One theory gaining support recently is that the transition from prokaryote to eukaryote was damned hard, so that seems like a decent candidate given our limited knowledge today.

The Octopus, the Dolphin and Us: a Great Filter tale

Is intelligence hard to evolve? Well, we're intelligent, so it must be easy... except that only an intelligent species would be able to ask that question, so we run straight into the problem of anthropics. Any being that asked that question would have to be intelligent, so this can't tell us anything about its difficulty (a similar mistake would be to ask "is most of the universe hospitable to life?", and then looking around and noting that everything seems pretty hospitable at first glance...).

Instead, one could point at the great apes, note their high intelligence, see that intelligence arises separately, and hence that it can't be too hard to evolve.

One could do that... but one would be wrong. The key test is not whether intelligence can arise separately, but whether it can arise independently. Chimpanzees, Bonobos and Gorillas and such are all "on our line": they are close to common ancestors of ours, which we would expect to be intelligent because we are intelligent. Intelligent species tend to have intelligent relatives. So they don't provide any extra information about the ease or difficulty of evolving intelligence.

To get independent intelligence, we need to go far from our line. Enter the smart and cute icon on many student posters: the dolphin.

Dolphins are certainly intelligent. And they are certainly far from our line. It seems hard to find a definite answer, but it seems that the last common ancestor of humans and dolphins was a small mammal existing during the reign of the dinosaurs. Humans and dolphins have been indicated by red rectangles, and their last common ancestor with a red circle.

This red circle is well before the K-T boundary (indicated by the dotted line), hence represents a mammal living in the literal shadow of the dinosaurs.

We can apply a convergent evolution argument to this common ancestor. Thus, assuming that subsequent evolution was somewhat independent, getting from that common ancestor to dolphin level of intelligence is something that can happen relatively easily.

Can we go further? Well, what if we applied the argument twice? Let's bring in the most alien looking of the high-intelligence animals: the octopus.

Let's make the further assumption that our common ancestor with dolphins was dumber than the modern octopus. This doesn't seem a stretch seeing how intelligent the modern octopus can be, how minor in terms of ecological role the common dolphin-human ancestor must have been, and seeing the stupidity of many of the descendants of that common ancestor.

If we accept that assumption, we can then start looking for the common ancestor of humans and octopuses. Our two species are really far apart:

We therefore have to go back to around the last common ancestor of the Bilateria (creatures with bilateral symmetry, i.e. they have a front and a back end, as well as an upside and downside, and therefore a left and a right). This is the (speculative) urbilaterian. There are no known examples or fossils of it, which means that it was likely less than 1 cm in length. To quote Wikipedia: "The urbilaterian is often considered to have possessed a gut and internal organs, a segmented body and a centralised nervous system, as well as a biphasic life cycle (i.e. consisting of larvae and adults) and some features of embryonic development. However, this need not necessarily be the case." Very confusing, and with no information about intelligence level. However, since the organism was so small and since it was the ancestor of almost every animal alive today (including worms and Bryozoa), our best estimate would be that it's pretty stupid, with the simplest possible "brain".

Putting this all together, it seems evolutionarily easy to get from urbilatrian intelligence to Octopus intelligence, and from Octopus intelligence to dolphin intelligence - thus from urbilatrian to dolphin.

Note that this argument assumes that intelligence can be put on something like a linear scale. One could argue that Octopuses have low social intelligence, for instance. But then one could repeat the argument with distant animals with high social intelligence such as certain insects. Especially if one believe in a more general form of intelligence, it seems that this family of arguments could be used effectively to demonstrate dolphin-level intelligence emerging easily from very low levels of intelligence.

 

Application to the Great Filter

The Great Filter (related to the Fermi Paradox) is the argument that since we don't see any evidence of complex technological life in the universe, something must be preventing its emergence. At some point on the trajectory, something is culling almost all species.

An "early" great filter wouldn't affect us: that means that we got through the filter already, it's in our past, so the emptiness among the stars doesn't say anything negative for us. A "late" great filter is bad news: that implies that few civilizations make it from technological civilization to star-spanning civilization, with bad results for us. Note that AI is certainly not a great filter: an AI would likely expand through the universe itself

The real filter could be a combination of an early one and a late one, of course. But, unless the factors are exquisitely well-balanced, its likely that there is one location in civilizational development where most of the filter lies (ie where the probability of getting to the next stage is the lowest). Some possible locations for this could be:

  • Life itself is unlikely (very early great filter).
  • Life with a central nervous system is unlikely.
  • A lot of different possible locations for the great filter in between urbilatiran and dolphin intelligence.
  • Getting from dolphin to human intelligence is unlikely.
  • Getting from human intelligence to technological civilization is unlikely (latest early filter).
  • Getting from technological civilization to star-spanning civilization is unlikely.

These categories aren't of same size, of course - the first three are very diverse and large, for instance. Then what the evolutionary argument above says, is that the Great Filter in unlikely to be in the third, bolded category (which is in fact a multi-category).

For what it's worth, my personal judgement is that the filter lies before the creation of a central nervous system.

 

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I don't think filters have to be sequential - some could be alternatives to each other, and they might interact. Consider the following.

Each supernova sterilizes everything for several lightyears around them. This galaxy has three supernovas per century, and it used to have more. Earth has gone unsterilized for 3.6 billion years, i.e. each of the last (very roughly) 100 million supernovas was far enough away to not kill it.

That's easy to do for a planet somewhere on the outer rim, but the ones out there seem to lack heavy elements. If single-celled, mullti-celled, even intelligent life was easy given a couple billion years of evolution, you still couldn't go to space on a periodic table that didn't contain any metals.

So planets in areas with lots of supernova activity (i.e. high density of stars) could simply never have enough time between sterilizations to achieve spacefaring civilization, while planets in areas with low density of stars/supernovas haven't accumulated enough heavy elements to build industry and spaceships. Neither effect prohibits everything, but together they're a great filter.

There could be other combinations of prohibitive factors, where passing one makes passing the other more difficult. Maybe you need to be a carnivore in order to evolve theory of mind, but you also need to be a herbivore in order to evolve agriculture and exponential food surplus. Or maybe you need tectonic plates to avoid stratification of elements, but you also need a very stable orbit around your star, and those two conditions usually rule our each other. I don't know. It just seems that a practically linear model of sequential filters, where filters basically don't interact with each other, is entirely too simplistic to merit confidence.

In a few years, we'll have a much clearer picture of the chemical makeup of the closest few hundred exoplanets, and that'll cut down the number of possible explanations of Fermi's Paradox to a maybe sort of manageable size. Until then, this discussion is unlikely to lead anywhere.

Really-quick-and-dirty calculation time!

Let's say 3 supernovas per century and each sterilizing 10 light years in radius.

That produces an average sterilization volume of about ten cubic light years per year. Total volume of the galactic thin disc is on the order of 2*10^13 cubic light years. That produces a half life of sterilization on the order of trillions of years, though you can bring it down to billions if you increase the supernova rate by a factor of a thousand or increase sterilization radius out to 100+ light years.

We can probably discount the galactic core for any purposes though - I've seen fun papers proposing evidence that it undergoes periodic starbursts every few tens of millions of years and the galactic supernova rate then briefly goes up to something like one per year with most of them in the core.

Thanks, but it appears we're both wrong. Here is a nice intro article that gives proper numbers on this very subject and concludes supernovae aren't a life-forbidding problem even in the galactic center.

But high density of stars might lead to planetary orbit perturbations which could be. It appears the galaxy is a bit complicated.

BTW, this recently showed up on arXiv:

On the role of GRBs on life extinction in the Universe

As a copious source of gamma-rays, a nearby Galactic Gamma-Ray Burst (GRB) can be a threat to life. Using recent determinations of the rate of GRBs, their luminosity function and properties of their host galaxies, we estimate the probability that a life-threatening (lethal) GRB would take place. Amongst the different kinds of GRBs, long ones are most dangerous. There is a very good chance (but no certainty) that at least one lethal GRB took place during the past 5 Gyr close enough to Earth as to significantly damage life. There is a 50% chance that such a lethal GRB took place during the last 500 Myr causing one of the major mass extinction events. Assuming that a similar level of radiation would be lethal to life on other exoplanets hosting life, we explore the potential effects of GRBs to life elsewhere in the Galaxy and the Universe. We find that the probability of a lethal GRB is much larger in the inner Milky Way (95% within a radius of 4 kpc from the galactic center), making it inhospitable to life. Only at the outskirts of the Milky Way, at more than 10 kpc from the galactic center, this probability drops below 50%. When considering the Universe as a whole, the safest environments for life (similar to the one on Earth) are the lowest density regions in the outskirts of large galaxies and life can exist in only ~ 10% of galaxies. Remarkably, a cosmological constant is essential for such systems to exist. Furthermore, because of both the higher GRB rate and galaxies being smaller, life as it exists on Earth could not take place at z>0.5. Early life forms must have been much more resilient to radiation.

(“At z > 0.5” approximately means ‘more than 5 billion years ago’.)

(I only have read the abstract so far.)

Agree. the road from creation of life to creation of any nervous system at all is an extremely long and fraught one.

Life on our planet has a very specific chemistry. It's possible that almost all possible chemistries limit complexity more than ours - leading to many planets of very simple organisms. Very large number of phyla on earth reach evolutionary dead ends both archae and bacteria are stuck as single cellular organisms, (or very simple aggregrates) - Plants cannot develop movement because of their cell walls, while insects cannot grow bigger because their lungs and exoskeletons do not scale upwards.

Genetics is an entire optimization layer underlying our own, neural one. I think the fact that it had to throw up an entire new, viable optimization layer represents a filter.

This is another good explanation instead of / in addition to the Great Filter.

It could be that there are many local optima to life, that are hard to escape. And that intelligence requires an unlikely local optimum. This functions like an early Great Filter, but in addition, failing this filter (by going to a bad local optimum) might make it impossible to start over.

For example, you could imagine that it were possible to evolve a gray goo like organism which eats everything else, but which is very robust to mutations, so it doesn't evolve further.

If the Machiavellian Intelligence Hypothesis is the correct explanation for the runaway explosion of human intellect - that we got smarter in order to outcompete each other for status, not in order to survive - then solitary species like the octopus would simply never experience the selection pressure needed to push them up to human level. Dolphins, in contrast, are a social animal, and maybe dolphins would be susceptible to intra-species selection for intelligence.

However, dolphins would hit a different filter, with their unfortunate body plan, lacking any type of fine manipulator limb whatsoever, making it infeasible to build complex tools.

If the Machiavellian Intelligence Hypothesis is the correct explanation for the runaway explosion of human intellect - that we got smarter in order to outcompete each other for status, not in order to survive - then solitary species like the octopus would simply never experience the selection pressure needed to push them up to human level.

Octopuses also have the feature that they die after mating (it's unclear why this evolved). This makes it impossible for them to develop a culture that they can pass on to their children.

One theory gaining support recently is that the transition from prokaryote to eukaryote was damned hard, so that seems like a decent candidate given our limited knowledge today.

If the current model - merger of multiple prokaryotes - is correct, then the linked article (which says "And in more than 3 billion years of existence, it happened exactly once.") is incorrect. Nuclei, mitochondria, and cholorplasts represent 3 distinct merger events here on Earth. Actually, the article even mentions nuclei, mitochondria, and chloroplasts all being likely endosymbionts, then goes and repeats the claim of uniqueness.

In any case, if it can happen 3 times on one planet, it probably isn't dramatically unlikely, especially since at least one of those three events (chloroplasts) is strictly unnecessary for intelligence (in that no known intelligent species possesses them).

Note that AI is certainly not a great filter: an AI would likely expand through the universe itself

What makes you confident that there's not high probability of there being an AI somewhere outside our light cone, but shortly after an AI (or any other highly expansionist extraterrestrial) enters our light cone there are no longer conscious observers, so the vast majority of human consciousness-seconds are spent observing that there's no visitors? Even if it's vanishingly unlikely that no destructive intelligence explosion occurred in a randomly selected past light cone, we would necessarily only be able to observe states of the universe where there was no intelligence explosion, a friendly one, or one which was largely passive (e.g. an AI with the goal to prevent other intelligence explosions within it's sphere of influence, but otherwise minimize interference).

Then the universe we observe should be much younger, because most evolutionarily-arising life will exist on worlds that don't have a nearby AI neighbor. Our telescopes can see older galaxies than this one, and we expect those to contain much older planets with all the heavy elements. On your hypothesis, most observers should not utter that sentence in conversations like this one.

Another fairly plausible great filter is in the interaction between life and geochemistry- this is a variant on 'central nervous systems are unlikely'.

There is some reason to think that microbial metabolisms are somewhat destabilizing in the history of the planet, at least on very large scales. There is of course the classic example of photosynthesis producing atmospheric oxygen. Can you imagine what would happen if bacteria injected large amounts of free oxygen in to Titan's atmosphere? Given the space of all geochemistry for terrestrial planets in the habitable zone, and the plausible metabolisms that could emerge from an RNA world on each of these planets, it may be that only a fraction of a fraction take place within the domain of a chemical 'stable attractor' that remains habitable.

This would allow for abiogenesis to be fairly common in the universe, without necessarily hand-waving nervous systems as 'very hard' for unspecified reasons. To get there, life is necessarily in a situation where microbes, maximizing their individual energy consumption according to local rules, reproduce exponentially with limited external coordination. The challenge in building a brain may be less about the technical complexity of that organ and more about the capacity of such a system to avoid self-sterilization in the required time scales.

Interesting, but I would have two more things to add :

  1. Both dolphin and octopus seem to be a "dead-end" for the purpose of technological civilization. The main reason for that, I would say, is that there are water-based, and water-based makes early civilization much harder (tools are harder to make and use underwater, you can't make fire, ...).

  2. Evolution from common predecessor to dolphins and octopus aren't completely independent from our evolution. They are all dependent on Earth being globally stable enough. Gravity strong enough to hold the atmosphere (unlike Mars), big Moon that stabilize the climate, the Sun being globally constant in heat (it'll not stay so for very much longer at cosmic scale), the Earth being far away from nearby novas, ...

So I far, I think that's mostly where the so-called "Great-Filter" lies, not in a single filter, but that evolving technological civilization takes a lot of time, it requires a lot of trail-and-error and the process can end up in many dead-ends, and for it to finally succeed, it requires a very long time of stable conditions, which aren't that frequent.

If you take the last picture, I wouldn't put a single great red line, but I would put many yellow lines (as there are) each adding lots of time to the "average" development speed. And some very early factors (like a big Moon) influencing how hard some of those filters are. For technological civilization to happen, you need the planet to stay stable enough until all the yellow filters are passed, and that's just very rare, because it'll lose its atmosphere like Mars, and gets blasted by a nearby nova, or its star will become too warm, or ...

I suspect you are correct that the great filter does not lie between urbilatiran and dophin intelligence, but I did think of one possible hole in the argument (that I don't think is likely to end up mattering). It is possible that instead of it being easy in general for something like an urbilatiran to evolve significant intelligence, it might only be easy on places like Earth. That is, while there exist environmental conditions under which you would expect an urbilatiran-level organism to easily evolve to dolphin level in several independent instances, such conditions are very rare, and on most planets where urbilatiran-level organisms evolve, they don't advance much further.

So far we haven't seen any evidence the Earth is particularly rare, I think.