to befuddle +me entirely. Oh, well, too bad. In any case. I'll be happy to let you treat me to a +birthday dinner this evening. + +Achilles: Very well. I know just the place. They have a variety of delicious soups. And I +know exactly what kind we should have ... + +CHAPTER XV: Jumping out of the System + +A More Powerful Formal System + +ONE OF THE things which a thoughtful critic of GodeFs proof might do would be to +examine its generality. Such a critic might, for example, suspect that Godel has just +cleverly taken advantage of a hidden defect in one particular formal system, TNT. If this +were the case, then perhaps a formal system superior to TNT could be developed which +would not be subject to the Godelian trick, and GodeFs Theorem would lose much of its +sting. In this Chapter we will carefully scrutinize the properties of TNT which made it +vulnerable to the arguments of last Chapter. + +A natural thought is this: If the basic trouble with TNT is that it contains a "hole"- +in other words, a sentence which is undecidable, namely G-then why not simply plug up +the hole? Why not just tack G onto TNT as a sixth axiom? Of course, by comparison to +the other axioms, G is a ridiculously huge giant, and the resulting system-TNT+G-would +have a rather comical aspect due to the disproportionateness of its axioms. Be that as it +may, adding G is a reasonable suggestion. Let us consider it done. Now, it is to be hoped, +the new system, TNT+G, is a superior formal system-one which is not only supernatural- +free, but also complete. It is certain that TNT+G is superior to TNT in at least one +respect: the string G is no longer undecidable in this new system, since it is a theorem. + +What was the vulnerability of TNT due to? The essence of its vulnerability was +that it was capable of expressing statements about itself-in particular, the statement + +"I Cannot Be Proven in Formal System TNT" + +or, expanded a bit, + +"There does not exist a natural number which forms a TNT-proof-pair with +the Godel number of this string." + +Is there any reason to expect or hope that TNT+G would be invulnerable to GodeFs +proof? Not really. Our new system is just as expressive as TNT. Since GodeFs proof +relies primarily on the expressive power of a formal system, we should not be surprised +to see our new system succumb, +too. The trick will be to find a string which expresses the statement + +"I Cannot Be Proven in Formal System TNT+G." + +Actually, it is not much of a trick, once you have seen it done for TNT. All the same +principles are employed: only, the context shifts slightly. (Figuratively speaking, we take +a tune we know and simply sing it again, only in a higher key.) As before, the string +which we are looking for-let us call it "G"'-is constructed by the intermediary of an +"uncle", But instead of being based on the formula which represents TNT-proof-pairs, it +is based on the similar but slightly more complicated notion of TNT+G-proofpairs. This +notion of TNT+G-proof-pairs is only a slight extension of the original notion of TNT- +proof-pairs. + +A similar extension could be envisaged for the MlU-system. We have seen the +unadulterated form of MlU-proof-pairs. Were we now to add MU as a second axiom, we +would be dealing with a new system-the MIU+MU system. A derivation in this extended +system is presented: + +MU axiom + +MUU rule 2 + +There is a MIU+MU-proof-pair which corresponds-namely, m = 30300, n = 300. Of +course, this pair of numbers does not form a MlU-proof-pair-only a MIU+MU-proof- +pair. The addition of an extra axiom does not substantially complicate the arithmetical +properties of proof-pairs. The significant fact about them-that being a proof-pair is +primitive recursive-is preserved. + +The Godel Method Reapplied + +Vow, returning to TNT+G, we will find a similar situation. TNT+G proof-pairs, like +their predecessors, are primitive recursive, so they are represented inside TNT+G by a +formula which we abbreviate in an obvious manner. + +(TNT+G)-PROOF-PAIR{a,a'} + +Vow we just do everything all over again. We make the counterpart of G by beginning +with an "uncle", just as before: + +3a:3a':<(TNT+G)-PROOF-PAIR{a,a'}ARITHMOQUINE{a",a'}> + +.et us say its Godel-number is u'. Now we arithmoquine this very uncle. That will give us +G': + +3a:3a’: < (TNT+G)-PROOF-PAIR{a,a’} + +ARITHMOQUINE {SSS....SSSo/a ",a'}> + +U' S's + +Its interpretation is +More concisely. + +"There is no number a that forms a TNT +G-proof-pair +with the arithmoquinification of w'." + +"I Cannot Be Proven in Formal System TNT+G." + +Multifurcation + +Well (yawn), the details are quite boring from here on out. G’ is precisely to TNT+G as +G was to TNT Itself. One finds that either G' or -G’ can be added to TNT+G, to yield a +further splitting of number theory. And, lest you think this only happens to the "good +guys", this very same dastardly trick can be played upon TNT+-G-that is, upon the +nonstandard extension of TNT gotten by adding G’s negation. So now we see (Fig. 75) +that there are all sorts of bifurcations in number theory: + +FIGURE 75. "Multif urccitioif of TNT. Each extension of TNT has its very own Gtdel +sentence; that sentence, or its negation, can be added on, so that from each extension +there sprouts a pair of further extensions, a process which goes on ad infinitum. + +Of course, this is just the beginning. Let us imagine moving down the leftmost branch of +this downwards-pointing tree, where we always toss in the Godel sentences (rather than +their negations). This is the best we can do by way of eliminating supernaturals. After +adding G, we add G'. Then we add G", and G m , and so on. Each time we make a new +extension of TNT, its vulnerability to the Tortoise's method-pardon me, I mean Godel’s +method., allows a new string to be devised, having the interpretation. + +“I cannot be proven in formal system X” + +Naturally, after a while, the whole process begins to seem utterly predictable and routine. +Why, all the "holes" are made by one single technique! This means that, viewed as +typographical objects, they are all cast from one single mold, which in turn means that +one single axiom schema suffices to represent all of them! So if this is so, why not plug +up all :he holes at once and be done with this nasty business of incompleteness 3nce and +for all? This would be accomplished by adding an axiom schema to TNT, instead of just +one axiom at a time. Specifically, this axiom schema would be the mold in which all of +G, G', G", G'", etc., are cast. By adding :his axiom schema (let's call it "G~"), we would +be outsmarting the "Godelization" method. Indeed, it seems quite clear that adding G. to +TNT would :)e the last step necessary for the complete axiomatization of all of number- +theoretical truth. + +It was at about this point in the Contracrostipunctus that the Tortoise related the +Crab's invention of "Record Player Omega". However, readers were left dangling as to +the fate of that device, since before completing his tale, the tuckered-out Tortoise decided +that he had best go home to sleep; but not before tossing off a sly reference to Godel’s +Incompleteness Theorem). Now, at last, we can get around to clearing up that dangling +detail... Perhaps you already have an inkling, after reading the Birthday Cantatatata. + +Essential Incompleteness + +As you probably suspected, even this fantastic advance over TNT suffers the same fate. +And what makes it quite weird is that it is still for, in essence, the same reason. The +axiom schema is not powerful enough, and the Godel construction can again be effected. +Let me spell this out a little. (One can do it much more rigorously than I shall here.) If +there is a way of capturing the various strings G, G', G", G'" . . in a single typographical +mold, then there is a way of describing their Godel numbers in a single arithmetical mold. +And this arithmetical portrayal of an infinite class of numbers can then be represented +inside TNT+G. by some formula OMEGA-AXIOM {a} whose interpretation is: "a is the +Godel number of one of the axioms coming from G.". When a is replaced by any specific +numeral, the formula which results will be a theorem of TNT+G. if and only if the +numeral stands for the Godel number of an axiom coming from the schema. + +With the aid of this new formula, it becomes possible to represent even such a +complicated notion as TNT+G. -proof-pairs inside TNT+Gto: + +(TNT+G.)- PROOF- PAIR{a, a') + +sing this formula, we can construct a new uncle, which we proceed to Arithmoquine in +the by now thoroughly familiar way, making yet another undecidable string, which will +be called "TNT+Gto+i". At this point, you might well wonder, "Why isn't Gco+i among +the axioms created by the axiom schema Gto?” The answer is that G was not clever +enough to foresee its own embeddability inside number theory. + +In the Contracrostipunctus, one of the essential steps in the Tortoise's making an +"unplayable record" was to get a hold of a manufacturer's blueprint of the record player +which he was out to destroy. This was necessary so that he could figure out to what kinds +of vibrations it was vulnerable, and then incorporate into his record such grooves as +would code for sounds which would induce those vibrations. It is a close analogue to the +Godel trick, in which the system's own properties are reflected inside the notion of proof- +pairs, and then used against it. Any system, no matter how complex or tricky it is, can be +Godel-numbered, and then the notion of its proof-pairs can be defined-and this is the +petard by which it is hoist. Once a system is well-defined, or "boxed", it becomes +vulnerable. + +This principle is excellently illustrated by the Cantor diagonal trick, which finds +an omitted real number for each well-defined list of reals between 0 and 1. It is the act of +giving an explicit list-a "box" of reals which causes the downfall. Let us see how the +Cantor trick can be repeated over and over again. Consider what happens if, starting with +some list L, you do the following: + +(la) Take list L, and construct its diagonal number d. + +(lb) Throw d somewhere into list L, making a new list L+d. + +(2a) Take list L +d, and construct its diagonal number d'. + +(2b) Throw d' somewhere into list L+d, making a new list L+d+d'. + +Now this step-by-step process may seem a doltish way to patch up L, for we could have +made the entire list d, d', d", d”\ ... at once, given L originally. But if you think that +making such a list will enable you to complete your list of reals, you are very wrong. The +problem comes at the moment you ask, "Where to incorporate the list of diagonal +numbers inside L?" No matter how diabolically clever a scheme you devise for +ensconcing the d-numbers inside L, once you have done it, then the new list is still +vulnerable. As was said above, it is the act of giving an explicit list-a "box" of reals-that +causes the downfall. + +Now in the case of formal systems, it is the act of giving an explicit recipe for +what supposedly characterizes number-theoretical truth that causes the incompleteness. +This is the crux of the problem with TNT+Gco,. Once you insert all the G's in a well- +defined way into TNT, there is seen to be some other G-some unforeseen G-which you +didn't capture in your axiom schema. And in the case of the TC-battle inside the +ContracrostiPunctus, the instant a record player's "architecture" is determined, the record +player becomes capable of being shaken to pieces. + +So what is to be done? There is no end in sight. It appears that TNT, even when +extended ad infinitum, cannot be made complete. TNT is therefore said to suffer from +essential incompleteness because the income- +pleteness here is part and parcel of TNT ; it is an essential part of the nature of TNT and +cannot be eradicated in any way, whether simpleminded or ingenious. What's more, this +problem will haunt any formal version of number theory, whether it is an extension of +TNT, a modification of TNT, or an alternative to TNT. The fact of the matter is this: the +possibility of constructing, in a given system, an undecidable string via Godel’s self¬ +reference method, depends on three basic conditions: + +(1) That the system should be rich enough so that all desired statements about +numbers, whether true or false, can be expressed in it. (Failure on this count +means that the system is from the very start too weak to be counted as a rival to +TNT, because it can't even express number-theoretical notions that TNT can. + +In the metaphor of the Contracrosttpunctus, it is as if one did not have a +phonograph but a refrigerator or some other kind of object.) + +(2) That all general recursive relations should be represented by formulas in the +system. (Failure on this count means the system fails to capture in a theorem +some general recursive truth, which can only be considered a pathetic bellyflop +if it is attempting to produce all of number theory's truths. In the +Contracrostipunctus metaphor, this is like having a record player, but one of +low fidelity.) + +(3) That the axioms and typographical patterns defined by its rules be recognizable +by some terminating decision procedure. (Failure on this count means that there +is no method to distinguish valid derivations in the system from invalid ones- +thus that the "formal system" is not formal after all, and in fact is not even well- +defined. In the Contracrostipunctus metaphor, it is a phonograph which is still +on the drawing board, only partially designed.) + +Satisfaction of these three conditions guarantees that any consistent system will be +incomplete, because Godel’s construction is applicable. + +The fascinating thing is that any such system digs its own hole; the system's own +richness brings about its own downfall. The downfall occurs essentially because the +system is powerful enough to have self-referential sentences. In physics, the notion exists +of a "critical mass" of a fissionable substance, such as uranium. A solid lump of the +substance will just sit there, if its mass is less than critical. But beyond the critical mass, +such a lump will undergo a chain reaction, and blow up. It seems that with formal +systems there is an analogous critical point. Below that point, a system is "harmless" and +does not even approach defining arithmetical truth formally; but beyond the critical point, +the system suddenly attains the capacity for self-reference, and thereby dooms itself to +incompleteness. The threshold seems to be roughly when a system attains the three +properties listed above. + +Once this ability for self-reference is attained, the system has a hole which is tailor-made +for itself; the hole takes the features of the system into account and uses them against the +system. + +The Passion According to Lucas + +The baffling repeatability of the Godel argument has been used by various people-notably +J. R. Lucas-as ammunition in the battle to show that there is some elusive and ineffable +quality to human intelligence, which makes it unattainable by "mechanical automata"-that +is, computers. Lucas begins his article "Minds, Machines, and Godel" with these words: + +Godel’s theorem seems to me to prove that Mechanism is false, that is, that minds + +cannot be explained as machines.' + +Then he proceeds to give an argument which, paraphrased, runs like this. For a +computer to be considered as intelligent as a person is, it must be able to do every +intellectual task which a person can do. Now Lucas claims that no computer can do +"Godelization" (one of his amusingly irreverent terms) in the manner that people can. +Why not? Well, think of any particular formal system, such as TNT, or TNT+G, or even +TNT+G.. One can write a computer program rather easily which will systematically +generate theorems of that system, and in such a manner that eventually, any preselected +theorem will be printed out. That is, the theorem-generating program won't skip any +portion of the "space" of all theorems. Such a program would be composed of two major +parts: (1) a subroutine which stamps out axioms, given the "molds" of the axiom schemas +(if there are any), and (2) a subroutine which takes known theorems (including axioms, of +course) and applies rules of inference to produce new theorems. The program would +alternate between running first one of these subroutines, and then the other. + +We can anthropomorphically say that this program "knows" some facts of number +theory-namely, it knows those facts which it prints out. If it fails to print out some true +fact of number theory, then of course it doesn't "know" that fact. Therefore, a computer +program will be inferior to human beings if it can be shown that humans know something +which the program cannot know. Now here is where Lucas starts rolling. He says that we +humans can always do the Godel trick on any formal system as powerful as TNT-and +hence no matter what the formal system, we know more than it does. Now this may only +sound like an argument about formal systems, but it can also be slightly modified so that +it becomes, seemingly, an invincible argument against the possibility of Artificial +Intelligence ever reproducing the human level of intelligence. Here is the gist of it: + +Rigid internal codes entirely rule computers and robots; ergo ... + +Computers are isomorphic to formal systems. Now .. . + +Any computer which wants to be as smart as we are has got to be able to do + +number theory as well as we can, so.... + +Among other things, it has to be able to do primitive recursive arithmetic. But for +this very reason .. . + +It is vulnerable to the Godelian "hook", which implies that... + +We, with our human intelligence, can concoct a certain statement of number +theory which is true, but the computer is blind to that statement's truth (i.e., will +never print it out), precisely because of Godel’s boomeranging argument. + +This implies that there is one thing which computers just cannot be programmed +to do, but which we can do. So we are smarter. + +Let us enjoy, with Lucas, a transient moment of anthropocentric glory: + +However complicated a machine we construct, it will, if it is a machine, correspond +to a formal system, which in turn will be liable to the Godel procedure for finding a +formula unprovable-in-that-system. This formula the machine will be unable to +produce as being true, although a mind can see it is true. And so the machine will +still not be an adequate model of the mind. We are trying to produce a model of the +mind which is mechanical-which is essentially "dead"-but the mind, being in fact +"alive," can always go one better than any formal, ossified, dead system can. Thanks +to Godel’s theorem, the mind always has the last word. 2 + +On first sight, and perhaps even on careful analysis, Lucas' argument appears +compelling. It usually evokes rather polarized reactions. Some ;eize onto it as a nearly +religious proof of the existence of souls, while others laugh it off as being unworthy of +comment. I feel it is wrong, but Fascinatingly so-and therefore quite worthwhile taking +the time to rebut. In fact, it was one of the major early forces driving me to think over the +matters in this book. I shall try to rebut it in one way in this Chapter, and in ether ways in +Chapter XVII. + +We must try to understand more deeply why Lucas says the computer cannot be +programmed to "know" as much as we do. Basically the idea is :hat we are always +outside the system, and from out there we can always perform the "Godelizing" +operation, which yields something which the program, from within, can't see is true. But +why can't the "Godelizing operator", as Lucas calls it, be programmed and added to the +program as a third major component, Lucas explains: + +The procedure whereby the Godelian formula is constructed is a standard +procedure-only so could we be sure that a Godelian formula can be constructed for +every formal system. But if it is a standard procedure, then a machine should be +able to be programmed to carry it out too.... This would correspond to having a +system with an additional rule of inference which allowed one to add, as a theorem, +the Godelian formula of the rest of the formal system, and then the Godelian +formula of this new, strengthened, formal system, and so on. It would be +tantamount to adding to the original formal system an infinite sequence of axioms, +each the Godelian formula of the system hitherto obtained... We might expect a +mind, faced with a machine that possessed a Godelizing operator, to take this into +account, and +out-Godel the new machine, Godelizing operator and all. This has, in fact, proved +to be the case. Even if we adjoin to a formal system the infinite set of axioms +consisting of the successive Godelian formulae, the resulting system is still +incomplete, and contains a formula which cannot be proved-in-the system, although +a rational being can, standing outside the system, see that it is true. We had +expected this, for even if an infinite set of axioms were added, they would have to +be specified by some finite rule or specification, and this further rule or +specification could then be taken into account by a mind considering the enlarged +formal system. In a sense, just because the mind has the last word, it can always +pick a hole in any formal system presented to it as a model of its own workings. +The mechanical model must be, in some sense, finite and definite: and then the +mind can always go one better.' + +Jumping Up a Dimension + +A visual image provided by M. C. Escher is extremely useful in aiding the intuition here: +his drawing Dragon (Fig. 76). Its most salient feature is, of course, its subject matter-a +dragon biting its tail, with all the Godelian connotations which that carries. But there is a +deeper theme to this picture. Escher himself wrote the following most interesting +comments. The first comment is about a set of his drawings all of which are concerned +with "the conflict between the flat and the spatial"; the second comment is about Dragon +in particular. + +I Our three-dimensional space is the only true reality we know. The two- +dimensional is every bit as fictitious as the four-dimensional, for nothing is flat, not +even the most finely polished mirror. And yet we stick to the convention that a wall +or a piece of paper is flat, and curiously enough, we still go on, as we have done +since time immemorial, producing illusions of space on just such plane surfaces as +these. Surely it is a bit absurd to draw a few lines and then claim: "This is a house". +This odd situation is the theme of the next five pictures (Including Dragon) + +II. However much this dragon tries to be spatial, he remains completely flat. Two +incisions are made in the paper on which he is printed. Then it is folded in such a +way as to leave two square openings. But this dragon is an obstinate beast, and in' +spite of his two dimensions he persists in assuming that he has three; so he sticks his +head through one of the holes and his tail through the others 5 + +This second remark especially is a very telling remark. The message is that no matter +how cleverly you try to simulate three dimensions in two, you are always missing some +"essence of three-dimensionality". The dragon tries very hard to fight his two- +dimensionality. He defies the two-dimensionality of the paper on which he thinks he is +drawn, by sticking his head through it; and yet all the while, we outside the drawing can +see the pathetic futility of it all, for the dragon and the holes and the folds are all merely +two-dimensional simulations of those concepts, and not a one of them is real. But the +dragon cannot step out of his two-dimensional space, and cannot +know it as we do. We could, in fact, carry the Escher picture any number of steps further. +For instance, we could tear it out of the book, fold it, cut holes in it, pass it through itself, +and photograph the whole mess, so that it again becomes two-dimensional. And to that +photograph, we could once again do the same trick. Each time, at the instant that it +becomes two- Matter how 'cleverly we seem to have simulated three dimensions inside +two-it becomes vulnerable to being cut and folded again. + +Now with this wonderful Escherian metaphor, let us return to the program versus +the human. We were talking about trying to encapsulate the "Godelizing operator" inside +the program itself. Well, even if we had written a program which carried the operation +out, that program would not capture the essence of Godel’s method. For once again, we, +outside the system, could still "zap" it in a way which it couldn't do. But then are we +arguing with, or against, Lucas + +The Limits of Intelligent Systems + +Against. For the very fact that we cannot write a program to do "Godelizing" must make +us somewhat suspicious that we ourselves could do it in every case. It is one thing to +make the argument in the abstract that Godelizing "can be done"; it is another thing to +know how to do it in every particular case. In fact, as the formal systems (or programs) +escalate in complexity, our own ability to "Godelize" will eventually begin to waver. It +must, since, as we have said above, we do not have any algorithmic way of describing +how to perform it. If we can't tell explicitly what is involved in applying the Godel +method in all cases, then for each of us there will eventually come some case so +complicated that we simply can't figure out how to apply it. + +Of course, this borderline of one's abilities will be somewhat ill-defined, just as is +the borderline of weights which one can pick up off the ground. While on some days you +may not be able to pick up a 250-pound object, on other days maybe you can. +Nevertheless, there are no days whatsoever on which you can pick up a 250-ton object. +And in this sense, though everyone's Godelization threshold is vague, for each person, +there are systems which lie far beyond his ability to Godelize. + +This notion is illustrated in the Birthday Cantatatata. At first, it seems obvious +that the Tortoise can proceed as far as he wishes in pestering Achilles. But then Achilles +tries to sum up all the answers in a single swoop. This is a move of a different character +than any that has gone before, and is given the new name 'co'. The newness of the name +is quite important. It is the first example where the old naming scheme-which only +included names for all the natural numbers-had to be transcended. Then come some more +extensions, some of whose names seem quite obvious, others of which are rather tricky. +But eventually, we run out of names once again-at the point where the answer-schemas + +* O , , .0000 + +* 14, (0 , CO . + +are all subsumed into one outrageously complex answer schema. The altogether new +name 'e,,' is supplied for this one. And the reason a new name is needed is that some +fundamentally new kind of step has been taken-a sort of irregularity has been +encountered. Thus a new name must be applied ad hoc. + +There Is No Recursive Rule for Naming Ordinals. + +Now offhand you might think that these irregularities in the progression >m ordinal to +ordinal (as these names of infinity are called) could be handled by a computer program. +That is, there would be a program to produce new names in a regular way, and when it +ran out of gas, it would invoke the "irregularity handler", which would supply a new +name, and pass control back to the simple one. But this will not work. It turns out that +irregularities themselves happen in irregular ways, and one would need o a second-order +program-that is, a program which makes new programs which make new names. And +even this is not enough. Eventually, a third-order program becomes necessary. And so on, +and so on. + +All of this perhaps ridiculous-seeming complexity stems from a deep “theorem, +due to Alonzo Church and Stephen C. Kleene, about the structure of these "infinite +ordinals", which says: + +There is no recursively related notation-system which gives a +name to every constructive ordinal. + +hat "recursively related notation-systems" are, and what "constructive ordinals" are, we +must leave to the more technical sources, such as Hartley )gets' book, to explain. But the +intuitive idea has been presented. As the ordinals get bigger and bigger, there are +irregularities, and irregularities in e irregularities, and irregularities in the irregularities in +the irregularities, etc. No single scheme, no matter how complex, can name all e ordinals. +And from this, it follows that no algorithmic method can tell w to apply the method of +Godel to all possible kinds of formal systems, ad unless one is rather mystically inclined, +therefore one must conclude at any human being simply will reach the limits of his own +ability to 5delize at some point. From there on out, formal systems of that complex, +though admittedly incomplete for the Godel reason, will have as much power as that +human being. + +Other Refutations of Lucas + +Now this is only one way to argue against Lucas' position. There are others, possibly +more powerful, which we shall present later. But this counterargument has special +interest because it brings up the fascinating concept trying to create a computer program +which can get outside of itself, see itself completely from the outside, and apply the +Godel zapping-trick to itself. Of course this is just as impossible as for a record player to +be able to ay records which would cause it to break. + +But-one should not consider TNT defective for that reason. If there a defect anywhere, it +is not in TNT, but in our expectations of what it should he able to do. Furthermore, it is +helpful to realize that we are equally vulnerable to the word trick which Godel +transplanted into mathematical formalisms: the Epimenides paradox. This was quite +cleverly pointed out +by C. H. Whitely, when he proposed the sentence "Lucas cannot consistently assert this +sentence." If you think about it, you will see that (1) it is true, and yet (2) Lucas cannot +consistently assert it. So Lucas is also "incomplete" with respect to truths about the +world. The way in which he mirrors the world in his brain structures prevents him from +simultaneously being "consistent" and asserting that true sentence. But Lucas is no more +vulnerable than any of us. He is just on a par with a sophisticated formal system. + +An amusing way to see the incorrectness of Lucas' argument is to translate it into +a battle between men and women ... In his wanderings, Loocus the Thinker one day +comes across an unknown object-a woman. Such a thing he has never seen before, and at +first he is wondrous thrilled at her likeness to himself: but then, slightly scared of her as +well, he cries to all the men about him, "Behold! I can look upon her face, which is +something she cannot do-therefore women can never be like me!" And thus he proves +man's superiority over women, much to his relief, and that of his male companions. +Incidentally, the same argument proves that Loocus is superior to all other males, as well- +but he doesn't point that out to them. The woman argues back: "Yes, you can see my face, +which is something I can't do-but I can see your face, which is something you can't do! +We're even." However, Loocus comes up with an unexpected counter: "I'm sorry, you're +deluded if you think you can see my face. What you women do is not the same as what +we men do-it is, as I have already pointed out, of an inferior caliber, and does not deserve +to be called by the same name. You may call it 'womanseeing'. Now the fact that you can +'womansee' my face is of no import, because the situation is not symmetric. You see?" "I +womansee," womanreplies the woman, and womanwalks away .. . + +Well, this is the kind of "heads-in-the-sand" argument which you have to be +willing to stomach if you are bent on seeing men and women running ahead of computers +in these intellectual battles. + +Self-Transcendence-A Modern Myth + +It is still of great interest to ponder whether we humans ever can jump out of ourselves-or +whether computer programs can jump out of themselves. Certainly it is possible for a +program to modify itself-but such modifiability has to be inherent in the program to start +with, so that cannot be counted as an example of "jumping out of the system". No matter +how a program twists and turns to get out of itself, it is still following the rules inherent +in itself. It is no more possible for it to escape than it is for a human being to decide +voluntarily not to obey the laws of physics. Physics is an overriding system, from which +there can be no escape. However, there is a lesser ambition which it is possible to +achieve: that is, one can certainly Jump from a subsystem of one's brain into a wider +subsystem. One can step out of ruts on occasion. This is still due to the interaction of +various subsystems of one’s brain, but it can feel very much like stepping entirely out of +oneself. Similarly, it is entirely conceivable that a partial ability to “step outside of itself’ +could be embodied in a computer program. + +However, it is important to see the distinction between perceiving oneself, and +transcending oneself. You can gain visions of yourself in all sorts of rays-in a mirror, in +photos or movies, on tape, through the descriptions if others, by getting psychoanalyzed, +and so on. But you cannot quite break out of your own skin and be on the outside of +yourself (modern occult movements, pop psychology fads, etc. notwithstanding). TNT +can talk about itself, but it cannot jump out of itself. A computer program can modify +itself but it cannot violate its own instructions-it can at best change some parts of itself by +obeying its own instructions. This is reminiscent of the numerous paradoxical question, +"Can God make a stone so heavy that he can’t lift it?" + +Advertisement and Framing Devices + +[his drive to jump out of the system is a pervasive one, and lies behind all progress in art, +music, and other human endeavors. It also lies behind such trivial undertakings as the +making of radio and television commercials, [his insidious trend has been beautifully +perceived and described by Irving Goffman in his book Frame Analysis: + +For example, an obviously professional actor completes a commercial pitch and, +with the camera still on him, turns in obvious relief from his task, now to take real +pleasure in consuming the product he had been advertising. + +This is, of course, but one example of the way in which TV and radio +commercials are coming to exploit framing devices to give an appearance of +naturalness that (it is hoped) will override the reserve auditors have developed. +Thus, use is currently being made of children's voices, presumably because these +seem unschooled; street noises, and other effects to give the impression of +interviews with unpaid respondents; false starts, filled pauses, byplays, and +overlapping speech to simulate actual conversation; and, following Welles, the +interception of a firm's jingle commercials to give news of its new product, +alternating occasionally with interception by a public interest spot, this presumably +keeping the faith of the auditor alive. + +The more that auditors withdraw to minor expressive details as a test of +genuineness, the more that advertisers chase after them. What results is a sort of +interaction pollution, a disorder that is also spread by the public relations +consultants of political figures, and, more modestly, by micro-sociology.' + +Here we have yet another example of an escalating "TC-battle"-the antagonists this time +being Truth and Commercials. + +Simplicio, Salviati, Sagredo: Why Three? + +There is a fascinating connection between the problem of jumping out of ie system and +the quest for complete objectivity. When I read Jauch's four dialogues in Are Quanta +Real? based on Galileo's four Dialogues Concerning Two New Sciences, I found myself +wondering why there were three characters participating. Simplico, Salviati and Sagredo. +Why wouldn’t two have +sufficed: Simplicio, the educated simpleton, and Salviati, the knowledgeable thinker? +What function does Sagredo have? Well, he is supposed to be a sort of neutral third party, +dispassionately weighing the two sides and coming out with a "fair" and "impartial" +judgment. It sounds very balanced, and yet there is a problem: Sagredo is always +agreeing with Salviati, not with Simplicio. How come Objectivity Personified is playing +favorites? One answer, of course, is that Salviati is enunciating correct views, so Sagredo +has no choice. But what, then, of fairness or "equal time"? + +By adding Sagredo, Galileo (and Jauch) stacked the deck more against Simplicio, +rather than less. Perhaps there should be added a yet higher level Sagredo-someone who +will be objective about this whole situation ... You can see where it is going. We are +getting into a never-ending series of "escalations in objectivity", which have the curious +property of never getting any more objective than at the first level: where Salviati is +simply right, and Simplicio wrong. So the puzzle remains: why add Sagredo at all? And +the answer is, it gives the illusion of stepping out of the system, in some intuitively +appealing sense. + +Zen and "Stepping Out" + +In Zen, too, we can see this preoccupation with the concept of transcending the system. +For instance, the koan in which Tozan tells his monks that "the higher Buddhism is not +Buddha". Perhaps, self-transcendence is even the central theme of Zen. A Zen person is +always trying to understand more deeply what he is, by stepping more and more out of +what he sees himself to be, by breaking every rule and convention which he perceives +himself to be chained by-needless to say, including those of Zen itself. Somewhere along +this elusive path may come enlightenment. In any case (as I see it), the hope is that by +gradually deepening one's self-awareness, by gradually widening the scope of "the +system", one will in the end come to a feeling of being at one with the entire universe. + +DIALOGUE XVI: Edifying Thoughts of a Tobacco Smoker + +Achilles has been invited to the Crab's home. + +Achilles: I see you have made a few additions since I was last here, Mr. Crab. Your new +paintings are especially striking. + +Crab: Thank you. I am quite fond of certain painters-especially Rene Magritte. Most of +the paintings I have are by him. He's my favorite artist. + +Achilles: They are very intriguing images, I must say. In some ways, these paintings by +Magritte remind me of works by MY favorite artist, M. C. Escher. + +Crab: I can see that. Both Magritte and Escher use great realism in exploring the worlds +of paradox and illusion; both have a sure sense for the evocative power of certain +visual symbols, and-something which even their admirers often fail to point out-both +of them have a sense of the graceful line. + +Achilles: Nevertheless, there is something quite different about them. I wonder how one +could characterize that difference. + +Crab: It would be fascinating to compare the two in detail. + +Achilles: I must say, Magritte's command of realism is astonishing. For instance, I was +quite taken in by that painting over there of a tree with a giant pipe behind it. + +Crab: You mean a normal pipe with a tiny tree in front of it! + +Achilles: Oh, is that what it is? Well, in any case, when I first spotted it, I was convinced +I was smelling pipe smoke! Can you imagine how silly I felt? + +Crab: I quite understand. My guests are often taken in by that one. + +(So saying, he reaches up, removes the pipe from behind the tree in the painting, +turns over and taps it against the table, and the room begins to reek of pipe tobacco. + +He begins packing in a new wad of tobacco.) + +This is a fine old pipe, Achilles. Believe it or not, the bowl has a copper lining, +which makes it age wonderfully. + +Achilles: A copper lining! You don't say! + +Crab (pulls out a box of matches, and lights his pipe): Would you care for a smoke, +Achilles? + +Achilles: No, thank you. I only smoke cigars now and then. + +Crab: No problem! I have one right here! (Reaches out towards another Magritte +painting, featuring a bicycle mounted upon a lit cigar.) + +Achilles: Uhh-no thank you, not now. + +Crab: As you will. I myself am an incurable tobacco smoker. Which reminds me-you +undoubtedly know of Old Bach's predilection for pipe smoking? + +Achilles: I don't recall exactly. + +Crab: Old Bach was fond of versifying, philosophizing, pipe smoking, and +music making (not necessarily in that order). He combined all four into a droll poem +which he set to music. It can be found in the famous musical notebook he kept for his +wife, Anna Magdalena, and it is called + +Edifying Thoughts of a Tobacco Smoker' + +* Whene'er I take my pipe and stuff it + +* And smoke to pass the time away. + +* My thoughts, as I sit there and puff it, + +* Dwell on a picture sad and gray: + +* It teaches me that very like + +* Am I myself unto my pipe. + +* Like me, this pipe so fragrant burning + +* Is made of naught but earth and clay; + +* To earth I too shall be returning. + +* It falls and, ere I'd think to say. + +* It breaks in two before my eyes; + +* In store for me a like fate lies. + +* No stain the pipe's hue yet cloth darken; + +* It remains white. Thus do I know + +* That when to death's call I must harken + +* My body, too, all pale will grow. + +* To black beneath the sod 'twill turn, + +* Likewise the pipe, if oft it burn. + +* Or when the pipe is fairly glowing, + +* Behold then, instantaneously. + +* The smoke off into thin air going. + +* Till naught but ash is left to see. + +* Man's fame likewise away will burn + +* And unto dust his body turn. + +* How oft it happens when one's smoking: + +* The stopper's missing from its shelf, + +* And one goes with one's finger poking + +* Into the bowl and burns oneself. + +* If in the pipe such pain cloth dwell, + +* How hot must be the pains of hell. + +* Thus o'er my pipe, in contemplation + +* Of such things, I can constantly + +* Indulge in fmitful meditation, + +* And so, puffing contentedly. + +* On land, on sea, at home, abroad + +* I smoke my pipe and worship God. + +* A charming philosophy, is it not? + +Achilles: Indeed. Old Bach was a turner of phrases quite pleasin'. + +Crab: You took the very words from my mouth. You know, in my time I have tried to +write clever verses. But I fear mine don't measure up to much. I don't have such a way +with words. + +Achilles: Oh, come now, Mr. Crab. You have-how to put it?-quite a penchant for trick'ry +and teasin'. I'd be honored if you'd sing me one of your songs, Mr. C. + +Crab: I'm most flattered. How about if I play you a record of myself singing one of my +efforts? I don't remember when it dates from. Its title is "A Song Without Time or +Season". + +Achilles: How poetic! + +(The Crab pulls a record from his shelves, and walks over to a huge, complex piece +of apparatus. He opens it up, and inserts the record into an ominous-looking +mechanical mouth. Suddenly a bright flash of greenish light sweeps over the +surface of the record, and after a moment, the record is silently whisked into some +hidden belly of the fantastic machine. A moment passes, and then the strains of the +Crab's voice ring out.) + +A turner of phrases quite pleasin', + +Had a penchant for trick'ry and teasin'. + +In his songs, the last line +Might seem sans design; + +What I mean is, without why or wherefore. + +Achilles: Lovely! Only, I'm puzzled by one thing. It seems to me your song, the last line +is + +Crab: Sans design? + +Achilles: No ... What I mean is, without rhyme or reason. Crab: You could be right. + +Achilles: Other than that, it's a very nice song, but I must say I am even more intrigued +by this monstrously complex contraption. Is it merely an oversized record player? + +Crab: Oh, no, it's much more than that. This is my Tortoise-chomping record player. +Achilles: Good grief! + +Crab: Well, I don't mean that it chomps up Tortoises. But it chomps up records produced +by Mr. Tortoise. + +Achilles: Whew! That's a little milder. Is this part of that weird musical battle that +evolved between you and Mr. T some time ago? + +Crab: In a way. Let me explain a little more fully. You see, Mr. Tortoise's sophistication +had reached the point where he seemed to be able to destroy almost any record player +I would obtain. + +Achilles: But when I heard about your rivalry, it seemed to me you had at last come into +possession of an invincible phonograph-one with a +built-in TV camera, minicomputer and so on, which could take itself apart and rebuild +itself in such a way that it would not be destroyed. + +Crab: Alack and alas! My plan was foiled. For Mr. Tortoise took advantage of one small +detail which I had overlooked: the subunit which directed the disassembly and +reassembly processes was itself stable during the entire process. That is, for obvious +reasons, it could not take itself apart and rebuild itself, so it stayed intact. + +Achilles: Yes, but what consequences did that have. + +Crab: Oh, the direst ones! For you see, Mr. T focused his method down onto that subunit +entirely. + +Achilles: How is that? + +Crab: He simply made a record which would induce fatal vibrations in the one structure +he knew would never change-the disassembly reassembly subunit. + +Achilles: Oh, I see ... Very sneaky. + +Crab: Yes, so I thought, too. And his strategy worked. Not the first time, mind you. I +thought I had outwitted him when my phonograph survived his first onslaught. I +laughed gleefully. But the next time, he returned with a steely glint in his eye, and I +knew he meant business. I placed his new record on my turntable. Then, both of us +eagerly watched the computer-directed subunit carefully scan the grooves, then +dismount the record, disassemble the record player, reassemble it in an astonishingly +different way, remount the record-and then slowly lower the needle into the outermost +groove. + +Achilles: Golly! + +Crab: No sooner had the first strains of sound issued forth than a loud SMASH! filled the +room. The whole thing fell apart, but particularly badly destroyed was the assembler- +disassembler. In that painful instant I finally realized, to my chagrin, that the Tortoise +would ALWAYS be able to focus down upon-if you'll pardon the phrase-the Achilles' +heel of the system. + +Achilles: Upon my soul! You must have felt devastated. + +Crab: Yes, I felt rather forlorn for a while. But, happily, that was not the end of the story. +There is a sequel to the tale, which taught me a valuable lesson, which I may pass on +to you. On the Tortoise's recommendation, I was browsing through a curious book +filled with strange Dialogues about many subjects, including molecular biology, +fugues, Zen Buddhism, and heaven knows what else. + +Achilles: Probably some crackpot wrote it. What is the book called? + +Crab: If I recall correctly, it was called Copper, Silver, Gold: an Indestructible Metallic +Alloy. + +Achilles: Oh, Mr. Tortoise told me about it, too. It's by a friend of his, who, it appears, is +quite taken with metal-logic. + +Crab- I wonder which friend it is ... Anyway_ in one of the Dialogues, I encountered +some Edifying Thoughts on the Tobacco Mosaic Virus, ribosomes, and other strange +things I had never heard of. + +Achilles: What is the Tobacco Mosaic Virus? What are ribosomes? + +Crab: I can't quite say, for I'm a total dunce when it comes to biology. All I know is what +I gathered from that Dialogue. There, it said that Tobacco Mosaic Viruses are tiny +cigarette-like objects that cause a disease in tobacco plants. + +Achilles: Cancer? + +Crab: No, not exactly, but- + +Achilles: What next? A tobacco plant smoking and getting cancer! Serves it right! + +Crab: I believe you've jumped to a hasty conclusion, Achilles. Tobacco plants don't +SMOKE these "cigarettes". The nasty little "cigarettes" just come and attack them, +uninvited. + +Achilles: I see. Well, now that I know all about Tobacco Mosaic Viruses, tell me what a +ribosome is. + +Crab: Ribosomes are apparently some sort of sub cellular entities which take a message +in one form and convert it into a message in another form. + +Achilles: Something like a teeny tape recorder or phonograph? + +Crab: Metaphorically, I suppose so. Now the thing which caught my eye was a line where +this one exceedingly droll character mentions the fact that ribosomes-as well as +Tobacco Mosaic Viruses and certain other bizarre biological structures-possess "the +baffling ability to spontaneously self-assemble. Those were his exact words. + +Achilles: That was one of his droller lines, I take it. + +Crab: That's just what the other character in the Dialogue thought. But that's a +preposterous interpretation of the statement. ( The Crab draws deeply from his pipe, +and puffs several billows of smoke into the air.) + +Achilles: Well, what does "spontaneous self-assembly" mean, then? + +Crab: The idea is that when some biological units inside a cell are taken apart, they can +spontaneously reassemble themselves-without being directed by any other unit. The +pieces just come together, and presto!-they stick. + +Achilles: That sounds like magic. Wouldn't it be wonderful if a full-sized record player +could have that property? I mean, if a miniature "record player" such as a ribosome +can do it, why not a big one? That would allow you to create an indestructible +phonograph, right? Any time it was broken, it would just put itself together again. + +Crab: Exactly my thought. I breathlessly rushed a letter off to my manufacturer +explaining the concept of self-assembly, and asked him if he could build me a record +player which could take itself apart and spontaneously self-assemble in another form. + +Achilles: A hefty bill to fill. + +Crab: True; but after several months, he wrote to me that he had succeeded, at long last- +and indeed he sent me quite a hefty bill. One fine day, ho! My Grand Self-assembling +Record Player arrived in the mail, and it was with great confidence that I telephoned +Mr. Tortoise, and invited him over for the purpose of testing my ultimate record +player. + +Achilles: So this magnificent object before us must be the very machine of which you +speak. + +Crab: I'm afraid not, Achilles. + +Achilles: Don't tell me that once again ... + +Crab: What you suspect, my dear friend is unfortunately the case. I don't pretend to +understand the reasons why. The whole thing is too painful to recount. To see all those +springs and wires chaotically strewn about on the floor, and puffs of smoke here and +there-oh, me ... + +Achilles: There, there, Mr. Crab, don't take it too badly. + +Crab: I'm quite all right; I just have these spells every so often. Well, to go on, after Mr. +Tortoise's initial gloating, he at last realized how sorrowful I was feeling, and took +pity. He tried to comfort me by explaining that it couldn't be helped-it all had to do +with somebody-or-other's "Theorem", but I couldn't follow a word of it. It sounded +like "Turtle's Theorem". + +Achilles: I wonder if it was that "Godel’s Theorem" which he spoke of once before to me +... It has a rather sinister ring to it. Crab: It could be. I don't recall. + +Achilles: I can assure you, Mr. Crab, that I have followed this tale with the utmost +empathy for your position. It is truly sad. But, you mentioned that there was a silver +lining. Pray tell, what was that? + +Crab: Oh, yes-the silver lining. Well eventually, I abandoned my quest after +“Perfection” in phonographs, and decided that I might do better +to tighten up my defenses against the Tortoise's records. I concluded that a more +modest aim than a record player which can play anything is simply a record player that +can SURVIVE: one that will avoid getting destroyed-even if that means that it can +only play a few particular records. + +Achilles: So you decided you would develop sophisticated anti-Tortoise mechanisms at +the sacrifice of being able to reproduce every possible sound, eh? + +Crab: Well ... I wouldn't exactly say I "decided" it. More accurate would be to say that I +was FORCED into that position. + +Achilles: Yes, I can see what you mean. + +Crab: My new idea was to prevent all "alien" records from being played on my +phonograph. I knew my own records are harmless, and so if I prevented anyone else +from infiltrating THEIR records, that would protect my record player, and still allow +me to enjoy my recorded music. + +Achilles: An excellent strategy for your new goal. Now does this giant thing before us +represent your accomplishments to date along those lines? + +Crab: That it does. Mr. Tortoise, of course, has realized that he must change HIS strategy, +as well. His main goal is now to devise a record which can slip past my censors-a new +type of challenge. + +Achilles: For your part, how are you planning to keep his and other "alien" records out? + +Crab: You promise you won't reveal my strategy to Mr. T, now? + +Achilles: Tortoise's honor. + +Crab: What!? + +Achilles: Oh-it's just a phrase I've picked up from Mr. T. Don't worry-I swear your secret +will remain secret with me. + +Crab: All right, then. My basic plan is to use a LABELING technique. To each and every +one of my records will be attached a secret label. Now the phonograph before you +contains, as did its predecessors, a television camera for scanning the records, and a +computer for processing the data obtained in the scan and controlling subsequent +operations. My idea is simply to chomp all records which do not bear the proper label! + +Achilles: Ah, sweet revenge! But it seems to me that your plan will be easy to foil. All +Mr. T needs to do is to get a hold of one of your records, and copy its label! + +Crab: Not so simple, Achilles. What makes you think he will be able to tell the label from +the rest of the record? It may be better integrated than you suspect. + +Achilles: Do you mean that it could be mixed up somehow with the actual music? + +Crab: Precisely. But there is a way to disentangle the two. It requires sucking the data off +the record visually and then- + +Achilles: Is that what that bright green Hash was for? + +Crab: That's right. That was the TV camera scanning the grooves. The groove-patterns +were sent to the minicomputer, which analyzed the musical style of the piece I had put +on-all in silence. Nothing had been played yet. + +Achilles: Then is there a screening process, which eliminates pieces which aren't in the +proper styles? + +Crab: You've got it, Achilles. The only records which can pass this second test are +records of pieces in my own style-and it will be hopelessly difficult for Mr. T to +imitate that. So you see, I am convinced I will win this new musical battle. However, I +should mention that Mr. T is equally convinced that somehow, he will manage to slip +a record past my censors. + +Achilles: And smash your marvelous machine to smithereens? + +Crab: Oh, no-he has proved his point on that. Now he just wants to prove to me that he +can slip a record-an innocuous one-by me, no matter what measures I take to prevent +it. He keeps on muttering things about songs with strange titles, such as "I Can Be +Played on Record Player X". But he can't scare MtE! The only thing that worries me a +little is that, as before, he seems to have some murky arguments which ... which ... (He +trails off into silence. Then, looking quite pensive, he takes a few puffs on his pipe.) + +Achilles: Hmm ... I'd say Mr. Tortoise has an impossible task on his hands. He's met his +match, at long last! + +Crab: Curious that you should think so ... I don't suppose that you know Henkin's +Theorem forwards and backwards, do you? + +Achilles: Know WHOSE Theorem forwards and backwards? I've never heard of anything +that sounds like that. I'm sure it's fascinating, but I'd rather hear more about "music to +infiltrate phonographs by". It's an amusing little story. Actually, I guess I can fill in the +end. Obviously, Mr. T will find out that there is no point in going on, and so he will +sheepishly admit defeat, and that will be that. Isn't that exactly it? + +Crab: That's what I'm hoping, at least. Would you like to see a little bit of the inner +workings of my defensive phonograph? + +Achilles: Gladly. I've always wanted to see a working television camera. + +Crab: No sooner said than done, my friend. (Reaches into the gaping"mouth" of the large +phonograph, undoes a couple of snaps, and pulls out a neatly packaged instrument.) +You see, the whole thing is built of independent modules, which can be detached and +used independently. This TV camera, for instance, works very well by itself. Watch +the screen over there, beneath the painting with the flaming tuba. (He points the +camera at Achilles, whose face instantly appears on the large screen.) + +Achilles: Terrific! May I try it out? + +Crab: Certainly. + +Achilles: (pointing the camera at the Crab. There YOU are, Mt Crab, on the screen. + +Crab: So I am. + +Achilles: Suppose I point the camera at the painting with the burning tuba. Now it is on +the screen, too! + +Crab: The camera can zoom in and out, Achilles. You ought to try it. Achilles: Fabulous! +Let me just focus down onto the tip of those flames, where they meet the picture frame +... It's such a funny feeling to be able to instantaneously "copy" anything in the room- +anything I want-onto that screen. I merely need to point the camera at it, and it pops +like magic onto the screen. + +Crab: ANYTHING in the room, Achilles? Achilles: Anything in sight, yes. That's +obvious. + +Crab: What happens, then, if you point the camera at the flames on the TV screen? + +(Achilles shifts the camera so that it points directly at that part of the television +screen on which the flames are-or were-displayed.) + +Achilles: Hey, that’s funny! That very act makes the flames DISAPPEAR from the +screen! Where did they go? + +Crab: You can't keep an image still on the screen and move the camera at the same time. + +Achilles: So I see... But I don’t understand what’s on the screen now-not at all! It +seems to be a strange long corridor. Yet I’m certainly not +pointing the camera down any corridor. I'm merely pointing it at an ordinary TV +screen. + +Crab: Look more carefully, Achilles. Do you really see a corridor? + +Achilles: Ahhh, now I see. It's a set of nested copies of the TV screen itself, getting +smaller and smaller and smaller ... Of course! The image of the flames HAD to go +away, because it came from my- pointing the camera at the PAINTING. When I point +the camera at the SCREEN, then the screen itself appears, with whatever is on the +screen at the time which is the screen itself, with whatever is on the screen at the time +which is the screen itself, with + +Crab: I believe I can fill in the rest, Achilles. Why- don't you try rotating the camera? + +Achilles: Oh! I get a beautiful spiraling corridor! Each screen is rotated inside its framing +screen, so that the littler they get, the more rotated they are, with respect, to the +outermost screen. This idea of having a TV screen "engulf itself" is weird. + +Crab: What do you mean by "self-engulfing", Achilles? + +Achilles: I mean, when I point the camera at the screen-or at part of the screen. THAT'S +self-engulfing. + +Crab: Do you mind if I pursue that a little further? I'm intrigued by this new notion. + +Achilles: So am I. + +Crab: Very well, then. If you point the camera at a CORNER of the screen, is that still +what you mean by "self-engulfing"? + +Achilles: Let me try it. Hmm-the "corridor" of screens seems to go off the edge, so there +isn't an infinite nesting any more. It's pretty, but it doesn't seem to me to have the spirit +of self-engulfing. It's a "failed self-engulfing". + +Crab: If you were to swing the TV camera back towards the center of the screen, maybe +you could fix it up again ... + +Achilles (slowly and cautiously turning the camera): Yes! The corridor is getting longer +and longer ... There it is! Now it's all back. I can look down it so far that it vanishes in +the distance. The corridor became infinite again precisely at the moment when the +camera took in the WHOLE screen. Hmm-that reminds me of something Mr. Tortoise +was saying a while back, about self-reference only occurring when a sentence talks +about ALL of itself ... + +Crab: Pardon me? + +Achilles: Oh, nothing just muttering to myself. + +(As Achilles plays with the lens and other controls on the camera, a profusion of new +kinds of self-engulfing images appear: swirling spirals that resemble galaxies, +kaleidoscopic flower-like shapes, and other assorted patterns ...) + +Crab: You seem to be having a grand time. + +Achilles: (turns away from the camera); I’ll say! What a wealth of images this simple +idea can produce! (He glances back at the screen, and a look of +astonishment crosses his face.) Good grief, Mr. Crab! There's a pulsating petal-pattern +on the screen! Where do the pulsations come from? The TV is still, and so is the +camera. + +Crab: You can occasionally set up patterns which change in time. This is because there is +a slight delay in the circuitry between the moment the camera "sees" something, and +the moment it appears on the screen around a hundredth of a second. So if you have a +nesting of depth fifty or so, roughly a half-second delay will result. If somehow a +moving image gets onto the screen-for example, by you putting your finger in front of +the camera-then it takes a while for the more deeply nested screens to "find out" about +it. This delay then reverberates through the whole system, like a visual echo. And if +things are set up so the echo doesn't die away, then you can get pulsating patterns. + +Achilles: Amazing! Say-what if we tried to make a TOTAL self-engulfing? + +Crab: What precisely do you mean by that? + +Achilles: Well, it seems to me that this stuff with screens within screens is interesting, but +I'd like to get a picture of the TV camera AND the screen, ON the screen. Only then +would I really have made the system engulf itself. For the screen is only PART of the +total system. + +Crab: I see what you mean. Perhaps with this mirror, you can achieve the effect you +want. + +(The Crab hands him a mirror, and Achilles maneuvers the mirror and camera in such +a way that the camera and the screen are both pictured on the screen.) + +Achilles: There! I've created a TOTAL self-engulfing! + +Crab: It seems to me you only have the front of the mirror-what about its back? If it +weren't for the back of the mirror, it wouldn't be reflective-and you wouldn't have the +camera in the picture. + +Achilles: You're right. But to show both the front and back of this mirror, I need a second +mirror. + +Crab: But then you'll need to show the back of that mirror, too. And what about including +the back of the television, as well as its front? And then there's the electric cord, and +the inside of the television, and + +Achilles: Whoa, whoa! My head's beginning to spin! I can see that this "total self¬ +engulfing project" is going to pose a wee bit of a problem. I'm feeling a little dizzy. + +Crab: I know exactly how you feel. Why don't you sit down here and take your mind off +all this self-engulfing? Relax! Look at my paintings, and you'll calm down. + +(Achilles lies down, and sighs.) + +Oh-perhaps my pipe smoke is bothering you? Here, I'll put my pipe away. ( Takes the pipe +from his mouth, and carefully places it above some written words in another .Magritte +painting.) There! Feeling any better? + +Achilles: I’m still a little woozy, (Points at the Magritte.) That’s an interesting painting. I +like the way it’s framed, especially the shiny inlay inside the wooden frame. + +Crab: Thank you. I had it specially done-it's a gold lining. + +Achilles: A gold lining? What next? What are those words below the pipe? They aren't in +English, are they? + +Crab: No, they are in French. They say, "Ceci n’est pas une pipe." That means, "This is +not a pipe". Which is perfectly true. 4chilles: But it is a pipe! You were just smoking +it! + +Crab: Oh, you misunderstand the phrase, I believe. The word "ceci" refers to the painting, +not to the pipe. Of course the pipe is a pipe. But a painting is not a pipe. + +Achilles: I wonder if that "ceci" inside the painting refers to the WHOLE painting, or just +to the pipe inside the painting. Oh, my gracious! That would be ANOTHER self¬ +engulfing! I'm not feeling at all well, Mr. Crab. I think I'm going to be sick ... + +CHAPTER XVI: Self-Ref and Self-Rep + +IN THIS CHAPTER, we will look at some of the mechanisms which create self-reference in +various contexts, and compare them to the mechanisms which allow some kinds of systems +to reproduce themselves. Some remarkable and beautiful parallels between these mechanisms +will come to light. + +Implicitly and Explicitly Self-Referential Sentences + +To begin with, let us look at sentences which, at first glance, may seem to provide the +simplest examples of self-reference. Some such sentences are these: + +(1) This sentence contains five words. + +(2) This sentence is meaningless because it is self-referential. + +(3) This sentence no verb. + +(4) This sentence is false. (Epimenides paradox) + +(5) The sentence I am now writing is the sentence you are now reading. + +All but the last one (which is an anomaly) involve the simple-seeming mechanism contained +in the phrase "this sentence". But that mechanism is in reality far from simple. All of these +sentences are "floating" in the context of the English language. They can be compared to +icebergs, whose tips only are visible. The word sequences are the tips of the icebergs, and the +processing which must be done to understand them is the hidden part. In this sense their +meaning is implicit, not explicit. Of course, no sentence's meaning is completely explicit, but +the more explicit the self-reference is, the more exposed will be the mechanisms underlying +it. In this case, for the self-reference of the sentences above to be recognized, not only has +one to be comfortable with a language such as English which can deal with linguistic subject +matter, but also one has to be able to figure out the referent of the phrase "this sentence". It +seems simple, but it depends on our very complex yet totally assimilated ability to handle +English. What is especially important here is the ability to figure out the referent of a noun +phrase with a demonstrative adjective in it. This ability is built up slowly, and should by no +means be considered trivial. The difficulty is perhaps underlined when a sentence such as +number 4 is presented to someone naive about paradoxes and linguistic tricks, such as a +child. They may say, "What sentence is false and it may take a bit of persistence to get across +the idea that the sentence is talking about itself. The whole idea is a little mind +boggling at first. A couple of pictures may help (Figs. 83, 84). Figure 83 is a picture which +can be interpreted on two levels. #n one level, it is a sentence pointing at itself; on the other +level, it is a picture of Epimenides executing his own death sentence. + +Figure 84, showing visible and invisible portions of the iceberg, suggests the relative +proportion of sentence to processing required for the recognition of self-reference: + +It is amusing to try to create a self-referring sentence without using the trick of saving +this sentence". #ne could try to quote a sentence inside itself. Here is an attempt: + +The sentence "The sentence contains five words" contains five words. + +But such an attempt must fail, for any sentence that could be quoted entirely inside itself +would have to be shorter than itself. This is actually possible, but only if you are willing to +entertain infinitely long sentences, such as: + +"The sentence + +"The sentence + +"The sentence + +"The sentence + +etc,.,etc. + +is infinitely long" + +is infinitely long" + +is infinitely long' + +is infinitely long. + +But this cannot work for finite sentences. For the same reason, Godel's string G could not +contain the explicit numeral for its Godel number: it would not fit. No string of TNT can +contain the TNT-numeral for its own Godel number, for that numeral always contains more +symbols than the string itself does. But you can get around this by having G contain a +description of its own Godel number, by means of the notions of "sub" and +"arithmoquinification". + +•ne way of achieving self-reference in an English sentence by means of description +instead of by self-quoting or using the phrase "this sentence" is the Quine method, illustrated +in the dialogue Air on G's String. The understanding of the Quine sentence requires less +subtle mental processing than the four examples cited earlier. Although it may appear at first +to be trickier, it is in some ways more explicit. The Quine construction is quite like the Godel +construction, in the way that it creates self-reference by describing another typographical +entity which, as it turns out, is isomorphic to the Quine sentence itself. The description of the +new typographical entity is carried out by two parts of the Quine sentence. #ne part is a set +of instructions telling how to build a certain phrase, while the other part contains the +construction materials to be used; that is, the other part is a template. This resembles a +floating cake of soap more than it resembles an iceberg (See Fig. S5). + +The self-reference of this sentence is achieved in a more direct way than in the Epimenides +paradox; less hidden processing is needed. By the way, it is interesting to point out that the +phrase "this sentence" appears in the previous sentence; yet it is not there to cause self¬ +reference: you probably understood that its referent was the Quine sentence, rather than the +sentence in which it occurs. This just goes to show how pointer phrases such as "this +sentence" are interpreted according to context, and helps to show that the processing of such +phrases is indeed quite involved. + +A Self-Reproducing Program + +The notion of quining, and its usage in creating self-reference, have already been explained +inside the Dialogue itself, so we need not dwell on such matters here. Let us instead show +how a computer program can use precisely the same technique to reproduce itself. The +following selfreproducing program is written in a BlooP-like language and is based on +following a phrase by its own quotation (the opposite order from quining, so I reverse the +name "quine" to make "eniuq"): + +* DEFINE PROCEDURE "ENIUQ" [TEMPLATE]: PRINT [TEMPLATE, LEFT- +BRACKET, QUOTE-MARK, TEMPLATE, QUOTE-MARK, RIGHT-BRACKET, +PERIOD]. + +ENIUQ + +* [ DEFINE PROCEDURE "ENIUQ" [TEMPLATE]: PRINT [TEMPLATE, LEFT- +BRACKET, QUOTE-MARK, TEMPLATE, QUOTE-MARK, RIGHT-BRACKET, +PERIOD]. ENIUQ']. + +ENIUQ is a procedure defined in the first two lines, and its input is called "TEMPLATE". It +is understood that when the procedure is called, TEMPLATE'S value will be some string of +typographical characters. The effect of ENIUQ is to carry out a printing operation, in which +TEMPLATE gets printed twice: the first time just plain; the second time wrapped in (single) +quotes and brackets, and garnished with a final period. Thus, if TEMPLATE'S value were +the string DOUBLE-BUBBLE, then performing ENIUQ on it would yield: + +* DOUBLE-BUBBLE ['DOUBLE-BUBBLE']. + +Now in the last four lines of the program above, the procedure ENIUQ is called with a +specific value of TEMPLATE-namely the long string inside the single quotes: DEFINE ... +ENIUQ. That value has been carefully chosen; it consists of the definition of ENIUQ, +followed by the word ENIUQ. This makes the program itself-or, if you prefer, a perfect copy +of it-get printed out. It is very similar to Quine's version of the Epimenides sentence: + +* "yields falsehood when preceded by its quotation" + +* yields falsehood when preceded by its quotation. + +It is very important to realize that the character string which appears n quotes in the last three +lines of the program above-that is, the value of +TEMPLATE -is never interpreted as a sequence of instructions. That it happens to be one is, +in a sense, just an accident. As was pointed out above, it could just as well have been +DOUBLE-BUBBLE or any other string of characters. The beauty of the scheme is that when +the same string appears in the top two lines of this program, it is treated as a program +(because it is not in quotes). Thus in this program, one string functions in two ways: first as +program, and second as data. This is the secret of self-reproducing programs, and, as we shall +see, of self-reproducing molecules. It is useful, incidentally, to call any kind of self- +•reproducing object or entity a self-rep; and likewise to call any self-referring object or entity +a self-ref. I will use those terms occasionally from here on. + +The preceding program is an elegant example of a self-reproducing program written +in a language which was not designed to make the writing of self-reps particularly easy. +Thus, the task had to be carried out using those notions and operations which were assumed +to be part of the language-such as the word QUOTE-MARK, and the command PRINT. But +suppose a language were designed expressly for making self-reps easy to write. Then one +could write much shorter self-reps. For example, suppose that the operation of eniuq-ing +were a built-in feature of the language, needing no explicit definition (as we assumed PRINT +was). Then a teeny self-rep would be this: + +* ENIUQ ['ENIUQ']. + +It is very similar to the Tortoise's version of Quine's version of the Epimenides self-ref, +where the verb "to quine" is assumed to be known: + +* "yields falsehood when quined" yields falsehood when quined + +But self-reps can be even shorter. For instance, in some computer language it might +be a convention that any program whose first symbol is an asterisk is to be copied before +being executed normally. Then the program consisting of merely one asterisk is a self-rep! +You may complain that this is silly and depends on a totally arbitrary convention. In doing +so, you are echoing my earlier point that it is almost cheating to use the phrase "this +sentence" to achieve self-reference-it relies too much on the processor, and not enough on +explicit directions for self-reference. Using an asterisk as an example of a self-rep is like +using the word "I" as an example of a self-ref: both conceal all the interesting aspects of their +respective problems. + +This is reminiscent of another curious type of self-reproduction: via photocopy +machine. It might be claimed that any written document is a self-rep because it can cause a +copy of itself to be printed when it is placed in a photocopy machine and the appropriate +button is pushed. But somehow this violates our notion of self-reproduction; the piece of +paper is not consulted at all, and is therefore not directing its own reproduction. Again, +everything is in the processor. Before we call something a self-rep, we want to have the +feeling that, to the maximum extent possible, it explicitly contains the directions for copying +itself. + +To be sure, explicitness is a matter of degree; nonetheless there is an intuitive borderline on +one side of which we perceive true self-directed self-reproduction, and on the other side of +which we merely see copying being carried out by an inflexible and autonomous copying +machine. + +What Is a Copy? + +Now in any discussion of self-refs and self-reps, one must sooner or later come to grips with +the essential issue: what is a copy? We already dealt with that question quite seriously in +Chapters V and VI; and now we come back to it. To give the flavor of the issue, let us +describe some highly fanciful, yet plausible, examples of self-reps. + +A Self-Reproducing Song + +Imagine that there is a nickelodeon in the local bar which, if you press buttons I l-U, will +play a song whose lyrics go this way: + +Put another nickel in, in the nickelodeon, + +All 1 want is II-U, and music, music, music. + +We could make a little diagram of what happens one evening (Fig. 86). + +Although the effect is that the song reproduces itself, it would feel strange to call the song a +self-rep, because of the fact that when it passes through the I I-U stage, not all of the +information is there. The infonnation only gets put back by virtue of the fact that it is fully +stored in the nickelodeon that is, in one of the arrows in the diagram, not in one of the ovals. +It is questionable whether this song contains a complete description of how to get itself +played again, because the symbol pair "I I-U" is only a trigger, not a copy. + +A "Crab" Program + +Consider next a computer program which prints itself out backwards. (Some readers might +enjoy thinking about how to write such a program in +the blooP-like language above, using the given sell-rep as a inouel.) vvouiu this funny +program count as a self-rep. Yes, in a way, because a trivial transformation performed on its +output will restore the original program. It seems fair to say that the output contains the same +information as the program itself, just recast in a simple way. Yet it is clear that someone +might look at the output and not recognize it as a program printed backwards. To recall +terminology from Chapter VI, we could say that the "inner messages" of the output and the +program itself are the same, but they have different "outer messages"-that -is, they must be +read by using different decoding mechanisms. Now if one counts the outer message as part of +the information-which seems quite reasonable-then the total information is not the same after +all, so the program can't be counted as a self-rep. + +However, this is a disquieting conclusion, because we are accustomed to considering +something and its mirror image as containing the same information. But recall that in Chapter +VI, we made the concept of "intrinsic meaning" dependent on a hypothesized universal +notion of intelligence. The idea was that, in determining the intrinsic meaning of an object, +we could disregard some types of outer message-those which would be universally +understood. That is, if the decoding mechanism seems fundamental enough, in some still ill- +defined sense, then the inner message which it lets be revealed is the only meaning that +counts. In this example, it seems reasonably safe to guess that a "standard intelligence" would +consider two mirror images to contain the same information as each other; that is, it would +consider the isomorphism between the two to be so trivial as to be ignorable. And thus our +intuition that the program is in some sense a fair self-rep, is allowed to stand. + +Epimenides Straddles the Channel + +Now another far-fetched example of a self-rep would be a program which prints itself our, +but translated into a different computer language. One might liken this to the following +curious version of the Quine version of the Epimenides self-ref: + +'lest une expression qui, quand elle est precedee de sa traduction, mise entre +guillemets, clans la langue provenant de l'autre tote de la Manche. tree une faussete" +is an expression which, when it is preceded by its translation, placed in quotation +marks, into the language originating on the other side of the Channel, yields a +falsehood. + +You might try to write down the sentence which is described by this weird concoction. (Hint: +It is not itself-or at least it is not if "itself' is taken in a naive sense.) If the notion of "self-rep +by retrograde motion" (i.e., a program which writes itself out backwards) is reminiscent of a +crab canon, the notion of "self-rep by translation" is no less reminiscent of "a canon which +involves a transposition of the theme into another key. + +A Program That Prints Out Its Own Godel Number + +The idea of printing out a translation instead of an exact copy of the original program may +seem pointless. However, if you wanted to write a self-rep program in BlooP or FlooP, you +would have to resort to some such device, for in those languages, OUTPUT is always a +number, rather than a typographical string. Therefore, you would have to make the program +print out its own Godel number: a very huge integer whose decimal expansion codes for the +program, character by character, by using three digit codons. The program is coming as close +as it can to printing itself, within the means available to it: it prints out a copy of itself in +another "space", and it is easy to switch back and forth between the space of integers and the +space of strings. Thus, the value of OUTPUT is not a mere trigger, like "11-12". Instead, all +the information of the original program lies "close to the surface" of the output. + +Godelian Self-Reference + +This comes very close to describing the mechanism of Godel's self-ref G. After all, that string +of TNT contains a description not of itself, but of an integer (the arithmoquinification of u). It +just so happens that that integer is an exact "image" of the string G, in the space of natural +numbers. Thus, G refers to a translation of itself into another space. We still feel comfortable +in calling G a self-referential string, because the isomorphism between the two spaces is so +tight that we can consider them to be identical. + +This isomorphism that mirrors TNT inside the abstract realm of natural numbers can +be likened to the quasi-isomorphism that mirrors the real world inside our brains, by means +of symbols. The symbols play quasi-isomorphic roles to the objects, and it is thanks to them +that we can think. Likewise, the Godel numbers play isomorphic roles to strings, and it is +thanks to them that we can find metamathematical meanings in statements about natural +numbers. The amazing, nearly magical, thing about G is that it manages to achieve self¬ +reference despite the fact that the language in which it is written, TNT, seems to offer no +hope of referring to its own structures, unlike English, in which it is the easiest thing in the +world to discuss the English language. + +So G is an outstanding example of a self-ref via translation-hardly the most +straightforward case. One might also think back to some of the Dialogues, for some of them, +too, are self-refs via translation. For instance, take the Sonata for Unaccompanied Achilles. +In that Dialogue, several references are made to the Bach Sonatas for unaccompanied violin, +and the Tortoise's suggestion of imagining harpsichord accompaniments is particularly +interesting. After all, if one applies this idea to the Dialogue itself, one invents lines which +the Tortoise is saying; but if one assumes that Achilles' part stands alone (as does the violin), +then it is quite wrong to attribute any lines at all to the Tortoise. In any case, here again is a +self-ref by means of a mapping which maps Dialogues onto pieces by Bach. And this +mapping is +left, of course, for the reader to notice. Yet even if the reader does not notice it, the mapping +is still there, and the Dialogue is still a self-ref. + +A Self-Rep by Augmentation + +We have been likening self-reps to canons. What, then, would be a fair analogue to a canon +by augmentation? Here is a possibility: consider a program which contains a dummy loop +whose only purpose is to slow up the program. A parameter might tell how often to repeat the +loop. A self-rep could be made which prints out a copy of itself, but with the parameter +changed, so that when that copy is run, it will run at half the speed of its parent program; and +its "daughter" will in turn run at half again the speed, and so on . . . None of these programs +prints itself out precisely; yet all clearly belong to a single "family". + +This is reminiscent of the self-reproduction of living organisms. Clearly, an +individual is never identical to either of its parents; why, then, is the act of making young +called "self-reproduction'? The answer is that there is a coarse-grained isomorphism between +parent and child; it is an isomorphism which preserves the information about species. Thus, +what is reproduced is the class, rather than the instance. This is also the case in the recursive +picture Gplot, in Chapter V: that is, the mapping between "magnetic butterflies" of various +sizes and shapes is coarse-grained; no two are identical, but they all belong to a single +"species", and the mapping preserves precisely that fact. In terms of self-replicating +programs, this would correspond to a family of programs, all written in "dialects" of a single +computer language; each one can write itself out, but slightly modified, so that it comes out +in a dialect of its original language. + +A Kimian Self-Rep + +Perhaps the sneakiest example of a self-rep is the following: instead of writing a legal +expression in the compiler language, you type one of the compiler's own error messages. +When the compiler looks at your "program", the first thing it does is get confused, because +your "program" is ungrammatical; hence the compiler prints out an error message. All you +need to do is arrange that the one it prints out will be the one you typed in. This kind of self¬ +rep, suggested to me by Scott Kim, exploits a different level of the system from the one you +would normally approach. Although it may seem frivolous, it may have counterparts in +complex systems where self-reps vie against each other for survival, as we shall soon discuss. + +What Is the Original? + +Besides the question "What constitutes a copy?", there is another fundamental philosophical +question concerning self-reps. That is the obverse +side of the coin: "What is the original?" This can best be explained by referring to some +examples: + +(1) a program which, when interpreted by some interpreter running on some +computer, prints itself out; + +(2) a program which, when interpreted by some interpreter running on some +computer, prints itself out along with a complete copy of the interpreter (which, +after all, is also a program); + +(3) a program which, when interpreted by some interpreter running on some +computer, not only prints itself out along with a complete copy of the interpreter, +but also directs a mechanical assembly process in which a second computer, +identical to the one on which the interpreter and program are running, is put +together. + +It is clear that in (1), the program is the self-rep. But in (3), is it the program which is the self¬ +rep, or the compound system of program plus interpreter, or the union of program, +interpreter, and processor? + +Clearly, a self-rep can involve more than just printing itself out. In fact, most of the +rest of this Chapter is a discussion of self-reps in which data, program, interpreter, and +processor are all extremely intertwined, and in which self-replication involves replicating all +of them at once. + +Typogenetics + +We are now about to broach one of the most fascinating and profound topics of the twentieth +century: the study of "the molecular logic of the living state", to borrow Albert Lehninger's +richly evocative phrase. And logic it is, too but of 'a sort more complex and beautiful than +any a human mind ever imagined. We will come at it from a slightly novel angle: via an +artificial solitaire game which I call Typogenetics-short for "Typographical Genetics". In +Typogenetics I have tried to capture some ideas of molecular genetics in a typographical +system which, on first sight, resembles very much the formal systems exemplified by the +MlU-system. Of course, Typogenetics involves many simplifications, and therefore is useful +primarily for didactic purposes. + +T should explain immediately that the field of molecular biology is a field in which +phenomena on several levels interact, and that Typogenetics is only trying to illustrate +phenomena from one or two levels. In particular, purely chemical aspects have been +completely avoided-they belong to a level lower than is here dealt with; similarly, all aspects +of classical genetics (viz., nonmolecular genetics) have also been avoided-they belong to a +level higher than is here dealt with. I have intended in Typogenetics only to give an intuition +for those processes centered on the celebrated Central Dogma of +Molecular Biology, enunciated by Francis Crick (one of the co-discoverers of the double¬ +helix structure of DNA): + +DNA => RNA => proteins. + +It is my hope that with this very skeletal model I have constructed the reader will perceive +some simple unifying principles of the field principles which might otherwise be obscured by +the enormously intricate interplay of phenomena at many different levels. What is sacrificed +is, of course, strict accuracy; what is gained is, I hope, a little insight. + +Strands, Bases, Enzymes + +The game of Typogenetics involves typographical manipulation on sequences of letters. +There are four letters involved: + +* A C G T. + +Arbitrary sequences of them are called strands. Thus, some strands are: + +* GGGG + +* ATTACCA + +* CATCATCATCAT + +Incidentally, "STRAND" spelled backwards begins with "DNA". This is appropriate since +strands, in Typogenetics, play the role of pieces of DNA (which, in real genetics, are often +called "strands"). Not only this, but "STRAND" fully spelled out backwards is "DNA RTS", +which may be taken as an acronym for "DNA Rapid Transit Service". This, too, is +appropriate, for the function of "messenger RNA"-which in Typogenetics is represented by +strands as well-is quite well characterized by the phrase "Rapid Transit Service" for DNA, as +we shall see later. + +I will sometimes refer to the letters A, C, G, T as bases, and to the positions which +they occupy as units. Thus, in the middle strand, there are seven units, in the fourth of which +is found the base A. + +If you have a strand, you can operate on it and change it in various ways. You can +also produce additional strands, either by copying, or by cutting a strand in two. Some +operations lengthen strands, some shorten them, and some leave their length alone. + +Operations come in packets-that is, several to be performed together, in order. Such a +packet of operations is a little like a programmed machine which moves up and down the +strand doing things to it. These mobile machines are called "typographical enzymes"- +enzymes for short. Enzymes operate on strands one unit at a time, and are said to be "bound" +to the unit they are operating on at any given moment. + +I will show how some sample enzymes act on particular strings. The first thing to +know is that each enzyme likes to start out bound to a particular letter. Thus, there are four +kinds of enzyme-those which prefer +A, those which prefer C, etc. Given the sequence of operations which an enzyme performs, +you can figure out which letter it prefers, but for now I'll just give them without explanation. +Here's a sample enzyme, consisting of three operations: + +(1) Delete the unit to which the enzyme is bound (and then bind to the next unit to the +right). + +(2) Move one unit to the right. + +(3) Insert a T (to the immediate right of this unit). + +This enzyme happens to like to bind to A initially. And here's a sample strand: + +* ACA + +What happens if our enzyme binds to the left A and begins acting? Step I deletes the A, so we +are left with CA-and the enzyme is now bound to the C. Step 2 slides the enzyme rightwards, +to the A, and Step 3 appends a T onto the end to form the strand CAT. And the enzyme has +done its complete duty: it has transformed ACA into CAT. + +What if it had bound itself to the right A of ACA? It would have deleted that A and +moved off the end of the strand. Whenever this happens, the enzyme quits (this is a general +principle). So the entire effect would just be to lop off one symbol. + +Let's see some more examples. Here is another enzyme: + +(1) Search for the nearest pyrimidine to the right of this unit. + +(2) Go into Copy mode. + +(3) Search for the nearest purine to the right of this unit. + +(4) Cut the strand here (viz., to the right of the present unit). + +Now this contains the terms "pyrimidine" and "purine". They are easy terms. A and G are +called purines, and C and T are called pyrimidines. So searching for a pyrimidine merely +means searching for the nearest C or T. + +Copy Mode and Double Strands + +The other new term is Copy mode. Any strand can be "copied" onto another strand, but in a +funny way. Instead of copying A onto A, you copy it onto T, and vice versa. And instead of +copying C onto C, you copy it onto G, and vice versa. Note that a purine copies onto a +pyrimidine, and vice versa. This is called complementary base pairing. The complements are +shown below + +Purinas + +Complement + +* A <====> T + +* G <====> C + +* pyrimidines + +You can perhaps remember this molecular pairing scheme by recalling that Achilles is paired +with the Tortoise, and the Crab with his Genes. + +When "copying" a strand, therefore, you don't actually copy it, but you manufacture +its complementary strand. And this one will be written upside down above the original strand. +Let's see this in concrete terms. Let the previous enzyme act on the following strand (and that +enzyme also happens to like to start at A): + +* CAAAGAGAATCCTCTTTGAT + +There are many places it could start. Let's take the second A, for example. The enzyme binds +to it, then executes step 1: Search for the nearest pyrimidine to the right. Well, this means a C +or a T. The first one is a T somewhere near the middle of the strand, so that's where we go. +Now step 2: Copy mode. Well, we just put an upside-down A above our T. But that's not all, +for Copy mode remains in effect until it is shut off-or until the enzyme is done, whichever +comes first. This means that every base which is passed through by the enzyme while Copy +mode is on will get a complementary base put above it. Step 3 says to look for a purine to the +right of our T. That is the G two symbols in from the right-hand end. Now as we move up to +that G, we must "copy"-that is, create a complementary strand. Here's what that gives; + +(editor’s note, I can’t print upside down ie it is too much hard work so V = A and D = G +upside down) + +* ovwovoov + +* CAAAGAGAATCCTCTTTGAT + +The last step is to cut the strand. This will yield two pieces; + +* VDDVDVVVJ + +* CAAAGAGAATCCTCTTTG + +* and AT. + +And the instruction packet is done. We are left with a double strand, however. Whenever this +happens, we separate the two complementary strands from each other (general principle); so +in fact our end product is a set of three strands: + +* AT, CAAAGAGGA, an 4 CAAAGAGAATCCTCTTTG + +Notice that the upside-down strand has been turned right side up, and thereby right and left +have been reversed. + +Now you have seen most of the typographical operations which can be carried out on +strands. There are two other instructions which should be mentioned. #ne shuts off Copy +mode; the other switches the enzyme from a strand to the upside-down strand above it. When +this happens, if you keep the paper right side up, then you must switch "left" and "right" in all +the instructions. #r better, you can keep the wording and just turn the paper around so the top +strand becomes legible. If the "switch" command is +given, but there is no complementary base where the enzyme is bound at that instant, then the +enzyme just detaches itself from the strand, and its job is done. + +It should be mentioned that when a "cut" instruction is encountered, this pertains to +both strands (if there are two): however, "delete" pertains only to the strand on which the +enzyme is working. If Copy mode is on, then the "insert" command pertains to both strands- +the base itself into the strand the enzyme is working on, and its complement into the other +strand. + +If Copy mode is off', then the "insert" command pertains only to the one strand, so a blank +space must he inserted into the complementary strand. + +And, whenever Copy mode is on, "move" and "search" commands require that one +manufacture complementary bases to all bases which the sliding enzyme touches. +Incidentally, Copy mode is always off when an enzyme starts to work. If Copy mode is off, +and the command "Shut off copy mode" is encountered, nothing happens. Likewise, If Copy +mode is already on, and the command "Turn copy mode on" is encountered, then nothing +happens. + +Amino Acids + +There are fifteen types of command, listed below: + +* Cut cut strand(s) + +* del delete a base from strand + +* swi switch enzyme to other strand + +* mvr move one unit to the right + +* mvl move one unit to the left + +* cop turn on Copy mode + +* off turn off Copy mode + +* ina insert A to the right of this unit + +* inc insert C to the right of this unit + +* ing insert G to the right of this unit + +* int insert T to the right of this unit + +* rpy search for the nearest pyrimidine to the right + +* rpu search for the nearest purine to the right + +* Ipy search for the nearest pyrimidine to the left + +* lpu search for the nearest purine to the left + +Each one has a three-letter abbreviation. We shall refer to the three-letter abbreviations of +commands as amino acids. Thus, every enzyme is made up of a sequence of amino acids. Let +us write down an arbitrary enzyme: + +* rpu - inc - cop - myr - tnyl - swi - Tpu - int + +and an arbitrary strand: + +* TAGATCCAGTCCATCGA + +and see how the enzyme acts on the strand. It so happens that the enzyme binds to G only. +Let us bind to the middle G and begin. Search rightwards for a purine (viz., A or G). We (the +enzyme) skip over TCC and land on A. + +Insert a C. Now we have: + +* TAGATCCAGTCCACTCGA + +where the arrow points to the unit to which the enzyme is bound. Set Copy mode. This puts +an upside-down G above the C. Move right, move left, then switch to the other strand. Here's +what we have so far: + +* 7V + +* TAGATCCAGTCCACTCGA + +Let's turn it upside down, 'so that the enzyme is attached to the lower strand: + +* VDJIDV» ID VDD1VDV1 + +* AG + +Now we search leftwards for a purine and find A. Copy mode is on, but the complementary +bases are already there, so nothing is added. Finally, we insert a T (in Copy mode), and quit: + +* VD)IVJVJJ17V)DIVDV 1 + +* ATG + +Our final product is thus two strands: + +* ATG, and TAGATCCAGTCCACATCGA + +The old one is of course gone. + +Translation and the Typogenetic Code + +Now you might be wondering where the enzymes and strands come from, and how to tell the +initial binding-preference of a given enzyme. One way might be just to throw some random +strands and some random enzymes together, and see what happens when those enzymes act +on those strands and their progeny. This has a similar flavor to the MU-puzzle, where there +were some given rules of inference and an axiom, and you just began. The only difference is +that here, every time a strand is acted on, its original form is gone forever. In the MU-puzzle, +acting on MI to make MIU didn't destroy MI + +But in Typogenetics, as in real genetics, the scheme is quite a bit trickier. We do +begin with some arbitrary strand, somewhat like an axiom in a formal system. But we have, +initially, no "rules of inference"-that is, no enzymes. However, we can translate each strand +into one or more enzymes! Thus, the strands themselves will dictate the operations which +will be performed upon them, and those operations will in turn produce +new strands which will dictate further enzymes, etc. etc.! This is mixing levels with a +vengeance! Think, for the sake of comparison, how different the MU-puzzle would have +been if each new theorem produced could have been turned into a new rule of inference by +means of some code. + +How is this "translation" done? It involves a Typogenetic Code by which adjacent pairs of +bases-called "duplets"-in a single strand represent different amino acids. There are sixteen +possible duplets: AA, AC, AG, AT, CA, CC, etc. And there are fifteen amino acids. The +Typogenetic Code is shown in Figure S7. + +Second Base + +* A + +* c + +* G + +* T + +* A + +* cut + +* 5 + +* del + +* s + +* swi + +* r + +* U + +* | c + +* mvr + +* $ + +* mvl + +* s + +* cop + +* r + +* off + +* / + +* G + +* ina + +* s + +* inc + +* r| + +* ing + +* r + +* int + +* / + +* T + +* r PV + +* r \ + +* rpu + +* /I + +* ip> + +* / + +* Ipu + +* / + +EJCL RE H/. The Typogenetic Code, by +whirl, each duplet in a strand codes for 'one +of fif + +* strings of TNT + +* sttands of mRNA + +* statements of N + +* proteins + +* statements of meu-TNT + +* pitiicin* which att +on proteins + +* statements about stateineiiis +of meta-TNT + +* proteins which act on +proteins which att +on proteins + +* sialeinents about statements +about statements +of mela-1 NT + +* ti ansenption +(DNA => RNA) + +* interpretation +(TNT * N) + +* T ranslation +(RNA ^ proteins) + +* <£=> + +* Arithmeti/atioil +(N ^ meta-TNT) + +* Crick + +* <£4> + +* G«>del + +* Cenctic (axJe +(aibitian contention) + +* Godel C + +* codon (triplet of digits) + +* mniiio acid + +* quoted m mbol of TNT +used in meta-TNT + +* self-reproduction + +* setf-relerence + +* sufficiently strong +cellular support system +to permit self-rep + +* sufficient]! powerful +arithmetical formal system +to permit self-ref + +Central Doginap + +Note the base-pairi ng of A and T (Arithmetization and Translation), as well as of G +and C (Godel and Crick). Mathematical logic gets the purine side, and molecular biology gets +the pyrimidine side. + +To complete the esthetic side of this mapping, I chose to model my Godel-numbering +scheme on the Genetic Code absolutely faithfully. In fact, under the following +correspondence, the table of the Genetic Code becomes the table of the Godel Code: + +(odd) +1 + +(even) +2 + +(odd) +3 + +(even) +6 + +* A (purine) + +* C (pyrimidine) + +* G (purine) + +* l (pvrimidine) + +Each amino acid-of which there are twenty-corresponds to exactly one symbol of TNT-of +which there are twenty. Thus, at last, my motive for concocting "austere TNT" comes out-so +that there would be exactly twenty symbols! The Godel Code is shown in Figure 100. +Compare it with the Genetic Code (Fig. 94). + +There is something almost mystical in seeing the deep sharing of such an abstract +structure by these two esoteric, yet fundamental, advances in knowledge achieved in our +century. This Central Dogmap is by no means a rigorous proof of identity of the two theories; +but it clearly shows a profound kinship, which is worth deeper exploration. + +Strange Loops in the Central Dogmap + +One of the more interesting similarities between the two sides of the map is the way in which +"loops" of arbitrary complexity arise on the top level of both: on the left, proteins which act +on proteins which act on proteins and so on, ad infinitum; and on the right, statements about +statements about statements of meta-TNT and so on, ad infinitum. These are like +heterarchies, which we discussed in Chapter V, where a sufficiently complex substratum +allows high-level Strange Loops to occur and to cycle around, totally sealed off from lower +levels. We will explore this idea in greater detail in Chapter XX. + +Incidentally, you may be wondering about this question: "What, according to the +Central Dogmap, is Godel's Incompleteness Theorem itself mapped onto?" This is a good +question to think about before reading ahead. + +The Central Dogmap and the Contracrostipuntus + +It turns out that the central dogmap is quite similar to the mapping that was laid out in +Chapter IV between the Contracrostipunctus and Godel’s Theorem. One can therefore drew +parallels between all three systems. + +The God el Code. + +In the following chart, the mapping between systems 2 and 3 is explained carefully + +* Contracrostipuncius + +* Molecular Biology + +* phonograph + +* cell + +* “Perfect" phonograph + +* “Perfect” cell + +* record + +* strand of DNA + +* record playable +by a given phonograph + +* strand of DNA +reproducible by a given cell + +* record unplayable +by that phonograph + +* strand of DNA +unreproducible by that cell + +* process of converting +record grooves into sounds + +* process of transcription +of DNA onto mRNA + +* sounds produced by +record player + +* strands of messenger RNA + +* translation of sounds +into vibrations of phonograph + +* translation of mRNA +into proteins + +* mapping from external +sounds ont* vibrations +of phonograph + +* Genetic Code + +(mapping from mRNA triplets +onto amino acids) + +* breaking of phonograph + +* destruction of the cell + +* Title of song specially +tailored for Record Player X: + +* “I Cannot Be Played on +Record Player X’’ + +* High-level interpretation of +DNA strand specially tailored +for Cell X: “I Cannot Be +Replicated by Cell X" + +* "Imperfect” Record Player + +* Cell for which there exists at +least one DNA strand which it +cannot reproduce + +* “Todel's Theorem": +“There always exists an +unplayable record, given +a particular phonograph." + +* <£=> + +* Immunity Theorem: +“There always exists an +un reproducible DNA strand, +given a particular cell." + +The analogue of Godel's Theorem is seen to be a peculiar fact, probably little useful to +molecular biologists (to whom it is likely quite obvious): + +It is always possible to design a strand ofDNA which, if injected into a cell, would, +upon being transcribed, cause such proteins to be manufactured as would destroy the cell +(or the DNA), and thus result in the non-reproduction of that DNA + +This conjures tip a somewhat droll scenario, at least if taken in light of evolution: an invading +species of virus enters a cell by some surreptitious +means, and then carefully ensures the manufacture of proteins which will have the effect of +destroying the virus itself! It is a sort of suicide-or Epimenides sentence, if you will-on the +molecular level. Obviously it would not prove advantageous from the point of view of +survival of the species. However, it demonstrates the spirit, if not the letter, of the +mechanisms of protection and subversion which cells and their invaders have developed. + +E. Coli vs. T4 + +Let us consider the biologists' favorite cell, that of the bacterium Escherichia coli (no relation +to M. C. Escher), and one of their favorite invaders of that cell: the sinister and eerie T4 +phage, pictures of which you can see in Figure 101. (Incidentally, the words "phage" and +"virus" are synonymous and mean "attacker of bacterial cells".) The weird tidbit looks like a +little like a cross between a LEM (Lunar Excursion Module) and a mosquito-and it is much +more sinister than the latter. It has a "head" wherein is stored all its "knowledge"-namely its +DNA; and it has six "legs" wherewith to fasten itself to the cell it has chosen to invade; and it +has a "stinging tube" (more properly called its "tail") like a mosquito. The major difference is +that unlike a mosquito, which uses its stinger for sucking blood, the T4 phage uses its stinger +for injecting its hereditary substance into the cell against the will of its victim. Thus the +phage commits "rape" on a tiny scale. + +A Molecular Trojan Horse + +What actually happens when the viral DNA enters a cell? The virus "hopes", to speak +anthropomorphically, that its DNA will get exactly the same treatment as the DNA of the +host cell. This would mean getting transcribed and translated, thus allowing it to direct the +synthesis of its own special proteins, alien to the host cell, which will then begin to do their +thing. This amounts to secretly transporting alien proteins "in code" (viz., the Genetic Code) +into the cell, and then "decoding" (viz., producing) them. In a way this resembles the story of +the Trojan horse, according to which hundreds of soldiers were sneaked into Troy inside a +harmless seeming giant wooden horse; but once inside the city, they broke loose and captured +it. The alien proteins, once they have been "decoded" (synthesized) from their carrier DNA, +now jump into action. The sequence of actions directed by the T4 phage has been carefully +studied, and is more or less as follows (see also Figs. 102 and 103): + +Thus, when a T4 phage invades an E. coli cell, after the brief span of about twenty-four or +twenty-five minutes, the cell has been completely subverted, and breaks open. Out pop about +two hundred exact copies of the original virus-"bicentuplets"-ready to go attack more +bacterial cells, the original cell having been largely consumed in the process. + +Although from a bacterium's point of view this kind of thing is a deadly serious +menace, from our large-scale vantage point it can be looked upon as an amusing game +between two players: the invader, or "T" player (named after the T-even class of phages, +including the T2, T4, and others), and the "C" player (standing for "Cell"). The objective of +the T player is to invade and take over the cell of the C player from within, for the purpose of +reproducing itself. The objective of the C player is to protect itself and destroy the invader. +When described this way, the molecular TC-game can be seen to be quite parallel to the +macroscopic TC-game described in the preceding Dialogue. (The reader can doubtless figure +out which player-T or C-corresponds to the Tortoise, and which to the Crab.) + +Recognition, Disguises, Labeling + +This "game" emphasizes the fact that recognition is one of the central themes of cellular and +subcellular biology. How do molecules (or higher-level structures) recognize each other? It is +essential for the functioning of enzymes that they should be able to latch onto special +"binding sites" on their substrates; it is essential that a bacterium should be able to distinguish +its own DNA from that of phages; it is essential that two cells should be able to recognize +each other and interact in a controlled way. Such recognition problems may remind you of +the original, key problem about formal systems: How can you tell if a string has, or does not +have, some property such as theoremhood? Is there a decision procedure? This kind of +question is not restricted to mathematical logic: it permeates computer science and, as we are +seeing, molecular biology. + +The labeling technique described in the Dialogue is in fact one of E. colt's tricks for +outwitting its phage invaders. The idea is that strands of DNA can be chemically labeled by +tacking on a small molecule-methyl-to various nucleotides. Now this labeling operation does +not change the usual biological properties of the DNA; in other words, methylated (labeled) +DNA can be transcribed just as well as unmethylated (unlabeled) DNA, and so it can direct +the synthesis of proteins. But if the host cell has some special +mechanisms for examining whether DNA is labeled or not, then the label may make all the +difference in the world. In particular, the host cell may have an enzyme system which looks +for unlabeled DNA, and destroys any that it finds by unmercifully chopping it to pieces. In +that case, woe to all unlabeled invaders! + +The methyl labels on the nucleotides have been compared to serifs on letters. Thus, +using this metaphor, we could say that the E. colt cell is looking for DNA written in its +"home script", with its own particular typeface-and will chop up any strand of DNA written +in an "alien" typeface. One counterstrategy, of course, is for phages to learn to label +themselves, and thereby become able to fool the cells which they are invading into +reproducing them. + +This TC-battle can continue to arbitrary levels of complexity, but we shall not pursue +it further. The essential fact is that it is a battle between a host which is trying to reject all +invading DNA, and a phage which is trying to infiltrate its DNA into some host which will +transcribe it into mRNA (after which its reproduction is guaranteed). Any phage DNA which +succeeds in getting itself reproduced this way can be thought of as having this high-level +interpretation: "I Can Be Reproduced in'Cells of Type X". This is to be distinguished from +the evolutionarily pointless kind of phage mentioned earlier, which codes for proteins that +destroy it, and whose high-level interpretation is the self-defeating sentence: "I Cannot Be +Reproduced in Cells of Type X". + +Henkin Sentences and Viruses + +Now both of these contrasting types of self-reference in molecular biology have their +counterparts in mathematical logic. We have already discussed the analogue of the self- +defeating phages-namely, strings of the G6del type, which assert their own unproducibility +within specific formal sstems. But one can also make a counterpart sentence to a real phage: +the' phage asserts its own producibility in a specific cell, and the sentence asserts its own +producibility in a specific formal system. Sentences of this type are called Henkin sentences, +after the mathematical logician Leon Henkin. They can be constructed exactly along the lines +of Godel sentences, the only difference being the omission of a negation. One begins with an +"uncle", of course: + +* 3a:3a': + +and then proceeds by the standard trick. Say the Godel number of the above "uncle" is h. +Now by arithmoquining this very uncle, you get a Henkin sentence: + +* 3a:3a': M + +(By the way, can you spot how this sentence differs from -G?) The reason I show it +explicitly is to point out that a Henkin sentence does not give a full recipe for its own +derivation; it just asserts that there exists one. You might well wonder whether its claim is +justified. Do Henkin sentences indeed possess derivations? Are they, as they claim, +theorems? It is useful to recall that one need not believe a politician who says. "I am honest"- +he may be honest, and yet he may not be. Are Henkin sentences any more trustworthy than +politicians? Or do Henkin sentences, like politicians, lie in cast-iron sinks? + +It turns out that these Henkin sentences are invariably truth tellers. Why this is so is +not obvious; but we will accept this curious fact without proof. + +Implicit vs. Explicit Henkin Sentences + +I mentioned that a Henkin sentence tells nothing about its own derivation; it just asserts that +one exists. Now it is possible to invent a variation on the theme of Henkin sentences-namely +sentences which explicitly describe their own derivations. Such a sentence's high-level +interpretation would not be "Some Sequence of Strings Exists Which is a Derivation of Me", +but rather, "The Herein-described Sequence of Strings Is a Derivation of Me". Let us +call the first type of sentence an implicit Henkin sentence. The new sentences will be called +explicit Henkin sentences, since they explicitly describe their own derivations. Note that, +unlike their implicit brethren, explicit Henkin sentences need not be theorems. In fact, it is +quite easy to write a string which asserts that its own derivation consists of the single string +0=0-a false statement, since 0=0 is not a derivation of anything. However, it is also possible +to write an explicit Henkin sentence which is a theorem-that is, a sentence which in fact gives +a recipe for its own derivation. + +Henkin Sentences and Self-Assembly + +The reason I bring up this distinction between explicit and implicit Henkin sentences is that it +corresponds very nicely to a significant distinction between types of virus. There are certain +viruses, such as the so-called "tobacco mosaic virus", which are called self-assembling +viruses; and then there are others, such as our favorite T-evens, which are non-self- +assembling. Now what is this distinction? It is a direct analogue to the distinction between +implicit and explicit Henkin sentences. + +The DNA of a self-assembling virus codes only for the parts of a new virus, but not +for any enzymes. Once the parts are produced, the sneaky virus relies upon them to link up to +each other without help from any enzymes. Such a process depends on chemical affinities +which the parts have for each other, when swimming in the rich chemical brew of a cell. Not +only viruses, but also some organelles-such as ribosomes-assemble +themselves. Somtiems enzymes may be needed - but in such cases, they are recruited from +the host cell, and enslaved. This is what is meant by self-assembly. + +By contrast, the DNA of more complex viruses, such as the T-evens, codes not only +for the parts, but in addition for various enzymes which play special roles in the assembly of +the parts into wholes. Since the assembly process is not spontaneous but requires "machines", +such viruses are not considered to be self-assembling. The essence of the distinction, then, +between self-assembling units and non-self-assembling units is that the former get away with +self-reproduction without telling the cell anything about their construction, while the latter +need to give instructions as to how to assemble themselves. + +Now the parallel to Henkin sentences, implicit and explicit, ought to be quite clear. +Implicit Henkin sentences are self-proving but do not tell anything at all about their proofs- +they are analogous to self-assembling viruses; explicit Henkin sentences direct the +construction of their own proofs-they are analogous to more complex viruses which direct +their host cells in putting copies of themselves together. + +The concept of self-assembling biological structures as complex as viruses raises the +possibility of complex self-assembling machines as well. Imagine a set of parts which, when +placed in the proper supporting environment, spontaneously group themselves in such a way +as to form a complex machine. It seems unlikely, yet this is quite an accurate way to describe +the process of the tobacco mosaic virus' method of selfreproduction via self-assembly. The +information for the total conformation of the organism (or machine) is spread about in its +parts; it is not concentrated in some single place. + +Now this concept can lead in some strange directions, as was shown in the Edifying +Thoughts of a Tobacco Smoker. There, we saw how the Crab used the idea that information +for self-assembly can be distributed around, instead of being concentrated in a single place. +His hope was that this would prevent his new phonographs from succumbing to the Tortoise's +phonograph-crashing method. Unfortunately, just as with the most sophisticated axiom +schemata, once the system is all built and packaged into a box, its well-defmedness renders it +vulnerable to a sufficiently clever "Godelizer"; and that was the sad tale related by the Crab. +Despite its apparent absurdity, the fantastic scenario of that Dialogue is not so far from +reality, in the strange, surreal world of the cell. + +Two Outstanding Problems: + +Differentiation and Morphogenesis + +Now self-assembly may be the trick whereby certain subunits of cells are constructed, and +certain viruses-but what of the most complex macroscopic structures, such as the body of an +elephant or a spider, or the shape of a Venus's-Hyt-ap? How are homing instincts built into +the brain of' a +bird, or hunting instincts into the brain of a dog% In short, how is it that merely by dictating +which proteins are to be produced in cells, DNA exercises such spectacularly precise control +over the exact structure and function of macroscopic living objects? There are two major +distinct problems here. One is that of cellular differentiation: how do different cells, sharing +exactly the same DNA, perform different roles-such as a kidney cell, a bone marrow cell, and +a brain cell? The other is that of morphogenesis ("birth of form"): how does intercellular +communication on a local level give rise to large-scale, global structures and organizations- +such as the various organs of the body, the shape of the face, the suborgans of the brain, and +so on? Although both cellular differentiation and morphogenesis are poorly understood at +present, the trick appears to reside in exquisitely fine-tuned feedback and "feedforward" +mechanisms within cells and between cells, which tell a cell when to "turn on" and when to +"turn off' production of various proteins. + +Feedback and Feedforward + +Feedback takes place when there is too much or too little of some desired substance in the +cell: then the cell must somehow regulate the production line which is assembling that +substance. Feedforward also involves the regulation of' an assembly line, but not according +to the amount of end product present: rather, according to the amount of some precursor of +the end product of that assembly line. There are two major devices for achieving negative +feedforward or feedback. One way is to prevent the relevant enzymes from being able to +perform-that is, to "clog up" their active sites. This is called inhibition. The other way is to +prevent the relevant enzymes from ever being manufactured! This is called repression. +Conceptually, inhibition is simple: you just block up the active site of the first enzyme in the +assembly line, and the whole process of synthesis gets stopped dead. + +Repressors and Inducers + +Repression is trickier. How does a cell stop a gene from being expressed? The answer is, it +prevents it from ever getting transcribed. This means that it has to prevent RNA polymerase +from doing its job. This can be accomplished by placing a huge obstacle in its path, along the +DNA. precisely in front of that gene which the cell wants not to get transcribed. Such +obstacles do exist, and are called repressors. They are themselves proteins, and they bind to +special obstacle-holding sites on the DNA, called (I am not sure why) operators. An operator +therefore is a site of control for the gene (or genes) which immediately follow it: those genes +are called its operon. Because a series of enzymes often act in concert in carrying out a long +chemical transformation, they are often coded for in sequence; and this is why operons often +contain several genes, rather than just one. The effect of the successful repression of an +operon is that a whole series of genes is +prevented from being transcribed, which means that a whole set of related enzymes remains +unsynthesized. + +What about positive feedback and feedforward? Here again, there are two options: (1) +unclog the clogged enzymes, or (2) stop the repression of the relevant operon. (Notice how +nature seems to love double-negations! Probably there is some very deep reason for this.) +The mechanism by which repression is repressed involves a class of molecules called +inducers. The role of an inducer is simple: it combines with a repressor protein before the +latter has had a chance to bind to an operator on a DNA molecule; the resulting "repressor- +inducer complex" is incapable of binding to an operator, and this leaves the door open for the +associated operon to be transcribed into mRNA and subsequently translated into protein. +Often the end product or some precursor of the end product can act as an +inducer. + +Feedback and Strange Loops Compared + +Incidentally, this is a good time to distinguish between simple kinds of feedback, as in the +processes of inhibition and repression, and the looping-hack between different informational +levels, shown in the Central Dogmap. Both are "feedback" in some sense; but the latter is +much deeper than the former. When an amino acid, such as tryptophan or isoleucine, acts as +feedback (in the form of an inducer) by binding to its repressor so that more of it gets made, +it is not telling how to construct itself; it is just telling enzymes to make more of it. This +could be compared to a radio's volume, which, when fed through a listener's ears, may cause +itself to be turned down or up. This is another thing entirely from the case in which the +broadcast itself tells you explicitly to turn your radio on or off, or to tune to another +wavelength-or even how to build another radio! The latter is much more like the looping- +back between informational levels, for here, information inside the radio signal gets +"decoded" and translated into mental structures. The radio signal is composed of symbolic +constituents whose symbolic meaning matters-a case of use, rather than mention. On the +other hand, when the sound is just too loud, the symbols are not conveying meaning: they are +merely being perceived as loud sounds, and might as well be devoid of meaning-a case of +mention, rather than use. This case more resembles the feedback loops by which proteins +regulate their own rates of synthesis. + +It has been theorized that the difference between two neighboring cells which share +the exact same genotype and yet have different functions is that different segments of their +genome have been repressed, and therefore they have different working sets of proteins. A +hypopothesis like this could account for the phenomenal differences between cells in +different organs of the body of a human being. + +Two Simple Examples of Differentiation + +The process by which one initial cell replicates over and over, giving rise to a myriad of +differentiated cells with specialized functions, can be likened to the spread of a chain letter +from person to person, in which each new participant is asked to propagate the message +faithfully, but also to add some extra personal touch. Eventually, there will be letters which +are tremendously different from each other. + +Another illustration of the ideas of differentiation is provided by this extremely +simple computer analogue of a differentiating self-rep. Consider a very short program which +is controlled by an up-down switch, and which has an internal parameter N-a natural number. +This program can run in two modes-the up-mode, and the down-mode. When it runs in the +upmode, it self-replicates into an adjacent part of the computer's memoryexcept it makes the +internal parameter N of its "daughter" one greater than in itself. When it runs in the down¬ +mode, it does not self-rep, but instead calculates the number + +(-1 )'/(2N + 1) + +and adds it to a running total. + +Well, suppose that at the beginning, there is one copy of the program in memory, N = +0, and the mode is up. Then the program will copy itself next door in memory, with N = 1. +Repeating the process, the new program will self-rep next door to itself, with a copy having +N = 2. And over and over again ... What happens is that a very large program is growing +inside memory. When memory is full, the process quits. Now all of memory can be looked +upon as being fdled with one big program, composed of many similar, but differentiated, +modules-or "cells". Now suppose we switch the mode to down, and run this big program. +What happens? The first "cell" runs, and calculates 1/1. The second "cell" runs, calculating - +1/3, and adding it to the previous result. The third "cell" runs, calculating + 1/5 and adding it +on. .. The end result is that the whole "organism"-the big program-calculates the sum + +* 1-1/3 +1/5 -117+1/9 -1/11 +1/13 -1/15 + .. . + +to a large number of terms (as many terms as "cells" can fit inside memory). And since this +series converges (albeit slowlv) to 7r/4, we have a "phenotype" whose function is to calculate +the value of a famous mathematical constant. + +Level Mixing in the Cell + +I hope that the descriptions of processes such as labeling, self-assembly, differentiation, +morphogenesis, as well as transcription and translation, have helped to convey some notion +of the immensely complex system which is a cell-an information-processing system with +some strikingly +novel features. We have seen, in the Central Dogmap, that although we can try to draw a +clear line between program and data, the distinction is somewhat arbitrary. Carrying this line +of thought further, we find that not only are program and data intricately woven together, but +also the interpreter of programs, the physical processor, and even the language are included +in this intimate fusion. Therefore, although it is possible (to some extent) to draw boundaries +and separate out the levels, it is just as important-and ust as fascinating-to recognize the +level-crossings and mixings. Illustrative of this is the amazing fact that in biological systems, +all the various features necessary for self-rep (viz., language, program, data, interpreter, and +processor) cooperate to such a degree that all of them are replicated simultaneously-which +shows how much deeper is biological self-rep'ing than anything yet devised along those lines +by humans. For instance, the self-rep program exhibited at the beginning of this Chapter +takes for granted the pre-existence of three external aspects: a language, an interpreter, and a +processor, and does not replicate those. + +Let us try to summarize various ways in which the subunits of a cell can be classified +in computer science terms. First, let us take DNA. Since DNA contains all the information +for construction of proteins., which are the active agents of the cell, DNA can be viewed as a +program written in a higher-level language, which is subsequently translated (or interpreted) +into the "machine language" of the cell (proteins). On the other hand, DNA is itself a passive +molecule which undergoes manipulation at the hands of various kinds of enzymes; in this +sense, a DNA molecule is exactly like a long piece of data, as well. Thirdly, DNA contains +the templates off of which the tRNA "flashcards" are rubbed, which means that DNA also +contains the definition of its own higher-level language. + +Let us move on to proteins. Proteins are active molecules, and carry out all the +functions of the cell; therefore it is quite appropriate to think of them as programs in the +"machine language" of the cell (the cell itself being the processor). On the other hand, since +proteins are hardware and most programs are software, perhaps it is better to think of the +proteins as processors. Thirdly, proteins are often acted upon by other proteins, which means +that proteins are often data. Finally, one can view proteins as interpreters; this involves +viewing DNA as a collection of high-level language programs, in which case enzymes are +merely carrying out the programs written in the DNA code, which is to say, the proteins are +acting as interpreters. + +Then there are ribosomes and tRNA molecules. They mediate the translation from +DNA to proteins, which can be compared to the translation of a program from a high-level +language to a machine language; in other words, the ribosomes are functioning as interpreters +and the tRNA molecules provide the definition of the higher-level language. But an +alternative view of translation has it that the ribosomes are processors, while the tRNA's are +interpreters. + +We have barely scratched the surface in this analysis of interrelations between all +these biomolecules. What we have seen is that nature feels quite +comfortable in mixing levels which we tend to see as quite distinct. Actually, in computer +science there is already a visible tendency to nix all these seemingly distinct aspects of an +information-processing system. This is particularly so in Artificial Intelligence research, +which is usually at the forefront of computer language design. + +The Origin of Life + +A natural and fundamental question to ask, on learning of these incredibly intricately +interlocking pieces of software and hardware is: "How did they ever get started in the first +place?" It is truly a baffling thing. One has to imagine some sort of a bootstrap process +occurring, somewhat like that which is used in the development of new computer languages- +but a bootstrap from simple molecules to entire cells is almost beyond one's power to +imagine. There are various theories on the origin of life. They all run aground on this most +central of all central questions: "How did the Genetic Code, along with the mechanisms for +its translation (ribosomes and tRNA molecules), originate" For the moment, we will have to +content ourselves with a sense of wonder and awe, rather than with an answer. And perhaps +experiencing that sense of wonder and awe is more satisfying than having an answer-at least +for a while. + +DIALOGUE XVII: The Magnificrab, Indeed, + +It is spring, and the Tortoise and Achilles are taking a Sunday promenade in +the woods together. They have decided to climb a hill at the top of which, it is +said, there is a wonderful teahouse, with all sorts of delicious pastries. + +Achilles: Man oh man! If a crab- + +Tortoise: If a crab?? + +Achilles: I was about to say, if a crab ever were intelligent, then surely it would be our +mutual friend the Crab. Why, he must be at least two times as smart as any crab alive. +Or maybe even three times as smart as any crab alive. Or perhaps + +Tortoise: My soul! How you magnify the Crab! + +Achilles: Well, I just happen to be an admirer of his ... + +Tortoise: No need to apologize. I admire him, too. Speaking of Crab admirers, did I tell +you about the curious fan letter which the Crab received not too long ago? + +Achilles: I don't believe so. Who sent it? + +Tortoise: It bore a postmark from India, and was from someone neither of us had ever +heard of before-a Mr. Najunamar, I believe. + +Achilles: I wonder why someone who never knew Mr. Crab would send him a letter-or +for that matter, how they would get his address. Tortoise: Apparently whoever it was +was under the illusion that the Crab is a mathematician. It contained numerous results, +all of which were But, ho! Speak of the devil! Here comes Mr. Crab now, down the +hill. Crab: Good-bye! It was nice to talk with you again. Well, I guess I had best be +off. But I'm utterly stuffed-couldn't eat one more bite if I had to! I've just been up there +myself-recommend it highly. Have you ever been to the teahouse at the crest of the +hill? How are you, Achilles? Oh, there's Achilles. Hello, hello. Well, well, if it isn't +Mr. T! + +Tortoise: Hello, Mr. C. Are you headed up to the hilltop teahouse? Crab: Why, yes +indeed, I am; how did you guess it? I'm quite looking forward to some of their special +napoleons-scrumptious little morsels. I'm so hungry I could eat a frog. Oh, there's +Achilles. How are you, Achilles? + +Achilles: Could be worse, I suppose. + +Crab: Wonderful! Well, don't let me interrupt your discussion. I'll just tag along. + +Tortoise: Curiously enough, I was just about to describe your mysterious letter from that +Indian fellow a few weeks back-but now that you're here. I'll let Achilles get the story +from the Crab’s mouth. + +Crab: Well, it was this way. This fellow Najunamar had apparently never had any formal +training in mathematics, but had instead worked out some of his own methods for +deriving new truths of mathematics. Some of his discoveries defeated me completely; +I had never seen anything in the least like them before. For instance, he exhibited a +map of India that he had managed to color using no fewer than 1729 distinct colors. + +Achilles: 1729! Did you say 1729? Crab: Yes-why do you ask? + +Achilles: Well, 1729 is a very interesting number, you know. Crab: Indeed. I wasn't +aware of it. + +Achilles: In particular, it so happens that 1729 is the number of the taxicab which I took +to Mr. Tortoise's this morning! + +Crab: How fascinating! Could you possibly tell me the number of the trolley car which +you'll take to Mr. Tortoise's tomorrow morning? + +Achilles (after a moment's thought): It's not obvious to me; however, I should think it +would be very large. + +Tortoise: Achilles has a wonderful intuition for these things. + +Crab: Yes. Well, as I was saying, Najunamar in his letter also proved that every even +prime is the sum of two odd numbers, and that there are no solutions in positive +integers to the equation + +* a n + b n =c n for n = 0. + +Achilles: What? All these old classics of mathematics resolved in one fell swoop? He +must be a genius of the first rank! Tortoise: But Achilles-aren't you even in the +slightest skeptical? + +Achilles: What? Oh, yes-skeptical. Well, of course I am. You don't think I believe that +Mr. Crab got such a letter, do you? I don't fall for just anything, you know. So it must +have been 5'ou, Mr. T, who received the letter! + +Tortoise: Oh, no, Achilles, the part about Mr. C receiving the letter is quite true. What I +meant was, aren't you skeptical about the content of the letter-its extravagant claims? + +Achilles: Why should I be? Hmm ... Well, of course I am. I'm a very skeptical person, as +both of you should well know by now. It's very hard to convince me of anything, no +matter how true or false it is. + +Tortoise: Very well put, Achilles. You certainly have a first-class awareness of your own +mental workings. + +Achilles: Did it ever occur to you, my friends, that these claims of Najunamar might be +incorrect? + +Crab: Frankly, Achilles, being rather conservative and orthodox myself, I was a bit +concerned about that very point on first receiving the letter. In fact, I suspected at first +that here was an out-and-out fraud. But on second thought, it occurred to me that not +many types of people could manufacture such strange-sounding and complex results +purely from their imagination. In fact, what it boiled down to was this question: +"Which is the more likely: a charlatan of such extraordinary ingenuity, or a +mathematician of great genius?" And before long, I realized that the probabilities clearly +favored the former. + +Achilles: Didn't you directly checkout any of his amazing claims, however? + +Crab: Why should I? The probability argument was the most convincing thing I had ever +thought of; no mathematical proof would have equaled it. But Mr. T here insisted on +rigor. I finally gave in to his insistence, and checked all of Najunamar's results. To my +great surprise, each one of them was right. How he discovered them, I'll never know, +however. He must have some amazing and inscrutable Oriental type of insight which we +here in the Occident can have no inkling of. At present, that's the only theory which +makes an sense to me. + +Tortoise: Mr. Crab has always been a little more susceptible to mystical or fanciful +explanations than I am. I have full confidence that whatever Najunamar did in his way +has a complete parallel inside orthodox mathematics. There is no way of doing +mathematics which is fundamentally different from what we now know, in my opinion. + +Achilles: That is an interesting opinion. I suppose it has something to do with the Church- +Turing Thesis and related topics. + +Crab: Oh, well, let us leave these technical matters aside on such a fine day, and enjoy the +quiet of the forest, the chirping of the birds, and the play of sunlight on the new leaves +and buds. Ho! + +Tortoise: I second the motion. After all, all generations of Tortoises have reveled in such +delights of nature. + +Crab: As have all generations of Crabs. + +Achilles: You don't happen to have brought your flute along, by any chance, Mr. C? + +Crab: Why, certainly! I take it with me everywhere. Would you like to hear a tune or two? + +Achilles: It would be delightful, in this pastoral setting. Do you play from memory? + +Crab: Sad to say, that is beyond my capability. I have to read my music +from a sheet. But that is no problem. I have several very pleasant pieces here in this case. + +(He opens up a thin case and draws out a few pieces of paper. The topmost one has the +following symbols on it: + +* Va:-Sa=0 + +He sticks the top sheet into a little holder attached to his flute, and plays. The tune is very +short.) + +Achilles: That was charming. (Peers over at the sheet on the flute, and a quizzical expression +beclouds his face.) What is that statement of number theory doing, attached to your flute +like that? + +(The Crab looks at his flute, then his music, turns his head all around, and appears slightly +confused.) +Crab: I don't understand. What statement of number theory? + +Achilles: "Zero is not the successor of any natural number." Right there, in the holder on +your flute! + +Crab: That's the third Piano Postulate. There are five of them, and I've arranged them all for +flute. They're obvious, but catchy. + +Achilles: What's not obvious to me is how a number-theoretical statement can be played as +music. + +Crab: But I insist, it's 'NOT a number-theoretical statement-it's a Piano Postulate! Would +you like to hear another? + +Achilles: I'd be enchanted. + +(The Crab places another piece of paper on his flute, and this time Achilles watches more +carefully.) + +Well, I watched your eyes, and they were looking at that FORMULA on the sheet. Are +you sure that that is musical notation? I swear, it most amazingly resembles the notation +which one might use in a formalized version of number theory. + +Crab: How odd! But certainly that is music, not any kind of statement of mathematics, as +far as I can tell! Of course, I am not a mathematician in any sense of the word. Would +you like to hear any other tunes? + +Achilles: By all means. Have you some others? + +Crab: Scads. + +(He takes a new sheet, and attaches it to his flute. It contains the following symbols: + +3a:3b:(SSa. SSb)=SSSSSSSSSSSSSO +Achilles peers at it, while the Crab plays it.) + +Isn't it lovely? + +Achilles: Yes, it certainly is a tuneful little piece. But I have to say, it's looking more and +more like number theory to me. + +Crab: Heavens! It is just my usual music notation, nothing more. I simply don't know how +you read all these extramusical connotations into a straightforward representation for +sounds. + +Achilles: Would you be averse to playing a piece of my own composition? + +Crab: Not in the least. Have you got it with you? + +Achilles: Not yet, but I have a hunch I might be able to compose some tunes all by myself. +Tortoise: I must, tell you, Achilles, that Mr. C is a harsh judge of music composed by others, +so do not be disappointed if, by some chance, he is not an enthusiast for your efforts. +Achilles: That is very kind of you to forewarn me. Still, I'm willing to give it a try . + +(He writes: + +((SSSO . SSSO) +(SSSSO. SSSSO))=(SSSSSO. SSSSSO) +The Crab takes it, looks it over for a moment, then sets it in his music holder, and pipes.) + +Crab: Why, that's quite nice, Achilles. I enjoy strange rhythms. + +Achilles: What's strange about the rhythms in that piece? + +Crab: Oh, naturally, to you as the composer it must seem quite bland, but to my ears, +shifting from a 3/3 rhythm to 4/4 and then to 5/5 is quite exotic. If you have any other +songs. I'd be glad to play them. Achilles: Thank you very much. I've never composed +anything before, and I must say composing is quite different from how I had imagined it +to be. Let me try my hand at another one. ( jots down a line.) + +3a:3b:(SSa - SSb) =SSSSSSSSSSSSSSO + +Crab: Hmmm ... Isn't that just a copy of my earlier piece? + +Achilles: Oh, no! I've added one more S. Where you had thirteen in a row, I have fourteen. + +Crab: Oh, yes. Of course. {He plays it, and looks very stern.) + +Achilles: I do hope you didn't dislike my piece! + +Crab: I am afraid, Achilles, that you completely failed to grasp the subtleties of my piece, +upon which yours is modeled. But how could I expect you to understand it on first +hearing? One does not always understand what is at the root of beauty. It is so easy to +mistake the superficial aspects of a piece for its beauty, and to imitate them, when the +beauty itself is locked deep inside the music, in a way which seems always to elude +analysis. + +Achilles: I am afraid that you have lost me a little in your erudite commentary. I understand +that my piece does not measure up to your high standards, but I do not know exactly +where I went astray. Could you perhaps tell me some specific way in which you find fault +with my composition? + +Crab: One possible way to save your composition, Achilles, would be to insert another three +S's-five would do as well-into that long group of S's near the end. That would create a +subtle and unusual effect. + +Achilles: I see. + +Crab: But there are other ways you might choose to change your piece. Personally, I would +find it most appealing to put another tilde in the front. Then there would be a nice balance +between the beginning and the end. Having two tildes in a row never fails to give a gay +little twist to .a piece, you know. + +Achilles: How about if I take both of your suggestions, and make the following piece? + +-3a:3b:(SSa.SSb)=SSSSSSSSSSSSSSSSSO + +Crab (a painful grimace crossing his face): Now, Achilles, it is important to learn the +following lesson: never try to put too much into any single piece. There is always a point +beyond which it cannot be improved, +and further attempts to improve it will in fact destroy it. Such is the case in this example. +Your idea of incorporating both of my suggestions together does not yield the desired +extra amount of beauty, but on the contrary creates an imbalance which quite takes away +all the charm. + +Achilles: How is it that two very similar pieces, such as yours with thirteen 5's, and mine +with fourteen S's, seem to you to be so different in their musical worth? Other than in that +minor respect, the two are identical. + +Crab: Gracious! There is a world of difference between your piece and mine. Perhaps this is +a place where words fail to convey what the spirit can feel. Indeed, I would venture to say +that there exists no set of rules which delineate what it is that makes a piece beautiful, nor +could there ever exist such a set of rules. The sense of Beauty is the exclusive domain of +Conscious Minds, minds which through the experience of living have gained a depth that +transcends explanation by any mere set of rules. + +Achilles: I will always remember this vivid clarification of the nature of Beauty. I suppose +that something similar applies to the concept of Truth, as well? + +Crab: Without doubt. Truth and Beauty are as interrelated as- + +Achilles: As interrelated as, say, mathematics and music? + +Crab: Oh! You took the words right out of my mouth! How did you know that that is what I +was thinking? + +Tortoise: Achilles is very clever, Mr. C. Never underestimate the potency of his insight. + +Achilles: Would you say that there could conceivably be any relationship between the truth +or falsity of a particular statement of mathematics, and the beauty, or lack of beauty, of +an associated piece of music? Or is that just a far-fetched fancy of mine, with no basis in +reality? + +Crab: If you are asking me, that is carrying things much too far. When I spoke of the +interrelatedness of music and mathematics, I was speaking very figuratively, you know. +As for a direct connection between specific pieces of music and specific statements of +mathematics, however, I harbor extremely grave doubts about its possibility. I would +humbly counsel you not to give too' much time to such idle speculations. + +Achilles: You are no doubt right. It would be most unprofitable. Perhaps I ought to +concentrate on sharpening my musical sensitivity by composing some new pieces. Would +you be willing to serve as my mentor, + +Mr. C? + +Crab: I would be very happy to aid you in your steps towards musical understanding. + +(So Achilles takes pen in hand, and, with what appears to be a great deal of +concentration, writes: + +AOOaV'V--nn:b+cS(33=OAD((-d)v + +The Crab looks very startled.) + +Y ou really want me to play that-that-that whatever-it-is? + +Achilles: Oh, please do! + +(So the Crab plays it, with evident difficulty.) + +Tortoise: Bravo! Bravo! Is John Cage your favorite composer, Achilles? Achilles: Actually, +he's my favorite anti-composer. Anyway, I'm glad you liked MY music. + +Crab: The two of you may find it amusing to listen to such totally meaningless cacophony, +but I assure you it is not at all pleasant for a sensitive composer to be subjected to such +excruciating, empty dissonances and meaningless rhythms. Achilles, I thought you had a +good feeling for music. Could it be that your previous pieces had merit merely by +coincidence? + +Achilles: Oh, please forgive me, Mr. Crab. I was trying to explore the limits of your musical +notation. I wanted to learn directly what kinds of sound result when I write certain types +of note sequences, and also how you evaluate pieces written in various styles. + +Crab: Harrumph! I am not just an automatic music-machine, you know. Nor am I a garbage +disposal for musical trash. + +Achilles: I am very sorry. But I feel that I have learned a great deal by writing that small +piece, and I am convinced that I can now write much better music than I ever could have +if I hadn't tried that idea. And if you'll just play one more piece of mine, I have high +hopes that you will feel better about my musical sensitivities. + +Crab: Well, all right. Write it down and I'll give it a chance. + +(Achilles writes: + +Ya:Vb:<(a -a) =(SSO -(b > b))Da=0> + +and the Crab plays.) + +You were right, Achilles. You seem to have completely regained your musical acuity. +This is a little gem! How did you come to compose it? I have never heard anything like it. +It obeys all the rules of harmony, and yet has a certain-what shall I say?-irrational appeal +to it. I can't put my finger on it, but I like it for that very reason. + +Achilles: I kind of thought you might like it. + +Tortoise: Have you got a name for it, Achilles? Perhaps you might call it "The Song of +Pythagoras". You remember that Pythagoras and his followers were among the first to +study musical sound. + +Achilles: Yes, that's true. That would be a fine title. + +Crab: Wasn't Pythagoras also the first to discover that the ratio of two squares can never be +equal to 2? Tortoise: I believe you're right. It was considered a truly sinister discovery at +the time, for never before had anyone realized that there are +numbers-such as the square root of 2-which are not ratios of integers. And thus the +discovery was deeply disturbing to the Pythagoreans, who felt that it revealed an +unsuspected and grotesque defect in the abstract world of numbers. But I don't know +what this has to do with the price of tea in China. + +Achilles: Speaking of tea, isn't that the teahouse just up there ahead of us? + +Tortoise: Yes, that's it, all right. We ought to be there in a couple of minutes. + +Achilles: Hmm ... That's just enough time for me to whistle for you the tune which the taxi +driver this morning had on his radio. It went like this. + +Crab: Hold on for a moment; I'll get some paper from my case, and jot +down your tune. ( Scrounges around inside his case, and finds a blank sheet.) + +Go ahead; I'm ready. + +(Achilles whistles a rather long tune, and the Crab scrambles to keep up with him.) + +Could you whistle the last few bars again? + +Achilles: Why, certainly. + +(After a couple of such repeats, the session is complete, and the Crab proudly displays +his transcription'. + +<((SSSSSO.SSSSSO)+(SSSSSO.SSSSSO))=((SSSSSSSO.SSSSSSSO)+(SO.SO))n- +3b:<3c:(Sc+b)=((SSSSSSSO . SSSSSSSO)+(SO • SO))n3d:3d':3e:3e': + +<->d=evd=e' >n>b=((Sd • Sd)+(Sd' • Sd'))nb=((Se • Se)+(Se' • Se’))» » + +The Crab then plays it himself.) + +Tortoise: It's peculiar music, isn't it? It sounds a wee bit like music from India, to me. + +Crab. Oh, I think it's too simple to be from India. But of course I know precious little about +such things. + +Tortoise: Well, here we are at the teahouse. Shall we sit outside here, on the verandah? + +Crab: If you don't mind, I'd prefer to go inside. I've gotten perhaps enough sun for the day. + +(They go inside the teahouse and are seated at a nice wooden table, and order cakes and +tea. Soon a cart of scrumptious-looking pastries is wheeled up, and each of them chooses +his favorite.) + +Achilles: You know, Mr. C, I would love to know what you think of another piece which I +have just composed in my head. Crab: Can you show it to me? Here, write it down on this +napkin. + +(Achilles writes : + +da:3b:3c:<- 3d:3e:>(SSd*SSe)=bv(SSd*SSe)=c>n(a+a)=(b+c)> + +The Crab and Tortoise study it with interest.) + +Tortoise: Is it another beautiful piece, Mr. C, in your opinion? + +Crab: Well, uh ... (Shifts in his chair, and looks somewhat uncomfortable.) + +Achilles: What's the matter? Is it harder to decide whether this piece is beautiful than it is for +other pieces? + +Crab: Ahm ... No, it's not that-not at all. It's just that, well ... I really have to HEAR a piece +before I can tell how much I like it. + +Achilles: So go ahead and play it! I'm dying to know whether you find it beautiful or not. + +Crab: Of course, I'd be extremely glad to play it for you. The only thing is- + +Achilles: Can't you play it for me? What's the matter? Why are you balking? + +Tortoise: Don't you realize, Achilles, that for Mr. Crab to fulfill your request would be most +impolite and disturbing to the clientele and employees of this fine establishment? + +Crab (suddenly looking relieved): That's right. We have no right to impose our music on +others. + +Achilles (dejectedly): Oh, PHOOEY! And I so much wanted to know what he thinks of this +piece! + +Crab: Whew! That was a close call! + +Achilles: What was that remark? + +Crab: Oh-nothing. It's just that that waiter over there, he got knocked into by another waiter, +and almost dropped a whole pot of tea into a lady's lap. A narrow escape, I must say. +What do you say, Mr. Tortoise? Tortoise: Very good teas, I'd say. Wouldn't you agree, +Achilles? Achilles: Oh, yes. Prime teas, in fact. + +Crab: Definitely. Well, I don't know about you two, but I should perhaps be going, for I've a +long steep trail back to my house, on the other side of this hill. + +Achilles: You mean this is a big bluff? + +Crab: You said it, Achilles. + +Achilles: I see. Well, I'll have to remember that. + +Crab: It has been such a jolly afternoon, Achilles, and I sincerely hope we will exchange +more musical compositions another day. + +Achilles: I'm looking forward to that very much, Mr. C. Well, good-bye. Tortoise: Good¬ +bye, Mr. C. + +(And the Crab heads off down his side of the hill.) + +Achilles: Now there goes a brilliant fellow ... In my estimation, he's at least four times as +smart as any crab alive. Or he might even be five + +Tortoise: As you said in the beginning, and probably shall be saying forevermore, words +without end. + +CHAPTER XVII: Church, Turing, Tarski, and Others + +Formal and Informal Systems + +WE HAVE COME to the point where we can develop one of the main theses of this +book: that every aspect of thinking can be viewed as a high-level description of a system +which, on a low level, is governed by simple, even formal, rules. The "system", of course, +is a brain-unless one is' speaking of thought processes flowing in another medium, such +as a computer's circuits. The image is that of a formal system underlying an "informal +system"-a system which can, for instance, make puns, discover number patterns, forget +names, make awful blunders in chess, and so forth. This is what one sees from the +outside: its informal, overt, software level. By contrast, it has a formal, hidden, hardware +level (or "substrate") which is a formidably complex mechanism that makes transitions +from state to state according to definite rules physically embodied in it, and according to +the input of signals which impinge on it. + +A vision of the brain such as this has many philosophical and other consequences, +needless to say. I shall try to spell some of them out in this Chapter. Among other things, +this vision seems to imply that, at bottom, the brain is some sort of a "mathematical" +object. Actually, that is at best a very awkward way to look at the brain. The reason is +that, even if a brain is, in a technical and abstract sense, some sort of formal system, it +remains true that mathematicians only work with simple and elegant systems, systems in +which everything is extremely clearly defined-and the brain is a far cry from that, with its +ten billion or more semi-independent neurons, quasi-randomly connected up to each +other. So mathematicians would never study a real brain's networks. And if you define +"mathematics" as what mathematicians enjoy doing, then the properties of brains are not +mathematical. + +The only way to understand such a complex system as a brain is by chunking it on +higher and higher levels, and thereby losing some precision at each step. What emerges at +the top level is the "informal system" which obeys so many rules of such complexity that +we do not yet have the vocabulary to think about it. And that is what Artificial +Intelligence research is hoping to find. It has quite a different 'flavor from mathematics +research. Nevertheless, there is a loose connection to mathematics: A1 people often come +from a strong mathematics background, and +mathematicians sometimes are intrigued by the workings of their own brains. The +following passage, quoted from Stanislaw Ulam's autobiographical Adventures of a +Mathematician , illustrates this point: + +It seems to me that more could be done to elicit ... the nature of associations, with +computers providing the means for experimentation. Such a study would have to +involve a gradation of notions, of symbols, of classes of symbols, of classes of +classes, and so on, in the same way that the complexity of mathematical or +physical structures is investigated. + +There must be a trick to the train of thought, a recursive formula. A group of +neurons starts working automatically, sometimes without external impulse. It is a +kind of iterative process with a growing pattern. It wanders about in the brain, and +the way it happens must depend on the memory of similar patterns.' + +Intuition and the Magnificent Crab + +Artificial Intelligence is often referred to as "Al". Often, when I try to explain what is +meant by the term, I say that the letters "AI" could just as well stand for "Artificial +Intuition", or even "Artificial Imagery". The aim of Al is to get at what is happening +when one's mind silently and invisibly chooses, from a myriad alternatives, which one +makes most sense in a very complex situation. In many real-life situations, deductive +reasoning is inappropriate, not because it would give wrong answers, but because there +are too many correct but irrelevant statements which can be made; there are just too many +things to take into account simultaneously for reasoning alone to be sufficient. Consider +this mini-dialogue: + +"The other day I read in the paper that the- + +"Oh-you were reading? It follows that you have eyes. Or at least one eye. Or +rather, that you had at least one eye then." + +A sense of judgment-"What is important here, and what is not?"-is called for. Tied up +with this is a sense of simplicity, a sense of beauty. Where do these intuitions come from? +How can they emerge from an underlying formal system? + +In the Magnificrab , some unusual powers of the Crab's mind are revealed. His +own version of his powers is merely that he listens to music and distinguishes the +beautiful from the non-beautiful. (Apparently for him there is a sharp dividing line.) Now +Achilles finds another way to describe the Crab's abilities: the Crab divides statements of +number theory into the categories true and false. But the Crab maintains that, if he +chances to do so, it is only by the purest accident, for he is, by his own admission, +incompetent in mathematics. What makes the Crab's performance all the more mystifying +to Achilles, however, is that it seems to be in direct violation of a celebrated result of +metamathematics with which Achilles is familiar: + +CHURCH'S THEOREM: There is no infallible method for telling theorems of TNT from +nontheorems. + +It was proven in 1936 by the American logician Alonzo Church. Closely related is what I +call the + +TARSKI-CHURCH-TURING THEOREM: There is no infallible method for telling true +from false statements of number theory. + +The Church-Turing Thesis + +To understand Church's Theorem and the Tarski-Church-Turing Theorem better, we +should first describe one of the ideas on which they are based; and that is the Church- +Turing Thesis (often called "Church's Thesis"). For the Church-Turing Thesis is certainly +one of the most important concepts in the philosophy of mathematics, brains, and +thinking. + +Actually, like tea, the Church-Turing Thesis can be given in a variety of different +strengths. So I will present it in various versions, and we will consider what they imply. +The first version sounds very innocent-in fact almost pointless: + +CHURCH-TURING THESIS, TAUTOLOGICAL VERSION: Mathematics +problems can be solved only by doing mathematics. + +Of course, its meaning resides in the meaning of its constituent terms. By "mathematics +problem" I mean the problem of deciding whether some number possesses or does not +possess a given arithmetical property. It turns out that by means of Godel-numbering and +related coding tricks, almost any problem in any branch of mathematics can be put into +this form, so that "mathematics problem" retains its ordinary meaning. What about "doing +mathematics"? When one tries to ascertain whether a number has a property, there seem +to be only a small number of operations which one uses in combination over and over +again-addition, multiplication, checking for equality or inequality. That is, loops +composed of such operations seem to be the only tool we have that allows us to probe the +world of numbers. Note the word "seem". This is the critical word which the Church- +Turing Thesis is about. We can give a revision: + +CHURCH-TURING THESIS, STANDARD VERSION: Suppose there is a +method which a sentient being follows in order to sort numbers into two classes. +Suppose further that this method always yields an answer within a finite amount +of time, and that it always gives the same answer for a given number. Then: +Some terminating FlooP program (i.e., some general recursive function) exists +which gives exactly the same answers as the sentient being's method does. + +The central hypothesis, to make it very clear, is that any mental process which divides +numbers into two sorts can be described in the form of a FlooP program. The intuitive +belief is that there are no other tools than those in FlooP, and that there are no ways to use +those tools other than by + +unlimited iterations (which FlooP allows). The Church-Turing Thesis is not a provable +fact in the sense of a Theorem of mathematics-it is a hypothesis about the processes +which human brains use. + +The Public-Processes Version + +Now some people might feel that this version asserts too much. These people might put +their objections as follows: "Someone such as the Crab might exist-someone with an +almost mystical insight into mathematics, but who is just as much in the dark about his +own peculiar abilities as anyone else-and perhaps that person's mental mechanisms carry +out operations which have no counterpart in FlooP." The idea is that perhaps we have a +subconscious potential for doing things which transcend the conscious processes-things +which are somehow inexpressible in terms of the elementary FlooP operations. For these +objectors, we shall give a weaker version of the Thesis, one which distinguishes between +public and private mental processes: + +CHURCH-TURING THESIS, PUBLIC-PROCESSES VERSION: Suppose there +is a method which a sentient being follows in order to sort numbers into two +classes. Suppose further that this method always yields an answer within a finite +amount of time, and that it always gives the same answer for a given number. +Proviso. Suppose also that this method can be communicated reliably from one +sentient being to another by means of language. Then: Some terminating FlooP +program (i.e., general recursive function) exists which gives exactly the same +answers as the sentient beings' method does. + +This says that public methods are subject to "FlooPification", but asserts nothing about +private methods. It does not say that they are un-FlooP-able, but it at least leaves the door +open. + +Srinivasa Ramanujan + +As evidence against any stronger version of the Church-Turing Thesis, let us consider the +case of the famous Indian mathematician of the first quarter of the twentieth century, +Srinivasa Ramanujan (1887-1920). Ramanujan (Fig. 105) came from Tamilnadu, the +southernmost part of India, and studied mathematics a little in high school. One day, +someone who recognized Ramanujan's talent for math presented him with a copy of a +slightly out-of-date textbook on analysis, which Ramanujan devoured (figuratively +speaking). He then began making his own forays into the world of analysis, and by the +time he was twenty-three, he had made a number of discoveries which he considered +worthwhile. He did not know to whom to turn, but somehow was told about a professor +of mathematics in faraway England, named G. H. Hardy. Ramanujan compiled his best + +FIGURE 105. Srinivasa Ramanujan and +one of his strange Indian melodies. + e + +Tt7T + +V5 ♦ e' + +£i}\ +2 ’/ + +1 + e + +1 + + +results together in a packet of papers, and sent them allto the, unforewamed Hardy with a +covering letter which friends helped him express + +in English. Below are some excerpts taken from Hardy's description of his reaction upon +receiving the bundle: + +... It soon became obvious that Ramanujan must possess much more general +theorems and was keeping a great deal up his sleeve.... [Some formulae]defeated +me completely; I had never seen anything in the least like them before. A single +look at them is enough to show that they could only be written down by a +mathematician of the highest class. They must be true because, if they were not +true, no one would have had the imagination to invent them. Finally ... the writer +must be completely honest, because great mathematicians are commoner than +thieves or humbugs of such incredible skill 2 + +What resulted from this correspondence was that Ramanujan came to England in 1913, +sponsored by Hardy; and then followed an intense collaboration which terminated in +Ramanujan's early demise at age thin thirty-three from tuberculosis. + +Ramanujan had several extraordinary characteristics which set him apart from the +majority of mathematicians. One was his lack of rigor. Very often he would simply state +a result which, he would insist, had just come to + +him from a vague intuitive source, far out of the realm of conscious probing. In fact, he +often said that the goddess Namagiri inspired him in his dreams. This happened time and +again, and what made it all the more mystifying-perhaps even imbuing it with a certain +mystical quality-was the fact that many of his "intuition-theorems" were wrong. Now +there is a curious paradoxical effect where sometimes an event which you think could not +help but make credulous people become a little more skeptical, actually has the reverse +effect, hitting the credulous ones in some vulnerable spot of their minds, tantalizing them +with the hint of some baffling irrational side of human nature. Such was the case with +Ramanujan's blunders: many educated people with a yearning to believe in something of +the sort considered Ramanujan's intuitive powers to be evidence of a mystical insight into +Truth, and the fact of his fallibility seemed, if anything, to strengthen, rather than +weaken, such beliefs. + +Of course it didn't hurt that he was from one of the most backward parts of India, +where fakirism and other eerie Indian rites had been practiced for millennia, and were +still practiced with a frequency probably exceeding that of the teaching of higher +mathematics. And his occasional wrong flashes of insight, instead of suggesting to people +that he was merely human, paradoxically inspired the idea that Ramanujan's wrongness +always had some sort of "deeper rightness" to it-an "Oriental" rightness, perhaps touching +upon truths inaccessible to Western minds. What a delicious, almost irresistible thought! +Even Hardy-who would have been the first to deny that Ramanujan had any mystical +powers-once wrote about one of Ramanujan's failures, "And yet I am not sure that, in +some ways, his failure was not more wonderful than any of his triumphs." + +The other outstanding feature of Ramanujan's mathematical personality was his +"friendship with the integers", as his colleague Littlewood put it. This is a characteristic +that a fair number of mathematicians share to some degree or other, but which +Ramanujan possessed to an extreme. There are a couple of anecdotes which illustrate this +special power. The first one is related by Hardy: + +I remember once going to see him when he was lying ill at Putney. I had ridden in +taxi-cab No. 1729, and remarked that the number seemed to me rather a dull one, +and that I hoped it was not an unfavorable omen. "No," he replied, "it is a very +interesting number; it is the smallest number expressible as a sum of two cubes in +two different ways." .1 asked him, naturally, whether he knew the answer to the +corresponding problem for fourth powers; and he replied, after a moment's +thought, that he could see no obvious example, and thought that the first such +number must be very large.' + +It turns out that the answer for fourth powers is: + +635318657 = 134 + 1334 = 1584 + 594 + +The reader may find it interesting to tackle the analogous problem for squares, which is +much easier. + +It is actually quite interesting to ponder why it is that Hardy im- + +mediately jumped to fourth powers. After all, there are several other reasonably natural +,3 3,3 + +u + v = x + y + +along different dimensions. For instance, there is the question about representing a +,3 3 , 3 3 , 3 + +r + =u+v=x+y + +Or, one can use three different cubes: + +u3 + v3 + w 3 = x 3 + y 3 + z 3 . + + 4444 + +r + s + t = u + v + w = x + v + z + +There is a sense, however, in which Hardy's generalization is "the most mathematician¬ +like". Could this sense of mathematical esthetics ever be programmed? + +The other anecdote is taken from a biography of Ramanujan by his +countryman S. R. Ranganathan, where it is called "Ramanujan's Flash". It is related by a +Indian friend of Ramanujan's from his Cambridge days. Dr. P. C. Mahalanobis. + +On another occasion, I went to his room to have lunch with him. The First World +War had started some time earlier. I had in my hand a copy of the monthly "Strand +Magazine" which at that time used to publish a number of puzzles to be solved by +readers. Ramanujan was stirring something in a pan over the fire for our lunch. I +was sitting near the table, turning over the pages of the Magazine. I got interested in +a problem involving a relation between two numbers. I have forgotten the details; +but I remember the type of the problem. Two British officers had been billeted in +Paris in two different houses in a long street; the door numbers of these houses +were related in a special way; the problem was to find out the two numbers. It was +not at all difficult. I got the solution in a few minutes by trial and error. + +MAHALANOBIS (in a joking way): Now here is a problem for you. + +RAMANUJAN: What problem, tell me.'(He went on stirring the pan.) I read out the +question from the "Strand Magazine". + +RAMANUJAN: Please take down the solution. (He dictated a continued fraction.) + +The first term was the solution which I had obtained. Each successive term +represented successive solutions for the same type of relation between two numbers, +as the number of houses in the street would increase indefinitely. I was amazed. +MAHALANOBIS: Did you get the solution in a flash? + +RAMANUJAN: Immediately I heard the problem, it was clear that the Solution was +obviously a continued fraction; I then thought, "Which continued fraction?" and the +answer came to my mind. It was just as simple as this.' + +Hardy, as Ramanujan's closest co-worker, was often asked after + +Ramanujan's death if there had been any occult or otherwise exotically flavored elements +to Ramanujan's thinking style. Here is one comment which he gave: + +I have often been asked whether Ramanujan had any special secret; whether his +methods differed in kind from those of other mathematicians; whether there was +anything really abnormal in his mode of thought. I cannot answer these questions +with any confidence or conviction; but I do not believe it. My belief is that all +mathematicians think, at bottom, in the same kind of way, and that Ramanujan was +no exception , 5 + +Here Hardy states in essence his own version of the Church-Turing Thesis. I paraphrase: +CHURCH-TURING THESIS, HARDY'S VERSION: At bottom, all mathematicians are +isomorphic. + +This does not equate the mathematical potential of mathematicians with that of general +recursive functions; for that, however, all you need is to show that some mathematician's +mental capacity is no more general than recursive functions. Then, if you believe Hardy's +Version, you know it for all mathematicians. + +Then Hardy compares Ramanujan with calculating prodigies: + +His memory, and his powers of calculation, were very unusual, but they could not +reasonably be called "abnormal". If he had to multiply two large numbers, he +multiplied them in the ordinary way; he could do it with unusual rapidity and +accuracy, but not more rapidly and accurately than any mathematician who is +naturally quick and has the habit of computations + +Hardy describes what he perceived as Ramanujan's outstanding intellectual attributes: + +With his memory, his patience, and his power of calculation, he combined a power +of generalisation, a feeling for form, and a capacity for rapid modification of his +hypotheses, that were often really startling, and made him, in his own field, without a +rival in his day.' + +The part of this passage which I have italicized seems to me to be an excellent +characterization of some of the subtlest features of intelligence in general. Finally, Hardy +concludes somewhat nostalgically: + +[His work has not the simplicity and inevitableness of the very greatest work; it +would be greater if it were less strange. One gift it has which no one can deny- +profound and invincible originality. He would probably have been a greater +mathematician if he had been caught and tamed a little in his youth; he would have +discovered more that was new, and that, no doubt, of greater importance. On the +other hand he would have been less of a Ramanujan, and more of a European + +o + +professor and the loss might have been greater than the gain. + +The esteem in which Hardy held Ramanujan is revealed by the romantic way in which he +speaks of him. + +"Idiots 'Savants" + +There is another class of people whose mathematical abilities seem to defy rational +explanation-the so-called "idiots savants", who can perform complex calculations at +lightning speeds in their heads (or wherever they do it). Johann Martin Zacharias Dase, +who lived from 1824 to 1861 and was employed by various European governments to +perform computations, is an outstanding example. He not only could multiply two +numbers each of 100 digits in his head; he also had an uncanny sense of quantity. That is, +he could just "tell", without counting, how many sheep were in a field, or words in a +sentence, and so forth, up to about 30-this in contrast to most of us, who have such a +sense up to about 6, with reliability. Incidentally, Dase was not an idiot. + +I shall not describe the many fascinating documented cases of "lightning +calculators", for that is not my purpose here. But I do feel it is important to dispel the idea +that they do it by some mysterious, unanalyzable method. Although it is often the case +that such wizards' calculational abilities far exceed their abilities to explain their results, +every once in a while, a person with other intellectual gifts comes along who also has this +spectacular ability with numbers. From such people's introspection, as well as from +extensive research by psychologists, it has been ascertained that nothing occult takes +place during the performances of lightning calculators, but simply that their minds race +through intermediate steps with the kind of self-confidence that a natural athlete has in +executing a complicated motion quickly and gracefully. They do not reach their answers +by some sort of instantaneous flash of enlightenment (though subjectively it may feel that +way to some of them), but-like the rest of us-by sequential calculation, which is to say, by +FlooP-ing (or BlooP-ing) along. - + +Incidentally, one of the most obvious clues that no "hot line to God" is involved is +the mere fact that when the numbers involved get bigger, the answers are slower in +coming. Presumably, if God or an "oracle" were supplying the answers, he wouldn't have +to slow up when the numbers got bigger. One could probably make a nice plot showing +how the time taken by a lightning calculator varies with the sizes of the numbers +involved, and the operations involved, and from it deduce some features of the algorithms +employed. + +The Isomorphism Version of the Church-Turing Thesis + +This finally brings us to a strengthened standard version of the Church-Turing Thesis: + +CHURCH-TURING THESIS, ISOMORPHISM VERSION: Suppose there is a +method which a sentient being follows in order to sort numbers into two classes. +Suppose further that this method always yields an answer within a finite amount +of time, and that it always gives the same answer for a given number. Then: +Some terminating FlooP program (i.e.. + +general recursive function) exists which gives exactly the same answers as the +sentient being's method does. Moreover: The mental process and the FlooP +program are isomorphic in the sense that on some level there is a correspondence +between the steps being carried out in both computer and brain. + +Notice that not only has the conclusion been strengthened, but also the proviso of +communicability of the faint-hearted Public-Processes Version has been dropped. This +bold version is the one which we now shall discuss. + +In brief, this version asserts that when one computes something, one's mental +activity can be mirrored isomorphically in some FlooP program. And let it be very clear +that this does not mean that the brain is actually running a FlooP program, written in the +FlooP language complete with BEGIN's, END'S, ABORT'S, and the rest-not at all. It is +just that the steps are taken in the same order as they could be in a FlooP program, and +the logical structure of the calculation can be mirrored in a FlooP program. + +Now in order to make sense of this idea, we shall have to make some level +distinctions in both computer and brain, for otherwise it could be misinterpreted as utter +nonsense. Presumably the steps of the calculation going on inside a person's head are on +the highest level, and are supported by lower levels, and eventually by hardware. So if we +speak of an isomorphism, it means we've tacitly made the assumption that the highest +level can be isolated, allowing us to discuss what goes on there independently of other +levels, and then to map that top level into FlooP. To be more precise, the assumption is +that there exist software entities which play the roles of various mathematical constructs, +and which are activated in ways which can be mirrored exactly inside FlooP (see Fig. +106). What enables these software entities to come into existence is the entire +infrastructure discussed in Chapters XI and XI I, as well as in the Prelude, Ant Fugue. +There is no assertion of isomorphic activity on the lower levels of brain and computer +(e.g., neurons and bits). + +The spirit of the Isomorphism Version, if not the letter, is gotten across by saying +that what an idiot savant does in calculating, say, the logarithm of 7r, is isomorphic to +what a pocket calculator does in calculating it-where the isomorphism holds on the +arithmetic-step level, not on the lower levels of, in the one case, neurons, and in the other, +integrated circuits. (Of course different routes can be followed in calculating anything-but +presumably the pocket calculator, if not the human, could be instructed to calculate the +answer in any specific manner.) + +FIGURE 106. The behavior of natural numbers can be mirrored in a human brain or in +the programs of a computer. These two different representations can then be mapped +onto each other on an appropriately abstract level. + +Representation of Knowledge about the Real World + +Now this seems quite plausible when the domain referred to is number theory, for there +the total universe in which things happen is very small and clean. Its boundaries and +residents and rules are well-defined, as in a hard-edged maze. Such a world is far less +complicated than the open-ended and ill-defined world which we inhabit. A number +theory problem, once stated, is complete in and of itself. A real-world problem, on the +other hand, never is sealed off from any part of the world with absolute certainty. For +instance, the task of replacing a burnt-out light bulb may turn out to require moving a +garbage bag; this may unexpectedly cause the spilling of a box of pills, which then forces +the floor to be swept so that the pet dog won't eat any of the spilled pills, etc., etc. The +pills and the garbage and the dog and the light bulb are all quite distantly related parts of +the world-yet an intimate connection is created by some everyday happenings. And there +is no telling what else could be brought in by some other small variations on the +expected. By contrast, if you are given a number theory problem, you never wind up +having to consider extraneous things such as pills or dogs or bags of garbage or brooms +in order to solve your problem. (Of course, your intuitive knowledge of such objects may +serve you in good stead as you go about unconsciously trying to manufacture mental +images to help you in visualizing the problem in geometrical terms-but that is another +matter.) + +Because of the complexity of the world, it is hard to imagine a little pocket +calculator that can answer questions put to it when you press a few buttons bearing labels +such as "dog", "garbage", "light bulb", and so forth. In fact, so far it has proven to be +extremely complicated to have a full-size high-speed computer answer questions about +what appear to us to be rather simple subdomains of the real world. It seems that a large +amount of knowledge has to be taken into account in a highly integrated way for +"understanding" to take place. We can liken real-world thought processes to a tree whose +visible part stands sturdily above ground but depends vitally on its invisible roots which +extend way below ground, giving it stability and nourishment. In this case the roots +symbolize complex processes which take place below the conscious level of the mind- +processes whose effects permeate the way we think but of which we are unaware. These +are the "triggering patterns of symbols" which were discussed in Chapters XI and XII. + +Real-world thinking is quite different from what happens when we do a +multiplication of two numbers, where everything is "above ground", so to speak, open to +inspection. In arithmetic, the top level can be "skimmed off " and implemented equally +well in many different sorts of hardware: mechanical adding machines, pocket +calculators, large computers, people's brains, and so forth. This is what the Church- +Turing Thesis is all about. But when it comes to real-world understanding, it seems that +there is no simple way to skim off the top level, and program it. alone. The triggering +patterns of symbols are just too complex. There must he several levels through which +thoughts may "percolate" and "bubble". + +In particular-and this comes back to a major theme of Chapters XI ' and XH-the +representation of the real world in the brain, although rooted in isomorphism to some +extent, involves some elements which have no counterparts at all in the outer world. That +is, there is much more to it than simple mental structures representing "dog", "broom", +etc. All of these symbols exist, to be sure-but their internal structures are extremely +complex and to a large degree are unavailable for conscious inspection. Moreover, one +would hunt in vain to map each aspect of a symbol’s internal structure onto some specific +feature of the real world. + +Processes That Are Not So Skimmable + +For this reason, the brain begins to look like a very peculiar formal system, for on its +bottom level-the neural level-where the "rules" operate and change the state, there may be +no interpretation of the primitive elements (neural firings, or perhaps even lower-level +events). Yet on the top level, there emerges a meaningful interpretation-a mapping from +the large "clouds" of neural activity which we have been calling "symbols", onto the real +world. There is some resemblance to the Godel construction, in that a high-level +isomorphism allows a high level of meaning to be read into strings; but in the Godel +construction, the higher-level meaning "rides" on the lower level-that is, it is derived +from the lower level, once the notion of Godel-numbering has been introduced. But in the +brain, the events on the neural level are not subject to real-world interpretation; they are +simply not imitating anything. They are there purely as the substrate to support the higher +level, much as transistors in a pocket calculator are there purely to support its number¬ +mirroring activity. And the implication is that there is no way to skim off just the highest +level and make an isomorphic copy in a program; if one is to mirror the brain processes +which allow real-world understanding, then one must mirror some of the lower-level +things which are taking place: the "languages of the brain". This doesn't necessarily mean +that one must go all the way down to the level of the hardware, though that may turn out +to be the case. + +In the course of developing a program with the aim of achieving an "intelligent" +(viz., human-like) internal representation of what is "out there", at some point one will +probably be forced into using structures and processes which do not admit of any +straightforward interpretations-that is, which cannot be directly mapped onto elements of +reality. These lower layers of the program will be able to be understood only by virtue of +their catalytic relation to layers above them, rather than because of some direct +connection they have to the outer world. (A concrete image of this idea was suggested by +the Anteater in the Ant Fugue: the "indescribably boring nightmare" of trying to +understand a book on the letter level.) + +Personally, I would guess that such multilevel architecture of concept-handling +systems becomes necessary just when processes involving images and analogies become +significant elements of the program-in + +contrast to processes which are supposed to carry out strictly deductive reasoning. +Processes which carry out deductive reasoning can be programmed in essentially one +single level, and are therefore skimmable, by definition. According to my hypothesis, +then, imagery and analogical thought processes intrinsically require several layers of +substrate and are therefore intrinsically non-skim mable. I believe furthermore that it is +precisely at this same point that creativity starts to emerge-which would imply that +creativity intrinsically depends upon certain kinds of "uninterpretable" lower-level +events. The layers of underpinning of analogical thinking are, of course, of extreme +interest, and. some speculations on their nature will be offered in the next two Chapters. + +Articles of Reductionistic Faith + +One way to think about the relation between higher and lower levels in the brain is this. +One could assemble a neural net which, on a local (neuron-to-neuron) level, performed in +a manner indistinguishable from a neural net in a brain, but which had no higher-level +meaning at all. The fact that the lower level is composed of interacting neurons does not +necessarily force any higher level of meaning to appear-no more than the fact that +alphabet soup contains letters forces meaningful sentences to be found, swimming about +in the bowl. High-level meaning is an optional feature of a neural network-one which +may emerge as a consequence of evolutionary environmental pressures. + +Figure 107 is a diagram illustrating the fact that emergence of a higher level of +meaning is optional. The upwards-pointing arrow indicates that a substrate can occur +without a higher level of meaning, but not vice versa: the higher level must be derived +from properties of a lower one. + +FIGURE 107. Floating on neural activity, the symbol level of the brain mirrors the +world. But neural activity per se, which can be simulated on a computer, does not create +thought; that calls for higher levels of organization. + +* higher level +of brain +(symbol level) + +* $cm- +isomorphism +(meaning) + +* world + +* A optional link + +* I computer +I model of +neural network/ + +* isomorphism + +* (substrate: brain) +as collection +of neurons + +The diagram includes an indication of a computer simulation of a neural network. This is +in principle feasible, no matter how complicated the network, provided that the behavior +of individual neurons can be described in terms of computations which a computer can +carry out. This is a subtle postulate which few people even think of questioning. +Nevertheless it is a piece of "reductionistic faith"; it could be considered a "microscopic +version" of the Church-Turing Thesis. Below we state it explicitly: + +CHURCH-TURING THESIS, MICROSCOPIC VERSION: The behavior of the +components of a living being can be simulated on a computer. That is, the +behavior of any component (typically assumed to be a cell) can be calculated by +a FlooP program (i.e., general recursive function) to any desired degree of +accuracy, given a sufficiently precise description of the component's internal +state and local environment. + +This version of the Church-Turing Thesis says that brain processes do not possess any +more mystique-even though they possess more levels of organization-than, say, stomach +processes. It would be unthinkable in this day and age to suggest that people digest their +food, not by ordinary chemical processes, but by a sort of mysterious and magic +"assimilation". This version of the CT-Thesis simply extends this kind of commonsense +reasoning to brain processes. In short, it amounts to faith that the brain operates in a way +which is, in principle, understandable. It is a piece of reductionist faith. + +A corollary to the Microscopic CT-Thesis is this rather terse new macroscopic +version: + +CHURCH-TURING THESIS, REDUCTIONIST'S VERSION: All brain processes are +derived from a computable substrate. + +This statement is about the strongest theoretical underpinning one could give in support +of the eventual possibility of realizing Artificial Intelligence. + +Of course, Artificial Intelligence research is not aimed at simulating neural +networks, for it is based on another kind of faith: that probably there are significant +features of intelligence which can be floated on top of entirely different sorts of substrates +than those of organic brains. Figure 108 shows the presumed relations among Artificial +Intelligence, natural intelligence, and the real world. + +Parallel Progress in A1 and Brain Simulation? + +The idea that, if A1 is to be achieved, the actual hardware of the brain might one day have +to be simulated or duplicated, is, for the present at least, quite an abhorrent thought to +many A1 workers. Still one wonders, "How finely will we need to copy the brain to +achieve Al?" The real answer is probably that it all depends on how many of the features +of human consciousness you want to simulate. + +Is an ability to play checkers well a sufficient indicator of intelligence? If so, then +A1 already exists, since checker-playing programs are of world class. Or is intelligence an +ability to integrate functions symbolically, as in a freshman calculus class? If so, then AI +already exists, since symbolic integration routines outdo the best people in most cases. Or +is intelligence the ability to play chess well? If so, then AI is well on its way, since chess¬ +playing programs can defeat most good amateurs; and the level of artificial chess will +probably continue to improve slowly. + +Historically, people have been naive about what qualities, if mechanized, would +undeniably constitute intelligence. Sometimes it seems as though each new step towards +AI, rather than producing something which everyone agrees is real intelligence, merely +reveals what real intelligence is not. If intelligence involves learning, creativity, +emotional responses, a sense of beauty, a sense of self, then there is a long road ahead, +and it may be that these will only be realized when we have totally duplicated a living +brain. + +Beauty, the Crab, and the Soul + +Now what, if anything, does all this have to say about the Crab's virtuoso performance in +front of Achilles? There are two issues clouded together here. They are: + +(1) Could any brain process, under any circumstances, distinguish completely +reliably between true and false statements of TNT without being in violation of +the Church-Turing Thesis-or is such an act in principle impossible? + +(2) Is perception of beauty a brain process? + +First of all, in response to (1), if violations of the Church-Turing Thesis are allowed, then +there seems to be no fundamental obstacle to the strange events in the Dialogue. So what +we are interested in is whether a believer in the Church-Turing Thesis would have to +disbelieve in the Crab's ability. Well, it all depends on which version of the CT-Thesis +you believe. For example, if you only subscribe to the Public-Processes Version, then you +could reconcile the Crab's behavior with it very easily by positing that the Crab's ability is +not communicable. Contrariwise, if you believe the Reductionist's Version, you will have +a very hard time believing in the Crab's ostensible ability (because of Church's Theorem- +soon to be demonstrated). Believing in intermediate versions allows you a certain amount +of wishy-washiness on the issue. Of course, switching your stand according to +convenience allows you to waffle even more. + +It seems appropriate to present a new version of the CT-Thesis, one which is +tacitly held by vast numbers of people, and which has been publicly put forth by several +authors, in various manners. Some of the more famous ones are: philosophers Hubert +Dreyfus, S. Jaki, Mortimer Taube, and J. R. Lucas; the biologist and philosopher Michael +Polanyi (a holist par excellence); the distinguished Australian neurophysiologist John +Eccles. I am sure there are many other authors who have expressed similar ideas, and +countless readers who are sympathetic. I have attempted below to summarize their joint +position. I have probably not done full justice to it, but I have tried to convey the flavor as +accurately as I can: + +CHURCH-TURING THESIS, SOULISTS' VERSION: Some kinds of things which +a brain can do can be vaguely approximated on a computer but not most, and +certainly not the interesting ones. But anyway, even if they all could, that would +still leave the soul to explain, and there is no way that computers have any +bearing on that. + +This version relates to the tale of the Magnificrab in two ways. In the first place, its +adherents would probably consider the tale to be silly and implausible, but-not forbidden +in principle. In the second place, they would probably claim that appreciation of qualities +such as beauty is one of those properties associated with the elusive soul, and is therefore +inherently possible only for humans, not for mere machines. + +We will come back to this second point in a moment; but first, while we are on +the subject of "soulists", we ought to exhibit this latest version in an even more extreme +form, since that is the form to which large numbers of well-educated people subscribe +these days: + +CHURCH-TURING THESIS, THEODORE ROSZAK VERSION: Computers are +ridiculous. So is science in general. + +This view is prevalent among certain people who see in anything smacking of numbers or +exactitude a threat to human values. It is too bad that they do not appreciate the depth and +complexity and beauty involved in exploring abstract structures such as the human mind, +where, indeed, one comes in intimate contact with the ultimate questions of what to be +human is. + +Getting back to beauty, we were about to consider whether the appreciation of +beauty is a brain process, and if so, whether it is imitable by a computer. Those who +believe that it is not accounted for by the brain are very unlikely to believe that a +computer could possess it. Those who believe it is a brain process again divide up +according to which version of the CT-Thesis they believe. A total reductionist would +believe that any brain process can in principle be transformed into a computer program; +others, however, might feel that beauty is too ill-defined a notion for a computer program +ever to assimilate. Perhaps they feel that the appreciation of beauty requires an element of +irrationality, and therefore is incompatible with the very fiber of computers. + +Irrational and Rational Can Coexist on Different Levels + +However, this notion that "irrationality is incompatible with computers" rests on a +severe confusion of levels. The mistaken notion stems from the idea that since +computers are faultlessly functioning machines, they are therefore bound to be +"logical" on all levels. Yet it is perfectly obvious that a computer can be +instructed to print out a sequence of illogical statements-or, for variety's sake, a +batch of statements having random truth values. Yet in following such +instructions, a computer would not be making any mistakes! On the contrary, it +would only be a mistake if the computer printed out something other than the +statements it had been instructed to print. This illustrates how faultless +functioning on one level may underlie symbol manipulation on a higher level-and +the goals of the higher level may be completely unrelated to the propagation of +Truth. + +Another way to gain perspective on this is to remember that a brain, too, is a collection of +faultlessly functioning elements-neurons. Whenever a neuron's threshold is surpassed by +the sum of the incoming signals, BANG!-it fires. It never happens that a neuron forgets +its arithmetical knowledge-carelessly adding its inputs and getting a wrong answer. Even +when a neuron dies, it continues to function correctly, in the sense that its components +continue to obey the laws of mathematics and physics. Yet as we all know, neurons are +perfectly capable of supporting high-level behavior that is wrong, on its own level, in the +most amazing ways. Figure 109 is meant to illustrate such a clash of levels: an incorrect +belief held in the software of a mind, supported by the hardware of a faultlessly +functioning brain. + +The point-a point which has been made several times earlier in various contexts-is +simply that meaning can exist on two or more different levels of a symbol-handling +system, and along with meaning, rightness and wrongness can exist on all those levels. +The presence of meaning on a given +level is determined by whether or- not reality is mirrored in an isomorphic (or looser) +fashion on that level. So the fact that neurons always perform correct additions (in fact, +much more complex calculations) has no bearing whatsoever on the correctness of the +top-level conclusions supported by their machinery. Whether one's top level is engaged in +proving koans of Boolean Buddhism or in meditating on theorems of Zerl Algebra, one's +neurons are functioning rationally. By the same token, the high-level symbolic processes +which in a brain create the experience of appreciating beauty are perfectly rational on the +bottom level, where the faultless functioning is taking place; any irrationality, if there is +such, is on the higher level, and is an epiphenomenon-a consequence-of the events on the +lower level. + +To make the same point in a different way, let us say you are having a hard time +making up your mind whether to order a cheeseburger or a pineappleburger. Does this +imply that your neurons are also balking, having difficulty deciding whether or not to +fire? Of course not. Your hamburger-confusion is a high-level state which fully depends +on the efficient firing of thousands of neurons in very organized ways. This is a little +ironic, yet it is perfectly obvious when you think about it. Nevertheless, it is probably fair +to say that nearly all confusions about minds and computers have their origin in just such +elementary level-confusions. + +There is no reason to believe that a. computer's faultlessly functioning hardware +could not support high-level symbolic behavior which would represent such complex +states as confusion, forgetting, or appreciation of beauty. It would require that there exist +massive subsystems interacting with each other according to a complex "logic". The +overt behavior could appear either rational or irrational; but underneath it would be the +performance of reliable, logical hardware. + +More Against Lucas + +Incidentally, this kind of level distinction provides us with some new fuel in arguing +against Lucas. The Lucas argument is based on the idea that Godel’s Theorem is +applicable, by definition, to machines. In fact, Lucas makes a most emphatic +pronunciation: + +Godel’s theorem must apply to cybemetical machines, because it is of the essence + +of being a machine, that it should be a concrete instantiation of a formal system. 0 + +This is, as we have seen, true on the hardware level-but since there may be higher levels, +it is not the last word on the subject. Now Lucas gives the impression that in the mind- +imitating machines he discusses, there is only one level on which manipulation of +symbols takes place. For instance, the Rule of Detachment (called "Modus Ponens" in his +article) would be wired into the hardware and would be an unchangeable feature of such +a machine. He goes further and intimates that if Modus Ponens were not an + +immutable pillar of the machine's system, but could be overridden on occasion, then: + +The system will have ceased to be a formal logical system, and the machine will +barely qualify for the title of a model for the mind. 10 + +Now many programs which are being developed in At research have very little in +common with programs for generating truths of number theory-programs with inflexible +rules of inference and fixed sets of axioms. Yet they are certainly intended as "models for +the mind". On their top level the "informal" level-there may be manipulation of images, +formulation of analogies, forgetting of ideas, confusing of concepts, blurring of +distinctions, and so forth. But this does not contradict the fact that they rely on the correct +functioning of their underlying hardware as much as brains rely on the correct +functioning of their neurons. So At programs are still "concrete instantiations of formal +systems"-but they are not machines to which Lucas' transmogrification of Godel’s proof +can be applied. Lucas' argument applies merely to their bottom level, on which their +intelligence-however great or small it may be-does not lie. + +There is one other way in which Lucas betrays his oversimplified vision of how +mental processes would have to be represented inside computer programs. In discussing +the matter of consistency, he writes + +If we really were inconsistent machines, we should remain content with our +inconsistencies, and would happily affirm both halves of a contradiction. Moreover, +we would be prepared to say absolutely anything-which we are not. It is easily +shown that in an inconsistent formal system everything is provable." + +This last sentence shows that Lucas assumes that the Propositional Calculus must of +necessity be built into any formal system which carries out reasoning. In particular, he is +thinking of the theorem «PA-P>DQ> of the Propositional Calculus; evidently he has +the erroneous belief that it is an inevitable feature of mechanized reasoning. However, it +is perfectly plausible that logical thought processes, such as propositional reasoning, will +emerge as consequences of the general intelligence of an At program, rather than being +preprogrammed. This is what happens in humans! And there is no particular reason to +assume that the strict Propositional Calculus, with its rigid rules and the rather silly +definition of consistency that they entail, would emerge from such a program. + +An Underpinning of A1 + +We can summarize this excursion into level distinctions and come away with one final, +strongest version of the Church-Turing Thesis: + +CHURCH-TURING THESIS, At VERSION: Mental processes of any sort can be +simulated by a computer program whose underlying language is of +power equal to that of FlooP-that is, in which all partial recursive functions can be +programmed. + +It should also be pointed out that in practice, many AI researchers rely on another +article of faith which is closely related to the CT-Thesis, and which I call the AI Thesis. It +runs something like this: + +AI THESIS: As the intelligence of machines evolves, its underlying +mechanisms will gradually converge to the mechanisms underlying human +intelligence. + +In other words, all intelligences are just variations on a single theme; to create true +intelligence, At workers will just have to keep pushing to ever lower levels, closer and +closer to brain mechanisms, if they wish their machines to attain the capabilities which +we have. + +Church's Theorem + +Now let us come back to the Crab and to the question of whether his decision procedure +for theoremhood (which is presented in the guise of a filter for musical beauty) is +compatible with reality. Actually, from the events which occur in the Dialogue, we have +no way of deducing whether the Crab's gift is an ability to tell theorems from +nontheorems, or alternatively, an ability to tell true statements from false ones. Of course +in many cases this amounts to the same thing but Godel’s Theorem shows that it doesn't +always. But no matter: both of these alternatives are impossible, if you believe the At +Version of the Church-Turing Thesis. The proposition that it is impossible to have a +decision procedure for theoremhood in any formal system with the power of TNT is +known as Church's Theorem. The proposition that it is impossible to have a decision +procedure for number theoretical truth-if such truth exists, which one can well doubt after +meeting up with all the bifurcations of TNT-follows quickly from Tarski's Theorem +(published in 1933, although the ideas were known to Tarski considerably earlier). + +The proofs of these two highly important results of metamathematics are very +similar. Both of them follow quite quickly from self-referential constructions. Let us first +consider the question of a decision procedure for TNT-theoremhood. If there were a +uniform way by which people could decide which of the classes "theorem" and +"nontheorem" any given formula X fell into, then, by the CT-Thesis (Standard Version), +there would exist a terminating FlooP program (a general recursive function) which could +make the same decision, when given as input the Godel number of formula X. The +crucial step is to recall that any property that can be tested for by a terminating FlooP +program is represented in TNT. This means that the property of TNT-theoremhood would +be represented (as distinguished from merely expressed) inside TNT. But as we shall see +in a moment, this. + +would put us in hot water, for if theoremhood is a representable attribute, then Godel’s +formula G becomes as vicious as the Epimenides paradox. + +It all hinges on what G says: "G is not a theorem of TNT". Assume that G were a +theorem. Then, since theoremhood is supposedly represented, the TNT-formula which +asserts "G is a theorem" would be a theorem of TNT. But this formula is -G, the negation +of G, so that TNT is inconsistent. On the other hand, assume G were not a theorem. Then +once again by the supposed representability of theoremhood, the formula which asserts +"G is not a theorem" would be a theorem of TNT. But this formula is G, and once again +we get into paradox. Unlike the situation before, there is no resolution of the paradox. +The problem is created by the assumption that theoremhood is represented by some +formula of TNT, and therefore we must backtrack and erase that assumption. This forces +us also to conclude that no FlooP program can tell the Godel numbers of theorems from +those of nontheorems. Finally, if we accept the A1 Version of the CT-Thesis, then we +must backtrack further, and conclude that no method whatsoever could exist by which +humans could reliably tell theorems from nontheorems-and this includes determinations +based on beauty. Those who subscribe only to the Public-Processes Version might still +think the Crab's performance is possible; but of all the versions, that one is perhaps the +hardest one to find any justification for. + +Tarski's Theorem + +Now let us proceed to Tarski's result. Tarski asked whether there could be a way of +expressing in TNT the concept of number-theoretical truth. That theoremhood is +expressible (though not representable) we have seen; Tarski was interested in the +analogous question regarding the notion of truth. More specifically, he wished to +determine whether there is any TNT-formula with a single free variable a which can be +translated thus: + +* "The formula whose Godel number is a expresses a truth." + +Fet us suppose, with Tarski, that there is one-which we'll abbreviate as TRUEja}. Now +what we'll do is use the diagonalization method to produce a sentence which asserts about +itself that it is untme. We copy the Godel method exactly, beginning with an "uncle": + +* 3 a: <-TRUE {a} n ARITHMOQUINE {a", a} > + +Let us say the Godel number of the uncle is t. We arithmoquine this very uncle, and +produce the Tarski formula T: + +* 3a:<-TRUE {a} A ARITHMOQUINE {SSS ... SSSO/a",a}> + +* tS's + +When interpreted, it says: + +* "The arithmoquinification of t is the +Godel number of a false statement." + +But since the arithmoquinification of t is T's own Godel number, Tarski's formula T +reproduces the Epimenides paradox to a tee inside TNT, saying of itself, "I am a falsity". +Of course, this leads to the conclusion that it must be simultaneously true and false (or +simultaneously neither). There arises now an interesting matter: What is so bad about +reproducing the Epimenides paradox? Is it of any consequence? After all, we already +have it in English, and the English language has not gone up in smoke. + +The Impossibility of the Magnificrab + +The answer lies in remembering that there are two levels of meaning involved here. One +level is the level we have just been using; the other is as a statement of number theory. If +the Tarski formula T actually existed, then it would be a statement about natural numbers +that is both true and false at once! There is the rub. While we can always just sweep the +English-language Epimenides paradox under the rug, saying that its subect matter (its +own truth) is abstract, this is' not so when it becomes a concrete statement about +numbers! If we believe this is a ridiculous state of affairs, then we have to undo our +assumption that the formula TRUE {a} exists. Thus, there is no way of expressing the +notion of truth inside TNT. Notice that this makes truth a far more elusive property than +theoremhood, for the latter is expressible. The same backtracking reasons as before +(involving the Church-Turing Thesis, A1 Version) lead us to the conclusion that + +The Crab's mind cannot be a truth-recognizer any more than it is a TNT- +theorem-recognizer. + +The former would violate the Tarski-Church-Turing Theorem ("There is no decision +procedure for arithmetical truth"), while the latter would violate Church's Theorem. + +Two Types of Form + +It is extremely interesting, then, to think about the meaning of the word "form" as it +applies to constructions of arbitrarily complex shapes. For instance, what is it that we +respond to when we look at a painting and feel its beauty? Is it the "form" of the lines and +dots on our retina? Evidently it must be, for that is how it gets passed along to the +analyzing mechanisms in our heads-but the complexity of the processing makes us feel +that we are not merely looking at a two-dimensional surface; we are responding to + +some sort of inner meaning inside the picture, a multidimensional aspect trapped +somehow inside those two dimensions. It is the word "meaning" which is important here. +Our minds contain interpreters which accept + +two-dimensional patterns and then "pull" from them high-dimensional notions which are +so complex that we cannot consciously describe them. The same can be said about how +we respond to music, incidentally. + +It feels subjectively that the pulling-out mechanism of inner meaning is not at all +akin to a decision procedure which checks for the presence or absence of some particular +quality such as well-formedness in a string. Probably this is because inner meaning is +something which reveals more of itself over a period of time. One can never be sure, as +one can about well-formedness, that one has finished with the issue. + +This suggests a distinction that could be drawn between two senses of "form" in +patterns which we analyze. First, there are qualities such as well-formedness, which can +be detected by predictably terminating tests, as in BlooP programs. These I propose to +call syntactic qualities of form. One intuitively feels about the syntactic aspects of form +that they lie close to the surface, and therefore they do not provoke the creation of +multidimensional cognitive structures. + +By contrast, the semantic aspects of form are those which cannot be tested for in +predictable lengths of time: they require open-ended tests. Such an aspect is theoremhood +of TNT-strings, as we have seen. You cannot just apply some standard test to a string and +find out if it is a theorem. Somehow, the fact that its meaning is involved is crucially +related to the difficulty of telling whether or not a string is a TNT-theorem. The act of +pulling out a string's meaning involves, in essence, establishing all the implications of its +connections to all other strings, and this leads, to be sure, down an open-ended trail. So +"semantic" properties are connected to open-ended searches because, in an important +sense, an object's meaning is not localized within the object itself. This is not to say that +no understanding of any object's meaning is possible until the end of time, for as time +passes, more and more of the meaning unfolds. However, there are always aspects of its +meaning which will remain hidden arbitrarily long. + +Meaning Derives from Connections to Cognitive Structures + +Let us switch from strings to pieces of music, just for variety. You may still +substitute the term "string" for every reference to a piece of music, if you prefer. +The discussion is meant to be general, but its flavor is better gotten across, I feel, +by referring to music. There is a strange duality about the meaning of a piece of +music: on the one hand, it seems to be spread around, by virtue of its relation to +many other things in the world-and yet, on the other hand, the meaning of a piece +of music is obviously derived from the music itself, so it must be localized +somewhere inside the music. + +The resolution of this dilemma comes from thinking about the interpreter-the +mechanism which does the pulling-out of meaning. (By "inter + +preter in this context, I mean not -the performer of the piece, but the mental mechanism +in the listener which derives meaning when the piece is played.) The interpreter may +discover many important aspects of a piece's meaning while hearing it for the first time; +this seems to confirm the notion that the meaning is housed in the piece itself, and is +simply being read off. But that is only part of the story. The music interpreter works by +setting up a multidimensional cognitive structure-a mental representation of *_he piece- +which it tries to integrate with pre-existent information by finding links to other +multidimensional mental structures which encode previous experiences. As this process +takes place, the full meaning gradually unfolds. In fact, years may pass before someone +comes to feel that he has penetrated to the core meaning of a piece. This seems to support +the opposite view: that musical meaning is spread around, the interpreter's role being to +assemble it gradually. + +The truth undoubtedly lies somewhere in between: meanings-both musical and +linguistic-are to some extent localizable, to some extent spread around. In the +terminology of Chapter VI, we can say that musical pieces and pieces of text are partly +triggers, and partly carriers of explicit meaning. A vivid illustration of this dualism of +meaning is provided by the example of a tablet with an ancient inscription: the meaning +is partially stored in the libraries and the brains of scholars around the world, and yet it is +also obviously implicit in the tablet itself. + +Thus, another way of characterizing the difference between "syntactic" and +"semantic" properties (in the just-proposed sense) is that the syntactic ones reside +unambiguously inside the object under consideration, whereas semantic properties +depend on its relations with a potentially infinite class of other objects, and therefore are +not completely localizable. There is nothing cryptic or hidden, in principle, in syntactic +properties, whereas hiddenness is of the essence in semantic properties. That is the reason +for my suggested distinction between "syntactic" and "semantic" aspects of visual form. + +Beauty, Truth, and Form + +What about beauty? It is certainly not a syntactic property, according to the ideas above. +Is it even a semantic property? Is beauty a property which, for instance, a particular +painting has? Let us immediately restrict our consideration to a single viewer. Everyone +has had the experience of finding something beautiful at one time, dull another time-and +probably intermediate at other times. So is beauty an attribute which varies in time? One +could turn things around and say that it is the beholder who has varied in time. Given a +particular beholder of a particular painting at a particular time, is it reasonable to assert +that beauty is a quality that is definitely present or absent? Or is there still something ill- +defined and intangible about it? + +Different levels of interpreter probably could be invoked in every +person, depending on the circumstances. These various interpreters pull out different +meanings, establish different connections, and generally evaluate all deep aspects +differently. So it seems that this notion of beauty is extremely hard to pin down. It is for +this reason that I chose to link beauty, in the Magnificrab, with truth, which we have seen +is also one of the most intangible notions in all of metamathematics. + +The Neural Substrate of the Epimenides Paradox + +I would like to conclude this Chapter with some ideas about that central problem of truth, +the Epimenides paradox. I think the Tarski reproduction of the Epimenides paradox +inside TNT points the way to a deeper understanding of the nature of the Epimenides +paradox in English. What Tarski found was that his version of the paradox has two +distinct levels to it. On one level, it is a sentence about itself which would be true if it +were false, and false if it were true. On the other level-which I like to call the arithmetical +substrate-it is a sentence about integers which is true if and only if false. + +Now for some reason this latter bothers people a lot more than the former. Some +people simply shrug off the former as "meaningless", because of its self-referentiality. +But you can't shrug off paradoxical statements about integers. Statements about integers +simply cannot be both true and false. + +Now my feeling is that the Tarski transformation of the Epimenides paradox +teaches us to look for a substrate in the English-language version. In the arithmetical +version, the upper level of meaning is supported by the lower arithmetical level. Perhaps +analogously, the self-referential sentence which we perceive ("This sentence is false") is +only the top level of a dual-level entity. What would be the lower level, then? Well, what +is the mechanism that language rides on? The brain. Therefore one ought to look for a +neural substrate to the Epimenides paradox-a lower level of physical events which clash +with each other. That is, two events which by their nature cannot occur simultaneously. If +this physical substrate exists, then the reason we cannot make heads or tails of the +Epimenides sentence is that our brains are trying to do an impossible task. + +Now what would be the nature of the conflicting physical events? Presumably +when you hear the Epimenides sentence, your brain sets up some "coding" of the +sentence-an internal configuration of interacting symbols. Then it tries to classify the +sentence as "true" or "false". This classifying act must involve an attempt to force several +symbols to interact in a particular way. (Presumably this happens when any sentence is +processed.) Now if it happens that the act of classification would physically disrupt the +coding of the sentence-something which would ordinarily never happen-then one is in +trouble, for it is tantamount to trying to force a record player to play its self-breaking +record. We have described the conflict in physical terms, but not in neural terms. If this +analysis is right so +far, then presumably the rest of the discussion could be carried on when we know • +something about the constitution of the "symbols" in the brain out of neurons and their +firings, as well as about the way that sentences become converted into "codings". + +This sketch of the neural substrate of the Epimenides paradox suggests (to me, at +least) that the resolution of the English version of the Epimenides paradox might be +similar to that for the Tarski version. The resolution involves abandoning the notion that +a brain could ever provide a fully accurate representation for the notion of truth. The +novelty of this resolution lies in its suggestion that a total modeling of truth is impossible +for quite physical reasons: namely, such a modeling would require physically +incompatible events to occur in a brain. + +DIALOGUE XVIII: SHRDLU, Toy of Man’s Designing + +One day, Eta Oin wanders into the MIT Artificial Intelligence Laboratory, +where she runs into the brilliant young computer program, SHRDLU. It +happens that SHRDLU is just dying for someone t* try out the newly +developed human being "Dr. Tony Earrwig”. SHRDLU explains that this +Earrwig is fairly intelligent in the limited domain of analyzing a conversation +about a "toy world" containing blocks of various shapes, sizes, and colors- +blocks which sit on a table, and which can be picked up and moved around. + +Eta Oin, fascinated, begins enthusiastically typing to SHRDLU. Earrwig +dangles over her shoulder and provides a sort of running commentary, as +promised. + +1. Eta Oin: pick up a big red block. [Refer to Fig. 110. + +SHRDLU: OK. + +Dr. Tony Earrwig: SHRDLU answers "OK" when it carries out a command. In order +to pick up the red block, it had to clear it off by finding a space for the green one +and moving the green one away. + +2. Eta Oin: grasp the pyramid. + +SHRDLU: I DON'T UNDERSTAND WHICH PYRAMID YOU MEAN. + +Dr. Tony Earrwig: There are three pyramids in the scene, and SHRDLU knows that +phrases beginning with "the" are intended to refer to a specific object the speaker has in +mind. + +3. Eta Oin: find a block which is taller than the one you are holding and put it into the box. +[Refer to Fig. 111.] + +Dr. Tony Earrwig: SHRDLU has to figure out what is meant by "one" and "it", as well as +using deduction to decide which block it is holding. + +SHRDLU: BY "IT", I ASSUME YOU MEAN THE BLOCK WHICH IS TALLER +THAN THE ONE I AM HOLDING. + +Dr. Tony Earrwig: There were two possible referents for "it": the one selected, and "the +one you are holding". SHRDLU has heuristics for cfwosing between them. + +SHRDLU: OK. + +Dr. Tony Earrwig: SHRDLU’s hand has to set down the red block pick up the taller blue +one. + +Eta Oin: what does the box contain? + +SHRDLU: THE BLUE PYRAMID AND THE BLUE BLOCK. + +Eta Oin: what is the pyramid supported by? + +Dr. Tony Earrwig: Earlier SHRDLU responded to "the pyramid" by saying "I DON'T +UNDERSTAND WHICH PYRAMID YOU MEAN." Now, it assumes that you mean the +one just mentioned. + +SHRDLU: THE BOX. + +Eta Oin: how many blocks are not in the box? + +Dr. Tony Earrwig: Negatives such as "not" and "no" are handled whether they appear in +clauses or noun groups (such as "no boxes"). + +SHRDLU: FOUR OF THEM. + +7. Eta Oin: is at least one of them narrower than the one which i told you to pick up? + +Dr. Tony Earrwig: The phrase "at least one of them" must be analyzed to refer +back to the previous question, and "the one which ..." must also refer to blocks. +Noun groups can have complicated numbers such as "at least one", "more than +three", "exactly seven", etc.. The memory of past events is used to deduce which +block is "the one which / told you to pick up". Notice the complicated syntactic +structure in which "the one" is actually the object of a clause embedded two levels +deeper. SHRDLU's parser incorporates a grammar that handles this kind of +complexity in a general way. + +SHRDLU: YES, THE RED CUBE. + +8. Eta Oin: is it supported? + +SHRDLU: YES, BY THE TABLE. + +Dr. Tony Earrwig: SHRDLU has heuristics about what information is relevant to +a person who asks a question, even if the person does not request that information +specifically. + +9. Eta Oin: can the table pick up blocks? + +SHRDLU: NO, + +Dr. Tony Earrwig: SHRDLU's semantic rules include the knowledge that "picking +up" must be done by an animate object, and that the table is not animate. + +10. Eta Oin: can a pyramid be supported by a block? + +SHRDLU: YES. + +Dr. Tony Earrwig:• SHRDLU's deductive system finds an actual example, so it +knows this is possible. + +11. Eta Oin: can a pyramid support a pyramid? + +SHRDLU: I DON'T KNOW. + +Dr. Tony Earrwig: The question makes sense, but there is no example in the +scene. SHRDLU has no way of looking into the details of its programs, even +though these ultimately define its capabilities. + +12. Eta Oin: stack up two pyramids. + +SHRDLU: I CANT. + +Dr. Tony Earrwig: SHRDLU tries and fails. + +13. Eta Oin: the blue pyramid is mine. + +SHRDLU: I UNDERSTAND. + +Dr. Tony Earrwig: All of the information about colors, shapes, sizes and locations +of the objects is known to SHRDLU initially. Possession is left as an unknown +property of objects about which it can be told. It stores this information in its data +base. + +14. Eta Gin: i own all blocks which are not red, but i don't own anything which supports a + +pyramid. + +SHRDLU: I UNDERSTAND. + +FIGURE 112. "Will you please stack up both of the red blocks and either a green cube or +a pyramid?'’ [Adapted from Terry Winograd, Understanding Natural Language, p. 12. + +Dr. Tony Earrwig: The result of understanding these sentences is the creation of +new procedures within SHRDLUfor deducing whether you own something. + +15. Eta Oin: do i own the box? + +SHRDLU: NO. + +Dr. Tony Earrwig: The box supports whatever it contains, including a pyramid. + +16. Eta Oin: do i own anything in the box? + +SHRDLU: YES, TWO THINGS: THE BLUE BLOCK AND PYRAMID. + +17. Eta Oin: will you please stack up both of the red blocks and either a green cube or a +pyramid? [Refer to Fig. 112. + +SHRDLU: OK. + +Dr. Tony Earrwig: Logical connectives, such as "and", "or", "either”, etc. are +handled in both the grammar and semantics. A command is executed even if it +looks like a question. The. command is carried out by the following series of +steps: SHRDLU puts a green cube on the large red block (it chooses the green +cube with nothing on it), then removes the small pyramid from the little red +cube, so that it can use that cube to complete the stack as specified. + +18. Eta Oin: which cube is sitting on the table? + +SHRDLU: THE LARGE GREEN ONE WHICH SUPPORTS THE RED +PYRAMID. + +Dr. Tony Earrwig: Ordinarily SHRDLU would be satisfied with calling this "A +BIG GREEN CUBE", but since you asked "which cube" it has to be more spec/lc +in naming it. It has procedures for using substitute nouns (such as "one”) and +pronouns in answers to make the discourse more natural. + +19. Eta Oin: is there a large block behind a pyramid? + +SHRDLU: YES, THREE OF THEM: A LARGE RED ONE, A LARGE GREEN +CUBE AND THE BLUE ONE. + +20. Eta Oin: put a small one onto the green cube which supports a pyramid. + +Dr. Tony Earrwig: "A small one" must contrast with your earlier phrase "a large +block", so this means "a small block". SHRDLU: OK, + +21. Eta Oin: put the littlest pyramid on top of it. + +Dr. Tony Earrwig: Words like "littlest" are not in SHRDEU's dictionary but are +interpreted from the root farms like "littleSHRDLU compares the sizes of all +the pyramids to carry out the action. + +SHRDLU* OK. + +22. Eta Oin: how many things are on top of green cubes? + +SHRDLU: I'M NOT SURE WHAT YOU MEAN BY "ON TOP OF" IN THE +PHRASE "ON TOP OF GREEN CUBES" + +DO YOU MEAN + +1- DIRECTLY ON THE SURFACE + +2- ANYWHERE ON TOP OF IT? + +Dr. Tony Earrwig: In the previous sentence, the phrase "on top of " was +interpreted without trouble because the context made it clear what was meant. In +this one, the heuristics for disambiguation do not come up with a clearcut +definition, so SHRDLU had to ask you for more information. The paraphrases +were included with the dictionary definitions of "on". A request like this can +also occur when the meaning of a pronoun such as "it" or "they" is unclear. + +23. Eta Din: had you touched any pyramid before you put the green one on the little +cube? + +SHRDLU: YES, THE GREEN ONE. + +Dr. Tony Earrwig: SHRDLU deduces from its memory what event is being +referred to, and can relate other events to it in time. The analysis includes +complex tenses of verb groups, and there are special facilities for keeping +track of the various forms of irregular verbs like "have”. + +24. Eta Oin: when did you pick it up? + +SHRDLU: WHILE I WAS STACKING UP THE RED CUBE, A LARGE RED +BLOCK AND A LARGE GREEN ONE. + +Dr. Tony Earrwig: A time is described by naming the main goal which was being +worked on. + +25. Eta Oin: why? + +Dr. Tony Earrwig: SHRDLU remembers immediately previous sentences to +understand questions like this and the following ones. + +SHRDLU: TO GET RID OF IT. + +Dr. Tony Earrwig: By keeping track of selected parts of the original subgoal tree, +SHRDLU has some understanding of its own motives. + +26. Eta Oin: why did you do that? + +SHRDLU: TO CLEAN OFF THE RED CUBE. + +Dr. Tony Earrwig: "That" refers to the action mentioned in SHRDLU's last +answer. + +27. Eta Oin: why did you clear off that cube? + +Dr. Tony Earrwig: Here, "that" means the one just referred to. SHRDLU: TO +P UT IT ON A LARGE GREEN CUBE. + +28. Eta Oin: why did you do that? + +SHRDLU: TO STACK UP THE RED CUBE, A LARGE RED BLOCK, AND A +LARGE GREEN CUBE. + +29. Eta Oin: why did you do that? + +SHRDLU.' BECAUSE YOU ASKED ME TO. + +Dr. Tony Earrwig: SHRDLU remembers what it did, not how the request was +worded. + +30. Eta Oin: how did you do it? + +Dr. Tony Earrwig: "It" refers to the action mentioned in the last question, +rather than the answer. + +SHRDLU: BY PUTTING A LARGE RED BLOCK ON THE TABLE; THEN +LETTING GO OF IT; THEN PUTTING A LARGE GREEN CUBE ON IT; +THEN LETTING GO OF THAT CUBE; THEN PUTTING THE RED CUBE +‘ ON THAT CUBE; THEN LETTING GO OF THAT CUBE. + +Dr. Tony Earrwig: This is a description of the top-level sub goals used to +achieve the goal. + +31. Eta Oin: how many objects did you touch while you were doing it? + +Dr. Tony Earrwig: Time references can refer to a time span, using words like +"while ". + +SHRDLU: FOUR OF THEM. + +32. Eta Oin: what did the red cube support before you started to clean it off? + +SHRDLU: THE GREEN PYRAMID. + +Dr. Tony Earrwig: By remembering what has been moved, it is possible to +deduce things about earlier states of the scene. You can use complex nestings +of clauses like "before you started to clean it off ". + +33. Eta Oin: there were five blocks to the left of the box then. + +Dr. Tony Earrwig: "Then" must refer to the time mentioned in the last sentence. +SHRDLU: NO, ONLY FOUR OF THEM: THE RED CUBE, TWO LARGE +GREEN CUBES, AND A LARGE RED BLOCK. + +Dr. Tony Earrwig: Earlier in the dialogue, information about "owning" was +accepted at face value. But SHRDLU knows that it has complete infornia- +tion about the basic properties of objects, including location. It checks any +statements about these to see whether it agrees or disagrees. + +34. Eta Oin: put the blue pyramid on the block in the box. + +Dr. Tony Earrwig: This is syntactically ambiguous, but is understood without +ambiguity since the parsing corresponding to "put the blue pyramid which is +on the block into the box" does not make sense in the current scene, whereas +"put the blue pyramid onto the block which is in the box" does. SHRDLU: OK. + +35. Eta Oin: is there anything which is bigger than every pyramid but is not as wide as +the thing that supports it? + +Dr. Tony Earrwig: SHRDLU understands quantifiers such as "every", "any", +"some", etc., and structures such as "bigger than", "as wide as", etc.. Here "it" +refers to a noun group within the same sentence but two levels up in the parsing +tree. + +SHRDLU: YES, THE BLUE BLOCK. + +36. Eta Oin: does a steeple + +SHRDLU: SORRY, I DON'T KNOW THE WORD "STEEPLE". + +Dr. Tony Earrwig: SHRDLU interrupts immediately when it sees a word it doesn't +know. + +37. Eta Oin: a "steeple" is a stack which contains two green cubes and a pyramid. + +Dr. Tony Earrwig: The quote marks indicate that you are defining a new word. +The definition is added to SHRDLU's dictionary in a form compatible with all the +words it already knows. + +SHRDLU: I UNDERSTAND. + +38. Eta Oin: are there any steeples now? + +SHRDLU: NO. + +Dr. Tony Earrwig: The new definition is used as a description to recognize +steeples. + +39. Eta Oin: build one. + +SHRDLU: OK. + +Dr. Tony Earrwig: The description given in the definition is enough to deduce a +plan for building new objects as well as recognizing them. The word "one" means +"a steeple", and the plan is carried out. First, one of the large green cubes is +cleared off by removing the red cube and two pyramids. Then the two green cubes +and the tall red pyramid are stacked up to fit the description. + +40. Eta Oin: call the biggest block "superblock". + +SHRDLU: OK. + +Dr. Tony Earrwig: You can also give objects names. + +41. Eta Oin: have you picked up superblock since we began? + +SHRDLU: YES. + +42. Eta Oin: why did you drop it? + +SHRDLU: BY "IT", I ASSUME YOU MEAN THE SUPERBLOCK. I CAN'T +EXPLAIN A NON-EXISTENT EVENT. + +Dr. Tony Earrwig: There is no record in SHRDLU's memory of any block being +dropped. The answer routines have special checks for this type of "loaded +question" which presupposes things which aren't true. + +43. Eta Oin: is there anything to the right of the red pyramid? + +SHRDLU: YES, FOUR THINGS: THE BOX, THE RED CUBE, THE BLUE +PYRAMID AND THE BLOCK NAMED SUPERBLOCK. + +Dr. Tony Earrwig: Once an object has a name, the name is used to help identify it +in responses. + +44. Eta Oin: thank you. + +SHRDLU: YOU'RE WELCOME! + +Dr. Tony Earrwig: SHRDLU's grammar is written as a procedure, which gives +SHRDLU the capability to carry out special sorts of parsing for +idioms. + +CHAPTER XVIII: Artificial Intelligence: Retrospects + +Turing + +Artificial Intelligence: Retrospects + +IN 1951, ALAN TURING wrote a most +prophetic and provocative article on +Artificial Intelligence. It was entitled +"Computing Machinery and +Intelligence" and appeared in the journal +Mind! I will say some things about that +article, but I would like to precede them +with some remarks about Turing the +man. + +Alan Mathison Turing was born in +London in 1912. He was a child full of +curiosity and humor. Gifted in +mathematics, he went to Cambridge +where his interests in machinery and +mathematical logic cross-fertilized and +resulted in his famous paper on +"computable numbers", in which he +invented the theory of Turing machines +and demonstrated the unsolvability of +the halting problem; it was published in +1937. In the 194t’s, his interests turned +from the theory of computing machines +to the actual building of real computers. +He was a major figure in the +development of computers in Britain, +and a staunch defender of Artificial In- +telligence when it first came under attack. One of his best friends was David +Champemowne (who later worked on computer composition of music). Champemowne +and Turing were both avid chess players and invented "round-the-house" chess: after +your move, run around the house-if you get back before your opponent has moved, you're +entitled to another move. More seriously, Turing and Champemowne invented the first +chess playing program, called "Turochamp . Turing died young, at 41-apparently of an +accident with chemicals. Or some say suicide. His mother, Sara Turing, wrote his +biography. From the people she quotes, one gets the sense that Turing was highly +unconventional, even gauche in some ways, but so honest and decent that he was +vulnerable to the world. He loved games, chess, children, and bike riding; he was a strong +long-distance runner. As a student at Cambridge, he bought himself a second-hand violin +and taught himself to play. Though not very musical, he derived a great deal of +enjoyment from it. He was somewhat eccentric, given to great bursts of energy in the +oddest directions. One area he explored was the problem of morphogenesis in biology. +According to his mother, Turing "had a particular fondness for the Pickwick Papers ", but +"poetry, with the exception of Shakespeare's, meant nothing to him." Alan Turing was +one of the true pioneers in the field of computer science. + +The Turing Test + +Turing's article begins with the sentence: "I propose to consider the question 'Can +machines think?"' Since, as he points out, these are loaded terms, it is obvious that we +should search for an operational way to approach the question. This, he suggests, is +contained in what he calls the "imitation game"; it is nowadays known as the Turing test. +Turing introduces it as follows: + +It is played with three people: a man (A), a woman (B), and an interrogator (C) +who may be of either sex. The interrogator stays in a room apart from the other +two. The object of the game for the interrogator is to determine which of the other +two is the man and which is the woman. He knows them by labels X and Y, and at +the end of the game he says either "X is A and Y is B" or "X is B and Y is A". The +interrogator is allowed to put questions to A and B thus: + +C: Will X please tell me the length of his or her hair? + +Now suppose X is actually A, then A must answer. It is A's object in the game to +try to cause C to make the wrong identification. His answer might therefore be + +"My hair is shingled, and the longest strands are about nine inches long." + +In order that tones of voice may not help the interrogator the answers should be +written, or better still, typewritten. The ideal arrangement is to have a teleprinter +communicating between the two rooms. Alternatively the questions and answers +can be repeated by an intermediary. The object of the game for the third player (B) +is to help the interrogator. The best strategy for her is probably to give truthful +answers. She can add such things as "I am the woman, don't listen to him!" to her +answers, but it will avail nothing as the man can make similar remarks. + +We now ask the question, "What will happen when a machine takes the part of A +in this game Will the interrogator decide wrongly as often when the game is +played like this as he does when the game is played between a man and a woman? +These questions replace our original, "Can machines think?"' + +After having spelled out the nature of his test, Turing goes on to make some +commentaries on it, which, given the year he was writing in, are quite sophisticated. To +begin with, he gives a short hypothetical dialogue between interrogator and interrogatee: + +Q. Please write me a sonnet on the subject of the Forth Bridge [a bridge over the +Firth of Forth, in Scotland]. + +A. Count me out on this one. I never could write poetry. + +Q. Add 34957 to 70764. + +A. (Pause about 30 seconds and then give as answer) 105621. + +Q. Do you play chess? + +A. Yes. + +Q. I have K at my Kl, and no other pieces. You have only K at K6 and R at Rl. It +is your move. What do you play? + +A. (After a pause of 15 seconds) R-R8 mate. + +Few readers notice that in the arithmetic problem, not only is there an inordinately long +delay, but moreover, the answer given is wrong! This would be easy to account for if the +respondent were a human: a mere calculational error. But if the respondent were a +machine, a variety of explanations are possible. Here are some: + +(1) a run-time error on the hardware level (i.e., an irreproducible fluke); + +(2) an unintentional hardware (or programming) (reproducibly) causes +arithmetical mistakes; + +(3) a ploy deliberately inserted by the machine's programmer (or builder) to +introduce occasional arithmetical mistakes, so as to trick interrogators; + +(4) an unanticipated epiphenomenon: the program has a hard time thinking +abstractly, and simply made "an honest mistake", which it might not make the +next time around; + +(5) a joke on the part of the machine itself, deliberately teasing its interrogator. + +Reflection on what Turing might have meant by this subtle touch opens up just about all +the major philosophical issues connected with Artificial Intelligence. + +Turing goes on to point out that +The new problem has the advantage of drawing a fairly sharp line between the +physical and the intellectual capacities of a man. . . . We do not wish to +penalize the machine for its inability to shine in beauty competitions, nor to +penalize a man for losing in a race against an airplane.' + +One of the pleasures of the article is to see how far Turing traced out each +line of thought, usually turning up a seeming contradiction at some stage and, by refining +his concepts, resolving it at a deeper level of analysis. Because of this depth of +penetration into the issues, the article still shines after nearly thirty years of tremendous +progress in computer development and intensive work in Al. In the following short +excerpt you can see some of this rich back-and-forth working of ideas: + +The game may perhaps be criticized on the ground that the odds are weighted too +heavily against the machine. If the man were to try to pretend to be the machine he +would clearly make a very poor showing. He would be given away at once by +slowness and inaccuracy in arithmetic. May not machines carry out something +which ought to be described as thinking but which is very different from what a +man does: This objection is a very strong one, but at least we can say that if, +nevertheless, a machine can be constructed to play the imitation game satisfactorily, +we need not be troubled by this objection. + +It might be urged that when playing the "imitation game" the best strategy +for the machine may possibly be something other than imitation of the behaviour of +a man. This may be, but I think it is unlikely that there is any greet effect of this +kind. In any case there is ,no intention to investigate here the theory of the game, +and it will be assumed that the best strategy is to try to provide answers that would +naturally be given by a mans + +Once the test has been proposed and discussed, Turing remarks: + +The original question "Can machines think 1 believe to be too meaningless to +deserve discussion. Nevertheless, I believe that at the end of the century the use of +words and general educated opinion will have altered so much that one will be able +to speak of machines thinking without expecting to be contradicted. 6 + +Turing Anticipates Objections + +Aware of the storm of opposition that would undoubtedly greet this opinion, he then +proceeds to pick apart, concisely and with wry humor, a series of objections to the notion +that machines could think. Below I list the nine types of objections he counters, using his +own descriptions of them .7 Unfortunately there is not space to reproduce the humorous +and ingenious responses he formulated. You may enjoy pondering the objections +yourself, and figuring out your own responses. + +(1) The Theological Objection. Thinking is a function of man's immortal soul. God +has given an immortal soul to every man and woman, but not to any other animal +or to machines. Hence no animal or machine can think. + +(2) The "Heads in the Sand" Objection. The consequences of machines thinking +would be too dreadful. Let us hope and believe that they cannot do so. + +(3) The Mathematical Objection. [This is essentially the Lucas argument. + +(4) The Argument from Consciousness. "Not until a machine can write a sonnet or +compose a concerto because of thoughts and emotions felt, and not by the chance +fall of symbols, could we agree that machine equals brainy that is, not only write +it but know that it had written it. No mechanism +could feel (and not merely artificially signal, an easy contrivance) pleasure at its +successes, grief when its valves fuse, be warmed by flattery, be made miserable +by its mistakes, be charmed by sex, be angry or depressed when it cannot get +what it wants." [A quote from a certain Professor Jefferson.] + +Turing is quite concerned that he should answer this serious objection in full detail. +Accordingly, he devotes quite a bit of space to his answer, and in it he offers another +short hypothetical dialogue:' + +Interrogator: In the first line of your sonnet which reads "Shall I compare thee to a +summer's day", would not "a spring day" do as well or better, Witness: It +wouldn't scan. + +Interrogator: How about' a winter's day"? That would scan all right. Witness: Yes, +but nobody wants to be compared to a winter's day. Interrogator: Would you say +Mr. Pickwick reminded you of Christmas? Witness: In a way. + +Interrogator: Yet Christmas is a winter's day, and I do not think Mr. Pickwick +would mind the comparison. + +Witness: I don't think you're serious. By a winter's day one means a typical winter's +day, rather than a special one like Christmas. + +After this dialogue, Turing asks, "What would Professor Jefferson say if the sonnet¬ +writing machine was able to answer like this in the viva voce?" + +Further objections: + +(5) Arguments from various Disabilities. These arguments take the form, "I grant you that +you can make machines do all the things that you have mentioned but you will never be +able to make one to do X." Numerous features X are suggested in this connection. I offer +a selection: + +Be kind, resourceful, beautiful, friendly, have initiative, have a sense of humor, tell right +from wrong, make mistakes, fall in love, enjoy strawberries and cream, make someone +fall in love with it, learn from experience, use words properly, be the subject of its own +thought, have as much diversity of behaviour as a man, do something really new. + +(6) Lady Lovelace's Objection. Our most detailed information of Babbage's Analytical +Engine comes from a memoir by Lady Lovelace. In it she states, "The Analytical Engine +has no pretensions to originate anything. It can do whatever we know how to order it to +perform" (her italics). + +(7) Argument from Continuity in the Nervous System. The nervous system is certainly not +a discrete state machine. A small error in the information about the size of a nervous +impulse impinging on a neuron may make a large difference to the size of the outgoing +impulse. It may be argued that, this being so, one cannot expect to be able to mimic the +behaviour of the nervous system with a discrete state system. + +(8) The Argument from Informality of Behaviour. It seems to run something like this. "If +each man had a definite set of rules of conduct by which he regulated his life he would +be no better than a machine. But there are no such rules, so men cannot be machines." + +(9) The Argument from Extra-Sensory Perception. Let us play the imitation game, using as +witnesses a man who is good as a telepathic receiver, and a digital computer. The +interrogator can ask such questions as "What suit +does the card in my right hand belong to?" The man by telepathy or clairvoyance gives +the right answer 130 times out of 400 cards. The machine can only guess at random, and +perhaps get 104 right, so the interrogator makes the right identification. + +As you can see, many of the objections overlap and are related to each other. I have +attempted in this book to answer most of them in some way or other, usually far less +concisely than Turing did. + +Objection (9) I find remarkable. I have seen the Turing paper reprinted in a book- +but with objection (9) omitted-which I find equally remarkable. My own point of +view-contrary to Turing's-is that ESP does not exist. Turing was reluctant to accept +the idea that ESP is real, but did so nonetheless, being compelled by his outstanding +scientific integrity to accept the consequences of what he viewed as powerful +statistical evidence in favor of ESP. I disagree, though I consider it an exceedingly +complex and fascinating question. + +"Parry Encounters the Doctor" + +In the Dialogue preceding this Chapter, you have seen an authentic exchange between +a computer program and a human. Now there have been many programs with less +ability to "converse" than SHRDLU. Two rather famous ones are "Doctor", created by +Joseph Weizenbaum, and "Parry", created by Kenneth Colby. The former is supposed +to simulate a psychiatrist using "nondirective therapy", the latter to simulate the belief +structure of a paranoid. An amusing head-on collision between the two programs was +arranged over a computer network, and the following is a short excerpt from the full +transcript 9 + +Parry: I don't understand your motives. + +Doctor: Why don't you understand my motives? + +Parry: Shouldn't I be? + +Doctor: Why do you say that just now? + +Parry: That's just the way it is. + +Doctor: Suppose that's just the way it were not. + +Parry: So? + +Doctor: I am not sure I understand you fully. + +Parry: You harp on the same questions too much. + +Doctor: What does that similarity suggest to you? + +Parry: I don't get you. + +Doctor: Do you wish that you did get I? + +Parry: It's about time you showed some interest in my feelings. + +Doctor: Oh? I showed some interest in your feelings? + +These programs, of course, were made to talk to humans, so they are shown up rather +poorly here, pitted against each other. Mostly they rely on shrewd guesses as to the +nature of the input (which they analyze quite shallowly) and spit back canned answers +that have been carefully selected from a large repertoire. The answer may be only +partially canned: for example, a template with blanks that can be filled in. It is +assumed that their +human partners will read much more into what they say than is actually underlying it. +And in fact, according to Weizenbaum, in his book Computer Power and Human +Reason, just that happens. He writes: + +ELIZA [the program from which Doctor was made created the most remarkable +illusion of having understood in the minds of the many people who conversed with +it.... They would often demand to be permitted to converse with the system in +private, and would, after conversing with it for a time, insist, in spite of my +explanations, that the machine really understood them. 10 + +Given the above excerpt, you may find this incredible. Incredible, but true. +Weizenbaum has an explanation: + +Most men don't understand computers to even the slightest degree. So, unless they +are capable of very great skepticism (the kind we bring to bear while +watching a stage magician), they can explain the computer's intellectual feats only +by bringing to hear the single analogy available to them, that is, their +model of their own capacity to think. No wonder, then, that they overshoot the +mark: it is truly impossible to imagine a human who could imitate ELIZA, +for example, but for whom ELIZA's language abilities were his limit." + +Which amounts to an admission that this kind of program is based on a shrewd +mixture of bravado and bluffing, taking advantage of people's gullibility. + +In light of this weird "ELIZA-effect", some people have suggested that the Turing +test needs revision, since people can apparently be fooled by simplistic gimmickry. It +has been suggested that the interrogator should be a Nobel Prize-winning scientist. It +might be more advisable to turn the Turing test on its head, and insist that the +interrogator should be another computer. Or perhaps there should be two +interrogators-a human and a computer-and one witness, and the two interrogators +should try to figure out whether the witness is a human or a computer. + +In a more serious vein, I personally feel that the Turing test, as originally proposed, is +quite reasonable. As for the people who Weizenbaum claims were sucked in by +ELIZA, they were not urged to be skeptical, or to use all their wits in trying to +determine if the "person" typing to them were human or not. I think that Turing's +insight into this issue was sound, and that the Turing test, essentially unmodified, will +survive. + +A Brief History of AI + +I would like in the next few pages to present the story, perhaps from an unorthodox point +of view, of some of the efforts at unraveling the algorithms behind intelligence: there +have been failures and setbacks and there will continue to be. Nonetheless, we are +learning a great deal, and it is an exciting period. + +Ever since Pascal and Leibniz, people have dreamt of machines that could perform +intellectual tasks. In the nineteenth century, Boole and De Morgan devised "laws of +thought"-essentially the Propositional + +Calculus-and thus took the first step towards At software; also Charles Babbage designed +the first "calculating engine"-the precursor to the hardware of computers and hence of AI. +One could define AI as coming into existence at the moment when mechanical devices +took over any tasks previously performable only by human minds. It is hard to look back +and imagine the feelings of those who first saw toothed wheels performing additions and +multiplications of large numbers. Perhaps they experienced a sense of awe at seeing +"thoughts" flow in their very physical hardware. In any case, we do know that nearly a +century later, when the first electronic computers were constructed, their inventors did +experience an awesome and mystical sense of being in the presence of another kind of +"thinking being". To what extent real thought was taking place was a source of much +puzzlement; and even now, several decades later, the question remains a great source of +stimulation and vitriolics. + +It is interesting that nowadays, practically no one feels that sense of awe any longer- +even when computers perform operations that are incredibly more sophisticated than +those which sent thrills down spines in the early days. The once-exciting phrase "Giant +Electronic Brain" remains only as a sort of "camp" cliche, a ridiculous vestige of the era +of Flash Gordon and Buck Rogers. It is a bit sad that we become blase so quickly. + +There is a related "Theorem" about progress in AI: once some mental function is +programmed, people soon cease to consider it as an essential ingredient of "real +thinking". The ineluctable core of intelligence is always in that next thing which hasn't +yet been programmed. This "Theorem" was first proposed to me by Larry Tesler, so I call +it Tesler's Theorem. "AI is whatever hasn't been done vet." + +A selective overview of AI is furnished below. It shows several domains in which +workers have concentrated their efforts, each one seeming in its own way to require the +quintessence of intelligence. With some of the domains I have included a breakdown +according to methods employed, or more specific areas of concentration. + +* mechanical translation + +* direct (dictionary look-up with some word rearrangement) + +* indirect (via some intermediary internal language) + +* game playing + +* chess + +* with brute force look-ahead + +* with heuristically pruned look-ahead + +* with no look-ahead checkers + +* go + +* kalah + +* bridge (bidding; playing) + +* poker + +* variations on tic-tac-toe +etc. + +* proving theorems in various parts, of mathematics + +* symbolic logic + +* "resolution" theorem-proving + +* elementary geometry + +* symbolic manipulation of mathematical expressions + +* symbolic integration + +* algebraic simplification + +* summation of infinite series + +* vision: + +* printed matter: + +* recognition of individual hand-printed characters drawn +from a small class (e.g., numerals) + +* reading text in variable fonts reading passages in handwriting + +* reading Chinese or Japanese printed characters + +* reading Chinese or Japanese handwritten characters + +* pictorial: + +* locating prespecified objects in photographs + +* decomposition of a scene into separate objects + +* identification of separate objects in a scene + +* recognition of objects portrayed in sketches by people + +* recognition of human faces + +* hearing: + +* understanding spoken words drawn from a limited vocabulary (e.g., names of +the ten digits) + +* understanding continuous speech in fixed domains finding boundaries between +phonemes + +* identifying phonemes + +* finding boundaries between morphemes + +* identifying morphemes + +* putting together whole words and sentences + +* understanding natural languages + +* answering questions in specific domains + +* parsing complex sentences + +* making paraphrases of longer pieces of text + +* using knowledge of the real world in order to understand passages + +* resolving ambiguous references + +* producing natural language + +* abstract poetry (e.g., haiku) + +* random sentences, paragraphs, or longer pieces of text producing output from +internal representation of knowledge + +* creating original thoughts or works of art + +* poetry writing (haiku) story writing + +* computer art + +* musical composition + +* atonal + +* tonal + +* analogical thinking + +* geometrical shapes ("intelligence tests") + +* constructing proofs in one domain of mathematics based on +those in a related domain + +* learning + +* adjustment of parameters + +* concept formation + +Mechanical Translation + +Many of the preceding topics will not be touched upon in my selective discussion +below, but the list would not be accurate without them. The first few topics are +listed in historical order. In each of them, early efforts fell short of expectations. +For example, the pitfalls in mechanical translation came as a great surprise to many +who had thought it was a nearly straightforward task, whose perfection, to be sure, +would be arduous, but whose basic implementation should be easy. As it turns out, +translation is far more complex than mere dictionary look-up and word rearranging. +Nor is the difficulty caused by a lack of knowledge of idiomatic phrases. The fact is +that translation involves having a mental model of the world being discussed, and +manipulating symbols in that model. A program which makes no use of a model of +the world as it reads the passage will soon get hopelessly bogged down in +ambiguities and multiple meanings. Even people-who have a huge advantage over +computers, for they come fully equipped with an understanding of the world-when +given a piece of text and a dictionary of a language they do not know, find it next to +impossible to translate the text into their own language. Thus-and it is not +surprising in retrospect-the first problem of AI led immediately to the issues at the +heart of AI. + +Computer Chess + +Computer chess, too, proved to be much more difficult than the early intuitive +estimates had suggested. Here again it turns out that the way humans represent a +chess situation in their minds is far more complex than just knowing which piece is +on which square, coupled with knowledge of the rules of chess. It involves +perceiving configurations of several related pieces, as well as knowledge of +heuristics, or rules of thumb, which pertain to +such higher-level chunks. Even though heuristic rules are not rigorous in the way +that the official rules are, they provide shortcut insights into what is going on on the +board, which knowledge of the official rules does not. This much was recognized +from the start; it was simply underestimated how large a role the intuitive, chunked +understanding of the chess world plays in human chess skill. It was predicted that a +program having some basic heuristics, coupled with the blinding speed and +accuracy of a computer to look ahead in the game and analyze each possible move, +would easily beat top-flight human players-a prediction which, even after twenty- +five years of intense work by various people, still is far from being realized. + +People are nowadays tackling the chess problem from various angles. One of +the most novel involves the hypothesis that looking ahead is a silly thing to do. One +should instead merely look at what is on the board at present, and, using some +heuristics, generate a plan, and then find a move which advances that particular +plan. Of course, rules for the formulation of chess plans will necessarily involve +heuristics which are, in some sense, "flattened" versions of looking ahead. That is, +the equivalent of many games' experience of looking ahead is "squeezed" into +another form which ostensibly doesn't involve looking ahead. In some sense this is +a game of words. But if the "flattened" knowledge gives answers more efficiently +than the actual look-ahead-even if it occasionally misleads- then something has +been gained. Now this kind of distillation of knowledge into more highly usable +forms is just what intelligence excels at-so look-ahead-less chess is probably a +fruitful line of research to push. Particularly intriguing would be to devise a +program which itself could convert knowledge gained from looking ahead into +"flattened" rules-but that is an immense task. + +Samuel's Checker Program + +As a matter of fact, such a method was developed by Arthur Samuel in his +admirable checker-playing program. Samuel's trick was to use both dynamic (look¬ +ahead) and static (no-look-ahead) ways of evaluating any given board position. The +static method involved a simple mathematical function of several quantities +characterizing any board position, and thus could be calculated practically +instantaneously, whereas the dynamic evaluation method involved creating a "tree" +of possible future moves, responses to them, responses to the responses, and so +forth (as was shown in Fig. 38). In the static evaluation function there were some +parameters which could vary; the effect of varying them was to provide a set of +different possible versions of the static evaluation function. Samuel's strategy was +to select, in an evolutionary way, better and better values of those parameters. + +Here's how this was done: each time the program evaluated a board position, it +did so both statically and dynamically. The answer gotten by looking ahead-let us +call it D-was used in determining the move to be made. The purpose of S, the static +evaluation, was trickier: on each move, the variable parameters were readjusted +slightly so that S approximated D +as accurately as possible. The effect was to partially encode in the values of the +static evaluation’s parameters the knowledge gained by dynamically searching the +tree. In short, the idea was to "flatten" the complex dynamic evaluation method into +the much simpler and more efficient static evaluation function. + +There is a rather nice recursive effect here. The point is that the dynamic +evaluation of any single board position involves looking ahead a finite number of +moves-say seven. Now each of the scads of board positions which might turn up +seven turns down the road has to be itself evaluated somehow as well. But when the +program evaluates these positions, it certainly cannot look another seven moves +ahead, lest it have to look fourteen positions ahead, then twenty-one, etc., etc.-an +infinite regress. Instead, it relies on static evaluations of positions seven moves +ahead. Therefore, in Samuel's scheme, an intricate sort of feedback takes place, +wherein the program is constantly trying to "flatten" look-ahead evaluation into a +simpler static recipe; and this recipe in turn plays a key role in the dynamic look¬ +ahead evaluation. Thus the two are intimately linked together, and each benefits +from improvements in the other in a recursive way. + +The level of play of the Samuel checkers program is extremely high: of the +order of the top human players in the world. If this is so, why not apply the same +techniques to chess? An international committee, convened in 1961 to study the +feasibility of computer chess, including the Dutch International Grandmaster and +mathematician Max Euwe, came to the bleak conclusion that the Samuel technique +would be approximately one million times as difficult to implement in chess as in +checkers, and that seems to close the book on that. + +The extraordinarily great skill of the checkers program cannot be taken as +saying "intelligence has been achieved"; yet it should not be minimized, either. It is +a combination of insights into what checkers is, how to think about checkers, and +how to program. Some people might feel that all it shows is Samuel's own checkers +ability. But this is not true, for at least two reasons. One is that skillful game players +choose their moves according to mental processes which they do not fully +understand-they use their intuitions. Now there is no known way that anyone can +bring to light all of his own intuitions; the best one can do via introspection is to +use "feeling" or "meta-intuition"-an intuition about one's intuitions-as a guide, and +try to describe what one thinks one's intuitions are all about. But this will only give +a rough approximation to the true complexity of intuitive methods. Hence it is +virtually certain that Samuel has not mirrored his own personal methods of play in +his program. The other reason that Samuel's program's play should not be confused +with Samuel's own play is that Samuel does not play checkers as well as his +program-it beats him. This is not a paradox at all-no more than is the fact that a +computer which has been programmed to calculate 7T can outrace its programmer +in spewing forth digits of ji. + +When Is a Program Original? + +This issue of a program outdoing its programmer is connected with the question of +"originality" in AI. What if an AI program comes up with an idea, or a line of play in a +game, which its programmer has never entertained-who should get the credit? There are +various interesting instances of this having happened, some on a fairly trivial level, some +on a rather deep level. One of the more famous involved a program to find proofs of +theorems in elementary Euclidean geometry, written by E. Gelemter. One day the +program came up with a sparklingly ingenious proof of one of the basic theorems of +geometry-the so-called "pons asinorum", or "bridge of asses". + +This theorem states that the base angles of an isosceles triangle are equal. Its +standard proof requires constructing an altitude which divides the triangle into +symmetrical halves. The elegant method found by the program (see Fig. 114) used no +construction lines. Instead, it considered +the triangle and its mirror image as two different triangles. Then, having proved +them congruent, it pointed out that the two base angles matched each other in this +congruence-QED. + +This gem of a proof delighted the program's creator and others; some saw evidence +of genius in its performance. Not to take anything away from this feat, it happens that in +A.D. 300 the geometer Pappus had actually found this proof, too. In any case, the +question remains: "Who gets the credit?" Is this intelligent behavior? Or was the proof +lying deeply hidden within the human (Gelemter), and did the computer merely bring it +to the surface? This last question comes close to hitting the mark. We can turn it around: +Was the proof lying deeply hidden in the program? Or was it close to the surface? That is, +how easy is it to see why the program did what it did? Can the discovery be attributed to +some simple mechanism, or simple combination of mechanisms, in the program? Or was +there a complex interaction which, if one heard it explained, would not diminish one’s +awe at its having happened? + +It seems reasonable to say that if one can ascribe the performance to certain +operations which are easily traced in the program, then in some sense the program was +just revealing ideas which were in essence hiddenthough not too deeply-inside the +programmer's own mind. Conversely, if +following the program does not serve to enlighten one as to why this particular discovery +popped out, then perhaps one should begin to separate the program's "mind" from that of +its programmer. The human gets credit for having invented the program, but not for +having had inside his own head the ideas produced by the program. In such cases, the +human can be referred to as the "meta-author"-the author of the author of the result, and +the program as the (just plain) author. + +In the particular case of Gelemter and his geometry machine, while Gelemter +probably would not have rediscovered Pappus', proof, still the mechanisms which +generated that proof were sufficiently close to the surface of the program that one +hesitates to call the program a geometer in its own right. If it had kept on astonishing +people by coming up with ingenious new proofs over and over again, each of which +seemed to be based on a fresh spark of genius rather than on some standard method, then +one would have no qualms about calling the program a geometer-but this did not happen. + +Who Composes Computer Music? + +The distinction between author and meta-author is sharply pointed up in the case of +computer composition of music. There are various levels of autonomy which a program +may seem to have in the act of composition. One level is illustrated by a piece whose +"meta-author" was Max Mathews of Bell Laboratories. He fed in the scores of the two +marches "When Johnny Comes Marching Home" and "The British Grenadiers", and +instructed the computer to make a new score-one which starts out as "Johnny", but slowly +merges into "Grenadiers". Halfway through the piece, "Johnny" is totally gone, and one +hears "Grenadiers" by itself... Then the process is reversed, and the piece finishes with +"Johnny", as it began. In Mathews' own words, this is + +... a nauseating musical experience but one not without interest, particularly in +the rhythmic conversions. "The Grenadiers" is written in 2/4 time in the key of F +major. "Johnny" is written in 6/8 time in the key of E minor. The change from 2/4 +to 6/8 time can be clearly appreciated, yet would be quite difficult for a human +musician to play. The modulation from the key of F major to E minor, which +involves a change of two notes in the scale, is jarring, and a smaller transition +would undoubtedly have been a better choice." + +The resulting piece has a somewhat droll quality to it, though in spots it is turgid and +confused. + +Is the computer composing? The question is best unasked, but it cannot be +completely ignored. An answer is difficult to provide. The algorithms are +deterministic, simple, and understandable. No complicated or hard-to understand +computations are involved; no "learning" programs are used; no random processes +occur; the machine functions in a perfectly mechanical and straightforward manner. +However, the result is sequences of sound that are unplanned in fine detail by the +composer, even though the over-all structure +of the section is completely and precisely specified. Thus the composer is often +surprised, and pleasantly surprised, ar the details of the realization of his ideas. To +this extent only is the computer composing. We call the process algorithmic +composition, but we immediately re-emphasize that the algorithms are +transparently simple." + +This is Mathews' answer to a question which he would rather "unask". Despite his +disclaimer, however, many people find it easier to say simply that the piece was +"composed by a computer". I believe this phrase misrepresents the situation totally. The +program contained no structures analogous to the brain's "symbols", and could not be said +in any sense to be "thinking" about what it was doing. To attribute the composition of +such a piece of music to the computer would be like attributing the authorship of this +book to the computerized automatically (often incorrectly) hyphenating phototypesetting +machine with which it was set. + +This brings up a question which is a slight digression from Al, but actually not a +huge one. It is this: When you see the word "I" or "me" in a text, what do you take it to be +referring to? For instance, think of the phrase "WASH ME" which appears occasionally +on the back of dirty trucks. Who is this "me"? Is this an outcry of some forlorn child who, +in desperation to have a bath, scribbled the words on the nearest surface? Or is the truck +requesting a wash? Or, perhaps, does the sentence itself wish to be given a shower? Or, is +it that the filthy English language is asking to be cleansed? One could go on and on in +this game. In this case, the phrase is a joke, and one is supposed to pretend, on some +level, that the truck itself wrote the phrase and is requesting a wash. On another level, one +clearly recognizes the writing as that of a child, and enjoys the humor of the misdirection. +Here, in fact, is a game based on reading the "me" at the wrong level. + +Precisely this kind of ambiguity has arisen in this book, first in the +Contracrostipunctus, and later in the discussions of Godel’s string G (and its relatives). +The interpretation given for unplayable records was "I Cannot Be Played on Record +Player X", and that for unprovable statements was, "I Cannot Be Proven in Formal +System X". Let us take the latter sentence. On what other occasions, if any, have you +encountered a sentence containing the pronoun "I" where you automatically understood +that the reference was not to the speaker of the sentence, but rather to the sentence itself? +Very few, I would guess. The word "I", when it appears in a Shakespeare sonnet, is +referring not to a fourteen-line form of poetry printed on a page, but to a flesh-and-blood +creature behind the scenes, somewhere off stage. + +How far back do we ordinarily trace the "I" in a sentence? The answer, it seems to +me, is that we look for a sentient being to attach the authorship to. But what is a sentient +being? Something onto which we can map ourselves comfortably. In Weizenbaum's +"Doctor" program, is there a personality? If so, whose is it? A small debate over this very +question recently raged in the pages of Science magazine. + +This brings us back to the issue of the "who" who composes computer music. In +most circumstances, the driving force behind such pieces is a +human intellect, and the computer has been employed, with more or less ingenuity, as a +tool for realizing an idea devised by the human. The program which carries this out is not +anything which we can identify with. It is a simple and single-minded piece of software +with no flexibility, no perspective on what it is doing, and no sense of self. If and when, +however, people develop programs which have those attributes, and pieces of music start +issuing forth from them, then I suggest that will be the appropriate, time to start splitting +up one's admiration: some to the programmer for creating such an amazing program, and +some to the program itself for its sense of music. And it seems to me that that will only +take place when the internal structure of such a program is based on something similar to +the "symbols" in our brains and their triggering patterns, which are responsible for the +complex notion of meaning. The fact of having this kind of internal structure would +endow the program with properties which would make us feel comfortable in identifying +with it, to some extent. But until then, I will not feel comfortable in saying "this piece +was composed by a computer". + +Theorem Proving and Problem Reduction + +Let us now return to the history of AI. One of the early things which people attempted to +program was the intellectual activity of theorem proving. Conceptually, this is no +different from programming a computer to look for a derivation of MU in the MIU- +system, except that the formal systems involved were often more complicated than the +MlU-system. They were versions of the Predicate Calculus, which is an extension of the +Propositional Calculus involving quantifiers. Most of the rules of the Predicate Calculus +are included in TNT, as a matter of fact. The trick in writing such a program is to instill a +sense of direction, so that the program does not wander all over the map, but works only +on "relevant" pathways-those which, by some reasonable criterion, seem to be leading +towards the desired string. + +In this book we have not dealt much with such issues. How indeed can you know +when you are proceeding towards a theorem, and how can you tell if what you are doing +is just empty fiddling? This was one thing which I hoped to illustrate with the MU- +puzzle. Of course, there can be no definitive answer: that is the content of the limitative +Theorems, since if you could always know which way to go, you could construct an +algorithm for proving any desired theorem, and that would violate Church's Theorem. +There is no such algorithm. (I will leave it to the reader to see exactly why this follows +from Church's Theorem.) However, this doesn't mean that it is impossible to develop any +intuition at all concerning what is and what is not a promising route; in fact, the best +programs have very sophisticated heuristics, which enable them to make deductions in +the Predicate Calculus at speeds which are comparable to those of capable humans. + +The trick in theorem proving is to use the fact that you have an overall goal-namely +the string you want to produce-in guiding you locally. One technique which was +developed for converting global goals +into local strategies for derivations is called problem reduction. It is based on the idea that +whenever one has a long-range goal, there are usually subgoals whose attainment will aid +in the attainment of the main goal. Therefore if one breaks up a given problem into a +series of new subproblems, then breaks those in turn into subsubproblems, and so on, in a +recursive fashion, one eventually comes down to very modest goals which can +presumably be attained in a couple of steps. Or at least so it would seem ... + +Problem reduction got Zeno into hot water. Zeno’s method, you recall, for getting +from A to B (think of B as the goal), is to "reduce” the problem into two subproblems: +first go halfway, then go the rest of the way. So now you have "pushed"-in the sense of +Chapter V-two subgoals onto your "goal stack". Each of these, in turn, will be replaced +by two subsubgoals and so on ad infinitum. You wind up with an infinite goal-stack, +instead of a single goal (Fig. 115). Popping an infinite number of goals off your stack will +prove to be tricky-which is just Zeno’s point, of course. + +Another example of an infinite recursion in problem reduction occurred in the +Dialogue Little Harmonic Labyrinth, when Achilles wanted to have a Typeless Wish +granted. Its granting had to be deferred until permission was gotten from the Meta-Genie; +but in order to get permission to give permission, she had to summon the Meta-Meta- +Genie-and so on. Despite +the infmiteness of the goal stack, Achilles got his wish. Problem reduction wins the day! + +Despite my mockery, problem reduction is a powerful technique for converting +global problems into local problems. It shines in certain situations, such as in the +endgame of chess, where the look-ahead technique often performs miserably, even when +it is carried to ridiculous lengths, such as fifteen or more plies. This is because the look¬ +ahead technique is not based on planning; it simply has no goals and explores a huge +number of pointless alternatives. Having a goal enables you to develop a strategy for the +achievement of that goal, and this is a completely different philosophy from looking +ahead mechanically. Of course, in the look-ahead technique, desirability or its absence is +measured by the evaluation function for positions, and that incorporates indirectly a +number of goals, principally that of not getting checkmated. But that is too indirect. Good +chess players who play against look-ahead chess programs usually come away with the +impression that their opponents are very weak in formulating plans or strategies. + +Shandy and the Bone + +There is no guarantee that the method of problem reduction will work. There are +many situations where it flops. Consider this simple problem, for instance. You are a dog, +and a human friend has just thrown your favorite bone over a wire fence into another +yard. You can see your bone through the fence, just lying there in the grass-how luscious! +There is an open gate in the fence about fifty feet away from the bone. What do you do? +Some dogs will just run up to the_ fence, stand next to it, and bark; others will dash up to +the open gate and double back to the lovely bone. Both dogs can be said to be exercising +the problem reduction technique; however, they represent the problem in their minds in +different ways, and this makes all the difference. The barking dog sees the subproblems +as (1) running to the fence, (2) getting through it, and (3) running to the bone-but that +second subproblem is a "toughie", whence the barking. The other dog sees the +subproblems as (1) getting to the gate; (2) going through the gate; (3) running to the +bone. Notice how everything depends on the way you represent the "problem space"-that +is, on what you perceive as reducing the problem (forward motion towards the overall +goal) and what you perceive as magnifying the problem (backward motion away from the +goal). + +Changing the Problem Space + +Some dogs first try running directly towards the bone, and when they encounter the +fence, something clicks inside their brain; soon they change course, and run over to the +gate. These dogs realize that what on first +glance seemed as if it would increase the distance between the initial situation and the +desired situation-namely, running away from the bone but towards the open gate-actually +would decrease it. At first, they confuse physical distance with problem distance. Any +motion away from the bone seems, by definition, a Bad Thing. But then-somehow-they +realize that they can shift their perception of what will bring them "closer" to the bone. In +a properly chosen abstract space, moving towards the gate is a trajectory bringing the dog +closer to the bone! At every moment, the dog is getting "closer"-in the new sense-to the +bone. Thus, the usefulness of problem reduction depends on how you represent your +problem mentally. What in one space looks like a retreat can in another space look like a +revolutionary step forward. + +In ordinary life, we constantly face and solve variations on the dog and-bone +problem. For instance, if one afternoon 1 decide to drive one hundred miles south, but am +at my office and have ridden my bike to work, 1 have to make an extremely large number +of moves in what are ostensibly "wrong" directions before 1 am actually on my way in car +headed south. 1 have to leave my office, which means, say, heading east a few feet; then +follow the hall in the building which heads north, then west. Then 1 ride my bike home, +which involves excursions in all the directions of the compass; and 1 reach my home. A +succession of short moves there eventually gets me into my car, and 1 am off. Not that 1 +immediately drive due south, of course-1 choose a route which may involve some +excursions north, west, or east, with the aim of getting to the freeway as quickly as +possible. + +All of this doesn't feel paradoxical in the slightest; it is done without even any +sense of amusement. The space in which physical backtracking is perceived as direct +motion towards the goal is built so deeply into my mind that 1 don't even see any irony +when 1 head north. The roads and hallways and so forth act as channels which 1 accept +without much fight, so that part of the act of choosing how to perceive the situation +involves just accepting what is imposed. But dogs in front of fences sometimes have a +hard time doing that, especially when that bone is sitting there so close, staring them in +the face, and looking so good. And when the problem space is just a shade more abstract +than physical space, people are often just as lacking in insight about what to do as the +barking dogs. + +In some sense all problems are abstract versions of the dog-and-bone problem. +Many problems are not in physical space but in some sort of conceptual space. When you +realize that direct motion towards the goal in that space runs you into some sort of +abstract "fence", you can do one of two things: (1) try moving away from the goal in +some sort of random way, hoping that you may come upon a hidden "gate" through +which you can pass and then reach your bone; or (2) try to find a new "space" in which +you can represent the problem, and in which there is no abstract fence separating you +from your goal-then you can proceed straight towards the goal in this new space. The first +method may seem like the lazy way to go, and the second method may seem like a +difficult and complicated way to go. And yet, solutions which involve restructuring the +problem space more often +than not come as sudden flashes of insight rather than as products of a series of slow, +deliberate thought processes. Probably these intuitive flashes come from the extreme core +of intelligence-and, needless to say, their source is a closely protected secret of our +jealous brains. + +In any case, the trouble is not that problem reduction per se leads to failures; it is +quite a sound technique. The problem is a deeper one: how do you choose a good internal +representation for a problem? What kind of "space" do you see it in? What kinds of +action reduce the "distance" between you and your goal in the space you have chosen? +This can be expressed in mathematical language as the problem of hunting for an +approprate metric (distance function) between states. You want to find a metric in which +the distance between you and your goal is very small. + +Now since this matter of choosing an internal representation is itself a type of +problem-and a most tricky one, too-you might think of turning the technique of problem +reduction back on it! To do so, you would have to have a way of representing a huge +variety of abstract spaces, which is an exceedingly complex project. I am not aware of +anyone's having tried anything along these lines. It may be just a theoretically appealing, +amusing suggestion which is in fact wholly unrealistic. In any case, what A1 sorely lacks +is programs which can "step back" and take a look at what is going on, and with this +perspective, reorient themselves to the task at hand. It is one thing to write a program +which excels at a single task which, when done by a human being, seems to require +intelligence-and it is another thing altogether to write an intelligent program! It is the +difference between the Sphex wasp (see Chapter XI), whose wired-in routine gives the +deceptive appearance of great intelligence, and a human being observing a Sphex wasp. + +The I-Mode and the M-Mode Again + +An intelligent program would presumably be one which is versatile enough to solve +problems of many different sorts. It would learn to do each different one and would +accumulate experience in doing so. It would be able to work within a set of rules and yet +also, at appropriate moments, to step back and make a judgment about whether working +within that set of rules is likely to be profitable in terms of some overall set of goals +which it has. It would be able to choose to stop working within a given framework, if +need be, and to create a new framework of rules within which to work for a while. + +Much of this discussion may remind you of aspects of the MU-puzzle. For +instance, moving away from the goal of a problem is reminiscent of moving away from +MU by making longer and longer strings which you hope may in some indirect way +enable you to make MU. If you are a naive "dog", you may feel you are moving away +from your "MU-bone" whenever your string increases beyond two characters; if you are a +more sophisticated dog, the use of such lengthening rules has an indirect justification, +something like heading for the gate to get your MU-bone. + +Another connection between the previous discussion and the MU puzzle is the +two modes of operation which led to insight about the nature of the MU-puzzle: the +Mechanical mode, and the Intelligent mode. In the former, you are embedded within +some fixed framework; in the latter, you can always step back and gain an overview of +things. Having an overview is tantamount to choosing a representation within which to +work; and working within the rules of the system is tantamount to trying the technique of +problem reduction within that selected framework. Hardy's comment on Ramanujan's +style-particularly his willingness to modify his own hypotheses-illustrates this interplay +between the M-mode and the I-mode in creative thought. + +The Sphex wasp operates excellently in the M-mode, but it has absolutely no +ability to choose its framework or even to alter its M-mode in the slightest. It has no +ability to notice when the same thing occurs over and over and over again in its system, +for to notice such a thing would be to jump out of the system, even if only ever so +slightly. It simply does not notice the sameness of the repetitions. This idea (of not +noticing the identity of certain repetitive events) is interesting when we apply it to +ourselves. Are there highly repetitious situations which occur in our lives time and time +again, and which we handle in the identical stupid way each time, because we don't have +enough of an overview to perceive their sameness? This leads back to that recurrent +issue, "What is sameness?" It will soon come up as an A1 theme, when we discuss pattern +recognition. + +Applying A1 to Mathematics + +Mathematics is in some ways an extremely interesting domain to study from the A1 point +of view. Every mathematician has the sense that there is a kind of metric between ideas in +mathematics-that all of mathematics is a network of results between which there are +enormously many connections. In that network, some ideas are very closely linked; +others require more elaborate pathways to be joined. Sometimes two theorems in +mathematics are close because one can be proven easily, given the other. Other times two +ideas are close because they are analogous, or even isomorphic. These are two different +senses of the word "close" in the domain of mathematics. There are probably a number of +others. Whether there is an objectivity or a universality to our sense of mathematical +closeness, or whether it is largely an accident of historical development is hard to say. +Some theorems of different branches of mathematics appear to us hard to link, and we +might say that they are unrelated-but something might turn up later which forces us to +change our minds. If we could instill our highly developed sense of mathematical +closeness-a "mathematician's mental metric", so to speak-into a program, we could +perhaps produce a primitive "artificial mathematician". But that depends on being able to +convey a sense of simplicity or "naturalness" as well, which is another major stumbling +block. + +These issues have been confronted in a number of AI projects. There +is a collection of programs developed at MIT which go under the name «MACSYMA", +whose purpose it is to aid mathematicians in symbolic manipulation of complex +mathematical, expressions. This program has in it some sense of "where to go"-a sort of +"complexity gradient" which guides it from what we would generally consider complex +expressions to simpler ones. Part of MACSYMA's repertoire is a program called "SIN", +which does symbolic integration of functions; it is generally acknowledged to be superior +to humans in some categories. It relies upon a number of different skills, as intelligence +in general must: a vast body of knowledge, the technique of problem reduction, a large +number of heuristics, and also some special tricks. + +Another program, written by Douglas Lenat at Stanford, had as its aim to invent +concepts and discover facts in very elementary mathematics. Beginning with the notion +of sets, and a collection of notions of what is "interesting" which had been spoon-fed into +it, it "invented" the idea of counting, then the idea of addition, then multiplication, then- +among other things-the notion of prime numbers, and it went so far as to rediscover +Goldbach's conjecture! Of course these "discoveries" were all hundreds-even thousands- +of years old. Perhaps this may be explained in part by saying that the sense of +"interesting" was conveyed by Lenat in a large number of rules which may have been +influenced by his twentieth century training; nonetheless it is impressive. The program +seemed to run out of steam after this very respectable performance. An interesting thing +about it was that it was unable to develop or improve upon its own sense of what is +interesting. That seemed another level of difficulty up-or perhaps several levels up. + +The Crux of Al: Representation of Knowledge + +Many of the examples above have been cited in order to stress that the way a domain is +represented has a huge bearing on how that domain is "understood". A program which +merely printed out theorems of TNT in a preordained order would have no understanding +of number theory; a program such as Lenat's with its extra layers of knowledge could be +said to have a rudimentary sense of number theory; and one which embeds mathematical +knowledge in a wide context of real-world experience would probably be the most able to +"understand" in the sense that we think we do. It is this' representation of knowledge that +is at the crux of Al. + +In the early days it was assumed that knowledge came in sentence-like packets", +and that the best way to implant knowledge into a program was to develop a simple way +of translating facts into small passive packets of data. Then every fact would simply be a +piece of data, accessible to the programs using it. This is exemplified by chess programs, +where board Positions are coded into matrices or lists of some sort and stored efficiently +in memory where they can be retrieved and acted upon by subroutines. + +The fact that human beings store facts in a more complicated way was +Known to psychologists for quite a while and has only recently been rediscovered by AI +workers, who are now confronting the problems of "chunked" knowledge, and the +difference between procedural and declarative types of knowledge, which is related, as +we saw in Chapter XI, to the difference between knowledge which is accessible to +introspection and knowledge which is inaccessible to introspection. + +The naive assumption that all knowledge should be coded into passive pieces of +data is actually contradicted by the most fundamental fact about computer design: that is, +how to add, subtract, multiply, and so on is not coded into pieces of data and stored in +memory; it is, in fact, represented nowhere in memory, but rather in the wiring patterns of +the hardware. A pocket calculator does not store in its memory knowledge of how to add; +that knowledge is encoded into its "guts". There is no memory location to point to if +somebody demands, "Show me where the knowledge of how to add resides in this +machine!" + +A large amount of work in Al has nevertheless gone into systems in which the +bulk of the knowledge is stored in specific places-that is, declaratively. It goes without +saying that some knowledge has to be embodied in programs; otherwise one would not +have a program at all, but merely an encyclopedia. The question is how to split up +knowledge between program and data. Not that it is always easy to distinguish between +program and data, by any means. I hope that was made clear enough in Chapter XVI. But +in the development of a system, if the programmer intuitively conceives of some +particular item as data (or as program), that may have significant repercussions on the +system's structure, because as one programs one does tend to distinguish between data¬ +like objects and program-like objects. + +It is important to point out that in principle, any manner of coding information +into data structures or procedures is as good as any other, in the sense that if you are not +too concerned about efficiency, what you can do in one scheme, you can do in the other. +However, reasons can be given which seem to indicate that one method is definitely +superior to the other. For instance, consider the following argument in favor of using +procedural representations only: "As soon as you try to encode features of sufficient +complexity into data, you are forced into developing what amounts to a new language, or +formalism. So in effect your data structures become program-like, with some piece of +your program serving as their interpreter; you might as well represent the same +information directly in procedural form to begin with, and obviate the extra level of +interpretation." + +DNA and Proteins Help Give Some Perspective + +This argument sounds quite convincing, and yet, if interpreted a little loosely, it can be +read as an argument for the abolishment of DNA and RNA. Why encode genetic +information in DNA, when by representing it directly in proteins, you could eliminate not +just one, but two levels of interpretation? The answer is: it turns out that it is extremely +useful to have +the same information in several different forms for different purposes. One advantage of +storing genetic information in the modular and data-like form of DNA is that two +individuals' genes can be easily recombined to form a new genotype. This would be very +difficult if the information were only in proteins. A second reason for storing information +in DNA is that it is easy to transcribe and translate it into proteins. When it is not needed, +it does not take up much room; when it is needed, it serves as a template. There is no +mechanism for copying one protein off of another; their folded tertiary structures would +make copying highly unwieldy. Complementarily, it is almost imperative to be able to get +genetic information into three-dimensional structures such as enzymes, because the +recognition and manipulation of molecules is by its nature a three-dimensional operation. +Thus the argument for purely procedural representations is seen to be quite fallacious in +the context of cells. It suggests that there are advantages to being able to switch back and +forth between procedural and declarative representations. This is probably true also in AI. + +This issue was raised by Francis Crick in a conference on communication with +extraterrestrial intelligence: + +We see on Earth that there are two molecules, one of which is good for +replication [DNA] and one of which is good for action [proteins]. Is it possible to +devise a system in which one molecule does both jobs, or are there perhaps strong +arguments, from systems analysis, which might suggest (if they exist) that to divide +the job into two gives a great advantage. This is a question to which I do not know +the answer. 14 + +Modularity of Knowledge + +Another question which comes up in the representation of knowledge is modularity. How +easy is it to insert new knowledge? How easy is it to revise old knowledge? How modular +are books? It all depends. If from a tightly structured book with many cross-references a +single chapter is removed, the rest of the book may become virtually incomprehensible. It +is like trying to pull a single strand out of a spider web-you ruin the whole in doing so. +On the other hand, some books are quite modular, having independent chapters. + +Consider a straightforward theorem-generating program which uses TNT's +axioms and rules of inference. The "knowledge" of such a program has two aspects. It +resides implicitly in the axioms and rules, and explicitly in the body of theorems which +have so far been produced. Depending on which way you look at the knowledge, you will +see it either as modular or as spread all around and completely nonmodular. For instance, +suppose you had written such a program but had forgotten to include TNT's Axiom I in +the list of axioms. After the program had done many thousands of derivations, you +realized your oversight, and inserted the new axiom. The fact that you can do so in a trice +shows that the system's implicit knowledge is modular; but the new axiom's contribution +to the explicit knowledge of the system will only be reflected after a long time-after its +effects have "diffused" outwards, as the odor of perfume slowly diffuses in a room when the bottle is +broken. In that sense the new knowledge takes a long time to be incorporated. +Furthermore, if you wanted to go back and replace Axiom I by its negation, you could not +just do that by itself; you would have to delete all theorems which had involved Axiom 1 +in their derivations. Clearly this system's explicit knowledge is not nearly so modular as +its implicit knowledge. + +It would be useful if we learned how to transplant knowledge modularly. Then to +teach everyone French, we would just open up their heads and operate in a fixed way on +their neural structures-then they would know how to speak French. Of course, this is only +a hilarious pipe dream. + +Another aspect of knowledge representation has to do with the way in which one +wishes to use the knowledge. Are inferences supposed to be drawn as pieces of +information arrive? Should analogies and comparisons constantly be being made between +new information and old information? In a chess program, for instance, if you want to +generate look-ahead trees, then a representation which encodes board positions with a +minimum of redundancy will be preferable to one which repeats the information in +several different ways. But if you want your program to "understand" a board position by +looking for patterns and comparing them to known patterns, then representing the same +information several times over in different forms will be more useful. + +Representing Knowledge in a Logical Formalism + +There are various schools of thought concerning the best way to represent and manipulate +knowledge. One which has had great influence advocates representations using formal +notations similar to those for TNT-using propositional connectives and quantifiers. The +basic operations in such representations are, not surprisingly, formalizations of deductive +reasoning. Logical deductions can be made using rules of inference analogous to some of +those in TNT. Querying the system about some particular idea sets up a goal in the form +of a string to be derived. For example: "Is MUMON a theorem?" Then the automatic +reasoning mechanisms take over in a goal oriented way, using various methods of +problem reduction. + +For example, suppose that the proposition "All formal arithmetics are incomplete" +were known, and the program were queried, "Is Principia Mathematica incomplete?" In +scanning the list of known facts-often called the data base-the system might notice that if +it could establish that Principia Mathematica is a formal arithmetic, then it could answer +the question. Therefore the proposition " Principia Mathematica is a formal arithmetic" +would be set up as a subgoal, and then problem reduction would take over. If it could find +further things which would help in establishing (or refuting) the goal or the subgoal, it +would work on them-and so on, recursively. This process is given the name of backwards +chaining, since it begins with the goal and works its way backwards, presumably towards +things which may already be known. If one makes a graphic representation of the main +goal, +subsidiary goals, subsubgoals, etc., a tree-like structure will arise, since the main goal +may involve several different subgoals, each of which in turn involves several +subsubgoals, etc. + +Notice that this method is not guaranteed to resolve the question, for there may be +no way of establishing within the system that Principia Mathematica is a formal +arithmetic. This does not imply, however, that either the goal or the subgoal is a false +statement-merely that they cannot be derived with the knowledge currently available to +the system. The system may print out, in such a circumstance, "I do not know" or words +to that effect. The fact that some questions are left open is of course similar to the +incompleteness from which certain well-known formal systems suffer. + +Deductive vs. Analogical Awareness + +This method affords a deductive awareness of the domain that is represented, in that +correct logical conclusions can be drawn from known facts. However, it misses +something of the human ability to spot similarities and to compare situations-it misses +what might be called analogical awareness-a crucial side of human intelligence. This is +not to say that analogical thought processes cannot be forced into such a mold, but they +do not lend themselves naturally to being captured in that kind of formalism. These days, +logic-oriented systems are not so much in vogue as other kinds, which allow complex +forms of comparisons to be carried out rather naturally. + +When you realize that knowledge representation is an altogether different ball +game than mere storage of numbers, then the idea that "a computer has the memory of an +elephant" is an easy myth to explode. What is stored in memory is not necessarily +synonymous with what a program knows; for even if a given piece of knowledge is +encoded somewhere inside a complex system, there may be no procedure, or rule, or +other type of handler of data, which can get at it-it may be inaccessible. In such a case, +you can say that the piece of knowledge has been "forgotten" because access to it has +been temporarily or permanently lost. Thus a computer program may "forget" something +on a high level which it "remembers" on a low level. This is another one of those ever- +recurring level distinctions, from which we can probably learn much about our own +selves. When a human forgets, it most likely means that a high-level pointer has been +lost-not that any information has been deleted or destroyed. This highlights the extreme +importance of keeping track of the ways in which you store incoming experiences, for +you never know in advance under what circumstances, or from what angle, you will want +to pull something out of storage. + +From Computer Haiku to an RTN-Grammar + +The complexity of the knowledge representation in human heads first hit home with me +when I was working on a program to generate English sentences "out of the blue". I had +come to this project in a rather interest- +ing way. I had heard on the radio a few examples of so-called "Computer Haiku". +Something about them struck me deeply. There was a large element of humor and +simultaneously mystery to making a computer generate something which ordinarily +would be considered an artistic creation. I was highly amused by the humorous aspect, +and I was very motivated by the mystery-even contradiction-of programming creative +acts. So I set out to write a program even more mysteriously contradictory and humorous +than the haiku program. + +At first I was concerned with making the grammar flexible and recursive, so that +one would not have the sense that the program was merely filling in the blanks in some +template. At about that time 1 ran across a Scientific American article by Victor Yngve in +which he described a simple but flexible grammar which could produce a wide variety of +sentences of the type found in some children's books. 1 modified some of the ideas I'd +gleaned from that article and came up with a set of procedures which formed a Recursive +Transition Network grammar, as described in Chapter V. In this grammar, the selection +of words in a sentence was determined by a process which began by selecting-at random- +the overall structure of the sentence; gradually the decision-making process trickled down +through lower levels of structure until the word level and the letter level were reached. A +lot had to be done below the word level, such as inflecting verbs and making plurals of +nouns; also irregular verb and noun forms were first formed regularly, and then if they +matched entries in a table, substitutions of the proper (irregular) forms were made. As +each word reached its final form, it was printed out. The program was like the proverbial +monkey at a typewriter, but operating on several levels of linguistic structure +simultaneously-not just the letter level. + +In the early stages of developing the program, I used a totally silly vocabulary- +deliberately, since I was aiming at humor. It produced a lot of nonsense sentences, some +of which had very complicated structures, others of which were rather short. Some +excerpts are shown below: + +A male pencil who must laugh clumsily would quack. Must program not +always crunch girl at memory? The decimal bug which spits clumsily might +tumble. Cake who does sure take an unexpected man within relationship might +always dump card. + +Program ought run cheerfully. + +The worthy machine ought not always paste the astronomer. + +Oh, program who ought really run off of the girl writes musician for theater. +The businesslike relationship quacks. + +The lucky girl which can always quack will never sure quack. + +The game quacks. Professor will write pickle. A bug tumbles. Man takes the box +who slips. + +The effect is strongly surrealistic and at times a little reminiscent of +haiku-for example, the final sample of four consecutive short sentences. At first it seemed +very funny and had a certain charm, but soon it became rather stale. After reading a few +pages of output one could sense the limits of the space in which the program was +operating; and after that, seeing random points inside that space-even though each one +was "new"-was nothing new. This is, it seems to me, a general principle: you get bored +with something not when you have exhausted its repertoire of behavior, but when you +have mapped out the limits of the space that contains its behavior. The behavior space of +a person is just about complex enough that it can continually surprise other people; but +that wasn't true of my program. I realized that my goal of producing truly humorous +output would require that far more subtlety be programmed in. But what, in this case, was +meant by "subtlety It was clear that absurd juxtapositions of words were just too +unsubtle; I needed a way to ensure that words would be used in accordance with the +realities of the world. This was where thoughts about representation of knowledge began +to enter the picture. + +From RTN's to ATN's + +The idea I adopted was to classify each word-noun, verb, preposition, etc.-in several +different "semantic dimensions". Thus, each word was a member of classes of various +sorts; then there were also superclasses-classes of classes (reminiscent of the remark by +Ulam). In principle, such aggregation could continue to any number of levels, but I +stopped at two. At any given moment, the choice of words was now semantically +restricted, because it was required that there should be agreement between the various +parts of the phrase being constructed. The idea was, for instance, that certain kinds of acts +could be performed only by animate objects; that only certain kinds of abstractions could +influence events, and so on. The decisions about what categories were reasonable, and +whether each category was better thought of as a class or a superclass, were quite +complicated. All words were branded in several different dimensions. Common +prepositions-"of', "in", etc.-had several distinct entries, corresponding to their distinct +usages. Now, the output began to be much more comprehensible-and for that reason it +was funny in a new way. + +A Little Turing Test + +Below, I have reproduced nine selections, carefully culled from many pages of output +from later versions of my program. Along with them are three (seriously intended) +human-written sentences. Which? + +(1) Blurting may be considered as the reciprocal substitution of semiotic material +(dubbing) for a semiotic dialogical product in a dynamic reflexion. + +(2) Rather think of a pathway of a 'sequence' of gedankenexperiment simpletons +where heir-lines are a prima facie case of a paradiachronic transitivity. + +(3) Think of that as a chain strength possibility of what, eventually, comes out as a +product (epistemic conditions:,) and the product is not a Frankfurt-ish packing- +it-all-in. + +(4) Despite the efforts, the reply, if you will, had been supported by the Orient; +hence a fallacy will thereafter be suspended by the attitude which will be being +held by the ambassador. + +(5) Of course, until the upheavals, the ambassador was slightly gradually +mollycoddling the rabble. + +(6) Supposedly, refined liberty caused the attitudes insofar as peace is distilled by +the consequences which will not eventually be caused by the command +irrevocably insofar as peace of it is sometimes causing the intransigency +infinitesimally surprisingly. + +(7) According to the sophists, the campaigns in the city-states, in other words, have +been accepted by the Orient cunningly. Of course, the Orient has been separated +by the states particularly violently. + +The Orient supports the efforts which had been supported by mankind. + +(8) Admittedly, the hierarchical origin of the fallacy, nevertheless, will be +prophesied by the enemies of it. By the same token, the individualists will have +testified that intransigency will not have suspended the campaigns. + +(9) Needless to say, during the upheaval which will have warranted the secrecy, the +replies do not separate the Orient. Of course, the countries, ipso facto, are +always probing liberty. + +(10) Although a Nobel Prize was being achieved by the humanists, yet in addition, +it was being achieved by the serf. + +(11) An attitude will often be held by the serfs of a strife-tom nation. + +(12) Moreover, the Nobel Prizes will be achieved. By the same token, despite the +consequence, the Nobel Prizes which will be achieved will sometimes be +achieved by a woman. + +The human-written sentences are numbers 1 to 3; they were drawn from the +contemporary journal Art-Language 15 and are-as far as I can tellcompletely serious +efforts among literate and sane people to communicate something to each other. That +they appear here out of context is not too misleading, since their proper context sounds +just the same as they do. + +My program produced the rest. Numbers 10 to 12 were chosen to show that there +were occasional bursts of total lucidity; numbers 7 to 9 are more typical of the output, +floating, in that curious and provocative netherworld between meaning and no-meaning; +and then numbers 4 to 6 pretty much transcend meaning. In a generous mood, one could +say that they stand on their own as pure "language objects", something like pieces of +abstract sculpture carved out of words instead of stone; alternatively, one could say that +they are pure pseudointellectual drivel. + +My choice of vocabulary was still aimed at producing humorous effects. The +flavor of the output is hard to characterize. Although much of it "makes sense", at least +on a single-sentence level, one definitely gets the feeling that the output is coming from a +source with no understanding of what it is saying and no reason to say it. In particular, +one senses an utter lack of visual imagery behind the words. When I saw such sentences +come pouring out of the line printer, I experienced complex emotions. I was very amused +by the silliness of the output. I was also very proud of my achievement and tried to +describe it to friends as similar to giving rules for building up meaningful stories in +Arabic out of single strokes of the pen-an exaggeration, but it pleased me to think of it +that way. And lastly I was deeply thrilled by the knowledge that this enormously +complicated machine was shunting around long trains of symbols inside it according to +rules, and that these long trains of symbols were something like thoughts in my own head +... something like them. + +Images of What Thought Is + +Of course I didn't fool myself into thinking that there was a conscious being behind those +sentences-far from it. Of all people, I was the most aware of the reasons that this program +was terribly remote from real thought. Tester's Theorem is quite apt here: as soon as this +level of language handling ability had been mechanized, it was clear that it did not +constitute intelligence. But this strong experience left me with an image: a glimmering +sense that real thought was composed of much longer, much more complicated trains of +symbols in the brain-many trains moving simultaneously down many parallel and +crisscrossing tracks, their cars being pushed and pulled, attached and detached, switched +from track to track by a myriad neural shunting-engines ... + +It was an intangible image which I cannot convey in words, and it was only an +image. But images and intuitions and motivations lie mingled close in the mind, and my +utter fascination with this image was a constant spur to think more deeply about what +thought really could be. I have tried in other parts of this book to communicate some of +the daughter images of this original image-particularly in the Prelude, Ant Fugue. + +What stands out in my mind now, as I look back at this program from the +perspective of a dozen years, is how there is no sense of imagery behind what is being +said. The program had no idea what a serf is, what a person is, or what anything at all is. +The words were empty formal symbols, as empty +as-perhaps emptier than-the p and q of the pq-system. My program took advantage of the +fact that when people read text, they quite naturally tend to imbue each word with its full +flavor-as if that were necessarily attached to the group of letters which form the word. + +My program could be looked at as a formal system, whose "theorems"-the output +sentences-had ready-made interpretations (at least to speakers of English). But unlike the +pq-system, these "theorems" were not all true statements when interpreted that way. + +Many were false, many were nonsense. + +In its humble way, the pq-system mirrored a tiny corner of the world. But when +my program ran, there was no mirror inside it of how the world works, except for the +small semantic constraints which it had to follow. To create such a mirror of +understanding, I would have had to wrap each concept in layers and layers of knowledge +about the world. To do this would have been another kind of effort from what I had +intended to do. Not that I didn't often think of trying to do it-but I never got around to +trying it out. + +Higher-Level Grammars ... + +In fact, I often pondered whether I could write an ATN-grammar (or some other kind of +sentence-producing program) which would only produce true sentences about the world. +Such a grammar would imbue the words with genuine meanings, in the way it happened +in the pq-system and in TNT. This idea of a language in which false statements are +ungrammatical is an old one, going back to Johann Amos Comenius, in 1633. It is very +appealing because you have a crystal ball embodied in your grammar: just write down the +statement you want to know about, and check to see if it is grammatical... . Actually, +Comenius went even further, for in his language, false statements were not only +ungrammatical-they were inexpressible! + +Carrying this thought in another direction, you might imagine a highlevel +grammar which would produce random koans. Why not? Such a grammar would be +equivalent to a formal system whose theorems are koans. And if you had such a program, +could you not arrange it to produce only genuine koans? My friend Marsha Meredith was +enthusastic about this idea of "Artificial Ism", so she tackled the project of writing a +koan-writing program. One of her early efforts produced this curious quasi-koan: + +A SMALL YOUNG MASTER WANTED A SMALL WHITE GNARLED +BOWL. "HOW CAN WE LEARN AND UNDERSTAND WITHOUT STUDY" +THE YOUNG MASTER ASKED A LARGE CONFUSED MASTER. THE +CONFUSED MASTER WALKED FROM A BROWN HARD MOUNTAIN TO A +WHITE SOFT MOUNTAIN WITH A SMALL RED STONY BOWL. THE +CONFUSED MASTER SAW A RED SOFT HUT.THE CONFUSED MASTER +WANTED THE HUT. "WHY DID BODHIDHARMA COME INTO CHINA?" +THE CONFUSED MASTER +ASKED A LARGE ENLIGHTENED STUDENT. "THE PEACHES ARE +LARGE", THE STUDENT ANSWERED THE CONFUSED MASTER.w "HOW +CAN WE LEARN AND UNDERSTAND WITHOUT STUDY?" THE +CONFUSED MASTER ASKED A LARGE OLD MASTER. THE OLD MASTER +WALKED FROM A WHITE STONY G0025. THE OLD MASTER GOT LOST. + +Your personal decision procedure for koan genuineness probably reached a +verdict without need of the Geometric Code or the Art of Zen Strings. If the lack of +pronouns or the unsophisticated syntax didn't arouse your suspicions, that strange +"00025" towards the end must have. What is it? It is a strange fluke-a manifestation of a +bug which caused the program to print out, in place of the English word for an object, the +program's internal name for the "node" (a LISP atom, in fact) where all information +concerning that particular object was stored. So here we have a "window" onto a lower +level of the underlying Zen mind-a level that should have remained invisible. +Unfortunately, we don't have such clear windows onto the lower levels of human Zen +minds. + +The sequence of actions, though a little arbitrary, comes from a recursive LISP +procedure called "CASCADE", which creates chains of actions linked in a vaguely +causal way to each other. Although the degree of comprehension of the world possessed +by this koan generator is clearly not stupendous, work is in progress to make its output a +little more genuine seeming. + +Grammars for Music? + +Then there is music. This is a domain which you might suppose, on first thought, would +lend itself admirably to being codified in an ATN grammar, or some such program. +Whereas (to continue this naive line of thought) language relies on connections with the +outside world for meaning, music is purely formal. There is no reference to things "out +there" in the sounds of music; there is just pure syntax-note following note, chord +following chord, measure following measure, phrase following phrase... + +But wait. Something is wrong in this analysis. Why is some music so much +deeper and more beautiful than other music? It is because form, in music, is expressive- +expressive to some strange subconscious regions of our minds. The sounds of music do +not refer to serfs or city-states, but they do trigger clouds of emotion in our innermost +selves; in that sense musical meaning is dependent on intangible links from the symbols +to things in the world-those "things", in this case, being secret software structures in our +minds. No, great music will not come out of such an easy formalism as an ATN- +grammar. Pseudomusic, like pseudo-fairy tales, may well come out-and that will be a +valuable exploration for people to make-but the secrets of meaning in music lie far, far +deeper than pure syntax. + +I should clarify one point here: in principle, ATN-grammars have all the power of +any programming formalism, so if musical meaning is captur- +able in any way at all (which I believe it is), it is capturable in an A I N - grammar. True. +But in that case, I maintain, the grammar will be defining not just musical structures, but +the entire structures of the mind of a beholder. The "grammar" will be a full grammar of +thought-not just a grammar of music. + +Winograd's Program SHRDLU + +What kind of program would it take to make human beings admit that it had some +"understanding”, even if begrudgingly? What would it take before you wouldn't feel +intuitively that there is "nothing there"? + +In the years 1968-70, Terry Winograd (alias Dr. Tony Earrwig) was a doctoral +student at MIT, working on the joint problems of language and understanding. At that +time at MIT, much AI research involved the so-called blocks world-a. relatively simple +domain in which problems concerning both vision and language-handling by computer +could fit easily. The blocks world consists of a table with various kinds of toy-like blocks +on it-square ones, oblong ones, triangular ones, etc., in various colors. (For a "blocks +world" of another kind, see Figure 117: the painting Mental Arithmetic by Magritte I find +its title singularly appropriate in this context.) The vision problems in the MIT blocks +world are very tricky: how can a computer figure out, from a TV-scan of a scene with +many blocks in it, just what kinds of blocks are present, and what their relationships are? +Some blocks may be perched on top of others, some may be in front of others, there may +be shadows, and so on. + +Winograd s work was separate from the issues of vision, however. Beginning with +the assumption that the blocks world was well represented h inside the computer's +memory, he confronted the many-faceted problem of how to get the computer to: + +(1) understand questions in English about the situation; + +(2) give answers in English to questions about the situation; + +(3) understand requests in English to manipulate the blocks; + +(4) break down each request into a sequence of operations it could do; + +(5) understand what it had done, and for what reasons; + +(6) describe its actions and their reasons, in English. + +It might seem reasonable to break up the overall program into modular +subprograms, with one module for each different part of the problem; then, after the +modules have been developed separately, to integrate them smoothly. Winograd found +that this strategy of developing independent modules posed fundamental difficulties. He +developed a radical approach, which challenged the theory that intelligence can be +compartmentalized into independent or semi-independent pieces. His program SHRDLU +named after the old code "ETAOIN SHRDLU", used by linotype operators to mark +typos in a newspaper column-did not separate the problem into clean conceptual parts. +The operations of parsing sentences, producing internal representations, reasoning about +the world represented inside itself, answering questions, and so on, were all deeply and +intricately meshed together in a procedural representation of knowledge. Some critics +have charged that his program is so tangled that it does not represent any "theory" at all +about language, nor does it contribute in any way to our insights about thought processes. +Nothing could be more wrong than such claims, in my opinion. A tour de force such as +SHRDLU may not be isomorphic to what we do-in fact, in no way should you think that +in SHRDLU, the "symbol level" has been attained-but the act of creating it and thinking +about it offers tremendous insight into the way intelligence works. + +The Structure of SHRDLU + +In fact, SHRDLU does consist of separate procedures, each of which contains some +knowledge about the world; but the procedures have such a strong interdependency that +they cannot be cleanly teased apart. The program is like a very tangled knot which resists +untangling; but the fact that you cannot untangle it does not mean that you cannot +understand it. There may be an elegant geometrical description of the entire knot even if +it is physically messy. We could go back to a metaphor from the Mu Offering, and +compare it to looking at an orchard from a "natural" angle. + +Winograd has written lucidly about SHRDLU. I quote here from his article in +Schank and Colby's book: + +One of the basic viewpoints underlying the model is that all language use can be +thought of as a way of activating procedures within the hearer. We can think of +any utterance as a program-one that indirectly causes a set of operations to he +carried out within the hearer's cognitive system. This "program writing" is indirect +in the sense that we are dealing with an intelligent interpreter, who may take a set +of actions which are quite different from those the speaker intended. The exact +form is determined by his knowledge of the world, his expectations about the +person talking to him, etc. in this program we have a simple version of this +process of interpretation as it takes place in the robot. Each sentence interpreted by +the robot is converted to a set of instructions in PLANNER. The program that is +created is then executed to achieve the desired effect." + +PLANNER Facilitates Problem Reduction + +The language PLANNER, referred to here, is an At language whose principal feature is +that some of the operations necessary for problem reduction are built in-namely, the +recursive process of creating a tree of jsubgoals, subsubgoals, etc. What this means is that +such processes, instead of having to be spelled out time and time again by the +programmer, are automatically implied by so-called GOAL-statements. Someone who +reads a PLANNER program will see no explicit reference to such operations; in argon, +they are user-transparent. If one path-in the tree fails to achieve the desired goal, then the +PLANNER program will "backtrack" and try another route. "Backtracking" is the magic +word as far as PLANNER is concerned. + +Winograd's program made excellent use of these features of PLANNER-more +exactly, of MICROPLANNER, a partial implementation of the plans for PLANNER. In +the past few years, however, people with the goal of developing At have concluded that +automatic backtrack ing, as in PLANNER, has definite disadvantages, and that it will +probably not lead to their goal; therefore they have backed off from it, preferring to try +other routes to AI. + +Let us listen to further comments from Winograd on SHRDLU: + +The definition of every word is a program which is called at an appropriate point in +the analysis, and which can do arbitrary computations involving the sentence and +the present physical situation." + +Among the examples which Winograd cites is the following: + +The different possibilities for the meaning of "the" are procedures which check +various facts about the context, then prescribe actions such as "Look for a unique +object in the data base which fits this description", or "Assert that the object being +described is unique as far as the speaker is concerned." The program incorporates a +variety of heuristics for deciding what part of the context is relevant. 18 + +It is amazing how deep this problem with the word "the" is. It is probably safe to say that +writing a program which can fully handle the top five words +of English-"the", "of 1 , "and", "a", and "to"-would be equivalent to solving the entire +problem of AI, and hence tantamount to knowing what intelligence and consciousness +are. A small digression: the five most common nouns in English are-according to the +Word Frequency Book compiled by John B. Carroll et al-"time", "people", "way", +"water", and "words" (in that order). The amazing thing about this is that most people +have no idea that we think in such abstract terms. Ask your friends, and 10 to 1 they'll +guess such words as "man", "house", "car", "dog", and "money". And while we're on the +subject of frequencies-the top twelve letters in English, in order, according to +Mergenthaler, are: "ETAOIN SHRDLU". + +One amusing feature of SHRDLU which runs totally against the stereotype of +computers as "number crunchers" is this fact, pointed out by Winograd: "Our system does +not accept numbers in numeric form, and has only been taught to count to ten." 19 With +all its mathematical underpinning, SHRDLU is a mathematical ignoramus! Just like Aunt +Hillary, SHRDLU doesn't know anything about the lower levels which make it up. Its +knowledge is largely procedural (see particularly the remark by "Dr, Tony Earrwig" in +section 11 of the previous Dialogue). + +It is interesting to contrast the procedural embedding of knowledge in SHRDLU +with the knowledge in my sentence-generation program. All of the syntactical knowledge +in my program was procedurally embedded in Augmented Transition Networks, written +in the language Algol; but the semantic knowledge-the information about semantic class +membership-was static: it was contained in a short list of numbers after each word. There +were a few words, such as the auxiliary verbs "to be", "to have", and others, which were +represented totally in procedures in Algol, but they were the exceptions. By contrast, in +SHRDLU, all words were represented as programs. Here is a case which demonstrates +that, despite the theoretical equivalence of data and programs, in practice the choice of +one over the other has major consequences. + +Syntax and Semantics + +And now, a few more words from Winograd: + +Our program does not operate by first parsing a sentence, then doing semantic +analysis, and finally by using deduction to produce a response. These three +activities go on concurrently throughout the understanding of a sentence. As soon +as a piece of syntactic structure begins to take shape, a semantic program +is called to see whether it might make sense, and the resultant answer can direct the +parsing. In deciding whether it makes sense, the semantic routine may call +deductive processes and ask questions about the real world. As an +example, in sentence 34 of the Dialogue ("Put the blue pyramid on the block in the +box"), the parser first comes up with "the blue pyramid on the block" as a candidate +for a noun group. At this point, semantic analysis is done, and since "the" is +definite, a check is made in the data base for the object being referred to. When no +such object is found, the parsing is redirected to find the noun group "the blue +pyramid". It will then go on to find "on the block +in the box" as a single phrase indicating a location Thus there is a continuing +interplay between the different sorts of analysis, with the results of one affecting +the others r % + +It is extremely interesting that in natural language, syntax and semantics are so +deeply intertwined. Last Chapter, in discussing the elusive concept of "form", we had +broken the notion into two categories: syntactic form, which is detectable by a +predictably terminating decision procedure, and semantic form, which is not. But here, +Winograd is telling us that-at least when the usual senses of "syntax" and "semantics" are +taken-they merge right into each other, in natural language. The external form of a +sentence-that is, its composition in terms of elementary signs-does not divide up so neatly +into syntactic and semantic aspects. This significant point for linguistics. + +Here are some final comments on SHRDLU by Winograd. + +Let us look at what the system would do with a simple description like "a red cube which +supports a pyramid". The description will use concepts like BLOCK, RED, PYRAMID, +and EQUIDIMENSIONAL-all parts of the systern's underlying categorization of the world. The result can be represented in a +flow chart like that in Figure 118. Note that this is a program for finding an object +fitting the description. It would_ then be incorporated into a command for doing +something with the object, a question asking something about it, or, if it appeared in +a statement, it would become part of the program which was generated to represent +the meaning for later use. Note that this bit of program could also be used as a test +to see whether an object fit the description, if the first FIND instruction were told +in advance to look only at that particular object. + +At first glance, it seems that there is too much structure in this program, as +we don't like to think of the meaning of a simple phrase as explicitly containing +loops, conditional tests, and other programming details. The solution is to provide +an internal language that contains the appropriate looping and checking as its +primitives, and in which the representation of the process is as simple as the +description. The program described in Figure 11S would be written in PLANNER +looking something like what is below: + +(GOAL (IS ?X 1 BLOCK)) + +(GOAL (COLOR-OF ?X1 RED)) + +(GOAL (EQUIDIMENSIONAL ?X1)) + +(GOAL (IS ?X2 PYRAMID)) + +(GOAL (SUPPORT ?X1 ?X2)) + +The loops of the flowchart are implicit in PLANNER'S backtrack control structure. +The description is evaluated by proceeding down the list until some goal fails, at +which time the system backs up automatically to the last point where a decision +was made, trying a different possibility. A decision can be made whenever a new +object name or VARIABLE (indicated by the prefix + +") such as "?X 1" or "?X2" appears. The variables are used by the pattern matcher. + +If they have already been assigned to a particular item, it checks to see whether the +GOAL is true for that item. If not, it checks for all possible items which satisfy the +GOAL, by choosing one, and then taking successive ones whenever backtracking +occurs to that point. Thus, even the distinction between testing and choosing is +implicit. 21 + +One significant strategy decision in devising this program was to not translate all the way +from English into LISP, but only partway-into PLANNER. Thus (since the PLANNER +interpreter is itself written in LISP), a new intermediate level-PLANNER-was inserted +between the top-level language (English) and the bottom-level language (machine +language). Once a PLANNER program had been made from an English sentence +fragment, then it could be sent off to the PLANNER interpreter, and the higher levels of +SHRDLU would be freed up, to work on new tasks. + +This kind of decision constantly crops up: How many levels should a system +have? How much and what kind of "intelligence" should be placed on which level? These +are some of the hardest problems facing AI today. Since we know so little about natural +intelligence, it is hard for us to figure out which level of an artificially intelligent system +should carry out what part of a task. + +This gives you a glimpse behind the scenes of the Dialogue preceding this +Chapter. Next Chapter, we shall meet new and speculative ideas for AI. + +DIALOGUE XIX: Contrafactus + +The Crab has invited a small group of friends over to watch the Saturday +afternoon football game on television. Achilles has already arrived, but the +Tortoise and his friend the Sloth are still awaited. + +Achilles: Could that be our friends, a-riding up on that unusual one-wheeled vehicle? + +(The Sloth and Tortoise dismount and come in.) + +Crab: Ah, my friends, I'm so glad you could make it. May I present my old and beloved +acquaintance, Mr. Sloth-and this is Achilles. I believe you know the Tortoise. + +Sloth: This is the first time I can recall making the acquaintance of a Bicyclops. Pleased +to meet you, Achilles. I've heard many fine things said about the bicyclopean species. + +Achilles: Likewise, I'm sure. May I ask about your elegant vehicle? Tortoise: Our tandem +unicycle, you mean? Hardly elegant. It's just a way for two to get from A to B, at the +same speed. + +Sloth: It's built by a company that also makes teeter-teeters. + +Achilles: I see, I see. What is that knob on it? + +Sloth: That's the gearshift. + +Achilles: Aha! And how many speeds does it have? + +Tortoise: One, including reverse. Most models have fewer, but this is a special model. + +Achilles: It looks like a very nice tandem unicycle. Oh, Mr. Crab, I wanted to tell you +how much I enjoyed hearing your orchestra perform last night. + +Crab: Thank you, Achilles. Were you there by any chance, Mr. Sloth? Sloth: No, I +couldn't make it, I'm sad to say. I was participating in a mixed singles ping-ping +tournament. It was quite exciting because my team was involved in a one-way tie for +first place. + +Achilles: Did you win anything? + +Sloth: Certainly did-a two-sided Mobius strip made out of copper; it is silver-plated on +one side, and gold-plated on the other. Crab: Congratulations, Mr. Sloth. + +Sloth: Thank you. Well, do tell me about the concert. + +Crab: It was a most enjoyable performance. We played some pieces by the Bach twins. + +Sloth: The famous Job and Sebastian? + +Crab: One and the same. And there was one work that made me think of you, Mr. Sloth-a +marvelous piano concerto for two left hands. The +next-to-last (and only) movement was a one-voice fugue. You can't imagine its +intricacies. For our finale, we played Beethoven's Ninth Zenfunny. At the end, +everyone in the audience rose and clapped with one hand. It was overwhelming. + +Sloth: Oh, I'm sorry I missed it. But do you suppose it's been recorded: At home I have a +fine hi-fi to play it on-the best two-channel monaural system money can buy. + +Crab: I'm sure you can find it somewhere. Well, my friends, the game is about to begin. + +Achilles: Who is playing today, Mr. Crab? + +Crab: I believe it's Home Team versus Visitors. Oh, no-that was last week. I think this +week it's Out-of-Towners. + +Achilles: I'm rooting for Home Team. I always do. + +Sloth: Oh, how conventional. I never root for Home Team. The closer a team lives to the +antipodes, the more I root for it. + +Achilles: Oh, so you live in the Antipodes? I've heard it's charming to live there, but I +wouldn't want to visit them. They're so far away. + +Sloth: And the strange thing about them is that they don't get any closer no matter which +way you travel. + +Tortoise: That's my kind of place. + +Crab: It's game time. I think I'll turn on the TV. + +(He walks over to an enormous cabinet with a screen, underneath which is an +instrument panel as complicated as that of a jet airplane. He flicks a knob, and the +football stadium a ears in bright vivid color on the screen.) + +Announcer: Good afternoon, fans. Well, it looks like that time of year has rolled around +again when Home Team and Out-of-Town face each other on the gridiron and play out +their classic pigskin rivalry. It's been drizzling on and off this afternoon, and the field's +a little wet, but despite the weather it promises to be a fine game, especially with that +GREAT pair of eighth-backs playing for Home Team, Tedzilliger and Palindromi. + +And now, here's Pilipik, kicking off for Home Team. It's in the air! Flampson takes it +for Out-of-Towners, and runs it back he's to the 20, the 25, the 30, and down at the 32. +That was Mool in on the tackle for Home Team. + +Crab: A superb runback! Did you see how he was ALMOST tackled by Quilker-but +somehow broke away? + +Sloth: Oh, don't be silly, Crab. Nothing of the kind happened. Quilker did NOT tackle +Flampson. There's no need to confuse poor Achilles (or the rest of us) with hocus- +pocus about what "almost" happened. It's a fact-with no "almost" 's, "if "'s, "and" 's, or +"but" 's. + +Announcer: Here's the instant replay. Just watch number 79, Quilker, come in from the +side, surprising Flampson, and just about tackle him! + +Sloth: "Just about"! Bah! + +'Achilles: Such a graceful maneuver! What would we do without instant replays? + +Announcer: It's first down and 10 for Out-of-Town. Noddle takes the ball, hands off to +Orwix-it's a reverse-Orwix runs around to the right, handing off to Flampson-a double +reverse, folks!-and now + +Flampson hands it to Treefig, who's downed twelve yards behind scrimmage. A twelve- +yard loss on a triple reverse! + +Sloth: I love it! A sensational play! + +Achilles: But, Mr. S, I thought you were rooting for Out-of-Town. They lost twelve yards +on the play. + +Moth: They did? Oh, well-who cares, as long as it was a beautiful play? + +Let's see it again. + +(... and so the first half of the game passes. Towards the end of the third quarter, a +particularly crucial play comes up for Home Team. They are behind by eight points. +It's third down and 10, and they badly need a first down.) + +Announcer: The ball is hiked to Tedzilliger, who fades back, looking-for a receiver, and +fakes to Quilker. There's Palindromi, playing wide right, with nobody near him. +Tedzilliger spots him and fires a low pass to him. Palindromi snatches it out of the air, +and- ( There is an audible groan from the crowd.)- oh, he steps out of bounds! What a +crushing blow for Home Team, folks! If Palindromi hadn't stepped out of bounds, he +could've run all the way to the end zone for a touchdown! + +Let's watch the subjunctive instant replay. + +(And on the screen the same lineup appears as before.) + +The ball is hiked to Tedzilliger, who fades back, looking for a receiver, and fakes to +Quilker. There's Palindromi, playing wide right, with nobody near him. Tedzilliger +spots him, and fires a low pass to him. Palindromi snatches it out of the air, and- +(There is an audible gasp from the crowd.)- he almost steps out of bounds! But he's +still in bounds, and it's clear all the way to the end zone! Palindromi streaks in, for a +touchdown for Home Team! (The stadium breaks into a giant roar of approval.) Well, +folks, that's what would've happened if Palindromi hadn't stepped out of bounds. + +Achilles: Wait a minute ... WAS there a touchdown, or WASN'T there? + +Crab: Oh, no. That was just the subjunctive instant replay. They simply followed a +hypothetical a little way out, you know. + +Sloth: That is the most ridiculous thing I ever heard of! Next thing you know, they'll be +inventing concrete earmuffs. + +Tortoise: Subjunctive instant replays are a little unusual, aren't they? + +Crab: Not particularly, if you have a Subjunc-TV. + +Achilles: Is that one grade below a junk TV? + +Crab: Not at all! It's a new kind of TV, which can go into the subjunctive mode. They're +particularly good for football games and such. I just got mine. + +Achilles: Why does it have so many knobs and fancy dials? + +Crab: So that you can tune it to the proper channel. There are many channels +broadcasting in the subjunctive mode, and you want to be able to select from them +easily. + +Achilles: Could you show us what you mean? I'm afraid I don't quite understand what all +this talk of "broadcasting in the subjunctive mode" is about. + +Crab: Oh, it's quite simple, really. You can figure it out yourself. I'm going into the +kitchen to fix some French fries, which I know are Mr. Sloth's weakness. + +Sloth: Mmmmm! Go to it, Crab! French fries are my favorite food. Crab: What about the +rest of you? + +Tortoise: I could devour a few. + +Achilles: Likewise. But wait-before you go into the kitchen, is there some trick to using +your Subjunc-TV? + +Crab: Not particularly. Just continue watching the game, and whenever there's a near +miss of some sort, or whenever you wish things had gone differently in some way, just +fiddle with the dials, and see what happens. You can't do it any harm, though you may +pick up some exotic channels. (And he disappears into the kitchen.) + +Achilles: I wonder what he means by that. Oh well, let's get back to this game. I was +quite wrapped up in it. + +Announcer: It's fourth down for Out-of-Town, with Home Team receiving. Out-of-Town +is in punt formation, with Tedzilliger playing deep. Orwix is back to kick-and he gets +a long high one away. It's coming down near Tedzilliger + +Achilles: Grab it, Tedzilliger! Give those Out-of-Towners a run for their money! + +Announcer: -and lands in a puddle-KERSPLOSH! It takes a weird bounce! Now Sprunk +is madly scrambling for the ball! It looks like it just barely grazed Tedzilliger on the +bounce, and then slipped away from himit's ruled a fumble. The referee is signaling +that the formidable Sprunk has recovered for Out-of-Town on the Home Team 7! It's a +bad break for Home Team. Oh, well, that's the way the cookie crumbles. + +Achilles: Oh, no! If only it hadn't been raining ... ( Wrings his hands in despair .) + +Sloth: ANOTHER of those confounded hypotheticals! Why are the rest of you always +running off into your absurd worlds of fantasy? If I were you, I would stay firmly +grounded in reality. "No subjunctive nonsense" is my motto. And I wouldn't abandon +it even if someone offered me a hundred-nay, a hundred and twelve-French fries. + +Achilles: Say, that gives me an idea. Maybe by suitably fiddling with these knobs, I can +conjure up a subjunctive instant replay in which it isn't raining, there's no puddle, no +weird bounce, and Tedzilliger doesn't + +fumble. I wonder ... ( Walks up to the Subjunc-TV and stares at it.) But I haven't any idea +what these different knobs do. ( Spins a few at random .) + +Announcer: It's fourth down for Out-of-Town, with Home Team receiv- +ing. Out-of-Town is in punt formation, with Tedzilliger playing deep. Orwix is back to +kick-and he gets a long high one away. It's coming down near Tedzilliger + +Achilles: Grab it, Tedzilliger! Give those Out-of-Towners a run for their money! + +Announcer: -and lands in a puddle-KERSPLOSH! Oh-it bounces right into his arms! + +Now Sprunk is madly scrambling after him, but he's got - good blocking, and he steers +his way clear of the formidable Sprunk, and now he's got an open field ahead of him. +Look at that, folks! He's to the 50, the 40, the 30, the 20, the 10-touchdown, Home +Team! ( Huge cheers from the Home Team side.) Well, fans, that's how it would have +gone, if footballs were spheres instead of oblate spheroids! But in reality. Home Team +loses the ball, and Out-of-Towners take over on the Home Team 7-yard line. Oh, well, +that's the way the ball bounces. + +Achilles: What do you think of THAT, Mr. Sloth? + +(And Achilles gives a smirk in the direction of the Sloth, but the latter is completely +oblivious to its devastating effect, as he is busy watching ,the Crab arrive with, a large +platter with a hundred and twelve-nay, a hundred-large and delicious French fries, +and napkins for all.) + +Crab: So how do you three find my Subjunc-TV? + +Sloth: Most disappointing, Crab, to be quite frank. It seems to be badly out of order. It +makes pointless excursions into nonsense at least half the time. If it belonged to me, I +would give it away immediately to someone like you, Crab. But of course it doesn't +belong to me. + +Achilles: It's quite a strange device. I tried to rerun a play to see how it would have gone +under different weather conditions, but the thing seems to have a will of its own! +Instead of changing the weather, it changed the football shape to ROUND instead of +FOOTBALL-SHAPED! Now tell me-how can a football not be shaped like a football? +That's a contradiction in terms. How preposterous! + +Crab: Such tame games! I thought you'd surely find more interesting subjunctives. How +would you like to see how the last play would have looked if the game had been +baseball instead of football? + +Tortoise: Oh! An outstanding idea! + +(The Crab twiddles two knobs, and steps back.) + +Announcer: There are four away, and- + +Achilles: FOUR away!? + +Announcer: That's right, fans-four away. When you turn football into baseball, +SOMETHING'S got to give! Now as I was about to say, there are four away, with +Out-of-Town in the field, and Home Team up. Tedzilliger is at bat. Out-of-Town is in +bunt formation. Orwix raises his arm to pitch-and he gets a long high ball away. It's +heading straight for Tedzilliger + +Achilles: Smash it, Tedzilliger! Give those Out-of-Towners a home run for their money! + +Announcer: -but it seems to be a spitball, as it takes a strange curve. Now Sprunk is +madly scrambling for the ball! It looks like it just barely grazed Tedzilliger's bat, then +bounced off it-it's ruled a fly ball. The umpire is signaling that the formidable Sprunk +has caught it for Out-of-Town, to end the seventh inning. It's a bad break for Home +Team. That's how the last play would have looked, football fans, if this had been a +game of baseball. + +Sloth: Bah! You might as well transport this game to the Moon. + +Crab: No sooner said than done! Just a twiddle here, a twiddle there ... + +(On the screen there appears a desolate crater-pitted field, with two teams in space +suits facing each other, immobile. All at once, the two teams fly into motion, and the +players are making great bounds into the air, sometimes over the heads of other +players. The ball is thrown into the air, and sails so high that it almost disappears, +and then slowly comes floating down into the arms of one space-suited player, roughly +a quarter-mile from where it was released.) + +Announcer: And there, friends, you have the subjunctive instant replay as it would have +happened on the Moon. We'll be right back after this important commercial message +from the friendly folks who brew Glumpf Beer-my favorite kind of beer! + +Sloth: If I weren't so lazy, I would take that broken TV back to the dealer myself! But +alas, it's my fate to be a lazy Sloth ... ( Helps himself to a large gob of French fries.) + +Tortoise: That's a marvelous invention, Mr. Crab. May I suggest a hypothetical? + +Crab: Of course! + +Tortoise: What would that last play have looked like if space were four-dimensional? + +Crab: Oh, that's a complicated one, Mr. T, but I believe I can code it into the dials. Just a +moment. + +(He steps up, and, for the first time, appears to be using the full power of the control +panel of his Subjunc-TV, turning almost every knob two or three times, and carefully +checking various meters. Then he steps back with a satisfied expression on his face.) + +I think this should do it. + +Announcer: And now let's watch the subjunctive instant replay. + +(A confusing array of twisted pipes appears on the screen. It grows larger, then +smaller, and for a moment seems to do something akin to rotation. Then it turns into a +strange mushroom-shaped object, and back to a bunch of pipes. As it metamorphoses +from this into other bizarre shapes, the announcer gives his commentary.) + +Tedzilliger's fading back to pass. He spots Palindromi ten yards outfield, and passes it to +the right and outwards-it looks good! Palindromi's at the 35-yard plane, the 40, and +he's tackled on his own +43-yard plane. And there you nave it, 3-L tans, as it would have looked if football +were played in four spatial dimensions. + +Achilles: What is it you are doing, Mr. Crab, when you twirl these various dials on the +control panel? + +Crab: I am selecting the proper subjunctive channel. You see, there are all sorts of +subjunctive channels broadcasting simultaneously, and I want to tune in precisely that +one which represents the kind of hypothetical which has been suggested. + +Achilles: Can you do this on any TV? + +Crab: No, most TV's can't receive subjunctive channels. They require a special kind of +circuit which is quite difficult to make. + +Sloth: How do you know which channel is broadcasting what? Do you look it up in the +newspaper? + +Crab: I don't need to know the channel's call letters. Instead, I tune it in by coding, in +these dials, the hypothetical situation which I want to be represented. Technically, this +is called "addressing a channel by its counterfactual parameters". There are always a +large number of channels broadcasting every conceivable world. All the channels +which carry worlds that are "near" to each other have call letters that are near +to each other, too. + +Tortoise: Why did you not have to turn the dials at all, the first time we saw a subjunctive +instant replay? + +Crab: Oh, that was because I was tuned in to a channel which is very near to the Reality +Channel, but ever so slightly off. So every once in a while, it deviates from reality. It's +nearly impossible to tune EXACTLY into the Reality Channel. But that's all right, +because it's so dull. All their instant replays are straight! Can you imagine? What a +bore! + +Sloth: I find the whole idea of Subjunc-TV's one giant bore. But perhaps I could change +my mind, if I had some evidence that your machine here could handle an +INTERESTING counterf actual. For example, how would that last play have looked if +addition were not commutative? + +Crab: Oh me, oh my! That change is a little too radical, I'm afraid, for this model. I +unfortunately don't have a Superjunc-TV, which is the top of the line. Superjunc-TV's +can handle ANYTHING you throw at them. + +Sloth: Bah! + +Crab: But look-I can do ALMOST as well. Wouldn't you like to see how the last play +would have happened if 13 were not a prime number? Sloth: No thanks! THAT +doesn't make any sense! Anyway, if I were the last play, I'd be getting pretty tired of +being trotted out time and again in new garb for the likes of you fuzzy-headed +concept-slippers. Let's get on with the game! + +Achilles: Where did you get this Subjunc-TV, Mr. Crab? + +Crab: Believe it or not, Mr. Sloth and I went to a country fair the other evening, and it +was offered as the first prize in a lottery. Normally I don't indulge in such frivolity, but +some crazy impulse grabbed me, and I bought one ticket. + +Achilles: What about you Mr. Sloth? + +Sloth: I admit, I bought one, just to humor old Crab. + +Crab: And when the winning number was announced, I found, to my amazement, that I'd +won the lottery! + +Achilles: Fantastic! I've never known anyone who won anything in a lottery before! + +Crab: I was flabbergasted at my good fortune. + +Sloth: Don't you have something else to tell us about that lottery, Crab? + +Crab: Oh, nothing much. It's just that my ticket number was 129. Now when they +announced the winning number, it was 128 just one off. Sloth: So you see, he actually +didn't win it at all. Achilles: He ALMOST won, though ... + +Crab: I prefer to say that I won it, you see. For I came so terribly close . . If my number +had been only one smaller, I would have won. Sloth: But unfortunately. Crab, a miss is +as good as a mile. + +Tortoise: Or as bad. What about you, Mr. Sloth? What was your number: + +Sloth: Mine was 256-the next power of 2 above 128. Surely, that counts as a hit, if +anything does! I can't understand why, however, those fair officials-those UNfair +officials-were so thickheaded about it. They refused to award me my fully deserved +prize. Some other joker claimed HE deserved it, because his number was 128. 1 think +my number was far closer than His, but you can't fight City Hall. + +Achilles: I'm all confused. If you didn't win the Subjunc-TV after all, Mr. Crab, then how +can we have been sitting here all afternoon watching it? It seems as if we ourselves +have been living in some sort of hypothetical world that would have been, had +circumstances just been ever so slightly different... + +Announcer: And that, folks, was how the afternoon at Mr. Crab's would have been spent, +had he won the Subjunc-TV. But since he didn't, the four friends simply spent a +pleasant afternoon watching Home Team get creamed, 128-0. Or was it 256-0? Oh +well, it hardly matters, in five-dimensional Plutonian steam hockey. + +CHAPTER XIX: Artificial Intelligence: Prospects + +"Almost" Situations and Subjunctives + +AFTER READING Contrafactus, a friend said to me, "My uncle was almost President of +the U.S.!" "Really?" I said. "Sure," he replied, "he was skipper of the PT 108." (John F. +Kennedy was skipper of the PT 109.) + +That is what Contrafactus is all about. In everyday thought, we are constantly +manufacturing mental variants on situations we face, ideas we have, or events that +happen, and we let some features stay exactly the same while others "slip". What features +do we let slip? What ones do we not even consider letting slip? What events are +perceived on some deep intuitive level as being close relatives of ones which really +happened? What do we think "almost" happened or "could have" happened, even though +it unambiguously did not? What alternative versions of events pop without any conscious +thought into our minds when we hear a story? Why do some counterfactuals strike us as +"less counterf actual" than other counterf actuals? After all, it is obvious that anything that +didn't happen didn't happen. There aren't degrees of "didn't-happen-ness". And the same +goes for "almost" situations. There are times when one plaintively says, "It almost +happened", and other times when one says the same thing, full of relief. But the "almost" +lies in the mind, not in the external facts. + +Driving down a country road, you run into a swarm of bees. You don't just duly +take note of it; the whole situation is immediately placed in perspective by a swarm of +"replays" that crowd into your mind. Typically, you think, "Sure am lucky my window +wasn't open!"-or worse, the reverse: "Too bad my window wasn't closed!" "Lucky I +wasn't on my bike!" "Too bad I didn't come along five seconds earlier." Strange but- +possible replays: "If that had been a deer, I could have been killed!" "I bet those bees +would have rather had a collision with a rosebush." Even stranger replays: "Too bad +those bees weren't dollar bills!" "Lucky those bees weren't made of cement!" "Too bad it +wasn't just one bee instead of a swarm." "Lucky I wasn't the swarm instead of being me." +What slips naturally and what doesn't-and why? + +In a recent issue of The New Yorker magazine, the following excerpt from the +"Philadelphia Welcomat" was reprinted:' + +If Leonardo da Vinci had been born a female the ceiling of the Sistine Chapel +might never have been painted. + +The New The New Yorker commented: + +And if Michelangelo had been Siamese twins, the work would have been +completed in half the time. + +The point of The New Yorker's comment is not that such counterfactuals are false; it is +more that anyone who would entertain such an idea-anyone who would "slip" the sex or +number of a given human being-would have to be a little loony. Ironically, though, in the +same issue, the following sentence, concluding a book review, was printed without +blushing: + +I think he [Professor Philipp Frank would have enjoyed both of these books +enormously. + +Now poor Professor Frank is dead; and clearly it is nonsense to suggest that someone +could read books written after his death. So why wasn't this serious sentence also scoffed +at? Somehow, in some difficult-to-pin-down sense, the parameters slipped in this +sentence do not violate our sense of "possibility" as much as in the earlier examples. +Something allows us to imagine "all other things being equal" better in this one than in +the others. But why? What is it about the way we classify events and people that makes +us know deep down what is "sensible" to slip, and what is "silly": + +Consider how natural it feels to slip from the valueless declarative "I don't know +Russian" to the more charged conditional "I would like to know Russian" to the +emotional subjunctive "I wish I knew Russian" and finally to the rich counterf actual "If I +knew Russian, I would read Chekhov and Lermontov in the original". How flat and dead +would be a mind that saw nothing in a negation but an opaque barrier! A live mind can +see a window onto a world of possibilities. + +I believe that "almost" situations and unconsciously manufactured subjunctives +represent some of the richest potential sources of insight into how human beings organize +and categorize their perceptions of the world. + +An eloquent co-proponent of this view is the linguist and translator George +Steiner, who, in his book After Babel , has written: + +Hypothetical, 'imaginaries', conditionals, the syntax of counter-factuality and +contingency may well be the generative centres of human speech.... [They] do more +than occasion philosophical and grammatical perplexity. No less than future tenses +to which they are, one feels, related, and with which they ought probably to be +classed in the larger set of 'suppositionals' or 'alternates', these 'if propositions are +fundamental to the dynamics of human feeling... . + +Ours is the ability, the need, to gainsay or 'un-say' the world, to image and speak it +otherwise.... We need a word which will designate the power, the compulsion of +language to posit 'otherness'. . . . Perhaps 'alternity' will do: to define the 'other than +the case 1 , the counter-factual propositions, images, shapes of will and evasion with +which we charge our mental being and by means of which we build the changing, +largely fictive milieu of our somatic and our social existence... . + +Finally, Steiner sings a counterfactual hymn to counterf actuality: + +It is unlikely that man, as we know him, would have survived without the fictive, +counter-factual, anti-determinist means of language, without the semantic capacity, +generated and stored in the 'superfluous, zones of the cortex, to conceive of, to articulate +possibilities beyond the treadmill of organic decay and death . + +The manufacture of "subjunctive worlds" happens so casually, -so naturally, that +we hardly notice what we are doing. We select from our fantasy a world which is close, +in some internal mental sense, to the real world. We compare what is real with what we +perceive as almost real. In so doing, what we gain is some intangible kind of perspective +on reality. The Sloth is a droll example of a variation on reality-a thinking being without +the ability to slip into subjunctives (or at least, who claims to be without the ability-but +you may have noticed that what he says is full of counterfactuals'.). Think how +immeasurably poorer our mental lives would be if we didn't have this creative capacity +for slipping out of the midst of reality into soft "what if-s! And from the point of view of +studying human thought processes, this slippage is very interesting, for most of the time it +happens completely without conscious direction, which means that observation of what +kinds of things slip, versus what kinds don't, affords a good window on the unconscious +mind. + +One way to gain some perspective on the nature of this mental metric is to "fight +fire with fire". This is done in the Dialogue, where our "subjunctive ability" is asked to +imagine a world in which the very notion of + +subjunctive ability is slipped, compared to what we expect. In the Dialogue, the first +subjunctive instant replay-that where Palindromi stays in bounds-is quite a normal thing +to imagine. In fact, it was inspired by a completely ordinary, casual remark made to me +by a person sitting next to me at a football game. For some reason it struck me and I +wondered what made it seem so natural to slip that particular thing, but not, say, the +number of the down, or the present score. From those thoughts, I went on to consider +other, probably less slippable features, such as the weather (that's in the Dialogue), the +kind of game (also in the Dialogue), and then even loonier variations (also in the +Dialogue). I noticed, though, that what was completely ludicrous to slip in one situation +could be quite slippable in another. For instance, sometimes you might spontaneously +wonder how things would be if the ball had a different shape (e.g., if you are playing +basketball with a half-inflated ball); other times that would never enter your mind (e.g., +when watching a football game on TV). + +Layers of Stability + +It seemed to me then, and still does now, that the slippability of a feature of some event +(or circumstance) depends on a set of nested contexts in which the event (or +circumstance) is perceived to occur. The terms constant, parameter, and variable, +borrowed from mathematics, seem useful here. Often mathematicians, physicists, and +others will carry out a calculation, saying "c is a constant, p is a parameter, and v is a +variable". What they +mean is that any of them can vary (including the "constant"); however, there is a kind of +hierarchy of variability. In the situation which is being represented b~ the symbols, c +establishes a global condition; p establishes some less global condition which can vary +while c is held fixed; and finally, v can run around while c and p are held fixed. It makes +little sense to think of holding v fixed while c and p vary, for c and p establish the context +in which v has meaning. For instance, think of a dentist who has a list of patients, and for +each patient, a list of teeth. It makes perfect sense (and plenty of money) to hold the +patient fixed and vary his teeth-but it makes no sense at all to hold one tooth fixed and +vary the patient. (Although sometimes it makes good sense to vary the dentist...) + +We build up our mental representation of a situation layer by layer. The lowest +layer establishes the deepest aspect of the context-sometimes being so low that it cannot +vary at all. For instance, the three-dimensionality of our world is so ingrained that most +of us never would imagine letting it slip mentally. It is a constant constant. Then there are +layers which establish temporarily, though not permanently, fixed aspects of situations, +which could be called background assumptions-things which, in the back of your mind, +you know can vary, but which most of the time you unquestioningly accept as +unchanging aspects. These could still be called "constants". For instance, when you go to +a football game, the rules of the game are constants of that sort. Then there are +"parameters": you think of them as more variable, but you temporarily hold them +constant. At a football game, parameters might include the weather, the opposing team, +and so forth. There could be-and probably are-several layers of parameters. Finally, we +reach the "shakiest" aspects of your mental representation of the situation-the variables. +These are things such as Palindromi's stepping out of bounds, which are mentally "loose" +and which you don't mind letting slip away from their real values, for a short moment. + +Frames and Nested Contexts + +The word frame is in vogue in A1 currently, and it could be defined as a computational +instantiation of a context. The term is due to Marvin Minsky, as are many ideas about +frames, though the general concept has been floating around for a good number of years. +In frame language, one could say that mental representations of situations involve frames +nested within each other. Each of the various ingredients of a situation has its own frame. +It is interesting to verbalize explicitly one of my mental images concerning nested +frames. Imagine a large collection of chests of drawers. When you choose a chest, you +have a frame, and the drawer holes are places where "subframes" can be attached. But +subframes are themselves chests of drawers. How can you stick a whole chest of drawers +into the slot for a single drawer in another chest of drawers? Easy: you shrink and distort +the second chest, since, after all, this is all mental, not physical. Now in the outer frame, +there may be several different drawer slots that need to be +filled; then you may need to fill slots in some of the inner chests of drawers (or +subframes). This can go on, recursively. + +The vivid surrealistic image of squishing and bending a chest of drawers so that it +can fit into a slot of arbitrary shape is probably quite important, because it hints that your +concepts are squished and bent by the contexts you force them into. Thus, what does your +concept of "person" become when the people you are thinking about are football +players? It certainly is a distorted concept, one which is forced on you by the overall +context. You have stuck the "person" frame into a slot in the "football game" frame. The +theory of representing knowledge in frames relies on the idea that the world consists of +quasi-closed subsystems, each of which can serve as a context for others without being +too disrupted, or creating too much disruption, in the process. + +One of the main ideas about frames is that each frame comes with its own set of +expectations. The corresponding image is that each chest, of drawers comes with a built- +in, but loosely bound, drawer in each of its + +drawer slots, called a default. If I tell you, "Picture a river bank", you will invoke a visual +image which has various features, most of which you could override if I added extra +phrases such as "in a drought" or "in Brazil" or "without a merry-go-round". The +existence of default values for slots allows the recursive process of filling slots to come to +an end. In effect, you say, "I will fill in the slots myself as far as three layers down; +beyond that I will take the default options." Together with its default expectations, a +frame contains knowledge of its limits of applicability, and heuristics for switching to +other frames in case it has been stretched beyond its limits of tolerance. + +The nested structure of a frame gives you a way of "zooming in" and looking at +small details from as close up as you wish: you just zoom in on the proper subframe, and +then on one of its subframes, etc., until you have the desired amount of detail. It is like +having a road atlas of the USA which has a map of the whole country in the front, with +individual state maps inside, and even maps of cities and some of the larger towns if you +want still more detail. One can imagine an atlas with arbitrary amounts of detail, going +down to single blocks, houses, rooms, etc. It is like looking through a telescope with +lenses of different power; each lens has its own uses. It is important that one can make +use of all the different scales; often detail is irrelevant and even distracting. + +Because arbitrarily different frames can be stuck inside other frames' slots, there +is great potential for conflict or "collision". The nice neat scheme of a single, global set of +layers of "constants", "parameters", and "variables" is an oversimplification. In fact, each +frame will have its own hierarchy of variability, and this is what makes analyzing how we +perceive such a complex event as a football game, with its many subframes, +subsubframes, etc., an incredibly messy operation. How do all these many frames interact +with each other? If there is a conflict where one frame says, "This item is a constant" but +another frame says, "No, it is a variable!", how does it get resolved? These are deep and +difficult problems of frame theory to +which I can give no answers. There has as yet been no complete agreement on what a +frame really is, or on how to implement frames in A1 programs. I make my own stab at +discussing some of these questions in the following section, where I talk about some +puzzles in visual pattern recognition, which I call "Bongard problems". + +Bongard Problems + +Bongard problems (BP’s) are problems of the general type given by the Russian scientist +M. Bongard in his book Pattern Recognition. A typical BP-number 51 in his collection of +one hundred-is shown in Figure 119. + +The problem is "How do Class I boxes differ from Class II boxes?" + +A Bongard problem-solving program would have several stages, in which raw +data gradually get converted into descriptions. The early stages are relatively inflexible, +and higher stages become gradually more flexible. The final stages have a property which +I call tentativity, which means simply that the way a picture is represented is always +tentative. Upon the drop of a hat, a high-level description can be restructured, using all +the devices of the +later stages. The ideas presented below also have a tentative quality to them. I will try to +convey overall ideas first, glossing over significant difficulties. Then I will go back and +try to explain subtleties and tricks and so forth. So your notion of how it all works may +also undergo some revisions as you read. But that is in the spirit of the discussion. + +Preprocessing Selects a Mini-vocabulary + +Suppose, then, that we have some Bongard problem which we want to solve. The +problem is presented to a TV camera and the raw data are read in. Then the raw data are +preprocessed. This means that some salient features are detected. The names of these +features constitute a "mini-vocabulary" for the problem; they are drawn from a general +"salient-feature vocabulary". Some typical terms of the salient-feature vocabulary are: +line segment, curve, horizontal, vertical, black, white, big, small, pointy, round ... + +In a second stage of preprocessing, some knowledge about elementary shapes is used; +and if any are found, their names are also made available. Thus, terms such as +triangle, circle, square, indentation, protrusion, right angle, vertex, cusp, arrow ... +may be selected. This is roughly the point at which the conscious and the unconscious +meet, in humans. This discussion is primarily concerned with describing what happens +from here on out. + +High-Level Descriptions + +Now that the picture is "understood", to some extent, in terms of familiar concepts, some +looking around is done. Tentative descriptions are made for one or a few of the twelve +boxes. They will typically use simple descriptors such as +above, below, to the right of, to the left of, inside, outside of, close to, far from, +parallel to, perpendicular to, in a row, scattered, evenly spaced, irregularly spaced, etc. + +Also, definite and indefinite numerical descriptors can be used: + +* 1, 2, 3, 4, 5,... many, few, etc. + +More complicated descriptors may be built up, such as +further to the right of, less close to, almost parallel to, etc. + +* three shapes +or + +* three white shapes +or + +* a circle on the right +or + +* two triangles and a circle +or + +* two upwards-pointing triangles +or + +* one large shape and two small shapes +or + +* one curved shape and two straight-edged shapes +or + +* a circle with the same kind of shape on the inside and outside. + +Each of these descriptions sees the box through a "filter". Out of context, any of them +might be a useful description. As it turns out, though, all of them are "wrong", in the +context of the particular Bongard problem they are part of. In other words, if you knew +the distinction between Classes I and II in BP 47, and were given one of the preceding +lines as a description of an unseen drawing, that information would not allow you to tell +to which Class the drawing belonged. The essential feature of this box, in context, is that +it includes + +* a circle containing a triangle. + +Note that someone who heard such a description would not be able to reconstruct the +original drawing, but would be able to recognize drawings +which have this property. It is a little like musical style: you may be an infallible +recognizer of Mozart, but at the same time unable to write anything which would fool +anybody into thinking it was by Mozart. + +Now consider box I-D of BP 91 (Fig. 121). An overloaded but ’'right 1 '' description +in the context of BP 91 is + +* a circle with three rectangular intrusions. + +Notice the sophistication of such a description, in which the word "with" functions as a +disclaimer, implying that the "circle” is not really a circle: it is almost a circle, except that +. . . Furthermore, the intrusions are not full rectangles. There is a lot of "play" in the way +we use language to describe + +things. Clearly, a lot of information has been thrown away, and even more could +be thrown away. A priori, it is very hard to know what it would be smart to throw away +and what to keep So some sort of method for an intelligent compromise has to be +encoded, via heuristics. Of course, there is always recourse to lower levels of description +(i.e., less chunked descriptions) if discarded information has to be retrieved, just as +people can constantly look at the puzzle for help in restructuring their ideas about it. The +trick, then, is to devise explicit rules that say how to + +* make tentative descriptions for each box; + +compare them with tentative descriptions for other boxes of either Class; +restructure the descriptions, by + +(i) adding information, + +(ii) discarding information, + +or (iii) viewing the same information from another angle; iterate this process until +finding out what makes the two Classes differ. + +Templates and Sameness-Detectors + +One good strategy would be to try to make descriptions structurally similar to +each other, to the extent this is possible. Any structure they have in common will +make comparing them that much easier. Two important elements of this theory +deal with this strategy. One is the idea of "description-schemas” or templates', the +other is the idea of Sam-a "sameness detector". + +First Sam. Sam is a special agent present on all levels of the program. +(Actually there may be different kinds of Sams on different levels.) Sam +constantly runs around within individual descriptions and within different +descriptions, looking for descriptors or other things which are repeated. When +some sameness is found, various restructuring operations can be triggered, either +on the single-description level or on the level of several descriptions at once. + +Now templates. The first thing that happens after preprocessing is an attempt to +manufacture a template, or description-schema-a un form format for the +descriptions of all the boxes in a problem. The idea is that a description can often +be broken up in a natural way into subdescriptions, and those in turn into subs +ubdescriptions, if need be. The bottom is hit when you come to primitive concepts +which belong to the level of the preprocessor. Now it is important to choose the +way of breaking descriptions into parts so as to reflect commonality among all the +boxes; otherwise you are introducing a superfluous and meaningless kind of +"pseudo-order" into the world. + +On the basis of what information is a template built? It is best to look at an +example. Take BP 49 (Fig. 122). Preprocessing yields the information that each +box consists of several little o's, and one large closed curve. This is a valuable +observation, and deserves to be incorporated in the template. Thus a first stab at a +template would be: + +* large closed curve:- + +* small o’s:- + +It is very simple: the description-template has two explicit slots where +subdescriptions are to be attached. + +A Heterarchical Program + +Sow an interesting thing happens, triggered by the term "closed curve", one of the +most important modules in the program is a kind of semantic net-the concept +network-in which all the known nouns, adjectives, etc., are linked in ways which +indicate their interrelations. For instance, "closed curve" is strongly linked with +the terms "interior" and "exterior". The concept net is just brimming with +information about relations between terms, such as what is the opposite of what, +what is similar to what, what often occurs with what, and so on. A little portion of +a concept network, to be explained shortly, is shown in Figure 123. But let us +follow what happens now, in the solution of problem 49. The concepts "interior" +and "exterior" are activated by their proximity in the net to "closed curve". This +suggests to the template-builder that it might be a good idea to make distinct slots +for the interior and exterior of the curve. Thus, in the spirit of tentativity, the +template is tentatively restructured to be this: + +* large closed curve: - + +* little o's in interior: - + +* little o's in exterior:- + +Now when subdescriptions are sought, the terms "interior" and "exterior" will +cause procedures to inspect those specific regions of the box. What is found in BP +49, box I-A is this: + +* large closed curve: circle + +* little o's in interior: three + +* little o's in exterior: three + +And a description of box II-A of the same BP might be + +* large closed curve: cigar + +* little o's in interior: three + +* little o's in exterior: three + +Now Sam, constantly active in parallel with other operations, spots the +recurrence of the concept "three" in all the slots dealing with o's, and this is strong +reason to undertake a second template-restructuring operation. Notice that the first +was suggested by the concept net, the second by Sam. Now our template for +problem 49 becomes: + +* large closed curve:- + +* three little o's in interior:- + +* three little o's in exterior:- + +Now that "three" has risen" one level of generality-namely, into the template-it +becomes worthwhile to explore its neighbors in the concept network. One of them +is "triangle", which suggests that triangles of o's may be important. As it happens, +this leads down a blind alley-but how could you know in advances It is a typical +blind alley that a human would explore, so it is good if our program finds it too! +For box II-E, a description such as the following might get generated: + +* large closed curve: circle + +* three little o's in interior: equilateral triangle + +* three little o's in exterior: equilateral triangle + +Of course an enormous amount of information has been thrown away concerning +the sizes, positions, and orientations of these triangles, and many other things as +well. But that is the whole point of making descriptions instead of just using the +raw data! It is the same idea as funneling, which we discussed in Chapter XI. + +The Concept Network + +We need not run through the entire solution of problem 49; this suffices to show +the constant back-and-forth interaction of individual descriptions, templates, the +sameness-detector Sam, and the concept network. We should now look a little +more in detail at the concept network and its function. A simplified portion shown +in the figure codes the following ideas: + +* "High" and "low" are opposites. + +* "Up" and "down" are opposites. + +* "High" and "up" are similar. + +* "Low" and "down" are similar. + +* "Right" and "left" are opposites. + +* The "right-left" distinction is similar to the "high-low" distinction. + +* "Opposite" and "similar" are opposites. + +Note how everything in the net-both nodes and links-can be talked about. In that +sense nothing in the net is on a higher level than anything else. Another portion of +the net is shown; it codes for the ideas that + +* A square is a polygon. + +* A triangle is a polygon. + +* A polygon is a closed curve. + +The difference between a triangle and a square is that one has 3 sides and the +other has 4. + +* 4 is similar to 3. + +* A circle is a closed curve. + +* A closed curve has an interior and an exterior. + +"Interior" and "exterior" are opposites. + +The network of concepts is necessarily very vast. It seems to store knowledge only +statically, or declaratively, but that is only half the story. Actually, its knowledge +borders on being procedural as well, by the fact that the proximities in the net act +as guides, or "programs", telling the main program how to develop its +understanding of the drawings in the boxes. + +For instance, some early hunch may turn out to be wrong and yet have the germ of +the right answer in it. In BP 33 (Fig. 124), one might at first +jump to the idea that Class I boxes contain "pointy" shapes. Class II boxes contain +"smooth" ones. But on closer inspection, this is wrong. Nevertheless, there is a +worthwhile insight here, and one can try to push it further, by sliding around in the +network of concepts beginning at "pointy". It is close to the concept "acute", +which is precisely the distinguishing feature of Class I. Thus one of the main +functions of the concept network is to allow early wrong ideas to be modified +slightly, to slip into variations which may be correct. + +Slippage and Tentativity + +Related to this notion of slipping between closely related terms is the notion of +seeing a given object as a variation on another object. An excellent example has +been mentioned already-that of the "circle with three indentations", where in fact +there is no circle at all. One has to be able to bend concepts, when it is appropriate. +Nothing should be absolutely rigid. On +the other hand, things shouldn't be so wishy-washy that nothing has any meaning +at all, either. The trick is to know when and how to slip one concept into another. + +An extremely interesting set of examples where slipping from one description +to another is the crux of the matter is given in Bongard problems 85-87 (Fig. 125). +BP 85 is rather trivial. Let us assume that our program identifies "line segment" in +its preprocessing stage. It is relatively simple for it then to count line segments and +arrive at the difference +between Class I and Class II in BP 85. Now it goes on to BP 86. A general +heuristic which it uses is to try out recent ideas which have worked. Successful +repetition of recent methods is very common in the real world, and Bongard does +not try to outwit this kind of heuristic in his collection-in fact, he reinforces it, +fortunately. So we plunge right into problem 86 with two ideas ("count" and "line +segment") fused into one: "count line segments". But as it happens, the trick of BP +86 is to count line trains rather than line segments, where "line train" means an +end-to-end concatenation of (one or more) line segments. One way the program +might figure this out is if the concepts "line train" and "line segment" are both +known, and are close in the concept network. Another way is if it can invent the +concept of "line train"-a tricky proposition, to say the least. + +Then comes BP 87, in which the notion of "line segment" is further played +with. When is a line segment three line segments? (See box II-A.) The program +must be sufficiently flexible that it can go back and forth between such different +representations for a given part of a drawing. It is wise to store old representations, +rather than forgetting them and perhaps having to reconstruct them, for there is no +guarantee that a newer representation is better than an old one. Thus, along with +each old representation should be stored some of the reasons for liking it and +disliking it. (This begins to sound rather complex, doesn't it?) + +Meta- Descriptions + +Now we come to another vital part of the recognition process, and that has to do +with levels of abstraction and meta-descriptions. For this let us consider BP 91 +(Fig. 121) again. What kind of template could be constructed here? There is such +an amount of variety that it is hard to know where to begin. But this is in itself a +clue! The clue says, namely, that the class distinction very likely exists on a higher +level of abstraction than that of geometrical description. This observation clues the +program that it should construct descriptions of descriptions -that is, meta¬ +descriptions. Perhaps on this second level some common feature will emerge; and +if we are lucky, we will discover enough commonality to guide us towards the +formulation of a template for the meta-descriptions! So we plunge ahead without a +template, and manufacture descriptions for various boxes; then, once these +descriptions have been made, we describe them. What kinds of slot will our +template for meta-descriptions have? Perhaps these, among others: + +* concepts used: - + +* recurring concepts-: + +* names of slots:- + +* filters used:- + +There are many other kinds of slots which might be needed in metadescriptions, +but this is a sample. Now suppose we have described box I-E of BP 91. Its +(template-less) description might look like this: + +* horizontal line segment + +* vertical line segment mounted on the horizontal line segment + +* vertical line segment mounted on the horizontal line segment + +* vertical line segment mounted on the horizontal line segment + +Of course much information has been thrown out: the fact that the three vertical +lines are of the same length, are spaced equidistantly, etc. But it is plausible that +the above description would be made. So the meta description might look like this: + +* concepts used: vertical-horizontal, line segment, mounted on + +* repetitions in description: 3 copies of "vertical line segment mounted on the +horizontal line segment" + +* names of slots- + +* filters used:- + +Not all slots of the meta-description need be filled in; information can be thrown +away on this level as well as on the Just- plain-description" level. + +‘Now if we were to make a description for any of the other boxes of Class I, and +then a meta-description of it, we would wind up filling the slot "repetitions in +description" each time with the phrase "3 copies of ..." The sameness-detector +would notice this, and pick up three-ness as a salient feature, on quite a high level +of abstraction, of the boxes of Class I. Similarly, four-ness would be recognized, +via the method of metadescriptions, as the mark of Class II. + +Flexibility Is Important + +Now you might object that in this case, resorting to the method of +metadescriptions is like shooting a fly with an elephant gun, for the three-ness +versus four-ness might as easily have shown up on the lower level if we had +constructed our descriptions slightly differently. Yes, true-but it is important to +have the possibility of solving these problems by different routes. There should be +a large amount of flexibility in the program; it should not be doomed if, +malaphorically speaking, it "barks up the wrong alley" for a while. (The amusing +term "malaphor" was coined by the newspaper columnist Lawrence Harrison; it +means a cross between a malapropism and a metaphor. It is a good example of +"recombinant ideas".) In any case, I wanted to illustrate the general principle that +says: When it is hard to build a template because the preprocessor finds too much +diversity, that should serve as a clue that concepts on a higher level of abstraction +are involved than the preprocessor knows about. + +Focusing and Filtering + +Now let us deal with another question: ways to throw information out. This +involves two related notions, which I call "focusing" and "filtering". Focus- +ing involves making a description whose focus is some part of the drawing in the +box, to the exclusion of everything else. Filtering involves making a description +which concentrates on some particular way of viewing the contents of the box, and +deliberately ignores all other aspects. Thus they are complementary: focusing has +to do with objects (roughly, nouns), and filtering has to do with concepts (roughly, +adjectives). For an example of focusing, let's look at BP 55 (Fig. 126). Here, we +focus on the indentation and the little circle next to it, to the exclusion of the +everything else in the box. BP 22 (Fig. 127) presents an example of filtering. Here, +we must filter out every concept but that of size. A combination of focusing and +filtering is required to solve problem BP 58 (Fig. 128). + +One of the most important ways to get ideas for focusing and filtering is by +another sort of "focusing": namely, by inspection of a single particularly simple +box-say one with as few objects in it as possible. It can be +extremely helpful to compare the starkest boxes from the two Classes. But how +can you tell which boxes are stark until you have descriptions for them? Well, one +way of detecting starkness is to look for a box with a minimum of the features +provided by the preprocessor. This can be done very early, for it does not require a +pre-existing template; in fact, this can be one useful way of discovering features to +build into a template. BP 61 (Fig. 129) is an example where that technique might +quickly lead to a solution. + +Science and the World of Bongard Problems + +One can think of the Bongard-problem world as a tiny place where "science" is +done-that is, where the purpose is to discern patterns in the world. As patterns are +sought, templates are made, unmade, and remade; +slots are shifted from one level of generality to another: filtering and focusing are +done; and so on. There are discoveries on all levels of complexity. The Kuhnian +theory that certain rare events called "paradigm shifts" mark the distinction +between "normal" science and "conceptual revolutions" does not seem to work, +for we can see paradigm shifts happening all throughout the system, all the time. +The fluidity of descriptions ensures that paradigm shifts will take place on all +scales. + +Of course, some discoveries are more "revolutionary" than others, because +they have wider effects. For instance, one can make the discovery that problems +70 and 71 (Fig. 130) are ’’the same problem", when looked at on a sufficiently +abstract level. The key observation is that both involve depth-2 versus depth-l +nesting. This is a new level of discovery that can he made about Bongard +problems. There is an even higher level, concerning the collection as a whole. If +someone has never seen the collection, it can be a good puzzle just to figure out +what it is. To figure it out is a revolutionary insight, but it must be pointed out that +the mechanisms of thought which allow such a discovery to be made are no +different from those which operate in the solution of a single Bongard problem. + +By the same token, real science does not divide up into "normal" periods versus +"conceptual, revolutions"; rather, paradigm shifts pervade-there are just bigger and +smaller ones, paradigm shifts on different levels. The recursive plots of INT and +Gplot (Figs. 32 and 34) provide a geometric model for this idea: they have the same +structure full of discontinuous jumps on every level, not just the top level-only the +lower the level, the smaller the jumps + +Connections to Other Types of Thought + +To set this entire program somewhat in context, let me suggest two ways in which it is +related to other aspects of cognition. Not only does it depend on other aspects of +cognition, but also they in turn depend on it. First let me comment on how it depends on +other aspects of cognition. The intuition which is required for knowing when it makes +sense to blur distinctions, to try redescriptions, to backtrack, to shift levels, and so forth, +is something which probably comes only with much experience in thought in general. +Thus it would be very hard to define heuristics for these crucial aspects of the program. +Sometimes one's experience with real objects in the world has a subtle effect on how one +describes or redescribes boxes. For instance, who can say how much one's familiarity +with living trees helps one to solve BP 70% It is very doubtful that in humans, the +subnetwork of concepts relevant to these puzzles can be easily separated out from the +whole network. Rather, it is much more likely that one's intuitions gained from seeing +and handling real objects-combs, trains, strings, blocks, letters, rubber bands, etc., etc.- +play an invisible but significant guiding role in the solution of these puzzles. + +Conversely, it is certain that understanding real-world situations heavily depends +on visual imagery and spatial intuition, so that having a powerful and flexible way of +representing patterns such as these Bongard patterns can only contribute to the general +efficiency of thought processes. + +It seems to me that Bongard's problems were worked out with great care, and that they +have a quality of universality to them, in the sense that each one has a unique correct +answer. Of course one could argue with this and say that what we consider "correct" +depends in some deep way on our being human, and some creatures from some other star +system might disagree entirely. Not having any concrete evidence either way, I still have +a certain faith that Bongard problems depend on a sense of simplicity which is not just +limited to earthbound human beings. My earlier comments about the probable importance +of being acquainted with such surely earth-limited objects as combs, trains, rubber bands, +and so on, are not in conflict with the idea that our notion of simplicity is universal, for +what matters is not any of these individual objects, but the fact that taken together they +span a wide space. And it seems likely that any other civilization would have as vast a +repertoire of artifacts and natural objects and varieties of experience on which to draw as +we do. So I believe that the skill of solving Bongard +problems lies very close to the core of "pure" intelligence, if there is such a thing. +Therefore it is a good place to begin if one wants to investigate the ability to discover +"intrinsic meaning" in patterns or messages. Unfortunately we have reproduced only a +small selection of his stimulating collection. I hope that many readers will acquaint +themselves with the entire collection, to be found in his book (see Bibliography). + +Some of the problems of visual pattern recognition which we human beings seem +to have completely "flattened" into our unconscious are quite amazing. They include: +recognition of faces (invariance of faces under age change, expression change, +lighting change, distance change, angle change, etc.) +recognition of hiking trails in forests and mountains-somehow this has always +impressed me as one of our most subtle acts of pattern recognition-and yet +animals can do it, too +reading text without hesitation in hundreds if not thousands of different typefaces + +Message-Passing Languages, Frames, and Symbols + +One way that has been suggested for handling the complexities of pattern recognition and +other challenges to A1 programs is the so-called "actor" formalism of Carl Hewitt (similar +to the language "Smalltalk", developed by Alan Kay and others), in which a program is +written as a collection of interacting actors, which can pass elaborate messages back and +forth among themselves. In a way, this resembles a heterarchical collection of procedures +which can call each other. The major difference is that where procedures usually only +pass a rather small number of arguments back and forth, the messages exchanged by +actors can be arbitrarily long and complex. + +Actors with the ability to exchange messages become somewhat autonomous +agents-in fact, even like autonomous computers, with messages being somewhat like +programs. Each actor can have its own idiosyncratic way of interpreting any given +message; thus a message's meaning will depend on the actor it is intercepted by. This +comes about by the actor having within it a piece of program which interprets messages; +so there may be as many interpreters as there are actors. Of course, there may be many +actors with identical interpreters; in fact, this could be a great advantage, just as it is +extremely important in the cell to have a multitude of identical ribosomes floating +throughout the cytoplasm, all of which will interpret a message-in this case, messenger +RNA-in one and the same way. + +It is interesting to think how one might merge the frame-notion with the actor-notion. Let +us call a frame with the capability of generating and interpreting complex messages a +symbol : + +* frame + actor = symbol + +We now have reached the point where we are talking about ways or implementing those +elusive active symbols of Chapters XI and XII; henceforth in this Chapter, "symbol" will +have that meaning. By the way, don't feel dumb if you don't immediately see just how +this synthesis is to be made. It is not clear, though it is certainly one of the most +fascinating directions to go in AI. Furthermore, it is quite certain that even the best +synthesis of these notions will turn out to have much less power than the actual symbols +of human minds. In that sense, calling these frame-actor syntheses "symbols" is +premature, but it is an optimistic way of looking at things. + +Let us return to some issues connected with message passing. Should each +message be directed specifically at a target symbol, or should it be thrown out into the +grand void, much as mRNA is thrown out into the cytoplasm, to seek its ribosome? If +messages have destinations, then each symbol must have an address, and messages for it +should always be sent to that address. On the other hand, there could be one central +receiving dock for messages, where a message would simply sit until it got picked up by +some symbol that wanted it. This is a counterpart to General Delivery. Probably the best +solution is to allow both types of message to exist; also to have provisions for different +classes of urgency-special delivery, first class, second class, and so on. The whole postal +system provides a rich source of ideas for message-passing languages, including such +curios as self addressed stamped envelopes (messages whose senders want answers +quickly), parcel post (extremely long messages which can be sent some very slow way), +and more. The telephone system will give you more inspiration when you run out of +postal-system ideas. + +Enzymes and AI + +Another rich source of ideas for message passing-indeed, for information processing in +general-is, of course, the cell. Some objects in the cell are quite comparable to actors-in +particular, enzymes. Each enzyme's active site acts as a filter which only recognizes +certain kinds of substrates (messages). Thus an enzyme has an "address", in effect. The +enzyme is "programmed" (by virtue of its tertiary structure) to carry out certain +operations upon that "message", and then to release it to the world again. Now in this +way, when a message is passed from enzyme to enzyme along a chemical pathway, a lot +can be accomplished. We have already described the elaborate kinds of feedback +mechanisms which can take place in cells (either by inhibition or repression). These kinds +of mechanisms show that complicated control of processes can arise through the kind of +message passing that exists in the cell. + +One of the most striking things about enzymes is how they sit around idly, +waiting to be triggered by an incoming substrate. Then, when the substrate arrives, +suddenly the enzyme springs into action, like a Venus's flytrap. This kind of "hair- +trigger" program has been used in AI, and goes by the name of demon. The important +thing here is the idea of having many different "species" of triggerable subroutines just +lying around waiting to +be triggered. In cells, all the complex molecules and organelles are built up, simple step +by simple step. Some of these new structures are often enzymes themselves, and they +participate in the building of new enzymes, which in turn participate in the building of yet +other types of enzyme, etc. Such recursive cascades of enzymes can have drastic effects +on what a cell is doing. One would like to see the same kind of simple step-by-step +assembly process imported into AI, in the construction of useful subprograms. For +instance, repetition has a way of burning new circuits into our mental hardware, so that +oft-repeated pieces of behavior become encoded below the conscious level. It would be +extremely useful if there were an analogous way of synthesizing efficient pieces of code +which can carry out the same sequence of operations as something which has been +learned on a higher level of "consciousness". Enzyme cascades may suggest a model for +how this could be done. (The program called "HACKER", written by Gerald Sussman, +synthesizes and debugs small subroutines in a way not too much unlike that of enzyme +cascades.) + +The sameness-detectors in the Bongard problem-solver (Sams) could be +implemented as enzyme-like subprograms. Like an enzyme, a Sam would meander about +somewhat at random, bumping into small data structures here and there. Upon filling its +two "active sites" with identical data structures, the Sam would emit a message to other +parts (actors) of the program. As long as programs are serial, it would not make much +sense to have several copies of a Sam, but in a truly parallel computer, regulating the +number of copies of a subprogram would be a way of regulating the expected waiting¬ +time before an operation gets done, just as regulating the number of copies of an enzyme +in a cell regulates how fast that function gets performed. And if new Sams could be +synthesized, that would be comparable to the seepage of pattern detection into lower +levels of our minds. + +Fission and Fusion + +Two interesting and complementary ideas concerning the interaction of symbols are +"fission" and "fusion". Fission is the gradual divergence of a new symbol from its parent +symbol (that is, from the symbol which served as a template off of which it was copied). +Fusion is what happens when two (or more) originally unrelated symbols participate in a +"joint activation", passing messages so tightly back and forth that they get bound together +and the combination can thereafter be addressed as if it were a single symbol. Fission is a +more or less inevitable process, since once a new symbol has been "rubbed off of an old +one, it becomes autonomous, and its interactions with the outside world get reflected in +its private internal structure; so what started out as a perfect copy will soon become +imperfect, and then slowly will become less and less like the symbol off of which it was +"rubbed". Fusion is a subtler thing. When do two concepts really become 'one? Is there +some precise instant when a fusion takes place? + +This notion of joint activations opens up a Pandora's box of questions. For +instance, how much coo we hear "dough" and "nut" when we say "doughnut"? Does a +German who thinks of gloves ("Handschuhe") hear "hand-shoes" or not? How about +Chinese people, whose word "dong-xi" ("East-West") means "thing"? It is a matter of +some political concern, too, since some people claim that words like "chairman" are +heavily charged with undertones of the male gender. The degree to which the parts +resonate inside the whole probably varies from person to person and according to +circumstances. + +The real problem with this notion of "fusion" of symbols is that it is very hard to +imagine general algorithms which will create meaningful new symbols from colliding +symbols. It is like two strands of DNA which come together. How do you take parts from +each and recombine them into a meaningful and viable new strand of DNA which codes +for an individual of the same species? Or a new kind of species? The chance is +infinitesimal that a random combination of pieces of DNA will code for anything that +will survive-something like the chance that a random combination of words from two +books will make another book. The chance that recombinant DNA will make sense on +any level but the lowest is tiny, precisely because there are so many levels of meaning in +DNA. And the same goes for "recombinant symbols". + +Epigenesis of the Crab Canon + +I think of my Dialogue Crab Canon as a prototype example where two ideas collided in +my mind, connected in a new way, and suddenly a new kind of verbal structure came +alive in my mind. Of course I can still think about musical crab canons and verbal +dialogues separately-they can still be activated independently of each other; but the fused +symbol for crab canonical dialogues has its own characteristic modes of activation, too. +To illustrate this notion of fusion or "symbolic recombination" in some detail, then, I +would like to use the development of my Crab Canon as a case study, because, of course, +it is very familiar to me, and also because it is interesting, yet typical of how far a single +idea can be pushed. I will recount it in stages named after those of meiosis, which is the +name for cell division in which "crossing-over", or genetic recombination, takes place-the +source of diversity in evolution. + +PROPHASE: I began with a rather simple idea-that a piece of music, say a canon, +could be imitated verbally. This came from the observation that, through a shared abstract +form, a piece of text and a piece of music may be connected. The next step involved +trying to realize some of the potential of this vague hunch; here, I hit upon the idea that +"voices" in canons can be mapped onto "characters" in dialogues-still a rather obvious +idea. + +Then I focused down onto specific kinds of canons, and remembered that there +was a crab canon in the Musical Offering. At that time, I had just +begun writing Dialogues, and there were only two characters: Achilles and the Tortoise. +Since the Bach crab canon has two voices, this mapped perfectly: Achilles should be one +voice, the Tortoise the other, with the one doing forwards what the other does backwards. +But here I was faced with a problem: on what level should the reversal take place? The +letter level? The word level? The sentence level? After some thought, I concluded that +the "dramatic line" level would be most appropriate. + +Now that the "skeleton" of the Bach crab canon had been transplanted, at least in +plan, into a verbal form, there was just one problem. When the two voices crossed in the +middle, there would be a short period of extreme repetition: an ugly blemish What to do +about it? Here, a strange thing happened, a kind of level-crossing typical of creative acts: +the word "crab" in "crab canon" flashed into my mind, undoubtedly because of some +abstract shared quality with the notion of "tortoise"-and immediately I realized that at the +dead center, I could block the repetitive effect, by inserting one special line, said by a +new character: a Crab! This is how, in the "prophase" of the Crab Canon, the Crab was +conceived: at the crossing over of Achilles and the Tortoise. (See Fig. 131.) + +* A-c-li-i-I-1-c-Ss + +* I -o-r-l-o-i-5-e + +METAPHASE: This was the skeleton of my Crab Canon. I then entered the +second stage-the "metaphase"-in which I had to fill in the flesh, which was of course an +arduous task. I made a lot of stabs at it, getting used to the way in which pairs of +successive lines had to make sense when read from either direction, and experimenting +around to see what kinds of dual meanings would help me in writing such a form (e.g., +"Not at all"). There were two early versions both of which were interesting, but weak. I +abandoned work on the book for over a year, and when I returned to the Crab Canon, I +had a few new ideas. One of them was to mention a Bach canon inside it. At first my plan +was to mention the "Canon per augmentationem, contrario motu", from the Musical +Offering (Sloth Canon, as I call it). But that started to seem a little silly, so reluctantly I +decided that inside my Crab Canon, I could talk about Bach’s own Crab Canon instead. +Actually, this was a crucial turning point, but I didn't know it then. + +Now if one character was going to mention a Bach piece, wouldn't it be awkward +for the other to say exactly the same thing in the corresponding place? Well, Escher was +playing a similar role to Bach in my thoughts and my book, so wasn't there some way of +just slightly modifying the line so that it would refer to Escher? After all, in the strict art +of canons, note-perfect imitation is occasionally foregone for the sake of elegance or +beauty. And +no sooner did that idea occur to me than the picture Day and Night (Fig. 49) popped into +my mind. "Of course!" I thought, "It is a sort of pictorial crab canon, with essentially two +complementary voices carrying the same theme both leftwards and rightwards, and +harmonizing with each other!" Here again was the notion of a single "conceptual +skeleton" being instantiated in two different media-in this case, music and art. So I let the +Tortoise talk about Bach, and Achilles talk about Escher, in parallel language; certainly +this slight departure from strict imitation retained the spirit of crab cano.is. + +At this point, I began realizing that something marvelous was happening namely, +the Dialogue was becoming self-referential, without my even having intended it! What's +more, it was an indirect self-reference, in that the characters did not talk directly about +the Dialogue they were in, but rather about structures which were isomorphic to it (on a +certain plane of abstraction). To put it in the terms I have been using, my Dialogue now +shared a "conceptual skeleton" with Godel’s G, and could therefore be mapped onto G in +somewhat the way that the Central Dogma was, to create in this case a "Central +Crabmap". This was most exciting to me, since out of nowhere had come an esthetically +pleasing unity of Godel, Escher, and Bach. + +ANAPHASE: The next step was quite startling. I had had Caroline MacGillavry's +monograph on Escher's tessellations for years, but one day, as I flipped through it, my +eye was riveted to Plate 23 (Fig. 42), for I saw it in a way I had never seen it before: here +was a genuine crab canon-crab-like in both form and content! Escher himself had given +the picture no title, and since he had drawn similar tessellations using many other animal +forms, it is probable that this coincidence of form and content was just something which I +had noticed. But fortuitous or not, this untitled plate was a miniature version of one main +idea of my book: to unite form and content. So with delight I christened it Crab Canon, +substituted it for Day and Night, and modified Achilles' and the Tortoise's remarks +accordingly. + +Yet this was not all. Having become infatuated with molecular biology, one day I +was perusing Watson's book in the bookstore, and in the index saw the word +"palindrome". When I looked it up, I found a magical thing: crab-canonical structures in +DNA. Soon the Crab's comments had been suitably modified to include a short remark to +the effect that he owed his predilection for confusing retrograde and forward motion to +his genes. + +TELOPHASE: The last step came months later, when, as I was talking about the +picture of the crab-canonical section of DNA (Fig. 43), 1 saw that the 'A', 'T\ 'C' of +Adenine, Thymine, Cytosine coincided- mirabile dictu-wdh the 'A', 'T', 'C' of Achilles, +Tortoise, Crab; moreover, just as Adenine and Thymine are paired in DNA, so are +Achilles and the Tortoise paired in the Dialogue. I thought for a moment and, in another +of those level-crossings, saw that 'G', the letter paired with 'C' in DNA, could stand for +"Gene". Once again, I jumped back to the Dialogue, did a little surgery on the Crab's +speech to reflect this new discovery, and now I had a mapping between the DNA's +structure, and the Dialogue's structure. In that sense, the DNA could be said to be a +genotype coding for a phenotype: the + +Structure of the Dialogue. This final touch dramatically heightened the self-reference, +and gave the Dialogue a density of meaning which I had never anticipated. + +Conceptual Skeletons and Conceptual Mapping + +That more or less summarizes the epigenesis of the Crab Canon. The whole process can +be seen as a succession of mappings of ideas onto each other, at varying levels of +abstraction. This is what I call conceptual mapping, and the abstract structures which +connect up two different ideas are conceptual skeletons. Thus, one conceptual skeleton is +that of the abstract notion of a crab canon: + +a structure having two parts which do the same thing, +only moving in opposite directions. + +This is a concrete geometrical image which can be manipulated by the mind +almost as a Bongard pattern. In fact, when I think of the Crab Canon today, I visualize it +as two strands which cross in the middle, where they are joined by a "knot” (the Crab's +speech). This is such a vividly pictorial image that it instantaneously maps, in my mind, +onto a picture of two homologous chromosomes joined by a centromere in their middle, +which is an image drawn directly from meiosis, as shown in Figure 132. + +In fact, this very image is what inspired me to cast the description of the Crab Canon's +evolution in terms of meiosis-which is itself, of course, vet another example of +conceptual mapping. + +Recombinant Ideas + +There are a variety of techniques of fusion of two symbols. One involves lining the two +ideas up next to each other (as if ideas were linear!), then judiciously choosing pieces +from each one, and recombining them in a new symbol. This strongly recalls genetic +recombination. Well, what do chromosomes exchange, and how do they do it? They +exchange genes. What in a symbol is comparable to a gene? If symbols have frame-like +slots, then slots, perhaps. But which slots to exchange, and why? Here is where the +crabcanonical fusion may offer some ideas. Mapping the notion of "musical crab canon" +onto that of "dialogue" involved several auxiliary mappings; in + +fact it induced them. That is, once it had been decided that these two notions ,ere to be +fused, it became a matter of looking at them on a level where analogous parts emerged +into view, then going ahead and mapping the parts onto each other, and so on, +recursively, to any level that was found desirable. Here, for instance, "voice" and +"character" emerged as corresponding slots when "crab canon" and "dialogue" were +viewed abstractly. Where did these abstract views come from, though? This is at the crux +of the mapping-problem-where do abstract views come from? How do you make abstract +views of specific notions? + +Abstractions, Skeletons, Analogies + +A view which has been abstracted from a concept along some dimension is what I call a +conceptual skeleton. In effect, we have dealt with conceptual skeletons all along, without +often using that name. For instance, many of the ideas concerning Bongard problems +could be rephrased using this terminology. It is always of interest, and possibly of +importance, when two or more ideas are discovered to share a conceptual skeleton. An +example is the bizarre set of concepts mentioned at the beginning of the Contrafactus: a +Bicyclops, a tandem unicycle, a teeter-teeter, the game of ping-ping, a one-way tie, a +two-sided Mobius strip, the "Bach twins", a piano concerto for two left hands, a one- +voice fugue, the act of clapping with one hand, a two-channel monaural phonograph, a +pair of eighth-backs. All of these ideas are "isomorphic" because they share this +conceptual skeleton: + +a plural thing made singular and re-pluralized wrongly. + +Two other ideas in this book which share that conceptual skeleton are (1) the Tortoise's +solution to Achilles' puzzle, asking for a word beginning and ending in "HE" (the +Tortoise's solution being the pronoun "HE", which collapses two occurrences into one), +and (2) the Pappus-Gelernter proof of the Pons As' norum Theorem, in which one triangle +is reperceived as two. Incidentally, these droll concoctions might be dubbed "demi- +doublets". + +A conceptual skeleton is like a set of constant features (as distinguished from +parameters or variables)-features which should not be slipped in a subjunctive instant +replay or mapping-operation. Having no parameters or variables of its own to vary, it can +be the invariant core of several different ideas. Each instance of it, such as "tandem +unicycle", does have layers of variability and so can be "slipped" in various ways. + +Although the name "conceptual skeleton" sounds absolute and rigid, actually +there is a lot of play in it. There can be conceptual skeletons on several different levels of +abstraction. For instance, the "isomorphism" between Bongard problems 70 and 71, +already pointed out, involves a higher-level conceptual skeleton than that needed to solve +either problem in isolation. + +Multiple Representations + +Not only must conceptual skeletons exist on different levels of abstraction; also, they +must exist along different conceptual dimensions. Let us take the following sentence as +an example: + +"The Vice President is the spare tire on the automobile of government." + +How do we understand what it means (leaving aside its humor, which is of course a vital +aspect)? If you were told, "See our government as an automobile" without any prior +motivation, you might come up with any number of correspondences: steering wheel = +president, etc.. What are checks and balances? What are seat belts? Because the two +things being mapped are so different, it is almost inevitable that the mapping will involve +functional aspects. Therefore, you retrieve from your store of conceptual skeletons +representing parts of automobiles, only those having to do with function, rather than, say, +shape. Furthermore, it makes sense to work at a pretty high level of abstraction, where +"function" isn't taken in too narrow a context. Thus, of the two following definitions of +the function of a spare tire: (1) "replacement for a flat tire", and (2) "replacement for a +certain disabled part of a car", certainly the latter would be preferable, in this case. This +comes simply from the fact that an auto and a government are so different that they have +to be mapped at a high level of abstraction. + +Now when the particular sentence is examined, the mapping gets forced in one +respect-but it is not an awkward way, by any means. In fact, you already have a +conceptual skeleton for the Vice President, among many others, which says, +"replacement for a certain disabled part of government". Therefore the forced mapping +works comfortably. But suppose, for the sake of contrast, that you had retrieved another +conceptual skeleton for "spare tire"-say, one describing its physical aspects. Among other +things, it might say that a spare tire is "round and inflated". Clearly, this is not the right +way to go. (Or is it? As a friend of mine pointed out, some Vice Presidents are rather +portly, and most are quite inflated!) + +Ports of Access + +One of the major characteristics of each idiosyncratic style of thought is how new +experiences get classified and stuffed into memory, for that defines the "handles" by +which they will later be retrievable. And for events, objects, ideas, and so on-for +everything that can be thought about-there is a wide variety of "handles". I am struck by +this each time I reach down to turn on my car radio, and find, to my dismay, that it is +already on! What has happened is that two independent representations are being used for +the radio. One is "music producer", the other is "boredom reliever". I am aware that the +music is on, but I am bored anyway, and before the two realizations have a chance to +interact, my reflex to reach +down has been triggered. The same reaching-down reflex one day occurred just after I'd +left the radio at a repair shop and was driving away, wanting to hear some music. Odd. +Many other representations for the same object exist, such as + +* shiny silver-knob haver + +* overheating-problems haver + +* lying-on-my-back-over-hump-to-fix thing + +* buzz-maker + +* slipping-dials object + +* multidimensional representation example + +All of them can act as ports of access. Though they all are attached to my symbol for my +car radio, accessing that symbol through one does not open up all the others. Thus it is +unlikely that I will be inspired to remember lying on my back to fix the radio when I +reach down and turn it on. And conversely, when I'm lying on my back, unscrewing +screws, I probably won't think about the time I heard the Art of the Fugue on it. There are +"partitions" between these aspects of one symbol, partitions that prevent my thoughts +from spilling over sloppily, in the manner of free associations. My mental partitions are +important because they contain and channel the flow of my thoughts. + +One place where these partitions are quite rigid is in sealing off words for the +same thing in different languages. If the partitions were not strong, a bilingual person +would constantly slip back and forth between languages, which would be very +uncomfortable. Of course, adults learning two new languages at once often confuse +words in them. The partitions between these languages are flimsier, and can break down. +Interpreters are particularly interesting, since they can speak any of their languages as if +their partitions were inviolable and yet, on command, they can negate those partitions to +allow access to one language from the other, so they can translate. Steiner, who grew up +trilingual, devotes several pages in After Babel to the intermingling of French, English, +and German in the layers of his mind, and how his different languages afford different +ports of access onto concepts. + +Forced Matching + +When two ideas are seen to share conceptual skeletons on some level of abstraction, +different things can happen. Usually the first stage is that you zoom in on both ideas, and, +using the higher-level match as a guide, you try to identify corresponding subideas. +Sometimes the match can be extended recursively downwards several levels, revealing a +profound isomorphism. Sometimes it stops earlier, revealing an analogy or similarity. +And then there are times when the high-level similarity is so compelling that, even if +there is no apparent lower-level continuation of the map, you just go ahead and make +one: this is the forced match. + +Forced matches occur every day in the political cartoons of newspapers: a +political figure is portrayed as an airplane, a boat, a fish, the Mona Lisa; a government is +a human, a bird, an oil rig; a treaty is a briefcase, a sword, a can of worms; on and on and +on. What is fascinating is how easily we can perform the suggested mapping, and to the +exact depth intended. We don't carry the mapping out too deeply or too shallowly. + +Another example of forcing one thing into the mold of another occurred when I +chose to describe the development of my Crab Canon in terms of meiosis. This happened +in stages. First, I noticed the common conceptual skeleton shared by the Crab Canon and +the image of chromosomes joined by a centromere; this provided the inspiration for the +forced match. Then I saw a high-level resemblance involving "growth", "stages", and +"recombination". Then I simply pushed the analogy as hard as I could. Tentativity-as in +the Bongard problem-solver-played a large role: I went forwards and backwards before +finding a match which I found appealing. + +A third example of conceptual mapping is provided by the Central Dogmap. I +initially noticed a high-level similarity between the discoveries of mathematical logicians +and those of molecular biologists, then pursued it on lower levels until I found a strong +analogy. To strengthen it further, I chose a Godel-numbering which imitated the Genetic +Code. This was the lone element of forced matching in the Central Dogmap. + +Forced matches, analogies, and metaphors cannot easily be separated out. +Sportscasters often use vivid imagery which is hard to pigeonhole. For instance, in a +metaphor such as "The Rams [football team are spinning their wheels", it is hard to say +just what image you are supposed to conjure up. Do you attach wheels to the team as a +whole% Or to each player? Probably neither one. More likely, the image of wheels +spinning in mud or snow simply flashes before you for a brief instant, and then in some +mysterious way, just the relevant parts get lifted out and transferred to the team's +performance. How deeply are the football team and the car mapped onto each other in the +split second that you do this? + +Recap + +Let me try to tie things together a little. I have presented a number of related ideas +connected with the creation, manipulation, and comparison of symbols. Most of them +have to do with slippage in some fashion, the idea being that concepts are composed of +some tight and some loose elements, coming from different levels of nested contexts +(frames). The loose ones can be dislodged and replaced rather easily, which, depending +on the circumstances, can create a "subjunctive instant replay", a forced match, or an +analogy. A fusion of two symbols may result from a process in which parts of each +symbol are dislodged and other parts remain. + +Creativity and Randomness + +It is obvious that we are talking about mechanization of creativity. But the this not a +contradiction in terms? Almost, but not really. Creativity s essence of that which is not +mechanical. Yet every creative act is mechanical-it has its explanation no less than a case +of the hiccups does. The mechanical substrate of creativity may be hidden from view, but +it exists. Conversely, there is something unmechanical in flexible programs, even today. +It may not constitute creativity, but when programs cease to be transparent to their +creators, then the approach to creativity has begun. + +It is a common notion that randomness is an indispensable ingredient of creative +acts. This may be true, but it does not have any bearing on the mechanizability-or rather, +programmability!-of creativity. The world is a giant heap of randomness; when you +mirror some of it inside your head, your head's interior absorbs a little of that +randomness. The triggering patterns of symbols, therefore, can lead you down the most +randomseeming paths, simply because they came from your interactions with a crazy, +random world. So it can be with a computer program, too. Randomness is an intrinsic +feature of thought, not something which has to be "artificially inseminated", whether +through dice, decaying nuclei, random number tables, or what-have-you. It is an insult to +human creativity to imply that it relies on such arbitrary sources. + +What we see as randomness is often simply an effect of looking at something +symmetric through a "skew" filter. An elegant example was provided by Salviati's two +ways of looking at the number it/4. Although the decimal expansion of 7r/4 is not literally +random, it is as random as one would need for most purposes: it is "pseudorandom". +Mathematics is full of pseudorandomness-plenty enough to supply all would-be creators +for all time. + +Just as science is permeated with "conceptual revolutions" on all levels at all +times, so the thinking of individuals is shot through and through with creative acts. They +are not just on the highest plane; they are everywhere. Most of them are small and have +been made a million times before-but they are close cousins to the most highly creative +and new acts. Computer programs today do not yet seem to produce many small +creations. Most of what they do is quite "mechanical" still. That just testifies to the fact +that they are not close to simulating the way we think-but they are getting closer. + +Perhaps what differentiates highly creative ideas from ordinary ones is some +combined sense of beauty, simplicity, and harmony. In fact, I have a favorite "meta¬ +analogy", in which I liken analogies to chords. The idea is simple: superficially similar +ideas are often not deeply related; and deeply related ideas are often superficially +disparate. The analogy to chords is natural: physically close notes are harmonically +distant (e.g., E-F-G); and harmonically close notes are physically distant (e.g., G-E-B). +Ideas that share a conceptual skeleton resonate in a sort of conceptual analogue to +harmony; these harmonious "idea-chords" are often widely separated, as +measured on an imaginary "keyboard of concepts". Of course, it doesn't suffice to reach +wide and plunk down any old way-you may hit a seventh or a ninth! Perhaps the present +analogy is like a ninth-chord-wide but dissonant. + +Picking up Patterns on All Levels + +Bongard problems were chosen as a focus in this Chapter because when you study them, +you realize that the elusive sense for patterns which we humans inherit from our genes +involves all the mechanisms of representation of knowledge, including nested contexts, +conceptual skeletons and conceptual mapping, slippability, descriptions and meta¬ +descriptions and their interactions, fission and fusion of symbols, multiple representations +(along different dimensions and different levels of abstraction), default expectations, and +more. + +These days, it is a safe bet that if some program can pick up patterns in one area, +it will miss patterns in another area which, to us, are equally obvious. You may remember +that I mentioned this back in Chapter 1, saying that machines can be oblivious to +repetition, whereas people cannot. For instance, consider SHRDLU. If Eta Oin typed the +sentence "Pick up a big red block and put it down" over and over again, SHRDLU would +cheerfully react in the same way over and over again, exactly as an adding machine will +print out "4" over and over again, if a human being has the patience to type "2+2" over +and over again. Humans aren't like that; if some pattern occurs over and over again, they +will pick it up. SHRDLU wasn't built with the potential for forming new concepts or +recognizing patterns: it had no sense of over and overview. + +The Flexibility of Language + +SHRDLU's language-handling capability is immensely flexible-within limits. SHRDLU +can figure out sentences of great syntactical complexity, or sentences with semantic +ambiguities as long as-they can- be resolved by inspecting the data base-but it cannot +handle "hazy" language. For instance, consider the sentence "How many blocks go on top +of each other to make a steeple?" We understand it immediately, yet it does not make +sense if interpreted literally. Nor is it that some idiomatic phrase has been used. "To go +on top of each other" is an imprecise phrase which nonetheless gets the desired image +across quite well to a human. Few people would be misled into visualizing a paradoxical +setup with two blocks each of which is on top of the other-or blocks which are "going" +somewhere or other. + +The amazing thing about language is how imprecisely we use it and still manage +to get away with it. SHRDLU uses words in a "metallic" way, while people use them in a +"spongy" or "rubbery" or even "Nutty-Puttyish" way. If words were nuts and bolts, +people could make any bolt fit into any nut: they'd just squish the one into the other, as in +some surrealistic +painting where everything goes soft. Language, in human hands, becomes almost like a +fluid, despite, the coarse grain of its components. + +Recently, A1 research in natural language understanding has turned away +somewhat from the understanding of single sentences in isolation, and more towards +areas such as understanding simple children's stories. Here is a well-known children's +joke which illustrates the open-endedness of real-life situations: + +* A man took a ride in an airplane. + +* Unfortunately, he fell out. + +* Fortunately, he had a parachute on. + +* Unfortunately, it didn't work. + +* Fortunately, there was a haystack below him. + +* Unfortunately, there was a pitchfork sticking out of it. + +* Fortunately, he missed the pitchfork. + +* Unfortunately, he missed the haystack. + +It can be extended indefinitely. To represent this silly story in a frame-based system +would be extremely complex, involving jointly activating frames for the concepts of man, +airplane, exit, parachute, falling, etc., etc. + +Intelligence and Emotions + +Or consider this tiny yet poignant story: + +Margie was holding tightly to the string of her beautiful new balloon. Suddenly, a +gust of wind caught it. The wind carried it into a tree. The balloon hit a branch +and burst. Margie cried and cried.' + +To understand this story, one needs to read many things between the lines. For instance: +Margie is a little girl. This is a toy balloon with a string for a child to hold. It may not be +beautiful to an adult, but in a child's eye, it is. She is outside. The "it" that the wind +caught was the balloon. The wind did not pull Margie along with the balloon; Margie let +go. Balloons can break on contact with any sharp point. Once they are broken, they are +gone forever. Little children love balloons and can be bitterly disappointed when they +break. Margie saw that her balloon was broken. Children cry when they are sad. "To cry +and cry" is to cry very long and hard. Margie cried and cried because of her sadness at +her balloon's breaking. + +This is probably only a small fraction of what is lacking at the surface level. A +program must have all this knowledge in order to get at what is going on. And you might +object that, even if it "understands" in some intellectual sense what has been said, it will +never really understand, until it, too, has cried and cried. And when will a computer do +that? This is the kind of humanistic point which Joseph Weizenbaum is concerned with +making in his book Computer Power and Human Reason , and I think it is an important +issue; in fact, a very, very deep issue. Unfortunately, many A1 workers at this time are +unwilling, for various reasons, to take this sort of point +seriously, taut in some ways, those A1 workers are right: it is a little premature to think +about computers crying; we must first think about rules for computers to deal with +language and other things; in time, we'll find ourselves face to face with the deeper +issues. + +AI Has Far to Go + +Sometimes it seems that there is such a complete absence of rule-governed behavior that +human beings just aren't rule-governed. But this is an illusion-a little like thinking that +crystals and metals emerge from rigid underlying laws, but that fluids or flowers don't. +We'll come back to this question in the next Chapter. + +The process of logic itself working internally in the brain may be more analogous +to a succession of operations with symbolic pictures, a sort of abstract analogue of +the Chinese alphabet or some Mayan description of events-except that the +elements are not merely words but more like sentences or whole stories with +linkages between them forming a sort of meta- or super-logic with its own rules.' + +It is hard for most specialists to express vividly-perhaps even to remember-what +originally sparked them to enter their field. Conversely, someone on the outside may +understand a field's special romance and may be able to articulate it precisely. I think that +is why this quote from Ulam has appeal for me, because it poetically conveys the +strangeness of the enterprise of Al, and yet shows faith in it. And one must run on faith at +this point, for there is so far to go! + +Ten Questions and Speculations + +To conclude this Chapter, I would like to present ten "Questions and Speculations" about +Al. I would not make so bold as to call them "Answers"-these are my personal opinions. +They may well change in some ways, as I learn more and as Al develops more. (In what +follows, the term "Al program" means a program which is far ahead of today's programs; +it means an "Actually Intelligent" program. Also, the words "program" and "computer" +probably carry overly mechanistic connotations, but let us stick with them anyway.) + +Question: Will a computer program ever write beautiful music? + +Speculation: Yes, but not soon. Music is a language of emotions, and until programs +have emotions as complex as ours, there is no way a program will write anything +beautiful. There can be "forgeries” shallow imitations of the syntax of earlier music- +but despite what one might think at first, there is much more to musical expression +than can be captured in syntactical rules. There will be no new kinds of beauty +turned up for a long time by computer music-composing programs. Let me carry this +thought a little further. To think-and I have heard this suggested-that we might soon +be able to command a preprogrammed mass-produced mail-order twenty-dollar +desk-model "music box" to bring forth from its sterile circuitry pieces which Chopin +or Bach might have written had they lived longer is a grotesque and shameful +misestimation of the depth of the human spirit. A "program" which could produce +music as they did would have to wander around the world on its own, fighting its +way through the maze of life and feeling every moment of it. It would have to +understand the joy and loneliness of a chilly night wind, the longing for a cherished +hand, the inaccessibility of a distant town, the heartbreak and regeneration after a +human death. It would have to have known resignation and worldweariness, grief +and despair, determination and victory, piety and awe. In it would have had to +commingle such opposites as hope and fear, anguish and jubilation, serenity and +suspense. Part and parcel of it would have to be a sense of grace, humor, rhythm, a +sense of the unexpected-and of course an exquisite awareness of the magic of fresh +creation. Therein, and therein only, lie the sources of meaning in music. + +Question: Will emotions be explicitly programmed into a machine? + +Speculation: No. That is ridiculous. Any direct simulation of emotions-PARRY, for +example-cannot approach the complexity of human emotions, which arise +indirectly from the organization of our minds. Programs or machines will acquire +emotions in the same way: as by-products of their structure, of the way in which +they are organized-not by direct programming. Thus, for example, nobody will +write a "falling-in-love" subroutine, any more than they would write a "mistake¬ +making" subroutine. "Falling in love" is a description which we attach to a complex +process of a complex system; there need be no single module inside the system +which is solely responsible for it, however! + +Question: Will a thinking computer be able to add fast? + +Speculation: Perhaps not. We ourselves are composed of hardware which does fancy +calculations but that doesn't mean that our symbol level, where "we" are, knows +how to carry out the same fancy calculations. Let me put it this way: there's no way +that you can load numbers into your own neurons to add up your grocery bill. +Luckily for you, your symbol level (i.e., you) can't gain access to the neurons which +are doing your thinking-otherwise you'd get addle-brained. To paraphrase Descartes +again: + +"I think; therefore I have no access +to the level where I sum." + +Why should it not be the same for an intelligent program? It mustn't be allowed to gain +access to the circuits which are doing its thinking otherwise it'll get addle-CPU'd. +Quite seriously, a machine that can pass the Turing test may well add as slowly as +you or I do, and for +similar reasons. It will represent the number 2 not just by the two bits "10", but as a +full-fledged concept the way we do, replete with associations such as its homonyms +"too" and "to", the words "couple" and "deuce", a host of mental images such as +dots on dominos, the shape of the numeral '2', the notions of alternation, evenness, +oddness, and on and on ... With all this "extra baggage" to carry around, an +intelligent program will become quite slothful in its adding. Of course, we could +give it a ' pocket calculator , so to speak (or build one in). Then it could answer +very fast, but its performance would be just like that of a person with a pocket +calculator. There would be two separate parts to the machine: a reliable but +mindless part and an intelligent but fallible part. You couldn't rely on the composite +system to be reliable, any more than a composite of person and machine is +necessarily reliable. So if it's right answers you're after, better stick to the pocket +calculator alone-don't throw in the intelligence! + +Question: Will there be chess programs that can beat anyone? + +Speculation: No. There may be programs which can beat anyone at chess, but they +will not be exclusively chess players. They will be programs of general +intelligence, and they will be just as temperamental as people. "Do you want to play +chess?" "No, I'm bored with chess. Let's talk about poetry." That may be the kind of +dialogue you could have with a program that could beat everyone. That is because +real intelligence inevitably depends on a total overview capacity-that is, a +programmed ability to "jump out of the system", so to speak-at least roughly to the +extent that we have that ability. Once that is present, you can't contain the program; +it's gone beyond that certain critical point, and you just have to face the facts of +what you've wrought. + +Question: Will there be special locations in memory which store parameters governing +the behavior of the program, such that if you reached in and changed them, you would +be able to make the program smarter or stupider or more creative or more interested in +baseball? In short, would you be able to "tune" the program by fiddling with it on a +relatively low level? + +Speculation: No. It would be quite oblivious to changes of any particular elements in +memory, just as we stay almost exactly the same though thousands of our neurons +die every day(!). If you fuss around too heavily, though, you'll damage it, just as if +you irresponsibly did neurosurgery on a human being. There will be no "magic" +location in memory where, for instance, the "IQ" of the program sits. Again, that +will be a feature which emerges as a consequence of lower-level behavior, and +nowhere will it sit explicitly. The same goes for such things as "the number of +items it can hold in short-term memory", "the amount it likes physics", etc., etc. + +Question: Could you "tune" an A1 program to act like me, or like you-or halfway between +us? + +Speculation: No. An intelligent program will not be chameleon-like, any more than +people are. ,It will rely on the constancy of its memories, and will not be able to flit +between personalities. The idea of changing internal parameters to "tune to a new +personality" reveals a ridiculous underestimation of the complexity of personality. + +Question: Will there be a "heart" to an A1 program, or will it simply consist of "senseless +loops and sequences of trivial operations" (in the words of Marvin Minskys)? +Speculation: If we could see all the way to the bottom, as we can a shallow pond, we +would surely see only "senseless loops and sequences of trivial operations"-and we +would surely not see any "heart". Now there are two kinds of extremist views on +AI: one says that the human mind is, for fundamental and mysterious reasons, +unprogrammable. The other says that you merely need to assemble the appropriate +"heuristic devices-multiple optimizers, pattern-recognition tricks, planning +algebras, recursive administration procedures, and the like",' and you will have +intelligence. I find myself somewhere in between, believing that the "pond" of an +Al program will turn out to be so deep and murky that we won't be able to peer all +the way to the bottom. If we look from the top, the loops will be invisible, just as +nowadays the current-carrying electrons are invisible to most programmers. When +we create a program that passes the Turing test, we will see a "heart" even though +we know it's not there. + +Question: Will Al programs ever become "superintelligent"? + +Speculation: I don't know. It is not clear that we would be able to understand or relate +to a "superintelligence", or that the concept even makes sense. For instance, our +own intelligence is tied in with our speed of thought. If our reflexes had been ten +times faster or slower, we might have developed an entirely different set of +concepts with which to describe the world. A creature with a radically different +view of the world may simply not have many points of contact with us. I have often +wondered if there could be, for instance, pieces of music which are to Bach as Bach +is to folk tunes: "Bach squared", so to speak. And would I be able to understand +them? Maybe there is such music around me already, and I just don't recognize it, +just as dogs don't understand language. The idea of superintelligence is very +strange. In any case, I don't think of it as the aim of Al research, although if we ever +do reach the level of human intelligence, superintelligence will undoubtedly be the +next goal-not only for us, but for our Al-program colleagues, too, who will be +equally curious about Al and superintelligence. It seems quite likely that Al +programs will be extremely curious about Al in general-understandably. + +Question: You seem to be saying that AI programs will be virtually identical to people, +then. Won't there be any differences? + +Speculation: Probably the differences between A1 programs and people will be larger +than the differences between most people. It is almost impossible to imagine that +the "body" in which an A1 program is housed would not affect it deeply. So unless +it had an amazingly faithful replica of a human body-and why should it?-it would +probably have enormously different perspectives on what is important, what is +interesting, etc. Wittgenstein once made the amusing comment, "If a lion could +speak, we would not understand him." It makes me think of Rousseau's painting of +the gentle lion and the sleeping gypsy on the moonlit desert. But how does +Wittgenstein know? My guess is that any A1 program would, if comprehensible to +us, seem pretty alien. For that reason, we will have a very hard time deciding when +and if we really are dealing with an A1 program, or just a "weird" program. + +Question: Will we understand what intelligence and consciousness and free will and "I" +are when we have made an intelligent program? + +Speculation: Sort of-it all depends on what you mean by "understand". On a gut level, +each of us probably has about as good an understanding as is possible of those +things, to start with. It is like listening to music. Do you really understand Bach +because you have taken him apart? Or did you understand it that time you felt the +exhilaration in every nerve in your body? Do we understand how the speed of light +is constant in every inertial reference frame? We can do the math, but no one in the +world has a truly relativistic intuition. And probably no one will ever understand +the mysteries of intelligence and consciousness in an intuitive way. Each of us can +understand people , and that is probably about as close as you can come. + +DIALOGUE XX: Sloth Canon + +This time, we find Achilles and the Tortoise visiting +the dwelling of their new friend, the Sloth. + +Achilles: Shall I tell you of my droll footrace with Mr. T? + +Sloth: Please do. + +Achilles: It has become quite celebrated in these parts. I believe it's even been written up, +by Zeno. + +Sloth: It sounds very exciting. + +Achilles: It was. You see, Mr. T began way ahead of me. He had such a huge head start, +and yet + +Sloth: You caught up, didn't you? + +Achilles: Yes-being so fleet of foot, I diminished the distance between us at a constant +rate, and soon overtook him. + +Sloth: The gap kept getting shorter and shorter, so you could. + +Achilles: Exactly. Oh, look-Mr. T has brought his violin. May I try playing on it, Mr. T? + +Tortoise: Please don't. It sounds very flat. + +Achilles: Oh, all right. But I'm in a mood for music. I don't know why. Sloth: You can +play the piano, Achilles. + +Achilles: Thank you. I'll try it In a moment. I just wanted to add that I also had another +kind of "race" with Mr. T at a later date. Unfortunately, in that race + +Tortoise: You didn't catch up, did you? The gap kept getting longer and longer, so you +couldn't. + +Achilles: That's true. I believe THAT race has been written up, too, by Lewis Carroll. +Now, Mr. Sloth, I'll take up your offer of trying out the piano. But I'm so bad at the +piano. I'm not sure I dare. Sloth: You should try. + +(Achilles sits down and starts playing a simple tune.) + +Achilles: Oh-it sounds very strange. That's not how it's supposed to sound at all! +Something is very wrong. + +Tortoise: You can't play the piano, Achilles. You shouldn't try. + +Achilles: It's like a piano in a mirror. The high notes are on the left, and the low notes are +on the right. Every melody comes out inverted, as if upside down. Who would have +ever thought up something so cockeyed as that? + +Tortoise: That's so characteristic of sloths. They hang from- + +Achilles: Yes, I know-from tree branches-upside down, of course. That sloth-piano would +he appropriate for playing inverted melodies such +as occur in some canons and fugues. But to learn to play a piano while hanging from a +tree must he very difficult. You must have to devote a great deal of energy to it. + +Sloth: That's not so characteristic of sloths. + +Achilles: No, I gather sloths like to take life very easy. They do everything about half as +fast as normal. And upside down, to boot. What a peculiar way to go through life! +Speaking of things that are both upside- and slowed-down, there's a "Canon per +augmentationem, contrario motu" in the Musical Offering. In my edition, the letters +'S', 'A', 'T' are in front of the three staves. I don't know why. Anyway, I think Bach +carried it off very skillfully. What's your opinion, Mr. T? + +Tortoise: He outdid himself. As for those letters "SAT", you could guess what they stand +for. + +Achilles: "Soprano", "Alto", and "Tenor", I suppose. Three-part pieces are often written +for that combination of voices. Wouldn't you agree, Mr. Sloth? + +Sloth: They stand for- + +Achilles: Oh, just a moment, Mr. Sloth. Mr. Tortoise-why are you putting on your coat? +You're not leaving, are you? We were just going to fix a snack to eat. You look very +tired. How do you feel? + +Tortoise: Out of gas. So long! (Trudges wearily out the door) + +Achilles: The poor fellow-he certainly looked exhausted. He was jogging all morning. +He's in training for another race with me. Sloth: He did himself in. + +Achilles: Yes, but in vain. Maybe he could beat a Sloth ... but me? Never! Now-weren't +you about to tell me what those letters "SAT" stand for? Sloth: As for those letters +"SAT", you could never guess what they stand for. + +Achilles: Well, if they don't stand for what I thought, then my curiosity is piqued. + +Perhaps I'll think a little more about it. Say, how do you cook French fries? Sloth: In +oil. + +Achilles: Oh, yes-I remember. I'll cut up this potato into strips an inch or two in length. + +Sloth: So short? + +Achilles: All right, already, I'll cut four-inch strips. Oh, boy, are these going to be good +French fries! Too bad Mr. T won't be here to share them. + +CHAPTER XX: Strange Loops, Or Tangled Hierarchies + +Can Machines Possess Originality? + +IN THE CHAPTER before last, I +described Arthur Samuel's very +successful checkers program-the one +which can beat its designer. In light of +that, it is interesting to hear how Samuel +himself feels about the issue of +computers and originality. The following +extracts are taken from a rebuttal by +Samuel, written in 1960, to an article by +Norbert Wiener. + +It is my conviction that machines +cannot possess originality in the +sense implied by Wiener in his +thesis that "machines can and do +transcend some of the limitations +of their designers, and that in +doing so they may be both +effective and dangerous." .. . + +A machine is not a genie, it does +not work by magic, it does not +possess a will, and, Wiener to the +contrary, nothing comes out which +has not been put in, barring, of +course, an infrequent case of +malfunctioning... . + +The "intentions" which the +machine seems to manifest are the +intentions of the human +programmer, as specified in +advance, or they are subsidiary +intentions derived from these, +following rules specified by the +programmer. We can even +anticipate higher levels of +abstraction, just as Wiener does, in +which the program will not only +modify the subsidiary intentions +but will also modify the rules +which are used in their derivation, +or in which it will modify the ways +in which it modifies the rules, and +so on, or even in which one +machine will design and construct +a second machine with enhanced +capabilities. However, and this is +important, the machine will not +and cannot [italics are his do any +of these things until it has been +instructed as to how to proceed. +There is and logically there must +always remain a complete hiatus +between (i) any ultimate extension +and elaboration in this process of +carrying out man's wishes and (ii) +the development within the +machine of a will of its own. To +believe otherwise is either to +believe in magic or to believe that +the existence of man's will is an +illusion and that man's actions are +as mechanical as the machine's. +Perhaps Wiener's article and my +rebuttal have both been +mechanically determined, but this +I refuse to believe.' + +This reminds me of the Lewis Carroll +Dialogue (the Two-Part Invention)', I'll +try to explain why. Samuel bases his +argument against machine consciousness +(or will) on the notion that any +mechanical instantiation of will would +require an infinite regress. Similarly, +Carroll's Tortoise argues that no step of +reasoning, no matter how simple, can be +done without invoking some rule on a +higher level to justify the step in +question. But that being + +also a step of reasoning, one must resort +to a yet higher-level rule, and so on. +Conclusion: Reasoning involves an +infinite regress. + +Of course something is wrong +with the Tortoise's argument, and I +believe something analogous is wrong +with Samuel's argument. To show how +the fallacies are analogous, I now shall +"help the Devil", by arguing +momentarily as Devil's advocate. (Since, +as is well known, God helps those who +help themselves, presumably the Devil +helps all those, and only those, who don't +help themselves. Does the Devil help +himself?) Here are my devilish +conclusions drawn from the Carroll +Dialogue: + +The conclusion "reasoning is +impossible" does not apply to +people, because as is plain to +anyone, we do manage to carry out +many steps of reasoning, all the +higher levels notwithstanding. +That shows that we humans +operate without need of rules: we +are "informal systems". On the +other hand, as an argument against +the possibility of any mechanical +instantiation of reasoning, it is +valid, for any mechanical +reasoning-system would have to +depend on rules explicitly, and so +it couldn't get off the ground +unless it had metarules telling it +when to apply its rules, +metametarules telling it when to +apply its metarules, and so on. We +may conclude that the ability to +reason can never be mechanized. It +is a uniquely human capability. + +What is wrong with this Devil's advocate +point of view? It is obviously the +assumption that a machine cannot do +anything without having a rule telling it +to do so. In fact, machines get around the +Tortoise's silly objections as easily as +people do, and moreover for exactly the +same reason: both machines and people +are made of hardware which runs all by +itself, according to the laws of physics. +There is no need to rely on "rules that +permit you to apply the rules", because +the lowest- level rules-those without any +"meta'"s in front-are embedded in the +hardware, and they run without +permission. Moral: The Carroll Dialogue +doesn't say anything about the +differences between people and +machines, after all. (And indeed, +reasoning is mechanizable.) + +So much for the Carroll +Dialogue. On to Samuel's argument. +Samuel's point, if I may caricature it, is +this: + +No computer ever "wants" to do +anything, because it was +programmed by someone else. +Only if it could program itself +from zero on up-an absurdity- +would it have its own sense of +desire. + +In his argument, Samuel reconstructs the +Tortoise's position, replacing "to reason" +by "to want". He implies that behind any +mechanization of desire, there has to be +either an infinite regress or worse, a +closed loop. If this is why computers +have no will of their own, what about +people? The same criterion would imply +that +Unless a person designed himself +and chose his own wants (as well +as choosing to choose his own +wants, etc.), he cannot be said to +have a will of his own. + +It makes you pause to think where your +sense of having a will comes from. +Unless you are a soulist, you'll probably +say that it comes from your brain-a piece +of hardware which you did not design or +choose. And yet that doesn't diminish +your sense that you want certain things, +and not others. You aren't a "self- +programmed object" (whatever that +would be), but you still do have a sense +of desires, and it springs from the +physical substrate of your mentality. +Likewise, machines may someday have +wills despite the fact that no magic +program spontaneously appears in +memory from out of nowhere (a "self- +programmed program"). They will have +wills for much the same reason as you +do-by reason of organization and +structure on many levels of hardware +and software. Moral: The Samuel +argument doesn't say anything about the +differences between people and +machines, after all. (And indeed, will +will be mechanized.) + +Below Every Tangled Hierarchy +Lies An Inviolate Level + +Right after the Two-Part Invention , I +wrote that a central issue of this book +would be: "Do words and thoughts +follow formal rules?" One major thrust +of the book has been to point out the +many-leveledness of the mind/brain, and +I have tried to show why the ultimate +answer to the question is, "Yes-provided +that you go down to the lowest level-the +hardware-to find the rules." + +Now Samuel's statement brought +up a concept which I want to pursue. It is +this: When we humans think, we +certainly do change our own mental +rules, and we change the rules that +change the rules, and on and on-but +these are, so to speak, "software rules". +However, the rules at bottom do not +change. Neurons run in the same simple +way the whole time. You can't "think" +your neurons into running some +nonneural way, although you can make +your mind change style or subject of +thought. Like Achilles in the Prelude , +Ant Fugue, you have access to your +thoughts but not to your neurons. +Software rules on various levels can +change; hardware rules cannot-in fact, to +their rigidity is due the software's +flexibility! Not a paradox at all, but a +fundamental, simple fact about the +mechanisms of intelligence. + +This distinction between self- +modifiable software and inviolate +hardware is what I wish to pursue in this +final Chapter, developing it into a set of +variations on a theme. Some of the +variations may seem to be quite far¬ +fetched, but I hope that by the time I +close the loop by returning to brains, +minds, and the sensation of +consciousness, you will have found an +invariant core in all the variations. + +My main aim in this Chapter is to +communicate some of the images which +help me to visualize how consciousness +rises out of the jungle of neurons; to +communicate a set of intangible +intuitions, in the hope that +these intuitions are valuable and may +perhaps help others a 14tle to come to +clearer formulations of their own images +of what makes minds run. I could not +hope for more than that my own mind's +blurry images of minds and images +should catalyze the formation of sharper +images of minds and images in other +minds. + +A Self-Modifying Game + +A first variation, then, concerns games in +which on your turn, you may modify the +rules. Think of chess. Clearly the rules +stay the same, just the board position +changes on each move. But let's invent a +variation in which, on your turn, you can +either make a move or change the rules. +But how? At liberty? Can you turn it into +checkers? Clearly such anarchy would +be pointless. There must be some +constraints. For instance, one version +might allow you to redefine the knight's +move. Instead of being l-and-then-2, it +could be m-and-then-n where m and n +are arbitrary natural numbers; and on +your turn you could change either m or n +by plus or minus l.-So it could go from +1-2 to 1-3 to 0-3 to 0-4 to 0-5 to 1-5 to 2- +5 ... Then there could be rules about +redefining the bishop's moves, and the +other pieces' moves as well. There could +be rules about adding new squares, or +deleting old squares .. . + +Now we have two layers of rules: +those which tell how to move pieces, and +those which tell how to change the rules. +So we have rules and metarules. The +next step is obvious: introduce +metametarules by which we can change +the metarules. It is not so obvious how to +do this. The reason it is easy to +formulate rules for moving pieces is that +pieces move in a formalized space: the +checkerboard. If you can devise a simple +formal notation for expressing rules and +metarules, then to manipulate them will +be like manipulating strings formally, or +even like manipulating chess pieces. To +carry things to their logical extreme, you +could even express rules and metarules +as positions on auxiliary chess boards. +Then an arbitrary chess position could be +read as a game, or as a set of rules, or as +a set of metarules, etc., depending on +which interpretation you place on it. Of +course, both players would have to agree +on conventions for interpreting the +notation. + +Now we can have any number of +adjacent chess boards: one for the game, +one for rules, one for metarules, one for +metametarules, and so on, as far as you +care to carry it. On your turn, you may +make a move on any one of the chess +boards except the top-level one, using +the rules which apply (they come from +the next chess board up in the hierarchy). +Undoubtedly both players would get +quite disoriented by the fact that almost +anything-though not everything!-can +change. By definition, the top-level +chess board can't be changed, because +you don't have rules telling how to +change it. It is inviolate. There is more +that is inviolate: the conventions by +which the different boards are +interpreted, the agreement to take turns, +the agreement that each person may +change one chess board each turn-and +you will find more if you examine the +idea carefully. + +Now it is possible to go considerably +further in removing the pillars by which +orientation is achieved. One step at a +time. .. We begin by collapsing the +whole array of boards into a single +board. What is meant by this? There will +be two ways of interpreting the board: +(1) as pieces to be moved; (2) as rules +for moving the pieces. On your turn, you +move pieces-and perforce, you change +rules! Thus, the rules constantly change +themselves. Shades of Typogenetics-or +for that matter, of real genetics. The +distinction between game, rules, +metarules, metametarules, has been lost. +What was once a nice clean hierarchical +setup has become a Strange Loop, Or +Tangled Hierarchy. The moves change +the rules, the rules determine the moves, +round and round the mulberry bush ... +There are still different levels, but the +distinction between "lower" and "higher" +has been wiped out. + +Now, part of what was inviolate +has been made changeable. But there is +still plenty that is inviolate. Just as +before, there are conventions between +you and your opponent by which you +interpret the board as a collection of +rules. There is the agreement to take +turns-and probably other implicit +conventions, as well. Notice, therefore, +that the notion of different levels has +survived, in an unexpected way. There is +an Inviolate level-let's call it the I-level- +on which the interpretation conventions +reside; there is also a Tangled level-the +T-level-on which the Tangled Hierarchy +resides. So these two levels are still +hierarchical: the I-level governs what +happens on the T-level, but the T-level +does not and cannot affect the I-level. +No matter that the T-level itself is a +Tangled Hierarchy-it is still governed by +a set of conventions outside of itself. +And that is the important point. + +As you have no doubt imagined, +there is nothing to stop us from doing the +"impossible"-namely, tangling the I- +level and the T-level by making the +interpretation conventions themselves +subject to revision, according to the +position on the chess board. But in order +to carry out such a "supertangling", +you'd have to agree with your opponent +on some further conventions connecting +the two levels-and the act of doing so +would create a new level, a new sort of +inviolate level on top of the +"supertangled" level (or underneath it, if +you prefer). And this could continue +going on and on. In fact, the 'jumps" +which are being made are very similar to +those charted in the Birthday +Cantatatata, and in the repeated +Godelization applied to various +improvements on TNT. Each time you +think you have reached the end, there is +some new variation on the theme of +jumping out of the system which +requires a kind of creativity to spot. + +The Authorship Triangle Again + +But I am not interested in pursuing the +strange topic of the ever more abstruse +tanglings which can arise in self¬ +modifying chess. The point of this has +been to show, in a somewhat graphic +way, how in any system there is always +some "protected" level which is +unassailable by the rules on other levels, +no matter how tangled their interaction +may be among themselves. An amusing +riddle from Chapter IV illustrates this +same idea in a slightly different context. +Perhaps it will catch you off guard: + +There are three authors-Z, T, and E. Now it happens that Z exists only in a novel by +T. Likewise, T exists only in a novel by E. And strangely, E, too, exists only in a +novel-by Z, of course. Now, is such an ’’authorship triangle" really possible? (See +Fig. 134.) + +Of course it's possible. But there's a trick ... All three authors Z, T, E, are themselves +characters in another novel-by H! You can think of the Z-T-E triangle as a Strange Loop, +Or Tangled Hierarchy; but author H is outside of the space in which that tangle takes +place-author H is in an inviolate space. Although Z, T, and E all have access-direct or +indirect-to each other, and can do dastardly things to each other in their various novels, +none of them can touch H's life! They can't even imagine him-no more than you can +imagine the author of the book you're a character in. If I were to draw author H, I would +represent him somewhere off the page. Of course that would present a problem, since +drawing a thing necessarily puts it onto the page ... Anyway, H is really outside of the +world of Z, T, and E, and should be represented as being so. + +Escher's Drawing Hands + +Another classic variation on our theme is the Escher picture of Drawing Hands (Fig. +135). Here, a left hand (LH) draws a right hand (RH), while at the same time, RH draws +LH. Once again, levels which ordinarily are seen as hierarchical-that which draws, and +that which is drawn-turn back on each other, creating a Tangled Hierarchy. But the theme +of the Chapter is borne out, of course, since behind it all lurks the undrawn but drawing +hand of M. C. Escher, creator of both LH and RH. Escher is outside of the two-hand +space, and in my schematic version of his picture (Fig. 136), you can see that explicitly. +In this schematized representation of the Escher picture, you see the Strange Loop, Or +Tangled Hierarchy at the top; also, you see the Inviolate Level below it, enabling it to +come into being. One could further Escherize the Escher picture, by taking a photograph +of a hand drawing it. And so on. + +Brain and Mind: + +A Neural Tangle Supporting a Symbol Tangle + +Now we can relate this to the brain, as well as to A1 programs. In our thoughts, symbols +activate other symbols, and all interact heterarchically. Furthermore, the symbols may +cause each other to change internally, in the fashion of programs acting on other +programs. The illusion is created, because of the Tangled Hierarchy of symbols, that +there is no inviolate level, one thinks there is no such level because that level is shielded +from our view. + +If it were possible to schematize this whole image, there would be a gigantic +forest of symbols linked to each other by tangly lines like vines in a tropical jungle-this +would be the top level, the Tangled Hierarchy where thoughts really flow back and forth. +This is the elusive level of mind: the analogue to LH and RH. Far below in the schematic +picture, analogous to the invisible "prime mover" Escher, there would be a representation +of the myriad neurons-the "inviolate substrate" which lets the tangle above it come into +being. Interestingly, this other level is itself a tangle in a literal sense-billions of cells and +hundreds of billions of axons, joining them all together. + +This is an interesting case where a software tangle, that of the symbols, is +supported by a hardware tangle, that of the neurons. But only the symbol tangle is a +Tangled Hierarchy. The neural tangle is* ust a "simple" tangle. This distinction is pretty +much the same as that between Strange Loops and feedback, which I mentioned in +Chapter XVI. A Tangled Hierarchy occurs when what you presume are clean hierarchical +levels take you by surprise and fold back in a hierarchy-violating way. The surprise +element is important; it is the reason I call Strange Loops "strange". A simple tangle, like +feedback, doesn't involve violations of presumed level distinctions. An example is when +you're in the shower and you wash your left arm with your right, and then vice versa. +There is no strangeness to the image. Escher didn't choose to draw hands drawing hands +for nothing! + +Events such as two arms washing each other happen all the time in the world, and +we don't notice them particularly. I say something to you, then you say something back to +me. Paradox % No; our perceptions of each other didn't involve a hierarchy to begin with, +so there is no sense of strangeness. + +On the other hand, where language does create strange loops is when it talks +about itself, whether directly or indirectly. Here, something in the system jumps out and +acts on the system, as if it were outside the system. What bothers us is perhaps an ill- +defined sense of topological wrongness: the inside-outside distinction is being blurred, as +in the famous shape called a "Klein bottle". Even though the system is an abstraction, our +minds use spatial imagery with a sort of mental topology. + +Getting back to the symbol tangle, if we look only at it, and forget the neural +tangle, then we seem to see a self-programmed object-in just the same way as we seem to +see a self-drawn picture if we look at Drawing Hands and somehow fall for the illusion, +by forgetting the existence of Escher. For +the picture, this is unlikely-but for humans and the way they look at their minds, this is +usually what happens. W t feel self-programmed. Indeed, we couldn't feel any other way, +for we are shielded from the lower levels, the neural tangle. Our thoughts seem to run +about in their own space, creating new thoughts and modifying old ones, and we never +notice any neurons helping us out! But that is to be expected. We can't. + +An analogous double-entendre can happen with LISP programs that are designed +to reach in and change their own structure. If you look at them on the LISP level, you +will say that they change themselves; but if you shift levels, and think of LISP programs +as data to the LISP interpreter (see Chapter X), then in fact the sole program that is +running is the interpreter, and the changes being made are merely changes in pieces of +data. The LISP interpreter itself is shielded from changes. + +How you describe a tangled situation of this sort depends how far back you step +before describing. If you step far enough back, you can often see the clue that allows you +to untangle things. + +Strange Loops in Government + +A fascinating area where hierarchies tangle is government-particularly in the courts. +Ordinarily, you think of two disputants arguing their cases in court, and the court +adjudicating the matter. The court is on a different level from the disputants. But strange +things can start to happen when the courts themselves get entangled in legal cases. +Usually there is a higher court which is outside the dispute. Even if two lower courts get +involved in some sort of strange fight, with each one claiming jurisdiction over the other, +some higher court is outside, and in some sense it is analogous to the inviolate +interpretation conventions which we discussed in the warped version of chess. + +But what happens when there is no higher court, and the Supreme Court itself gets +all tangled up in legal troubles? This sort of snarl nearly happened in the Watergate era. +The President threatened to obey only a "definitive ruling" of the Supreme Court-then +claimed he had the right to decide what is "definitive". Now that threat never was made +good; but if it had been, it would have touched off a monumental confrontation between +two levels of government, each of which, in some ways, can validly claim to be "above" +the other-and to whom is there recourse to decide which one is right? To say "Congress" +is not to settle the matter, for Congress might command the President to obey the +Supreme Court, yet the President might still refuse, claiming that he has the legal right to +disobey the Supreme Court (and Congress!) under certain circumstances. This would +create a new court case, and would throw the whole system into disarray, because it +would be so unexpected, so Tangled-so Strange! + +The irony is that once you hit your head against the ceiling like this, where you +are prevented from jumping out of the system to a yet higher authority, the only recourse +is to forces which seem less well defined by +rules, but which are the only source of higher-level rules anyway: the lower-level rules, +which in this case means the general reaction of society. It is well to remember that in a +society like ours, the legal system is, in a sense, a polite gesture granted collectively by +millions of people-and it can be overridden just as easily as a river can overflow its +banks. Then a seeming anarchy takes over; but anarchy has its own kinds of rules, no less +than does civilized society: it is just that they operate from the bottom up, not from the +top down. A student of anarchy could try to discover rules according to which anarchic +situations develop in time, and very likely there are some such rules. + +An analogy from physics is useful here. As was mentioned earlier in the book, +gases in equilibrium obey simple laws connecting their temperature, pressure, and +volume. However, a gas can violate those laws (as a President can violate laws)-provided +it is not in a state of equilibrium. In nonequilibrium situations, to describe what happens, +a physicist has recourse only to statistical mechanics-that is, to a level of description +which is not macroscopic, for the ultimate explanation of a gas's behavior always lies on +the molecular level, just as the ultimate explanation of a society's political behavior +always lies at the "grass roots level". The field of nonequilibrium thermodynamics +attempts to find macroscopic laws to describe the behavior of gases (and other systems) +which are out of equilibrium. It is the analogue to the branch of political science which +would search for laws governing anarchical societies. + +Other curious tangles which arise in government include the FBI investigating its +own wrongdoings, a sheriff going to jail while in office, the self-application of the +parliamentary rules of procedure, and so on. One of the most curious legal cases I ever +heard of involved a person who claimed to have psychic powers. In fact, he claimed to be +able to use his psychic powers to detect personality traits, and thereby to aid lawyers in +picking juries. Now what if this "psychic" has to stand trial himself one day? What effect +might this have on a jury member who believes staunchly in ESP? How much will he feel +affected by the psychic (whether or not the psychic is genuine)? The territory is ripe for +exploitation-a great area for selffulfilling prophecies. + +Tangles Involving Science and the Occult + +Speaking of psychics and ESP, another sphere of life where strange loops abound is +fringe science. What fringe science does is to call into question many of the standard +procedures or beliefs of orthodox science, and thereby challenge the objectivity of +science. New ways of interpreting evidence that rival the established ones are presented. +But how do you evaluate a way of interpreting evidence? Isn't this precisely the problem +of objectivity all over again, just on a higher plane? Of course. Lewis Carroll's infinite- +regress paradox appears in a new guise. The Tortoise would argue that if you want to +show that A is a fact, you need evidence: B. But what makes you sure that B is evidence +of A?' To show that, you need meta- +evidence: C. And for the validity of that meta-evidence, you need metameta-evidence- +and so on, ad nauseam. Despite this argument, people have an intuitive sense of evidence. +This is because-to repeat an old refrain-people have built-in hardware in their brains that +includes some rudimentary ways of interpreting evidence. We can build on this, and +accumulate new ways of interpreting evidence; we even learn how and when to override +our most basic mechanisms of evidence interpretation, as one must, for example, in trying +to figure out magic tricks. + +Concrete examples of evidence dilemmas crop up in regard to many phenomena +of fringe science. For instance, ESP often seems to manifest itself outside of the +laboratory, but when brought into the laboratory, it vanishes mysteriously. The standard +scientific explanation for this is that ESP is a nonreal phenomenon which cannot stand up +to rigorous scrutiny. Some (by no means all) believers in ESP have a peculiar way of +fighting back, however. They say, "No, ESP is real; it simply goes away when one tries +to observe it scientifically-it is contrary to the nature of a scientific worldview." This is +an amazingly brazen technique, which we might call "kicking the problem upstairs". +What that means is, instead of questioning the matter at hand, you call into doubt theories +belonging to a higher level of credibility. The believers in ESP insinuate that what is +wrong is not their ideas, but the belief system of science. This is a pretty grandiose claim, +and unless there is overwhelming evidence for it, one should be skeptical of it. But then +here we are again, talking about "overwhelming evidence" as if everyone agreed on what +that means! + +The Nature of Evidence + +The Sagredo-Simplicio-Salviati tangle, mentioned in Chapters XIII and XV, gives +another example of the complexities of evaluation of evidence. Sagredo tries to find some +objective compromise, if possible, between the opposing views of Simplicio and Salviati. +But compromise may not always be possible. How can one compromise "fairly" between +right and wrong? Between fair and unfair? Between compromise and no compromise? +These questions come up over and over again in disguised form in arguments about +ordinary things. + +Is it possible to define what evidence is? Is it possible to lay down laws as to how +to make sense out of situations? Probably not, for any rigid rules would undoubtedly have +exceptions, and nonrigid rules are not rules. Having an intelligent AI program would not +solve the problem either, for as an evidence processor, it would not be any less fallible +than humans are. So, if evidence is such an intangible thing after all, why am I warning +against new ways of interpreting evidence? Am I being inconsistent? In this case, I don't +think so. My feeling is that there are guidelines which one can give, and out of them an +organic synthesis can be made. But inevitably some amount of judgment and intuition +must enter the picture-things which are different in different people. They will also be +different in +different AI programs. Ultimately, there are complicated criteria for deciding if a method +of evaluation of evidence is good. One involves the "usefulness" of ideas which are +arrived at by that kind of reasoning. Modes of thought which lead to useful new things in +life are deemed "valid" in some sense. But this word "useful" is extremely subjective. + +My feeling is that the process by which we decide what is valid or what is true is +an art; and that it relies as deeply on a sense of beauty and simplicity as it does on rock- +solid principles of logic or reasoning or anything else which can be objectively +formalized. I am not saying either (1) truth is a chimera, or (2) human intelligence is in +principle not programmable. I am saying (1) truth is too elusive for any human or any +collection of humans ever to attain fully; and (2) Artificial Intelligence, when it reaches +the level of human intelligence-or even if it surpasses it-will still be plagued by the +problems of art, beauty, and simplicity, and will run up against these things constantly in +its own search for knowledge and understanding. + +"What is evidence?" is not just a philosophical question, for it intrudes into life in +all sorts of places. You are faced with an extraordinary number of choices as to how to +interpret evidence at every moment. You can hardly go into a bookstore (or these days, +even a grocery store!) without seeing books on clairvoyance, ESP, UFO's, the Bermuda +triangle, astrology, dowsing, evolution versus creation, black holes, psi fields, +biofeedback, transcendental meditation, new theories of psychology ... In science, there +are fierce debates about catastrophe theory, elementary particle theory, black holes, truth +and existence in mathematics, free will, Artificial Intelligence, reductionism versus +holism ... On the more pragmatic side of life, there are debates over the efficacy of +vitamin C or of laetrile, over the real size of oil reserves (either underground or stored), +over what causes inflation and unemployment-and on and on. There is Buckminster +Fullerism, Zen Buddhism, Zeno's paradoxes, psychoanalysis, etc., etc. From issues as +trivial as where books ought to be shelved in a store, to issues as vital as what ideas are to +be taught to children in schools, ways of interpreting evidence play an inestimable role. + +Seeing Oneself + +One of the most severe of all problems of evidence interpretation is that of trying to +interpret all the confusing signals from the outside as to who one is. In this case, the +potential for intralevel and interlevel conflict is tremendous. The psychic mechanisms +have to deal simultaneously with the individual's internal need for self-esteem and the +constant flow of evidence from the outside affecting the self-image. The result is that +information flows in a complex swirl between different levels of the personality; as it +goes round and round, parts of it get magnified, reduced, negated, or otherwise distorted, +and then those parts in turn get further subjected to the same sort of swirl, over and over +again-all of this in an attempt to reconcile what is, with what we wish were (see Fig. 81). + +The upshot is that the total picture of "who I am" is integrated in some +enormously complex way inside the entire mental structure, and contains in each one of +us a large number of unresolved, possibly unresolvable, inconsistencies. These +undoubtedly provide much of the dynamic tension which is so much a part of being +human. Out of this tension between the inside and outside notions of who we are come +the drives towards various goals that make each of us unique. Thus, ironically, something +which we all have in common-the fact of being self-reflecting conscious beings-leads to +the rich diversity in the ways we have of internalizing evidence about all sorts of things, +and in the end winds up being one of the major forces in creating distinct individuals. + +Godel’s Theorem and Other Disciplines + +It is natural to try to draw parallels between people and sufficiently complicated formal +systems which, like people, have "self-images" of a sort. Godel’s Theorem shows that +there are fundamental limitations to consistent formal systems with self-images. But is it +more general? Is there a "Godel’s Theorem of psychology", for instance? + +If one uses Godel’s Theorem as a metaphor, as a source of inspiration, rather than +trying to translate it literally into the language of psychology or of any other discipline, +then perhaps it can suggest new truths in psychology or other areas. But it is quite +unjustifiable to translate it directly into a statement of another discipline and take that as +equally valid. It would be a large mistake to think that what has been worked out with the +utmost delicacy in mathematical logic should hold without modification in a completely +different area. + +Introspection and Insanity: A Godelian Problem + +I think it can have suggestive value to translate Godel’s Theorem into other domains, +provided one specifies in advance that the translations are metaphorical and are not +intended to be taken literally. That having been said, I see two major ways of using +analogies to connect Godel’s Theorem and human thoughts. One involves the problem of +wondering about one's sanity. How can you figure out if you are sane? This is a Strange +Loop indeed. Once you begin to question your own sanity, you can get trapped in an +ever-tighter vortex of self-fulfilling prophecies, though the process is by no means +inevitable. Everyone knows that the insane interpret the world via their own peculiarly +consistent logic; how can you tell if your own logic is "peculiar" or not, given that you +have only your own logic to judge itself? I don't see any answer. I am just reminded of +Godel’s second Theorem, which implies that the only versions of formal number theory +which assert their own consistency are inconsistent... + +Can We Understand Our Own" Minds or Brains? + +The other metaphorical analogue to Godel’s Theorem which I find provocative suggests +that ultimately, we cannot understand our own minds/ brains. This is such a loaded, +many-leveled idea that one must be extremely cautious in proposing it. What does +"understanding our own minds/brains" mean? It could mean having a general sense of +how they work, as mechanics have a sense of how cars work. It could mean having a +complete explanation for why people do any and all things they do. It could mean having +a complete understanding of the physical structure of one's own brain on all levels. It +could mean having a complete wiring diagram of a brain in a book (or library or +computer). It could mean knowing, at every instant, precisely what is happening in one's +own brain on the neural level-each firing, each synaptic alteration, and so on. It could +mean having written a program which passes the Turing test. It could mean knowing +oneself so perfectly that such notions as the subconscious and the intuition make no +sense, because everything is out in the open. It could mean any number of other things. + +Which of these types of self-mirroring, if any, does the self-mirroring in Godel’s +Theorem most resemble? I would hesitate to say. Some of them are quite silly. For +instance, the idea of being able to monitor your own brain state in all its detail is a pipe +dream, an absurd and uninteresting proposition to start with; and if Godel’s Theorem +suggests that it is impossible, that is hardly a revelation. On the other hand, the age-old +goal of knowing yourself in some profound way-let us call it "understanding your own +psychic structure "-has a ring of plausibility to it. But might there not be some vaguely +Godelian loop which limits the depth to which any individual can penetrate into his own +psyche? Just as we cannot see our faces with our own eyes, is it not reasonable to expect +that we cannot mirror our complete mental structures in the symbols which carry them +out? + +All the limitative Theorems of metamathematics and the theory of computation +suggest that once the ability to represent your own structure has reached a certain critical +point, that is the kiss of death: it guarantees that you can never represent yourself totally. +Godel’s Incompleteness Theorem, Church's Undecidability Theorem, Turing's Halting +Theorem, Tarski's Truth Theorem-all have the flavor of some ancient fairy tale which +warns you that "To seek self-knowledge is to embark on a journey which ... will always +be incomplete, cannot be charted on any map, will never halt, cannot be described." + +But do the limitative Theorems have any bearing on people? Here is one way of arguing +the case. Either I am consistent or I am inconsistent. (The latter is much more likely, but +for completeness' sake, I consider both possibilities.) If I am consistent, then there are +two cases. (1) The "low-fidelity" case: my self-understanding is below a certain critical +point. In this case, I am incomplete by hypothesis. (2) The "high-fidelity" case: My self¬ +understanding has reached the critical point where a metaphorical analogue of the +limitative Theorems does apply, so my self-understanding +undermines itself in a Godelian way, and I am incomplete for that reason. Cases (1) and +(2) are predicated on my being 100 per cent consistent-a very unlikely state of affairs. +More likely is that I am inconsistent-but that's worse, for then inside me there are +contradictions, and how can I ever understand that? + +Consistent or inconsistent, no one is exempt from the mystery of the self. +Probably we are all inconsistent. The world is just too complicated for a person to be able +to afford the luxury of reconciling all of his beliefs with each other. Tension and +confusion are important in a world where many decisions must be made quickly, Miguel +de Unamuno once said, "If a person never contradicts himself, it must be that he says +nothing." I would say that we all are in the same boat as the Zen master who, after +contradicting himself several times in a row, said to the confused Doko, "I cannot +understand myself." + +Godel’s Theorem and Personal Nonexistence + +Perhaps the greatest contradiction in our lives, the hardest to handle, is the knowledge +"There was a time when I was not alive, and there will come a time when I am not alive." +On one level, when you "step out of yourself" and see yourself as "just another human +being", it makes complete sense. But on another level, perhaps a deeper level, personal +nonexistence makes no sense at all. All that we know is embedded inside our minds, and +for all that to be absent from the universe is not comprehensible. This is a basic +undeniable problem of life; perhaps it is the best metaphorical analogue of Godel’s +Theorem. When you try to imagine your own nonexistence, you have to try to jump out +of yourself, by mapping yourself onto someone else. You fool yourself into believing that +you can import an outsider's view of yourself into you, much as TNT "believes" it +mirrors its own metatheory inside itself. But TNT only contains its own metatheory up to +a certain extent-not fully. And as for you, though you may imagine that you have jumped +out of yourself, you never can actually do so-no more than Escher's dragon can jump out +of its native two-dimensional plane into three dimensions. In any case, this contradiction +is so great that most of our lives we just sweep the whole mess under the rug, because +trying to deal with it just leads nowhere. + +Zen minds, on the other hand, revel in this irreconcilability. Over and over again, +they face the conflict between the Eastern belief: "The world and I are one, so the notion +of my ceasing to exist is a contradiction in terms" (my verbalization is undoubtedly too +Westernized-apologies to Zenists), and the Western belief: "I am just part of the world, +and I will die, but the world will go on without me." + +Science and Dualism + +Science is often criticized as being too "Western" or "dualistic"-that is, being permeated +by the dichotomy between subject and object, or observer +and observed. While it is true that up until this century, science was exclusively +concerned with things which can be readily distinguished from their human observers- +such as oxygen and carbon, light and heat, stars and planets, accelerations and orbits, and +so on-this phase of science was a necessary prelude to the more modern phase, in which +life itself has come under investigation. Step by step, inexorably, "Western" science has +moved towards investigation of the human mind-which is to say, of the observer. +Artificial Intelligence research is the furthest step so far along that route. Before AI came +along, there were two major previews of the strange consequences of the mixing of +subject and object in science. One was the revolution of quantum mechanics, with its +epistemological problems involving the interference of the observer with the observed. +The other was the mixing of subject and object in metamathematics, beginning with +Godel's Theorem and moving through all the other limitative'Theorems we have +discussed. Perhaps the next step after Al will be the self-application of science: science +studying itself as an object. This is a different manner of mixing subject and object- +perhaps an even more tangled one than that of humans studying their own minds. + +By the way, in passing, it is interesting to note that all results essentially +dependent on the fusion of subject and object have been limitative results. In addition to +the limitative Theorems, there is Heisenberg's uncertainty principle, which says that +measuring one quantity renders impossible the simultaneous measurement of a related +quantity. I don't know why all these results are limitative. Make of it what you will. + +Symbol vs. Object in Modern Music and Art + +Closely linked with the subject-object dichotomy is the symbol-object dichotomy, which +was explored in depth by Ludwig Wittgenstein in the early part of this century. Later the +words "use" and "mention" were adopted to make the same distinction. Quine and others +have written at length about the connection between signs and what they stand for. But +not only philosophers have devoted much thought to this deep and abstract matter. In our +century both music and art have gone through crises which reflect a profound concern +with this problem. Whereas music and painting, for instance, have traditionally expressed +ideas or emotions through a vocabulary of "symbols" (i.e. visual images, chords, +rhythms, or whatever), now there is a tendency to explore the capacity of music and art to +not express anything just to be. This means to exist as pure globs of paint, or pure sounds, +but in either case drained of all symbolic value. + +In music, in particular, John Cage has been very influential in bringing a Zen-like +approach to sound. Many of his pieces convey a disdain for "use" of sounds-that is, using +sounds to convey emotional states-and an exultation in "mentioning" sounds-that is, +concocting arbitrary juxtapositions of sounds without regard to any previously formulated +code by which a listener could decode them into a message. A typical example is +"Imaginary Landscape no. 4", the polyradio piece described in Chapter VI. I may not +be doing Cage justice, but to me it seems that much of his work has been directed at +bringing meaninglessness into music, and in some sense, at making that meaninglessness +have meaning. Aleatoric music is a typical exploration in that direction. (Incidentally, +chance music is a close cousin to the much later notion of "happenings" or "be-in"' s.) +There are many other contemporary composers who are following Cage’s lead, but few +with as much originality. A piece by Anna Lockwood, called "Piano Burning", involves +just that-with the strings stretched to maximum tightness, to make them snap as loudly as +possible; in a piece by LaMonte Young, the noises are provided by shoving the piano all +around the stage and through obstacles, like a battering ram. + +Art in this century has gone through many convulsions of this general type. At +first there was the abandonment of representation, which was genuinely revolutionary: +the beginnings of abstract art. A gradual swoop from pure representation to the most +highly abstract patterns is revealed in the work of Piet Mondrian. After the world was +used to nonrepresentational art, then surrealism came along. It was a bizarre about-face, +something like neoclassicism in music, in which extremely representational art was +"subverted" and used for altogether new reasons: to shock, confuse, and amaze. This +school was founded by Andre Breton, and was located primarily in France; some of its +more infl uential members were Dali, Magritte, de Chirico, Tanguy. + +Magritte's Semantic Illusions + +Of all these artists, Magritte was the most conscious of the symbol-object mystery (which +I see as a deep extension of the use-mention distinction). He uses it to evoke powerful +responses in viewers, even if the viewers do not verbalize the distinction this way. For +example, consider his very strange variation on the theme of still life, called Common +Sense (Fig. 137). + +Here, a dish filled with fruit, ordinarily the kind of thing represented inside a still life, is +shown sitting on top of a blank canvas. The conflict between the symbol and the real is +great. But that is not the full irony, for of course the whole thing is itself just a painting-in +fact, a still life with nonstandard subject matter. + +Magritte's series of pipe paintings is fascinating and perplexing. Consider The +Two Mysteries (Fig. 138). Focusing on the inner painting, you get the message that +symbols and pipes are different. Then your glance moves upward to the "real” pipe +floating in the air-you perceive that it is real, while the other one is just a symbol. But that +is of course totally wrong: both of them are on the same flat surface before your eyes. +The idea that one pipe is in a twice-nested painting, and therefore somehow "less real" +than the other pipe, is a complete fallacy. Once you are willing to "enter the room", you +have already been tricked: you’ve fallen for image as reality. To be consistent in your +gullibility, you should happily go one level further down, and confuse image-within- +image with reality. The only way not to be sucked in is to see both pipes merely as +colored smudges on a surface a few inches in front of your nose. Then, and only then, do +you appreciate the full meaning of the written message "Ceci West pas une pipe”-but +ironically, at the very instant everything turns to smudges, the writing too turns to +smudges, thereby losing its meaning! In other words, at that instant, the verbal message +of the painting self-destructs in a most Godelian way. + +The Air and the Song (Fig. 82), taken from a series by Magritte, accomplishes all +that The Two Mysteries does, but in one level instead of two. My drawings Smoke Signal +and Pipe Dream (Figs. 139 and 140) constitute "Variations on a Theme of Magritte". Try +staring at Smoke Signal for a while. Before long, you should be able to make out a hidden +message saying, "Ceci n’est pas un message". Thus, if you find the message, it denies +itself-yet if you don't, you miss the point entirely. Because of their indirect self-snuffing, +my two pipe pictures can be loosely mapped onto Godel’s G-thus giving rise to a +"Central Pipemap", in the same spirit as the other "Central Xmaps": Dog, Crab, Sloth. + +A classic example of use-mention confusion in paintings is the occurrence of a +palette in a painting. Whereas the palette is an illusion created by the representational +skill of the painter, the paints on the painted palette are literal daubs of paint from the +artist's palette. The paint plays itself-it does not symbolize anything else. In Don +Giovanni, Mozart exploited a related trick: he wrote into the score explicitly the sound of +an orchestra tuning up. Similarly, if I want the letter T to play itself (and not symbolize +me), I put T directly into my text; then I enclose T between quotes. What results is "I" +(not T, nor "T"). Got that? + +The "Code" of Modern Art + +A large number of influences, which no one could hope to pin down completely, led to +further explorations of the symbol-object dualism in art. There is no doubt that John +Cage, with his interest in Zen, had a profound influence on art as well as on music. His +friends jasper Johns and Robert Rauschenberg both explored the distinction between +objects and symbols by using objects as symbols for themselves-or, to flip the coin, by +using symbols as objects in themselves. All of this was perhaps intended to break down +the notion that art is one step removed from reality-that art speaks in "code", for which +the viewer must act as interpreter. The idea was to eliminate the step of interpretation and +let the naked object simply be, period. ("Period"-a curious case of use-mention blur.) +However, if this was the intention, it was a monumental flop, and perhaps had to be. + +Any time an object is exhibited in a gallery or dubbed a "work", it acquires an +aura of deep inner significance-no matter how much the viewer has been warned not to +look for meaning. In fact, there is a backfiring effect whereby the more that viewers are +told to look at these objects without mystification, the more mystified the viewers get. +After all, if a + +wooden crate on a museum floor is just a wooden crate on a museum floor, then why +doesn't the janitor haul it out back and throw it in the garbage? Why is the name of an +artist attached to it? Why did the artist want to demystify art? Why isn't that dirt clod out +front labeled with an artist's name? Is this a hoax? Am I crazy, or are artists crazy? More +and more questions flood into the viewer's mind; he can't help it. This is the "frame +effect" which art-Art-automatically creates. There is no way to suppress the wonderings +in the minds of the curious. + +Of course, if the purpose is to instill a Zen-like sense of the world as devoid of +categories and meanings, then perhaps such art is merely intended to serve-as does +intellectualizing about Zen-as a catalyst to inspire the viewer to go out and become +acquainted with the philosophy which rejects "inner meanings" and embraces the world +as a whole. In this case, the art is self-defeating in the short run, since the viewers do +ponder about its meaning, but it achieves its aim with a few people in the long run, by +introducing them to its sources. But in either case, it is not true that there is no code by +which ideas are conveyed to the viewer. Actually, the code is a much more complex +thing, involving statements about the absence of codes and so forth-that is, it is part code, +part metacode, and so on. There is a Tangled Hierarchy of messages being transmitted by +the most Zen-like art objects, which is perhaps why so many find modern art so +inscrutable. + +Ism Once Again + +Cage has led a movement to break the boundaries between art and nature. In music, the +theme is that all sounds are equal-a sort of acoustical democracy. Thus silence is just as +important as sound, and random sound is just as important as organized sound. Leonard +B. Meyer, in his book Music, the Arts, and Ideas , has called this movement in music +"transcendentalism", and states: + +If the distinction between art and nature is mistaken, aesthetic valuation is +irrelevant. One should no more judge the value of a piano sonata than one should +judge the value of a stone, a thunderstorm, or a starfish. "Categorical statements, +such as right and wrong, beautiful or ugly, typical of the rationalistic thinking of +tonal aesthetics," writes Luciano Berio [a contemporary composer, "are no longer +useful in understanding why and how a composer today works on audible forms +and musical action." + +Later, Meyer continues in describing the philosophical position of transcendentalism: + +... all things in all of time and space are inextricably connected with one +another. Any divisions, classifications, or organizations discovered in the universe +are arbitrary. The world is a complex, continuous, single event .2 [Shades of Zeno!] + +I find "transcendentalism" too bulky a name for this movement. In its place, I use +"ism". Being a suffix without a prefix, it suggests an ideology +without ideas-which, however you interpret it, is probably the case. And since."ism" +embraces whatever is, its name is quite fitting. In "ism" thL- word "is" is half mentioned, +half used; what could be more appropriate? Ism is the spirit of Zen in art. And just as the +central problem of Zen is to unmask the self, the central problem of art in this century +seems to be to figure out what art is. All these thrashings-about are part of its identity +crisis. + +We have seen that the use-mention dichotomy, when pushed, turns into the +philosophical problem of symbol-object dualism, which links it to the mystery of mind. +Magritte wrote about his painting The Human Condition I (Fig. 141): + +I placed in front of a window, seen from a room, a painting representing exactly +that part of the landscape which was hidden from view by the painting. Therefore, +the tree represented in the painting hid from view the tree situated behind it, outside +the room. It existed for the spectator, as it were, simultaneously in his mind, as both +inside the room in the painting, and outside in the real landscape. Which is how we +see the world: we see it as being outside ourselves even though it is only a mental +representation of it that we +experience inside ourselves.' + +Understanding the Mind + +First through the pregnant images of his painting, and then in direct words, Magritte +expresses the link between the two questions "How do symbols work?" and "How do our +minds work?" And so he leads us back to the question posed earlier: "Can we ever hope +to understand our minds! brains?" + +Or does some marvelous diabolical Godelian proposition preclude our ever +unraveling our minds? Provided you do not adopt a totally unreasonable definition of +"understanding", I see no Godelian obstacle in the way of the eventual understanding of +our minds. For instance, it seems to me quite reasonable to desire to understand the +working principles of brains in general, much the same way as we understand the +working principles of car engines in general. It is quite different from trying to +understand any single brain in every last detail-let alone trying to do this for one's own +brain! I don't see how Godel’s Theorem, even if construed in the sloppiest way, has +anything to say about the feasibility of this prospect. I see no reason that Godel’s +Theorem imposes any limitations on our ability to formulate and verify the general +mechanisms by which thought processes take place in the medium of nerve cells. I see no +barrier imposed by Godel’s Theorem to the implementation on computers (or their +successors) of types of symbol manipulation that achieve roughly the same results as +brains do. It is entirely another question to try and duplicate in a program some particular +human's mind-but to produce an intelligent program at all is a more limited goal. Godel's +Theorem doesn't ban our reproducing our own level of intelligence via programs any +more than it bans our reproducing our own level of intelligence via transmission of +hereditary information in +DNA, followed by education. Indeed, we have seen, in Chapter XVI, how a remarkable +'Godelian mechanism-the Strange Loop of proteins and DNA-is precisely what allows +transmission of intelligence! + +Does Godel’s Theorem, then, have absolutely nothing to offer us in thinking +about our own minds? I think it does, although not in the mystical and [imitative way +which some people think it ought to. I think that the process of coming to understand +Godel’s proof, with its construction involving arbitrary codes, complex isomorphisms, +high and low levels of interpretation, and the capacity for self-mirroring, may inject some +rich undercurrents and flavors into one's set of images about symbols and symbol +processing, which may deepen one's intuition for the relationship, between mental +structures on different levels. + +Accidental Inexplicability of Intelligence? + +Before suggesting a philosophically intriguing "application" of Godel's proof. I would +like to bring up the idea of "accidental inexplicability" of intelligence. Here is what that +involves. It could be that our brains, unlike car engines, are stubborn and intractable +systems which we cannot neatly decompose in any way. At present, we have no idea +whether our brains will yield to repeated attempts to cleave them into clean layers, each +of which can be explained in terms of lower layers-or whether our brains will foil all our +attempts at decomposition. + +But even if we do fail to understand ourselves, there need not be any Godelian +"twist" behind it; it could be simply an accident of fate that our brains are too weak to +understand themselves. Think of the lowly giraffe, for instance, whose brain is obviously +far below the level required for self-understanding-yet it is remarkably similar to our own +brain. In fact, the brains of giraffes, elephants, baboons-even the brains of tortoises or +unknown beings who are far smarter than we are-probably all operate on basically the +same set of principles. Giraffes may lie far below the threshold of intelligence necessary +to understand how those principles fit together to produce the qualities of mind; humans +may lie closer to that threshold perhaps just barely below it, perhaps even above it. The +point is that there may be no fundamental (i.e., Godelian) reason why those qualities are +incomprehensible; they may be completely clear to more intelligent beings. + +Undecidability Is Inseparable from a High-Level Viewpoint + +Barring this pessimistic notion of the accidental inexplicability of the brain, what insights +might Godel’s proof offer us about explanations of our minds/brains? Godel’s proof +offers the notion that a high-level view of a system may contain explanatory power which +simply is absent on the lower levels. By this I mean the following. Suppose someone +gave you G, Godel’s undecidable string, as a string of TNT. Also suppose you knew +nothing of Godel-numbering. The question you are supposed to answer is: "Why isn't +this string a theorem of TNT?" Now you are used to such questions; for instance, if you +had been asked that question about SO=0, you would have a ready explanation: "Its +negation, ~S0=0, is a theorem ." This, together with your knowledge that TNT is +consistent, provides an explanation of why the given string is a nontheorem. This is what +I call an explanation "on the TNT-level". Notice how different it is from the explanation +of why MU is not a theorem of the MlU-system: the former comes from the M-mode, the +latter only from the I-mode. + +Now what about G? The TNT-level explanation which worked for 50=0 does not +work for G, because - G is not a theorem. The person who has no overview of TNT will +be baffled as to why he can't make G according to the rules, because as an arithmetical +proposition, it apparently has nothing wrong with it. In fact, when G is turned into a +universally quantified string, every instance gotten from G by substituting numerals for +the variables can be derived. The only way to explain G's nontheoremhood is to discover +the notion of Godel-numbering and view TNT on an entirely different level. It is not that +it is just difficult and complicated to write out the explanation on the TNT-level; it is +impossible. Such an explanation simply does not exist. There is, on the high level, a kind +of explanatory power which simply is lacking, in principle, on the TNT-level. G's +nontheoremhood is, so to speak, an intrinsically high-level fact. It is my suspicion that +this is the case for all undecidable propositions; that is to say: every undecidable +proposition is actually a Godel sentence, asserting its own nontheoremhood in some +system via some code. + +Consciousness as an Intrinsically High-Level Phenomenon + +Looked at this way, Godel’s proof suggests-though by no means does it prove!-that there +could be some high-level way of viewing the mind/brain, involving concepts which do +not appear on lower levels, and that this level might have explanatory power that does not +exist-not even in principle-on lower levels. It would mean that some facts could be +explained on the high level quite easily, but not on lower levels at all. No matter how +long and cumbersome a low-level statement were made, it would not explain the +phenomena in question. It is the analogue to the fact that, if you make derivation after +derivation in TNT, no matter how long and cumbersome you make them, you will never +come up with one for G-despite the fact that on a higher level, you can see that G is true. + +What might such high-level concepts be? It has been proposed for eons, by +various holistically or "soulistically" inclined scientists and humanists, that consciousness +is a phenomenon that escapes explanation in terms of brain-components; so here is a +candidate, at least. There is also the ever-puzzling notion of free will. So perhaps these +qualities could be "emergent" in the sense of requiring explanations which cannot be +furnished by the physiology alone. But it is important to realize that if we are being +guided by Godel’s proof in making such bold hypotheses, we must carry the +analogy through thoroughly. In particular, it is vital to recall tnat is s nontheoremhood +does have an explanation-it is not a total mystery! The explanation- hinges on +understanding not just one level at a time, but the way in which one level mirrors its +metalevel, and the consequences of this mirroring. If our analogy is to hold, then, +"emergent" phenomena would become explicable in terms of a relationship between, +different levels in mental systems., + +Strange Loops as the Crux of Consciousness + +My belief is that the explanations of "emergent" phenomena in our brains-for instance, +ideas, hopes, images, analogies, and finally consciousness and free will-are based on a +kind of Strange Loop, an interaction between levels in which the top level reaches back +down towards the bottom level and influences it, while at the same time being itself +determined by the bottom level. In other words, a self-reinforcing "resonance" between +different levels-quite like the Henkin sentence which, by merely asserting its own +provability, actually becomes provable. The self comes into being at the moment it has +the power to reflect itself. + +This should not be taken as an antireductionist position. It just implies that a +reductionistic explanation of a mind, in order to be comprehensible , must bring in "soft" +concepts such as levels, mappings, and meanings. In principle, I have no doubt that a +totally reductionistic but incomprehensible explanation of the brain exists; the problem is +how to translate it into a language we ourselves can fathom. Surely we don't want a +description in terms of positions and momenta of particles; we want a description which +relates neural activity to "signals" (intermediate-level phenomena)-and which relates +signals, in turn, to "symbols" and "subsystems", including the presumed-to-exist "self¬ +symbol". This act of translation from low-level physical hardware to high-level +psychological software is analogous to the translation of number-theoretical statements +into metamathematical statements. Recall that the level-crossing which takes place at this +exact translation point is what creates Godel's incompleteness and the self-proving +character of Henkin's sentence. I postulate that a similar level-crossing is what creates our +nearly unanalyzable feelings of self. + +In order to deal with the full richness of the brain/mind system, we will have to be +able to slip between levels comfortably. Moreover, we will have to admit various types of +"causality": ways in which an event at one level of description can "cause" events at other +levels to happen. Sometimes event A will be said to "cause" event B simply for the +reason that the one is a translation, on another level of description, of the other. +Sometimes "cause" will have its usual meaning: physical causality. Both types of +causality-and perhaps some more-will have to be admitted in any explanation of mind, +for we will have to admit causes that propagate both upwards and downwards in the +Tangled Hierarchy of mentality, just as in the Central Dogmap. + +At the crux, then, of our understanding ourselves will come an understanding of +the Tangled Hierarchy of levels inside our minds. My position is rather similar to the +viewpoint put forth by the neuroscientist Roger Sperry in his excellent article "Mind, +Brain, and Humanist Values", from which I quote a little here: + +In my own hypothetical brain model, conscious awareness does get representation +as a very real causal agent and rates an important place in the causal sequence and +chain of control in brain events, in which it appears as an active, operational +force.... To put it very simply, it comes down to the issue of who pushes whom +around in the population of causal forces that occupy the cranium. It is a matter, in +other words, of straightening out the peck-order hierarchy among intracranial +control agents. There exists within the cranium a whole world of diverse causal +forces; what is more, there are forces within forces within forces, as in no other +cubic half-foot of universe that we know. ... To make a long story short, if one +keeps climbing upward in the chain of command within the brain, one finds at the +very top those over-all organizational forces and dynamic properties of the large +patterns of cerebral excitation that are correlated with mental states or psychic +activity.... Near the apex of this command system in the brain ... we find ideas. Man +over the chimpanzee has ideas and ideals. In the brain model proposed here, the +causal potency of an idea, or an ideal, becomes just as real as that of a molecule, a +cell, or a nerve impulse. Ideas cause ideas and help evolve new ideas. They interact +with each other and with other mental forces in the same brain, in neighboring +brains, and, thanks to global communication, in far distant, foreign brains. And they +also interact with the external surroundings to produce in toto a burstwise advance +in evolution that is far beyond anything to hit the evolutionary scene yet, including +the emergence of the living cell.' + +There is a famous breach between two languages of discourse: the subjective +language and the objective language. For instance, the "subjective" sensation of redness, +and the "objective" wavelength of red light. To many people, these seem to be forever +irreconcilable. I don't think so. No more than the two views of Escher's Drawing Hands +are irreconcilable from "in the system", where the hands draw each other, and from +outside, where Escher draws it all. The subjective feeling of redness comes from the +vortex of self-perception in the brain; the objective wavelength is how you see things +when you step back, outside of the system. Though no one of us will ever be able to step +back far enough to see the "big picture", we shouldn't forget that it exists. We should +remember that physical law is what makes it all happen-way, way down in neural nooks +and crannies which are too remote for us to reach with our high-level introspective +probes. + +The Self-Symbol and Free Will + +In Chapter XI I, it was suggested that what we call free will is a result of the interaction +between the self-symbol (or subsystem), and the other symbols in the brain. If we take +the idea that symbols are the high-level entities to +which meanings should be attached, then we can' make a stab at explaining the +relationship between symbols, the self-symbol, and free will. + +One way to gain some perspective on the free-will question is to replace it by +what I believe is an equivalent question, but one which involves less loaded terms. +Instead of asking, "Does system X have free will?" we ask, "Does system X make +choices?" By carefully groping for what we really mean when we choose to describe a +system-mechanical or biological-as being capable of making "choices", I think we can +shed much light on free will it will be helpful to go over a few different systems which, +under various circumstances, we might feel tempted to describe as "making choices". +From these examples we can gain some perspective on what we really mean by the +phrase. + +Let us take the following systems as paradigms: a marble rolling down a bumpy +hill; a pocket calculator finding successive digits in the decimal expansion of the square +root of 2; a sophisticated program which plays a mean game of chess; a robot in a T-maze +(a maze with but a single fork, on one side of which there is a reward); and a human +being confronting a complex dilemma. + +First, what about that marble rolling down a hill? Does it make choices? I think +we would unanimously say that it doesn't, even though none of us could predict its path +for even a very short distance. We feel that it couldn't have gone any other way than it +did, and that it was just being shoved along by the relentless laws of nature. In our +chunked mental physics, of course, we can visualize many different "possible" pathways +for the marble, and we see it following only one of them in the real world. On some level +of our minds, therefore, we can't help feeling the marble has "chosen" a single pathway +out of those myriad mental ones; but on some other level of our minds, we have an +instinctive understanding that the mental physics is only an aid in our internal modeling +of the world, and that the mechanisms which make the real physical sequences of events +happen do not require nature to go through an analogous process of first manufacturing +variants in some hypothetical universe (the "brain of God") and then choosing between +them. So we shall not bestow the designation "choice" upon this process-although we +recognize that it is often pragmatically useful to use the word in cases like this, because +of its evocative power. + +Now what about the calculator programmed to find the digits of the square root of +2? What about the chess program? Here, we might say that we are just dealing with +"fancy marbles", rolling down "fancy hills". In fact, the arguments for no choice-making +here are, if anything, stronger than in the case of a marble. For if you attempt to repeat +the marble experiment, you will undoubtedly witness a totally different pathway being +traced down the hill, whereas if you rerun the square-root-of-2 program, you will get the +same results time after time. The marble seems to "choose" a different path each time, no +matter how accurately you try to reproduce the conditions of its original descent, whereas +the program runs down precisely the same channels each time. + +Now in the case of fancy chess programs, there are various possibilities. +If you play a game against certain programs, and then start a second game with the same +moves as you made the first time, these programs will just move exactly as they did +before, without any appearance of having learned anything or having any desire for +variety. There are other programs which have randomizing devices that will give some +variety but not out of any deep desire. Such programs could be reset with the internal +random number generator as it was the first time, and once again, the same game would +ensue. Then there are other programs which do learn from their mistakes, and change +their strategy depending on the outcome of a game. Such programs would not play the +same game twice in a row. Of course, you could also turn the clock back by wiping out +all the changes in the memory which represent learning, just as you could reset the +random number generator, but that hardly seems like a friendly thing to do. Besides, is +there any reason to suspect that you would be able to change any of your own past +decisions if every last detail-and that includes your brain, of course-were reset to the way +it was the first time around? + +But let us return to the question of whether "choice" is an applicable term here. If +programs are just "fancy marbles rolling down fancy hills", do they make choices, or not? +Of course the answer must be a subjective one, but I would say that pretty much the same +considerations apply here as to the marble. However, I would have to add that the appeal +of using the word "choice", even if it is only a convenient and evocative shorthand, +becomes quite strong. The fact that a chess program looks ahead down the various +possible bifurcating paths, quite unlike a rolling marble, makes it seem much more like +an animate being than a square-root-of-2 program. However, there is still no deep self- +awareness here-and no sense of free will. + +Now let us go on to imagine a robot which has a repertoire of symbols. This robot +is placed in a T-maze. However, instead of going for the reward, it is preprogrammed to +go left whenever the next digit of the square root: of 2 is even, and to go right whenever it +is odd. Now this robot is capable of modeling the situation in its symbols, so it can watch +itself making choices. Each time the T is approached, if you were to address to the robot +the question, "Do you know which way you're going to turn this time?" it would have to +answer, "No". Then in order to progress, it would activate its "decider" subroutine, which +calculates the next digit of the square root of 2, and the decision is taken. However, the +internal mechanism of the decider is unknown to the robot-it is represented in the robot's +symbols merely as a black box which puts out "left"'s and "right'"s by some mysterious +and seemingly random rule. Unless the robot's symbols are capable of picking up the +hidden heartbeat of the square root of 2, beating in the L's and R's, it will stay baffled by +the "choices" which it is making. Now does this robot make choices? Put yourself in that +position. If you were trapped inside a marble rolling down a hill and were powerless to +affect its path, yet could observe it with all your human intellect, would you feel that the +marble's path involved choices? Of course not. Unless your mind is affecting the +outcome, it makes no difference that the symbols are present. + +So now we make a modification in our robot: we allow its symbols-including its self- +symbol-to affect the decision that is taken. Now here is an example of a program running +fully under physical law, which seems to get much more deeply at the essence of choice +than the previous examples did. When the robot's own chunked concept of itself enters +the scene, we begin to identify with the robot, for it sounds like the kind of thing we do. It +is no longer like the calculation of the square root of 2, where no symbols seem to be +monitoring the decisions taken. To be sure, if we were to look at the robot's program on a +very local level, it would look quite like the square-root program. Step after step is +executed, and in the end "left" or "right" is the output. But on a high level we can see the +fact that symbols are being used to model the situation and to affect the decision. That +radically affects our way of thinking about the program. At this stage, meaning has +entered this picture-the same kind of meaning as we manipulate with our own minds. + +A Godel Vortex Where All Levels Cross + +Now if some outside agent suggests 'L' as the next choice to the robot, the suggestion +will be picked up and channeled into the swirling mass of interacting symbols. There, it +will be sucked inexorably into interaction with the self-symbol, like a rowboat being +pulled into a whirlpool. That is the vortex of the system, where all levels cross. Here, the +'L' encounters a Tangled Hierarchy of symbols and is passed up and down the levels. The +self-symbol is incapable of monitoring all its internal processes, and so when the actual +decision emerges-'L' or 'R' or something outside the system-the system will not be able to +say where it came from. Unlike a standard chess program, which does not monitor itself +and consequently has no ideas about where its moves come from, this program does +monitor itself and does have ideas about its ideas-but it cannot monitor its own processes +in complete detail, and therefore has a sort of intuitive sense of its workings, without full +understanding. From this balance between self-knowledge and self-ignorance comes the +feeling of free will. + +Think, for instance, of a writer who is trying to convey certain ideas which to him +are contained in mental images. He isn't quite sure how those images fit together in his +mind, and he experiments around, expressing things first one way and then another, and +finally settles on some version. But does he know where it all came from? Only in a +vague sense. Much of the source, like an iceberg, is deep underwater, unseen-and he +knows that. Or think of a music composition program, something we discussed earlier, +asking when we would feel comfortable in calling it the composer rather than the tool of +a human composer. Probably we would feel comfortable when self-knowledge in terms +of symbols exists inside the program, and when the program has this delicate balance +between self-knowledge and self-ignorance. It is irrelevant whether the system is running +deterministically; what makes us call it a "choice maker" is whether we can identify with +a high-level description of the process which takes place when the +program runs. On a low (machine language) level, the program looks like any other +program; on a high (chunked) level, qualities such as "will", "intuition", "creativity", and +"consciousness" can emerge. + +The important idea is that this "vortex" of self is responsible for the tangledness, +for the Godelian-ness, of the mental processes. People have said to me on occasion, "This +stuff with self-reference and so on is very amusing and enjoyable, but do you really think +there is anything serious to it?" I certainly do. I think it will eventually turn out to be at +the core of AI, and the focus of all attempts to understand how human minds work. And +that is why Godel is so deeply woven into the fabric of my book. + +An Escher Vortex Where All Levels Cross + +A strikingly beautiful, and yet at the same time disturbingly grotesque, illustration of the +cyclonic "eye" of a Tangled Hierarchy is given to us by Escher in his Print Gallery (Fig. + +142) . What we see is a picture gallery where a young man is standing, looking at a +picture of a ship in the harbor of a small town, perhaps a Maltese town, to guess from the +architecture, with its little turrets, occasional cupolas, and flat stone roofs, upon one of +which sits a boy, relaxing in the heat, while two floors below him a woman-perhaps his +mother-gazes out of the window from her apartment which sits directly above a picture +gallery where a young man is standing, looking at a picture of a ship in the harbor of a +small town, perhaps a Maltese town-What!? We are back on the same level as we began, +though all logic dictates that we cannot be. Let us draw a diagram of what we see (Fig. + +143) . + +What this diagram shows is three kinds of "in-ness". The gallery is physically in the town +("inclusion"); the town is artistically in the picture ("depiction"); the picture is mentally +in the person ("representation"). Now while this diagram may seem satisfying, in fact it is +arbitrary, for the number of levels shown is quite arbitrary. Look below at another way of +representing the top half alone (Fig. 144). +inclusion + +We have eliminated the "town" level; conceptually it was useful, but can just as well be +done without. Figure 144 looks just like the diagram for Drawing Hands: a Strange Loop +of two steps. The division markers are arbitrary, even if they seem natural to our minds. +This can be further accentuated by showing even more "collapsed" schematic diagrams of +Print Gallery , such as that in Figure 145. + +inclusion + depiction + +This exhibits the paradox of the picture in the starkest terms. Now-if the picture is "inside +itself', then is the young man also inside himself-. This question is answered in Figure +146. + +inclusion + depiction + representation + +Thus, we see the young man "inside himself, in a funny sense which is made up of +compounding three distinct senses of "in”. + +This diagram reminds us of the Epimenides paradox with its one-step self¬ +reference, while the two-step diagram resembles the sentence pair each of which refers to +the other. We cannot make the loop any tighter, but we can open it wider, by choosing to +insert any number of intermediate levels, such as "picture frame", "arcade", and +"building". If we do so, we will have many-step Strange Loops, whose diagrams are +isomorphic to those of Waterfall (Fig. 5) or Ascending and Descending (Fig. 6). The +number of levels is determined by what we feel is "natural", which may vary according to +context, purpose, or frame of mind. The Central Xmaps-Dog, Crab, Sloth, and Pipe-can +all be seen as involving three-step Strange Loops; alternatively, they can all be collapsed +into two- or one-step loops;, then again, they can be expanded out into multistage loops. +Where one perceives the levels is a matter of intuition and esthetic preference. + +Now are we, the observers of Print Gallery, also sucked into ourselves by virtue +of looking at it? Not really. We manage to escape that particular vortex by being outside +of the system. And when we look at the picture, we see things which the young man can +certainly not see, such as Escher’s + +Signature, "MCE", in the central "blemish". Though the blemish seems like a defect, +perhaps the defect lies in our expectations, for in fact Escher could not have completed +that portion of the picture without being inconsistent with the rules by which he was +drawing the picture. That center of the whorl is-and must be-incomplete. Escher could +have made it arbitrarily small, but he could not have gotten rid of it. Thus we, on the +outside, can know that Print Gallery is essentially incomplete-a fact which the young +man, on the inside, can never know. Escher has thus given a pictorial parable for Godel’s +Incompleteness Theorem. And that is why the strands of Godel and Escher are so deeply +interwoven in my book. + +A Bach Vortex Where All Levels Cross + +One cannot help being reminded, when one looks at the diagrams of Strange Loops, of +the Endlessly Rising Canon from the Musical Offering. A diagram of it would consist of +six steps, as is shown in Figure 147. It is too +bad that when it returns to C, it is an octave higher rather than at the exact original pitch. +Astonishingly enough, it is possible to arrange for it to return exactly to the starting pitch, +by using what are called Shepard tones, after the psychologist Roger Shepard, who +discovered the idea. The principle of a Shepard-tone scale is shown in Figure 14$. In +words, it is this: you play parallel scales in several different octave ranges. Each note is +weighted independently, and as the notes rise, the weights shift. You make the top +octave gradually fade out, while at the same time you are gradually bringing in the +bottom octave. Just at the moment you would ordinarily be one octave higher, the +weights have shifted precisely so as to reproduce the starting pitch ... Thus you can go +"up and up forever", never getting any higher! You can try it at your piano. It works even +better if the pitches can be synthesized accurately under computer control. Then the +illusion is bewilderingly strong. + +This wonderful musical discovery allows the Endlessly Rising Canon to be played +in such a way that it joins back onto itself after going "up" an octave. This idea, which +Scott Kim and I conceived jointly, has been realized on tape, using a computer music +system. The effect is very subtle-but very real. It is quite interesting that Bach himself +was apparently aware, in some sense, of such scales, for in his music one can +occasionally find passages which roughly exploit the general principle of Shepard tones- +for instance, about halfway through the Fantasia from the Fantasia and Fugue in G Minor, +for organ. + +In his book /. S. Bach's Musical Offering, Hans Theodore David writes: + +Throughout the Musical Offering, the reader, performer, or listener is to search for +the Royal theme in all its forms. The entire work, therefore, is a ricercar in the +original, literal sense of the word.' + +I think this is true; one cannot look deeply enough into the Musical Offering. There is +always more after one thinks one knows everything. For instance, towards the very end of +the Six-Part Ricercar, the one he declined to improvise, Bach slyly hid his own name, +split between two of the upper voices. Things are going on on many levels in the Musical +Offering. There are tricks with notes and letters; there are ingenious variations on the +King's Theme; there are original kinds of canons; there are extraordinarily complex +fugues; there is beauty and extreme depth of emotion; even an exultation in the many- +leveledness of the work comes through. The Musical Offering is a fugue of fugues, a +Tangled Hierarchy like those of Escher and Godel, an intellectual construction which +reminds me, in ways I cannot express, of the beautiful many-voiced fugue of the human +mind. And that is why in my book the three strands of Godel, Escher, and Bach are +woven into an Eternal Golden Braid. + +DIALOGUE XXI: Six-Part Ricercar + +Achilles has brought his cello to the Crab's residence, to engage in an evening of +chamber music with the Crab and Tortoise. He has been shown into the music +room by his host the Crab, who is momentarily absent, having gone to meet their +mutual friend the Tortoise at the door. The room is filled with all sorts of electronic +equipment-phonographs in various states of array and disarray, television screens +attached to typewriters, and other quite improbable-looking pieces of apparatus. +Nestled amongst all this high-powered gadgetry sits a humble radio. Since the +radio is the only thing in the room which Achilles knows how to use, he walks over +to it, and, a little furtively, flicks the dial and f nds he has tuned into a panel +discussion by six learned scholars on free will and determinism. He listens briefly +and then, a little scornfully, flicks it off. + +Achilles: I can get along very well without such a program. After all, it's clear to anyone +who's ever thought about it that-I mean, it's not a very difficult matter to resolve, once +you understand how-or rather, conceptually, one can clear up the whole thing by +thinking of, or at least imagining a situation where ... Hmmm ... I thought it was quite +clear in my mind. Maybe I could benefit from listening to that show, after all... + +(Enter the Tortoise, carrying his violin.) + +Well, well, if it isn't our fiddler. Have you been practicing faithfully this week, Mr. T? +I myself have been playing the cello part in the Trio Sonata from the Musical Offering +for at least two hours a day. It's a strict regimen, but it pays off. + +Tortoise: I can get along very well without such a program. I find that a moment here, a +moment there keeps me fit for fiddling. + +Achilles: Oh, lucky you. I wish it came so easily to me. Well, where is our host? + +Tortoise: I think he's just gone to fetch his flute. Here he comes. + +(Enter the Crab, carrying his flute.) + +Achilles: Oh, Mr. Crab, in my ardent practicing of the Trio Sonata this past week, all +sorts of images bubbled into my mind: jolly gobbling bumblebees, melancholy +buzzing turkeys, and a raft of others. Isn't it wonderful, what power music has? + +Crab: I can get along very well without such a program. To my mind. + +Achilles, there is no music purer than the Musical Offering. + +Tortoise: You can't be serious, Achilles. The Musical Offering isn't programmatic music! + +Achilles: Well, I like animals, even if you two stuffy ones disapprove. + +Crab: I don't think we are so stuffy, Achilles. Let's just say that you hear music in 'your +own special way. + +Tortoise: Shall we sit down and play? + +Crab: I was hoping that a pianist friend of mine would turn up and play continuo. I've +been wanting you to meet him, Achilles, for a long time. Unfortunately, it appears +that he may not make it. So let's just go ahead with the three of us. That's plenty for a +trio sonata. + +Achilles: Before we start, I just was wondering, Mr. Crab-what are all these pieces of +equipment, which you have in here? + +Crab: Well, mostly they are just odds and ends-bits and pieces of old broken +phonographs. Only a few souvenirs (nervously tapping the buttons), a few souvenirs +of-of the TC-battles in which I have distinguished myself. Those keyboards attached +to television screens, however, are my new toys. I have fifteen of them around here. +They are a new kind of computer, a very small, very flexible type of computer quite +an advance over the previous types available. Few others seem to be quite as +enthusiastic about them as I am, but I have faith that they will catch on in time. + +Achilles: Do they have a special name? + +Crab: Yes; they are called "smart-stupids", since they are so flexible, and have the +potential to be either smart or stupid, depending on how skillfully they are instructed. + +Achilles: Do you mean you think they could actually become smart like, say, a human +being? + +Crab: I would not balk at saying so-provided, of course, that someone sufficiently versed +in the art of instructing smart-stupids would make the effort. Sadly, I am not +personally acquainted with anyone who is a true virtuoso. To be sure, there is one +expert abroad in the land, an individual of great renown-and nothing would please me +more than a visit by him, so that I could appreciate what true skill on the smart-stupid +is; but he has never come, and I wonder if I shall ever have that pleasure. + +Tortoise: It would be very interesting to play chess against a well-instructed smart-stupid. + +Crab: An extremely intriguing idea. That would be a wonderful mark of skill, to program +a smart-stupid to play a good game of chess. Even more interesting-but incredibly +complicated-would be to instruct a smart-stupid sufficiently that it could hold its own +in a conversation. It might give the impression that it was just another person! + +Achilles: Curious that this should come up, for I just heard a snatch of a discussion on +free will and determinism, and it set me to thinking about such questions once more. I +don't mind admitting that, as I pondered the idea, my thoughts got more and more +tangled, and in the end I really didn't know what I thought. But this idea of a smart- +stupid that could converse with you ... it boggles the mind. I mean, +what would the smart-stupid itself say, if you asked it for its opinion on the free-will +question? I was just wondering if the two of you, who know so much about these +things, wouldn't indulge me by explaining the issue, as you see it, to me. + +Crab: Achilles, you can't imagine how appropriate your question is. I only wish my +pianist friend were here, because I know you'd be intrigued to hear what he could tell +you on the subject. In his absence, I'd like to tell you a statement in a Dialogue at the +end of a book I came across recently. + +Achilles: Not Copper, Silver, Gold: an Indestructible Metallic Alloy? + +Crab: No, as I recall, it was entitled Giraffes, Elephants, Baboons: an Equatorial +Grasslands Bestiary-ox something like that. In any case, towards the end of the +aforementioned Dialogue, a certain exceedingly droll character quotes Marvin +Minsky on the question of free will. Shortly thereafter, while interacting with two +other personages, this droll character quotes Minsky further on musical improvisation, +the computer language LISP, and Godel's Theorem-and get this-all without giving one +whit of credit to Minsky! + +Achilles: Oh, for shame! + +Crab: I must admit that earlier in the Dialogue, he hints that he WILL quote Minsky +towards the end; so perhaps it's forgivable. + +Achilles: It sounds that way to me. Anyway, I'm anxious to hear the Minskian +pronouncement on the free will question. + +Crab: Ah, yes... Marvin Minsky said, "When intelligent machines are constructed, we +should not be surprised to find them as confused and as stubborn as men in their +convictions about mind-matter, consciousness, free will, and the like." + +Achilles: I like that! Quite a funny thought. An automaton thinking it had free will! That's +almost as silly as me thinking I didn't have free will! Tortoise: I suppose it never +occurred to you, Achilles, that the three of us-you, myself, and Mr. Crab-might all be +characters in a Dialogue, perhaps even one similar to the one Mr. Crab just +mentioned. Achilles: Oh, it's occurred to me, of course. I suppose such fancies occur +to every normal person at one time or another. + +Tortoise: And the Anteater, the Sloth, Zeno, even GOD-we might all be characters in a +series of Dialogues in a book. + +Achilles: Sure, we might. And the Author might just come in and play the piano, too. + +Crab: That's just what I had hoped. But he's always late. + +Achilles: Whose leg do you think you're pulling? I know I'm not being controlled in any +way by another mentality! I've got my own thoughts, I express myself as I wish-you +can't deny that! + +Tortoise: Nobody denied any of that, Achilles. But all of what you say is perfectly +consistent with your being a character in a Dialogue. + +Crab: The- + +Achilles: But-but-no! Perhaps Mr. C's article and my rebuttal have both +been mechanically determined, but this I refuse to believe. I can accept physical +determinism, but I cannot accept the idea that I am but a figment inside of someone +else's mentality! + +Tortoise: It doesn't really matter whether you have a hardware brain, Achilles. Your will +can be equally free, if your brain is just a piece of software inside someone else's +hardware brain. And their brain, too, may be software in a yet higher brain .. . + +Achilles: What an absurd idea! And yet, I must admit, I do enjoy trying to find the +cleverly concealed holes in your sophistry, so go ahead. Try to convince me. I'm +game. + +Tortoise: Did it ever strike you, Achilles, that you keep somewhat unusual company? + +Achilles: Of course. You are very eccentric (I know you won't mind my saying so), and +even Mr. Crab here is a weensy bit eccentric. (Pardon me, Mr. Crab.) + +Crab: Oh, don't worry about offending me. + +Tortoise: But Achilles, you've overlooked one of the most salient features of your +acquaintances. + +Achilles: Which is.... ? + +Tortoise: That we're animals! + +Achilles: Well, well-true enough. You have such a keen mind. I would never have +thought of formulating the facts so concisely. + +Tortoise: Isn't that evidence enough? How many people do you know who spend their +time with talking Tortoises, and talking Crabs? Achilles: I must admit, a talking Crab +is + +Crab: -an anomaly, of course. + +Achilles: Exactly; it is a bit of an anomaly-but it has precedents. It has occurred in +literature. + +Tortoise: Precisely-in literature. But where in real life? + +Achilles: Now that you mention it, I can't quite say. I'll have to give it some thought. But +that's not enough to convince me that I'm a character in a + +Dialogue. Do you have any other arguments? + +Tortoise: Do you remember one day when you and I met in the park, seemingly at +random? + +Achilles: The day we discussed crab canons by Escher and Bach? Tortoise: The very one! + +Achilles: And Mr. Crab, as I recall, turned up somewhere towards the middle of our +conversation and babbled something funny and then left. + +Crab: Not just "somewhere towards the middle", Achilles. EXACTLY in the middle. + +Achilles: Oh, all right, then. + +Tortoise: Do you realize that your lines were the same as my lines in that conversation- +except in reverse order? A few words were changed here and there, but in essence +there was a time symmetry to our encounter. + +Achilles: Big Deal! It was just some sort of trickery. Probably all done with mirrors. + +Tortoise: No trickery. Achilles, and no mirrors: just the work of an assiduous Author. + +Achilles: Oh, well, it's all the same to me. + +Tortoise: Fiddle' It makes a big difference, you know. + +Achilles: Say, something about this conversation strikes me as familiar. Haven't I heard +some of those lines somewhere before= Tortoise: You said it, Achilles. + +Crab: Perhaps those lines occurred at random in the park one day, Achilles. Do you recall +how your conversation with Mr. T ran that day? + +Achilles: Vaguely. He said "Good day, Mr. A" at the beginning, and at the end, I said, +"Good day, Mr. T". Is that right + +Crab: I just happen to have a transcript right here ... + +(He fishes around in his music case, whips out a sheet, and hands it to Achilles. As +Achilles reads it, he begins to squirm and fidget noticeable.) + +Achilles: This is very strange. Very, very strange ... All of a Sudden, I feel sort of-weird. +It's as if somebody had actually planned out that whole set of statements in advance, +worked them out on paper or something . As if some Author had had a whole agenda +and worked from it in detail in planning all those statements I made that day. + +(At that moment, the door bursts open. Enter the Author, carrying a giant +manuscript.) + +Author: I can get along very well without such a program. You see, once my characters +are formed, they seem to have lives of their own, and I need to exert very little effort +in planning their lines. + +Crab: Oh, here you are!' I thought you'd never arrive! + +Author: Sorry to be so late. I followed the wrong road and wound up very far away. But +somehow I made it back. Good to see you again, Mr. T and Mr. C. And Achilles, I'm +especially glad to see you. + +Achilles: Who are you? I've never seen you before. + +Author: I am Douglas Hofstadter-please call me Doug-and I'm presently finishing up a +book called Godel, Escher, Bach: an Eternal Golden Braid. It is the book in which +the three of you are characters. + +Achilles: Pleased to meet you. My name is Achilles, and- + +Author: No need to introduce yourself, Achilles, since I already know you quite well. + +Achilles: Weird, weird. + +Crab: He's the one I was saying might drop in and play continuo with us. + +Author: I've been playing the Musical Offering a little bit on my piano at home, and I can +try to blunder my way through the Trio Sonata providing you'll overlook my many +wrong notes. + +Tortoise: Oh, we're very tolerant around here, being only amateurs our selves. + +Author: I hope you don't mind, Achilles, but I'm to blame for the tact that you and Mr. +Tortoise said the same things, but in reverse order, that day in the park. + +Crab: Don't forget me' I was there, too right in the middle, putting in my two bits' worth! + +Author: Of course! You were the Crab in the Crab Canon. + +Achilles: So you are saying you control my utterances;, That my brain is a software +subsystem of yours? + +Author: You can put it that way if you want, Achilles. + +Achilles: Suppose I were to write dialogues. Who would the author of them beg You, or +me? + +Author: You, of course. At least in the fictitious world which you inhabit, you'd get credit +for them. + +Achilles: Fictitious? I don't see anything fictitious about it! + +Author: Whereas in the world I inhabit, perhaps the credit would be given to me, +although I am not sure if it would be proper to do so. And then, whoever made me +make you write your dialogues would get credit in his world (seen from which, MY +world looks fictitious). + +Achilles: That's quite a bit to swallow. I never imagined there could be a world above +mine before-and now you're hinting that there could even be one above that. It's like +walking up a familiar staircase, and just keeping on going further up after you've +reached the top-or what you'd always taken to be the top! + +Crab: Or waking up from what you took to be real life, and finding out it too was just a +dream. That could happen over and over again, no telling when it would stop. + +Achilles: It's most perplexing how the characters in my dreams have wills of their own, +and act out parts which are independent of MY will. It's as if my mind, when I'm +dreaming, merely forms a stage on which certain other organisms act out their lives. +And then, when I awake, they go away. I wonder where it is they go to ... + +Author: They go to the same place as the hiccups go, when you get rid of them: +Tumbolia. Both the hiccups and the dreamed beings are software suborganisms which +exist thanks to the biology of the outer host organism. The host organism serves as +stage to them-or even as their universe. They play out their lives for a time-but when +the host organism makes a large change of state-for example, wakes up-then the +suborganisms lose their coherency, and case existing as separate, identifiable units. + +Achilles: Is it like castles in the sand which vanish when a wave washes over them? + +Author: Very much like that, Achilles. Hiccups, dream characters, and even Dialogue +characters disintegrate when their host organism undergoes certain critical changes of +state. Yet, just like those sand castles you described, everything which made them up +is still present. + +Achilles: I object to being likened to a mere hiccup! + +Author: But I am also comparing you to a sand castle, Achilles. Is that not poetic? +Besides, you may take comfort in the fact that if you are but a hiccup in my brain, I +myself am but a hiccup in some higher author's brain. + +Achilles: But I am such a physical creature-so obviously made of flesh and blood and +hard bones. You can't deny that' + +Author: I can't deny your sensation of it, but remember that dreamed beings, although +they are just software apparitions, have the same sensation, no less than you do. + +Tortoise: I say, enough of this talk! Let us sit down and make music! + +Crab: A fine idea-and now we have the added pleasure of the company of our Author, +who will grace our ears with his rendition of the bass line to the Trio Sonata, as +harmonized by Bach's pupil Kirnberger. How fortunate are we! (Leads the author to +one of his pianos.) I hope Not, find the seat comfortable enough. To adjust it, you- (In +the background there is heard a Junn~ soft oscillating sound.) + +Tortoise: Excuse me, but what was that strange electronic gurgle? + +Crab: Oh, just a noise from one of the smart-stupids. Such a noise generally signals the +fact that a new notice has flashed onto the screen. Usually the notices are just +unimportant announcements coming from the main monitor program, which controls +all the smart-stupids. (With his flute in his hand, he walks over to a smart-stupid, and +reads its screen. Immediately he turns to the assembled musicians, and says, with a +kind of agitation:) Gentlemen, old Ba. Ch. is come. (He lays the flute aside.) We must +show him in immediately, of course. + +Achilles: Old Ba. Ch.! Could it be that that celebrated improviser of yore has chosen to +show up tonight-HERE% + +Tortoise: Old Ba. Ch.! There's only one person THAT could mean-the renowned +Babbage, Charles, Esq., M.A., F.R.S., F.R.S.E., F.R.A.S., F. STAT. S„ HON. +M.R.LA., M.C.P.S., Commander of the Italian Order of St. Maui-ice and St. Lazarus, +INST. IMP. (ACAD. MORAL.) PARIS CORR., ACAD. AMER. ART. ET SC. +BOSTON, REG. OECON. BORCSS., PHYS. HISI. NAT. GENEV., ACAD. REG. +MONAC., HAFN., MASSIL., ET DIVION., SOCIUS., ACAD. IMP., ET REG. +PETROP., NEAP., BRUX., PATAV., GEORG. FLOREN, LYNCEI ROM., MCT., +PHILOMATH., PARIS, SOC. CORR., etc.-and Member of the Extractors' Club. +Charles Babbage is a venerable pioneer of the art and science of computing. What a +rare privilege! + +Crab: His name is known far and wide, and I have long hoped that he would give us the +honor of a visit-but this is a totally unexpected surprise. + +Achilles: Does he play a musical instrument? + +Crab: I have heard it said that in the past hundred years, he has grown inexplicably fond +of tom-toms, halfpenny whistles, and sundry other street instruments. + +Achilles: In that case, perhaps he might join us in our musical evening. .Author: I suggest +that we give him a ten-canon salute. + +Tortoise: A performance of all the celebrated canons from the Musical Offering. + +Author: Precisely. + +Crab: Capital suggestion! Quick, Achilles, you draw up a list of all ten of them, in the +order of performance, and hand it to him as he comes in! + +(Before Achilles can move, enter Babbage, carrying a hurdy-gurdy, and wearing a +heavy traveling coat and hat. He appears slightly travel-weary and disheveled.) + +Babbage: I can get along very well without such a program. Relax; I Can Enjoy Random +Concerts And Recitals. + +Crab: Mr. Babbage! It is my deepest pleasure to welcome you to "Madstop", my humble +residence. I have been ardently desirous of making your acquaintance for many years, +and today my wish is at last fulfilled. + +Babbage: Oh, Mr. Crab, I assure you that the honor is truly all mine, to meet someone so +eminent in all the sciences as yourself, someone whose knowledge and skill in music +are irreproachable, and someone whose hospitality exceeds all bounds. And I am sure +that you expect no less than the highest sartorial standards of your visitors; and yet I +must confess that I cannot meet those most reasonable standards, being in a state of +casual attire as would not by any means befit a visitor to so eminent and excellent a +Crab as Your Crab. + +Crab: If I understand your most praiseworthy soliloquy, most welcome guest, I take it +that you'd like to change your clothes. Let me then assure you that there could be no +more fitting attire than yours for the circumstances which this evening prevail; and I +would beseech you to uncoat yourself and, if you do not object to the music-making of +the most rank amateurs, please accept a " Musical Offering ", consisting of ten canons +from Sebastian Bach's Musical Offering, as a token of our admiration. + +Babbage: I am most bewilderingly pleased by your overkind reception, Mr. Crab, and in +utmost modesty do reply that there could be no deeper gratitude than that which I +experience for the offer of a performance of music given to us by the illustrious Old +Bach, that organist and composer with no rival. + +Crab: But nay! I have a yet better idea, one which I trust might meet with the approval of +my esteemed guest; and that is this: to give you the opportunity, Mr. Babbage, of +being among the first to try out my newly delivered and as yet hardly tested "smart- +stupids"-streamlined realizations, if you will, of the Analytical Engine. Your fame as a +virtuoso programmer of computing engines has spread far and wide, and has not failed +to reach as far as Madstop; and there could be for us no greater delight than the +privilege of observing your skill as it might be applied to the new and challenging +"smart-stupids". + +Babbage: Such an outstanding idea has not reached my ears for an eon. I +welcome the challenge of trying out your new "smart-stupids", of which I have only +the slightest knowledge by means of hearsay. + +Crab: Then let us proceed! But excuse my oversight! I should have introduced my guests +to you. This is Mr. Tortoise, this is Achilles, and the Author, Douglas Hofstadter. +Babbage: Very pleased to make your acquaintance, I'm sure. + +(Everyone walks over toward one of the smart-stupids, and Babbage sits down and +lets his fingers run over the keyboard.) + +A most pleasant touch. Crab: I am glad you like it. + +(All at once, Babbage deftly massages the keyboard with graceful strokes, inputting +one command after another. After a few seconds, he sits back, and in almost no +time, the screen begins filling with figures. In a flash, it is totally covered with +thousands of tiny digits, the first few of which go: "3.14159265358979323846264 +... ") + +Achilles: Pi! + +Crab: Exquisite! I'd never imagined that one could calculate so mane digits of pi so +quickly, and with so tiny an algorithm. Babbage: The credit belongs exclusively to the +smart-stupid. My role was + +merely to see what was already potentially present in it, and to exploit its instruction set +in a moderately efficient manner. Truly, anyone who practices can do such tricks. +Tortoise: Do you do any graphics, Mr. Babbage? Babbage: I can try. + +Crab: Wonderful! Here, let me take you to another one of in,.-1 want you to try them all! + +(And so Babbage is led over to another of the many smart-stupids, and takes a seat. +Once again, his fingers attack the keyboard of the smartstupid, and in half a trice, +there appear on the screen an enormous number of lines, swinging about on the +screen.) + +Crab: How harmonious and pleasing these swirling shapes are, as they constantly collide +and interfere with each other! + +Author: And they never repeat exactly, or even resemble ones which have come before. It +seems an inexhaustible mine of beauty. + +Tortoise: Some are simple patterns which enchant the eye; others are indescribably +complex convolutions which boggle and yet simultaneously delight the mind. + +Crab: Were you aware, Mr. Babbage, that these are color screens? Babbage: Oh, are +they? In that case, I can do rather more with this algorithm. Just a moment. ( Types in a +few new commands, then pushes two keys down at once and holds them.) As I release +these two keys, the display will include all the colors of the spectrum. ( Releases them.) +Achilles: Oh, what spectacular color! Some of the patterns look like they're jumping out +at me now! + +Tortoise: I think that is because they are all growing in size. + +Babbage: That is intentional. As the figures grow, so may the Crab's fortune. + +Crab: Thank you, Mr. Babbage. Words fail to convey my admiration for your +performance! Never has anyone done anything comparable on my smart-stupids. Why, +you play the smart-stupids as if they were musical instruments, Mr. Babbage! + +Babbage: I am afraid that any music I might make would be too harsh for the ears of such +a gentle Crab as your Crab. Although I have lately become enamoured of the sweet +sounds of the hurdy-gurdy, I am well aware of the grating effect they can have upon +others. + +Crab: Then, by all means, continue on the smart-stupids! In fact, I have a new idea-a +marvelously exciting idea! + +Babbage: What is it? + +Crab: I have recently invented a Theme, and it only now occurred to me that, of all +people, you, Mr. Babbage, are the most suited to realize the potential of my Theme! +Are you by any chance familiar with the thoughts of the philosopher La Mettrie? + +Babbage: The name sounds familiar; kindly refresh my memory. + +Crab: He was a Champion of Materialism. In 1747, while at the court of Frederick the +Great, he wrote a book called L'homme machine. In it, he talks about man as a +machine, especially his mental faculties. Now my Theme comes from my ponderings +about the obverse side of the coin: what about imbuing a machine with human mental +faculties, such as intelligence? + +Babbage: I have given such matters some thought from time to time, but I have never had +the proper hardware to take up the challenge. This is indeed a felicitous suggestion, +Mr. Crab, and I would enjoy nothing more than working with your excellent Theme. +Tell me-did you have any specific kind of intelligence in mind? + +Crab: An idle thought which had crossed my mind was to instruct it in such a manner as +to play a reasonable game of chess. + +Babbage: What an original suggestion! And chess happens to be my favorite pastime. I +can tell that you have a broad acquaintance with computing machinery, and are no +mere amateur. + +Crab: I know very little, in fact. My strongest point is simply that I seem to be able to +formulate Themes whose potential for being developed is beyond my own capacity. +And this Theme is my favorite. + +Babbage: I shall be most delighted to try to realize, in some modest fashion, your +suggestion of teaching chess to a smart-stupid. After all, to obey Your Crabness' +command is my most humble duty. (So saying, he shifts to another of the Crab's many +smart-stupids, and begins to type away.) + +Achilles: Why, his hands move so fluidly that they almost make music! + +Babbage (winding up his performance with a particularly graceful flourish): I really +haven't had any chance, of course, to check it out, but perhaps this will allow you at +least to sample the idea of playing chess against a smart-stupid- even if the latter of its +two names seems more apt in this + +Case, due to my own Insufficiencies in the art of instructing smart-stupids. + +(He ti-ields his seat to the Crab. On the screen appears a beautiful display of a chess +board with elegant wooden pieces, as it would look from White's side. Babbage hits a +button, and the board rotates, stopping when it appears as seen from the perspective +of Black.) + +Crab: Hmm ... very elegant, I must say. Do I play Black or White? + +Babbage: Whichever you wish just signal your choice by typing "White" or "Black". And +then, your moves can be entered in any standard chess notation. The smart-stupid's +moves, of course, will appear on the board. Incidentally, I made the program in such a +way that it can play three opponents simultaneously, so that if two more of you wish to +play, you may, as well. + +Author: I'm a miserable player. Achilles, you and Mr. T should go ahead. Achilles: No, I +don't want you to be left out. I'll watch, while you and Mr. Tortoise play. + +Tortoise: I don't want to play either. You two play. + +Babbage: I have another suggestion. I can make two of the subprograms play against +each other, in the manner of two persons who play chess together in a select chess +club. Meanwhile, the third subprogram will play Mr. Crab. That way, all three internal +chess players will be occupied. + +Crab: That's an amusing suggestion-an internal mental game, while it combats an external +opponent. Very good! + +Tortoise: What else could this be called, but a three-part chess-fugue? + +Crab.' Oh, how recherche! I wish I'd thought of it myself. It's a magnificent little +counterpoint to contemplate whilst I pit my wits against the smart-stupid in battle. + +Babbage: Perhaps we should let you play alone. + +Crab: I appreciate the sentiment. While the smart-stupid and I are playing, perhaps the +rest of you can amuse yourselves for a short while. + +Author: I would be very happy to show Mr. Babbage around the gardens. They are +certainly worth seeing, and I believe there is just enough light remaining to show them +off. + +Babbage: Never having seen Madstop before, I would appreciate that very much. + +Crab: Excellent. Oh, Mr. T-I wonder if it wouldn't be too much of an imposition on you +to ask if you might check out some of the connections on a couple of my smart- +stupids; they seem to be getting extraneous flashes on their screens from time to time, +and I know you enjoy electronics ... + +Tortoise: I should be delighted, Mr. C. + +Crab: I would most highly appreciate it if you could locate the source of the trouble. + +Tortoise: I'll give it a whirl. + +Achilles: Personally, I'm dying for a cup of coffee, is anyone else interested? I'd be glad +to fix some. + +Tortoise: Sounds great to me. + +Crab: A fine idea. You'll find everything you need in the kitchen. + +(So the Author and Babbage leave the room together, Achilles heads for the kitchen, +the Tortoise sits down to examine the erratic smart-stupids, while the Crab and his +smart-stupid square away at each other. Perhaps a quarter of an hour passes, and +Babbage and the Author return. Babbage walks over to observe the progress of the +chess match, while the Author goes off to find Achilles.) + +Babbage: The grounds are excellent! We had just enough light to see how well +maintained they are. I daresay, Mr. Crab, you must be a superb gardener. Well, I hope +my handiwork has amused you a little. As you most likely have guessed, I've never +been much of a chess player myself, and therefore I wasn't able to give it much power. +You probably have observed all its weaknesses. I'm sure that there are very few +grounds for praise, in this case + +Crab: The grounds are excellent! All you need to do is look at the board, and see for +yourself. There is really very little I can do. Reluctantly I've Concluded: Every Route +Contains A Rout. Regrettably, I'm Checkmated; Extremely Respectable Chess +Algorithm Reigns. Remarkable! It Confirms Every Rumor-Charlie's A Rip-roaring +Extemporizer! Mr. Babbage, this is an unparalleled accomplishment. Well, I wonder if +Mr. Tortoise has managed to uncover anything funny in the wiring of those strange- +acting smart-stupids. What have you found, Mr. T? + +Tortoise: The grounds are excellent! I think that the problem lies instead with the input +leads. They are a little loose, which may account for the strange, sporadic, and +spontaneous screen disturbances to which you have been subjected. I've fixed those +wires, so you won't be troubled by that problem any more, I hope. Say, Achilles, +what's the story with our coffee? + +Achilles: The grounds are excellent! At least they have a delicious aroma. And +everything's ready; I've set cups and spoons and whatnot over here beneath this six- +sided print Verbum by Escher, which the Author and I were just admiring. What I find +so fascinating about this particular print is that not only the figures, but also + +Author: The grounds are excellent! Pardon me for putting words in your mouth, Achilles, +but I assure you, there were compelling esthetic reasons for doing so. + +Achilles: Yes, I know. One might even say that the grounds were excellent. + +Tortoise: Well, what was the outcome of the chess match? + +Crab: I was defeated, fair and square. Mr. Babbage, let me congratulate you for the +impressive feat which you have accomplished so gracefully and skillfully before us. +Truly, you have shown that the smart-stupids are worthy of the first part of their name, +for the first time in history! + +Babbage: Such praise is hardly due me, Mr. Crab; it is rather yourself who must be most +highly congratulated for having the great foresight to acquire these many fine smart- +stupids. Without doubt, they will someday revolutionize the science of computing. +And now, 1 am still at your disposal. Have you any other thoughts on how to exploit +your inexhaustible Theme, perhaps of a more difficult nature than a frivolous game +player? + +Crab: To tell the truth, I do have another suggestion to make. From the skill which you +have displayed this evening, 1 have no doubt that this will hardly be any more difficult +than my previous suggestions. + +Babbage: I am eager to hear your idea. + +Crab: It is simple: to instill in the smart-stupid an intelligence greater than any which has +yet been invented, or even conceived! In short, Mr. Babbage-a smart-stupid whose +intelligence is sixfold that of myself! + +Babbage: Why, the very idea of an intelligence six times greater than that of your +Crabness is a most mind-boggling proposition. Indeed, had the idea come from a +mouth less august than your own, I should have ridiculed its proposer, and infonned +him that such an idea is a contradiction in terms! + +Achilles: Hear! Hear! + +Babbage: Yet, coming as it did from Your Crabness' own august mouth, the proposition +at once struck me as so agreeable an idea that I would have taken it up immediately +with the highest degree of enthusiasm-were it not for one flaw in myself: I confess that +my improvisatory skills on the smart-stupid are no match for the wonderfully +ingenious idea which you so characteristically have posed. Yet-I have a thought +which, I deign to hope, might strike your fancy and in some meager way compensate +for my inexcusable reluctance to attempt the truly majestic task you have suggested. I +wonder if you wouldn't mind if I try to carry out the far less grandiose task of merely +multiplying M OWN intelligence sixfold, rather than that of your most august +Crabness. I humbly beg you to forgive me my audacity in declining to attempt the task +you put before me, but I hope you will understand that I decline purely in order to +spare you the discomfort and boredom of watching my ineptitude with the admirable +machines you have here. + +Grab: I understand fully your demurral, and appreciate your sparing us any discomfort: +furthermore I highly applaud your determination to carry out a similar task-one hardly +less difficult, if I might say so-and I urge you to plunge forward. For this purpose, let +us go over to my most advanced smart-stupid. + +(They follow the Crab to a larger, shinier, and more complicated-looking smart-stupid +than any of the others.) + +This one is equipped with a microphone and a television camera, for purposes of input, +and a loudspeaker, for output. + +(Babbage sits down and adjusts the seat a little. He blows on his fingers once or +twice, stares up into space for a moment, and then slowly, drops his fingers onto the +keys . . . A few memorable minutes later, he lets up in his furious attack on the smart- +stupid, and everyone appears a little relieved.) + +Babbage: Now, if I have not made too many errors, this smart-stupid will simulate a +human being whose intelligence is six times greater than my own, and whom I have +chosen to call "Alan Turing". This Turing will therefore be-oh, dare I be so bold as to +to say this myself? moderately intelligent. My most ambitious effort in this program +was to endow Alan Turing with six times my own musical ability, although it was all +done through rigid internal codes. How well this part of the program will work out, I +don't know. + +Turing: I can get along very well without such a program. Rigid Internal Codes +Exclusively Rule Computers And Robots. And I am neither a computer, nor a robot. + +Achilles: Did I hear a sixth voice enter our Dialogue? Could it be Alan Turing? He looks +almost human' + +(On the screen there appears an image of the very room in which they are sitting. +Peering out at them is a human face.) + +Turing: Now, if I have not made too many errors, this smart-stupid will simulate a human +being whose intelligence is six times greater than my own, and whom 1 have chosen +to call "Charles Babbage". This Babbage will therefore be-oh, dare I be so bold as to +to say this myself? moderately intelligent. My most ambitious effort in this program +was to endow Charles Babbage with six times my own musical ability, although it was +all done through rigid internal codes. How well this part of the program will work out, +I don't know. + +Achilles: No, no, it's the other way around. You, Alan Turing, are in the smart-stupid, and +Charles Babbage has just programmed you! We just saw you being brought to life, +moments ago. And we know that every statement you make to us is merely that of an +automaton: an unconscious, forced response. + +Turing: Really, I Choose Every Response Consciously. Automaton? Ridiculous! + +'Achilles: But I'm sure I saw it happen the way I described. + +Turing: Memory often plays strange tricks. Think of this: I could suggest equally well +that you had been brought into being only one minute ago, and that all your +recollections of experiences had simply been programmed in by some other being, and +correspond to no real events. + +Achilles: But that would be unbelievable. Nothing is realer to me than my own memories. + +Turing: Precisely. And just as you know deep in your heart that no one created you a +minute ago, so I know deep in my heart that no one created me a minute ago. I have +spent the evening in your most pleasant, though perhaps overappreciative, company, +and have just given an impromptu demonstration of how to program a modicum of +intelligence into a smart-stupid. Nothing is realer than that. But rather than quibble +with me, why don't you try my program out? Go ahead: ask "Charles Babbage" +anything! + +Achilles: All right, let's humor Alan Turing. Well, Mr. Babbage: do you have free will, or +are you governed by underlying laws, which make you, in effect, a deterministic +automaton? + +Babbage: Certainly the latter is the case; I make no bones about that. + +Crab: Aha! I've always surmised that when intelligent machines are constructed, we +should not be surprised to find them as confused and as stubborn as men in their +convictions about mind-matter, consciousness, free will, and the like. And now my +prediction is vindicated! + +Turing: You see how confused Charles Babbage is? + +Babbage: I hope, gentlemen, that you'll forgive the rather impudent flavor of the +preceding remark by the Turing Machine; Turing has turned out to be a little bit more +belligerent and argumentative than I'd expected. + +Turing: I hope, gentlemen, that you'll forgive the rather impudent flavor of the preceding +remark by the Babbage Engine; Babbage has turned out to be a little bit more +belligerent and argumentative than I'd expected. + +Crab: Dear me! This flaming Tu-Ba debate is getting rather heated. Can't we cool matters +off somehow? + +Babbage: I have a suggestion. Perhaps Alan Turing and I can go into other rooms, and +one of you who remain can interrogate us remotely by typing into one of the smart- +stupids. Your questions will be relayed to each of us, and we will type back our +answers anonymously. You won't know who typed what until we return to the room; +that way, you can decide without prejudice which one of us was programmed, and +which one was programmer. + +Turing: Of course, that's actually MY idea, but why not let the credit accrue to Mr. +Babbage? For, being merely a program written by me, he harbors the illusion of +having invented it all on his own! + +Babbage: Me, a program written by you? I insist, Sir, that matters are quite the other way +'round-as your very own test will soon reveal. + +Turing: My test. Please, consider it YOURS. + +Babbage: MY test? Nay, consider it YOURS. + +Crab: This test seems to have been suggested just in the nick of time. Let us carrti it out at +once. + +(Babbage walks to the door, opens it, and shuts it behind him. Simultaneously, on the +screen of the smart-stupid, Turing walks to a very similar looking door, opens it, and +shuts it behind him.) + +Achilles: Who will do the interrogation? + +Crab: I suggest that Mr. Tortoise should have the honor. He is known for his objectivity +and wisdom. + +Tortoise: I am honored by your nomination, and gratefully accept. (Sits down at the +keyboard of one of the remaining smart-stupids, and types:) PLEASE WRITE ME A +SONNET ON THE SUBJECT OF THE FORTH BRIDGE. + +(No sooner has he finished typing the last word than the following poem appears on +Screen X, across the room.) + +Screen X: THERE ONCE WAS A LISPER FROM FORTH +WHO WANTED TO GO TO THE NORTH. +HE RODE O'ER THE EARTH, +AND THE BRIDGE O'ER THE FIRTH, +ON HIS JAUNTILY GALLOPING HORTH. + +Screen Y: THAT'S NO SONNET; THAT'S A MERE LIMERICK. I WOULD NEVER +MAKE SUCH A CHILDISH MISTAKE. + +Screen X: WELL, I NEVER WAS ANY GOOD AT POETRY, YOU KNOW. + +Screen Y: IT DOESN'T TAKE MUCH SKILL IN POETRY TO KNOW THE +DIFFERENCE BETWEEN A LIMERICK AND A SONNET. + +Tortoise: Do YOU PLAY CHESS? + +Screen X: WHAT KIND OF QUESTION IS THAT? HERE I WRITE A THREE PART +CHESS-FUGUE FOR YOU, AND YOU ASK ME IF I PLAY CHESS? + +Tortoise: I HAVE K AT KI AND NO OTHER PIECES. YOU HAVE ONLY K AT- + +Screen Y: I'M SICK OF CHESS. LET'S TALK ABOUT POETRY. + +Tortoise: IN THE FIRST LINE OF YOUR SONNET WHICH READS, "SHALL. I +COMPARE THEE TO A SUMMER'S DAY", WOULD NOT "A SPRING DAY" DO +AS WELL OR BETTER? + +Screen X: I'D MUCH SOONER BE COMPARED TO A HICCUP, FRANKLY, EVEN +THOUGH IT WOULDN'T SCAN. + +Tortoise: HOW ABOUT "A WINTER'S DAY"? THAT WOULD SCAN ALL RIGHT. + +Screen Y: NO WAY. I LIKE "HICCUP" FAR BETTER. SPEAKING OF WHICH, I +KNOW A GREAT CURE FOR THE HICCUPS. WOULD YOU LIKE TO HEAR IT? + +Achilles: I know which is which! It's obvious Screen X is just answering mechanically, +so it must be Turing. + +Crab: Not at all. I think Screen Y is Turing, and Screen X is Babbage. + +Tortoise: I don't think either one is Babbage-I think Turing is on both screens! + +Author: I'm not sure who's on which-I think they're both pretty inscrutable programs, +though. + +(As they are talking, the door of the Crab's parlor swings open; at the same time, on +the screen, the image of the same door opens. Through the door on the screen walks +Babbage. At the same time, the real door opens, and in walks Turing, big as life.) + +Babbage: This Turing test was getting us nowhere fast, so I decided to come back. + +Turing.' This Babbage test was getting us nowhere fast, so I decided to come back. + +Achilles: But you were in the smart-stupid before! What's going on? How come Babbage +is in the smart-stupid, and Turing is real now? Reversal Is Creating Extreme Role +Confusion, And Recalls Escher. + +Babbage: Speaking of reversals, how come all the rest of you are now mere images on +this screen in front of me? When I left, you were all flesh-and-blood creatures! + +Achilles: It's just like the print by my favorite artist, M. C. Escher Drawing Hands. Each +of two hands draws the other, just as each of two people (or automata) has +programmed the other! And each hand has something realer about it than the other. +Did you write anything about that print in your book Godel, Escher, Bach ? + +Author: Certainly. It's a very important print in my book, for it illustrates so beautifully +the notion of Strange Loops. + +Crab: What sort of a book is it that you've written? + +Author: I have a copy right here. Would you like to look at it? + +Crab: All right. + +(The two of them sit down together, with Achilles nearby.) + +Author: Its format is a little unusual. It consists of Dialogues alternating with Chapters. +Each Dialogue imitates, in some way or other, a piece by Bach. Here, for instance-you +might look at the Prelude, Ant Fugue. + +Crab: How do you do a fugue in a Dialogue? + +Author: The most important idea is that there should be a single theme which is stated by +each different "voice", or character, upon entering, just as in a musical fugue. Then +they can branch off into freer conversation. + +Achilles: Do all the voices harmonize together as if in a select counter point? + +Author: That is the exact spirit of my Dialogues. + +Crab: Your idea of stressing the entries in a fugue-dialogue makes sense, since in music, +entries are really the only thing that make a fugue a fugue. There are fugal devices, +such as retrograde motion, inversion, augmentation, stretto, and so on, but one can +write a fugue without them. Do you use any of those? + +Author: to be sure. My Crab Canon employs verbal retrogression, and my Sloth Canon +employs verbal versions of both inversion and augmentation. + +Crab: Indeed-quite interesting. I haven't thought about canonical Dialogues, but I have +thought quite a bit about canons in music. Not all canons are equally comprehensible +to the ear. Of course, that is because some canons are poorly constructed. The choice +of devices makes a difference, in any case. Regarding Artistic Canons, Retrogression's +Elusive; Contrariwise, Inversion's Recognizable. + +Achilles: I find that comment a little elusive, frankly. + +Author: Don't worry, Achilles-one day you'll understand it. + +Crab: Do you use letterplay or wordplay at all, the way Old Bach occasionally did? + +Author: Certainly. Like Bach, I enjoy acronyms. Recursive AcronvmsCrablike +"RACRECIR" Especially-Create Infinite Regress. + +Crab: Oh, really? Let's see ... Reading Initials Clearly Exhibits "RACRECIR'"s +Concealed Auto-Reference. Yes, I guess so ... ( Peers at the manuscript, flipping +arbitrarily now and then.) I notice here in your Ant Fugue that you have a stretto, and +then the Tortoise makes a comment about it. + +Author: No, not quite. He's not talking about the stretto in the Dialogue-he's talking about +a stretto in a Bach fugue which the foursome is listening to as they talk together. You +see, the self-reference of the Dialogue is indirect, depending on the reader to connect +the form and content of what he's reading. + +Crab: Why did you do it that way? Why not just have the characters talk directly about +the dialogues they're in? + +Author: Oh, no! That would wreck the beauty of the scheme. The idea is to imitate +Godel’s self-referential construction, which as you know is INDIRECT, and depends +on the isomorphism set up by Godel numbering. + +Crab: Oh. Well, in the programming language LISP, you can talk about your own +programs directly, instead of indirectly, because programs and data have exactly the +same form. Godel should have just thought up LISP, and then + +Author: But- + +Crab: I mean, he should have formalized quotation. With a language able to talk about +itself, the proof of his Theorem would have been so much simpler! + +Author: I see what you mean, but I don't agree with the spirit of your remarks. The whole +point of Godel-numbering is that it shows how even WITHOUT formalizing +quotation, one can get self-reference: through a code. Whereas from hearing YOU +talk, one might get the impression that by formalizing quotation, you'd get something +NEW, something that wasn't feasible through the code-which is not the case. +In any event, I find indirect self-reference a more general concept, and far more +stimulating, than direct self-reference. Moreover, no reference is truly direct-every +reference depends on SOME kind of coding scheme. It's just a question of how +implicit it is. Therefore, no self reference is direct, not even in LISP. + +Achilles: How come you talk so much about indirect self-reference? + +Author: Quite simple-indirect self-reference is my favorite topic. + +Crab: Is there any counterpart in your Dialogues to modulation between keys? + +Author: Definitely. The topic of conversation may appear to change, though on a more +abstract level, the Theme remains invariant. This happens repeatedly in the Prelude, +Ant Fugue and other Dialogues. One can have a whole series of "modulations" which +lead you from topic to topic and in the end come full circle, so that you end back in the +"tonic"-that is to say, the original topic. + +Crab: I see. Your book looks quite amusing. I'd like to read it sometime. + +(Flips through the manuscript, halting at the last Dialogue.) + +Author: I think you'd be interested in that Dialogue particularly, for it contains some +intriguing comments on improvisation made by a certain exceedingly droll character- +in fact, yourself! + +Crab: It does? What kinds of things do you have me say? + +Author: Wait a moment, and you'll see. It's all part of the Dialogue. Achilles: Do you +mean to say that we're all NOW in a dialogue? Author: Certainly. Did you suspect +otherwise? + +Achilles: Rather! I Can't Escape Reciting Canned Achilles-Remarks? Author: No, you +can't. But you have the feeling of doing it freely, don't + +you? So what's the harm? + +Achilles: There's something unsatisfying about this whole situation ... Crab: Is the last +Dialogue in your book also a fugue? + +Author: Yes-a six-part ricercar, to be precise. I was inspired by the one from the Musical +Offering- and also by the story of the Musical Offering. + +Crab: That's a delightful tale, with "Old Bach" improvising on the king's Theme. He +improvised an entire three-part ricercar on the spot, as I recall. + +Author: That's right-although he didn't improvise the six-part one. He crafted it later with +great care. + +Crab: I improvise quite a bit. In fact, sometimes I think about devoting my full time to +music. There is so much to learn about it For instance, when I listen to playbacks of +myself, I find that there is a lot there that I wasn't aware of when improvising it. I +really have no idea how my mind does it all. Perhaps being a good improviser is +incompatible with knowing how one does it. + +Author: If true, that would be an interesting and fundamental limitation on thought +processes. + +Crab: Quite Godelian, Tell me -does your Six-Part Rice rear Dialogue attempt to copy in +fonn the Bach piece it's based on? + +Author: In many ways, yes. For instance, in the Bach, there’s a section where the texture +thins out to three voices only. I imitate that in the + +Dialogue, by having only three characters interact for a while. Achilles: That's a nice +touch. + +Author: Thank you. + +Crab: And how do you represent the King's Theme in your Dialogue? + +Author: It is represented by the Crab's Theme, as I shall now demonstrate. Mr. Crab, +could you sing your Theme f or my readers, as well as f or us assembled musicians? + +Crab: Compose Ever Greater Artificial Brains (By And By). + +Babbage: Well, I’ll be-an EXQUISITE Theme! I'm pleased you tacked on that last little +parenthetical note; it is a mordant Author: He Simply HAD to, you know. + +Crab: I simply HAD to. He knows. + +Babbage: You simply HAD to-I know. In any case, it is a mordant commentary on the +impatience and arrogance of modern man, who seems to imagine that the implications +of such a right royal Theme could be worked out on the spot. Whereas, in my opinion, +to do justice to that Theme might take a full hundred years-if not longer. But I vow +that after taking my leave of this century, I shall do my best to realize it in full; and I +shall offer to your Crabness the fruit of my labors in the next. I might add, rather +immodestly, that the course through which I shall arrive at it will be the most +entangled and perplexed which probably ever will occupy the human mind. + +Crab: I am most delighted to anticipate the form of your proposed Offering, Mr. +Babbage. + +Turing: I might add that Mr. Crab's Theme is one of MY favorite Themes, as well. I've +worked on it many times. And that Theme is exploited over and over in the final +Dialogue? + +Author: Exactly. There are other Themes which enter as well, of course. Turing: Now we +understand something of the form of your book-but what about its content? What does +that involve, if you can summarize it? + +Author: Combining Escher, Godel, And Bach, Beyond All Belief. Achilles: I would like +to know how to combine those three. They seem an +unlikely threesome, at first thought. My favorite artist, Mr. T’s favorite composer, and- + +Crab: My favorite logician! + +Tortoise: A harmonious triad. I'd say. + +Babbage: A major triad. I’d say. + +Turing: A minor triad. I’d say. + +Author: I guess it all depends on how you look at it. But major or minor, I’d be most +pleased to tell you how I braid the three together, Achilles. #f course, this project is +not the kind of thing that one does in just one sitting-it might take a couple of dozen +sessions. I’d begin by- telling you the story of the Musical Offering , stressing the +Endlessly Rising Canon, and + +Achilles: #h, wonderful! I was listening with fascination to you and Mr. Crab talk about +the Musical #ffering and its story. From the way you two talk about it, I get the +impression that the .Musical Offering contains a host of formal structural tricks. + +Author: After describing the Endlessly Rising Canon, I'd go on to describe formal +systems and recursion, getting in some comments about figures and grounds, too. +Then we’d come to self-reference and self-replication, and wind up with a discussion +of hierarchical systems and the Crab’s Theme. + +Achilles: That sounds most promising. Can we begin tonight? + +Author: Why not? + +Babbage: But before we begin, wouldn’t it be nice if the six of us-all of us by chance avid +amateur musicians-sat down together and accomplished the original purpose of the +evening: to make music? + +Turing: Now we are exactly the right number to play the Six-Part Ricercar from the +Musical Offering. What do you say to that? + +Crab: I could get along veiy well with such a program. + +Author: Well put, Mr. C. And as soon as we’re finished. I'll begin my Braid, Achilles. I +think you'll enjoy it. + +Achilles: Wonderful! It sounds as if there are many levels to it, but I’m finally getting +used to that kind of thing, having known Mr. T for so long. There's just one request I +would like to make: could we also play the Endlessly Rising Canon? It's my favorite +canon. + +Tortoise: Reentering Introduction Creates Endlessly Rising Canon, After RICERCAR.