Notes
See also Vonk and Shackelford (2012) on the distinction between evolutionary psychology as the specific research programme and evolutionary psychology (what they call comparative evolutionary psychology) as the study of psychology, human or otherwise, under the unifying framework of evolution. This paper falls within, and contributes to, the latter.
Darwin proposed a similar distinction between “Unity of Type” and “Conditions of Existence”; see Griffiths 2007 and Erwin 2021 on historical views related to contemporary character concepts. The ontology of characters is still a matter of debate, akin to the well-known species problem and related to the problem of understanding when two phenotypes in different species express the same character (see, e.g., Platnick 1979; Colless 1985; Hall 1994; Lauder 1994; Grant and Kluge 2004, Freudenstein 2005, Laublicher and Wagner 2000, Wagner 2001, 2014). Homology too has been defined in distinct ways (Ereshefsky 2012 provides a concise summary). While homology is not of central concern here, my references to homology are to phylogenetic or historical homology, which involves identical characters in two or more species that have a common evolutionary origin (usually relative to the species’ most recent common ancestor). There is also general agreement that a character can take on alternative forms called character states, akin to the alleles of a gene – e.g., the hind wing character of insects has wing blade and altere character states (see Duda and Zrzavy 2013: 427–428 for a sample table of characters and character states). Despite these unsettled conceptual issues, biologists agree on many examples of characters, character states, and homology, have ample empirical motivation and evidence for positing characters, and consider them critical targets of and elements in evolutionary explanations. For my goal of showing the importance of the character concept for explaining cognition, it suffices to explain its explanatory role and to highlight the key features that define commitment to characters. I set aside (as not critical here) serial homology (character repetition within an organism, e.g. cervical vertebrae) and homoplasy (variously defined as non-homology, analogy, or as the opposite end of a spectrum of similarity from homology, e.g. Boyden 1947, Ghiselin 1976, Hall 2007).
The issues of character individuation and novelty have garnered increasing attention as major concerns in their own right. See, e.g., Bock and Cardew 1999, Butler and Saidel 2000, Hall 2003, Griffiths 2006, 2007; Brigandt 2003; Novick 2018; Erwin 2021; Muller and Wagner 1991; Peterson and Muller 2013; Shubin et al. 2009; DiFrisco et al. 2020; Love 2008, 2015, 2018; Brigandt and Love 2012.
The boundaries of characters at different levels of biological organization also align contingently (Ereshefsky 2012 calls this “hierarchical disconnect”). They evolve at different rates, homology at one level does not entail homology at others, and co-evolution often occurs with temporal lags between appearances of novel characters at distinct levels (Erwin 2021; Corballis 2000; Ginsburg and Jablonka 2010). For example, the Pax-6 gene is homologous in mammals and flies and plays a key role in the development of mammalian camera and fly compound eyes, but the eyes themselves are nonhomologous (Wagner 2001, 2007, Shubin, Tabin, and Carroll 2009).
The standard example is the relation between being red and being colored (Wilson 2021). As with other determinates, being one determinate (e.g., a human canine tooth, being red) rules out being another (e.g., a narwhal canine tooth, being blue), and the relation is not conjunctive (e.g., a human canine tooth is not a canine tooth plus some independent properties, whereas a human is a mammal plus some independent properties, such as having cognitive states).
Thus, the question of why primates have disproportionately large frontal lobes can be disambiguated into complementary queries using Tinbergen’s (op. cit.) framework. The phylogeny question asks about the ancestry of the primate brain, and will have competing explanations in terms of characters and homology. Other queries, such as what function large frontal lobes have, will have competing explanations in terms of adaptive pressures (e.g. Dunbar and Shultz 2017).
In principle, the same mistake would be made whenever any species-typical phenotype is used as the reference type in relation to which other species’ traits are less than full-fledged. But the mistake is rare outside of human cognitive phenotypes. For example, pigeon visual systems do not need a land-based reference point to get distance-data about things in the sky, whereas the human visual system does (Matthen 2007). We do not however claim that the pigeon visual system is full-fledged while the human system is not.
The Scala Naturae itself contained the idea of inferior grades of “high-level” cognitive capacities in the form of racist distinctions in intelligence that created a linear ranking of humans within our species’ rung. Darwin himself was not exempt from this legacy of cognitive racism (Jeynes 2011).
McShea and Simpson (2011) note the theoretical inconsistency of the final transition to human society and language, as it involves a change of criteria from an increase in hierarchy to an increase in information transmission.
Such conceptual hiccups are not limited to those on the “discontinuity” side. Consider Savage-Rumbaugh and Lewin’s (1994) Kanzi: The ape at the brink of the human mind: Kanzi’s mind is no more at the brink of the human mind than his hands are at the brink of the human hand.
I simplify matters for illustrative purposes, since language interacts with other cognitive abilities, and the voluminous literature on language and its evolution cannot be reviewed here. To give one example, if an ability to learn language requires understanding communicative intentions, then either a species that does not possess this ability cannot learn language, or they have another language acquisition mechanism. So communicative intentions must also be reconceptualized so that nonhuman species are not ruled out a priori from having them (Moore 2017, Townsend et al. 2017). Whether a communication system must be learned to count as a language is a further issue.
Balari and Lorenzo argue that human language may be a novel character state, if not a novel character; they follow Wagner 2014 in linking distinct types of evolutionary novelty to characters and character states. Others reserve the concept of novelty for characters and character states (usually structural), using the concept of innovation for phenotypes (usually functional or adaptive) (Erwin 2021; Love 2007, 2008). In any case, I am not arguing that human language is not novel as a character or as a character state – that is a matter of individuating the relevant characters, and is certain to be a contentious issue going forward. I am arguing that its status as a novelty (or not) becomes an a posteriori issue by virtue of adopting a character-based concept of syntax.
For some sociocultural theories of cognition, see Boyd and Richerson 1985; Deacon 1997; Tomasello 1999; Sterelny 2003, 2007; Whiten and Erdal 2012; Heyes 2018, 2019; Kempe et al. 2014; Beller et al. 2020; Kirby et al. 2007; Avital and Jablonka 2000. Like that of language evolution, this literature is also voluminous and cannot be reviewed here.
Another motivation is the question of whether some realizers extend beyond an entity’s boundary. While the issue of the range of cognitive ascriptions across species and this boundary issue are frequently discussed together, my concern is solely with respect to the range question, which is prior to the boundary issue.
In specific cases, a structural character may be necessary for individuating a behavioral or cognitive character, for example in relation to the senses (e.g. Keeley 2002). However, co-evolution and substrate-dependence motivate blurring the structure-function divide in at least epistemological ways, such as when researchers use genetic, developmental, and morphological homologies to support inferences to homologous behavioral and cognitive characters (e.g. Jarvis 2019; De Waal and Ferrari 2010) or to counter claims of uniquely human cognitive abilities based on allegedly unique human brain structures (Herculano-Houzel 2012; Barton and Venditti 2013; Olkowicz et al. 2016; Logan et al. 2018).
What basal cognition is offering in place of the human standard is not clear, as advocates appear conceptually divided in fundamental ways. This includes the issue of whether cognitive terms are used “non-metaphorically” for many simple entities (e.g. Lyon et al. op. cit.: 2) or whether such uses are merely “as if” and a matter of personal choice (e.g. Lyon et al. op. cit.: 4). I discern at least two basic forms, which agree on rejecting the human standard and including all evolved biological entities within the scope of cognitive ascriptions. Some advocates are biocyberneticists, who apply the cybernetic framework to all evolved biological entities (e.g. Manicka and Levin 2019; Levin et al. 2021). In this case, basal cognition’s scope is a restriction from (or subset of) the domain of all entities subject to cybernetic explanations. At least some in this camp appear to embrace Dennett’s intentional stance in that it is fruitful to treat these entities as agents (e.g. Levin and Dennett 2020). Other advocates take basal cognition’s starting point as evolutionary biology; in this case, its scope is an expansion from a few biological entities to all those subject to evolutionary explanations. At least some in this camp hold that the ascriptions of cognitive abilities in the “basic toolkit” are the same across unicellular and multicellular organisms (e.g. Lyon 2015). In the text, I have taken on board the latter interpretation, because it is consistent with basal cognition’s role in the ongoing debate about the extent of cognition (as Adams 2017 makes clear), and it links basal cognition essentially to biology and evolutionary explanation.
I say “may be” because basal cognition (in its biology-based form: see fn. 17) can be elaborated in a way grounded in CSS and CPS that takes at least some structure into account. A straightforward interpretation of the claim of a “basic toolkit” of cognitive characters true of all of life is that this toolkit existed in the Last Universal Common Ancestor and is homologous in all descendant clades that possess it (or at least one component of it). An alternative interpretation that takes structure into account might hold that prokaryotes have a derived, novel cognitive “toolkit” and eukaryotes have another, and these are homologous within these broad clades but only analogous to each other. In this case, the LUCA must be ascribed an ancestral “cognitive” toolkit as well, for few would disagree with the idea that cognitive abilities are derived, novel characters: the central question of the “What is Cognition?” debate (in my terms) is precisely whether cognitive characters are found only in a few higher clades (if not just hominins) or much more widely, as basal cognition asserts. In the text, I articulate what this assertion amounts to in terms of the straightforward interpretation; the alternative is possible, but creates new problems for the view. For example, a eukaryote-cognition-toolkit would take structure into account and would not be maximally general. But why stop at multicellularity? The problem is that the more structure matters, the less “basal” basal cognition becomes.
When weighing evidence as to whether cognitive abilities are homologous or analogous, De Waal and Ferrari (op. cit.: 202) suggest as a “most parsimonious Darwinian assumption” that if closely related species (octopus and squid, human and ape) “show similar solutions to similar problems, they probably involve similar cognitive mechanisms” – that is, cognitive homologies within higher (relatively more terminal) clades. This view is consistent with the ontologically conservative approach mooted in the text, although in no way is basal cognition ruled out.
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Acknowledgements
I wish to thank Paul Griffiths above all for a year of fruitful interactions with him and those in his Theory and Method in Biosciences research group (especially Pierrick Bourrat, Stefan Gawronski, Kate Lynch, Peter Takacs, Joshua Christie, Elena Walsh, Axel Constant, and Wesley Fang) during an Anderson Fellowship research visit at the University of Sydney in 2019. This paper and those to follow are consequences of the fellowship. Paul, Stephen Downes, and Matthew Sims all provided helpful comments on one or another draft, and Paul and Peter provided many helpful suggestions for additional research. I was also helped greatly by questions from audiences at the many institutions where I gave talks (many online) based on the then-current draft in 2020 and 2021: University of Edinburgh, Kings College London, University of Sussex, University of Groningen, University of Iowa, TU-Berlin, University of Warwick, University of Sheffield, and the Max Planck School of Cognition. Finally, I thank an anonymous reviewer for this journal for comments that prompted important clarifications in the penultimate draft.
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Figdor, C. What could cognition be, if not human cognition?: Individuating cognitive abilities in the light of evolution. Biol Philos 37, 52 (2022). https://doi.org/10.1007/s10539-022-09880-z
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DOI: https://doi.org/10.1007/s10539-022-09880-z