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Transcript of Klaus-Dieter Mathes - Mind and Matter - Their Mutual Dependence and Emptiness.pdf
Mind and Matter—Their Mutual Dependence and Emptiness
Talk given at the Symposium on:
Mind & Matter - New Models of Reality
University of Vienna, May 26, 2012
Klaus-Dieter Mathes
Given the eminent role first person experience plays in systems that are mainly based on the
concentrated observation and critical investigation of mind and its mental states, not a single
Buddhist model of reality has attempted to reduce mind to matter. An idealist current of
Buddhist thought known as “Mind Only” even tried to reduce matter to mind on the
presupposition that "mind alone" (cittamatra) exists. Western scientific models, on the other
hand, are inclined to privilege matter, to the extent that extreme proponents of scientific
materialism reject the existence of mind including all its mental factors on the grounds that
descriptions of such (epi)phenomena have no place in a naturalistic account of the world.
However, critics of scientific materialism have been quick to point out that the denial of first
personal accounts of conscious experience—of minds, which are capable of intentional
engagement, critical analysis and ethical behavior—seems to be as implausible and self
undermining as the outright denial of physical reality.
Can we or should we dispense altogether with discourses about mind? The mere fact that we
ponder such a question presupposes first personal access to complex mental processes. In the
case of Buddhism, how could we otherwise give any credit to the advanced stages of
meditation, whose observation and investigation are held to be repeatable by anyone ready to
apply the technique? A combination of reducing negative influences like hatred or desire, for
example, and cultivating calm abiding and insight provides the means for a deeper
investigation and eventual understanding of the nature of mind. Buddhist practitioners
typically train extensively in such mental disciplines in order to realize for themselves what
has been discovered by many over the age. In short, the attempt to reduce mind with its
discernible features and structures to physical and physiological processes would be as absurd
for a Buddhist as the reduction of matter to mind would be for a physicist. What is needed
then is a model of reality that accounts for both mind and matter and that seeks to better
understand the complex interactions between the two.
The acceptance of a view that mind and matter are neither reducible to nor derivable from one
another inevitably leads to the question of whether they are capable of mutual interaction. The
1
most eminent Buddhist philosopher of Madhyamaka Nagarjuna (fl. 200 CE) argues that if
things (such as mind and matter) really exist independently in their own right, they cannot
influence each other, which would contradict the Buddhist axiom of dependent origination.
While scientific materialists readily accept that consciousness is solely generated by the
neuronal activity of the brain, even though no such causal mechanism has been found so far,
an influence of mind on matter or the body is not considered possible mainly because this
would violate the principle of the conservation of mass and energy. The energy-time
uncertainty principle in quantum physics, however, allows for a short violation of energy
conservation. Wallace (2000, 142-43) concludes from this that in principle it is possible for a
nonphysical mind to engage with matter and raises the question whether individual quantum
events are truly random since nonphysical causes, or even nonlocal interactions within
entangled systems1, for example, cannot be excluded. This calls into question our common
sense view of a universe built up from locally determined real entities. In this regard, Niels
Bohr (1961) came to the conclusion that "isolated material particles are abstractions, their
properties being definable and observable only through their interaction with other systems."
Now if it is no longer deemed possible to isolate material particles from the nexus of their
interactions, can we then still isolate purely physical systems from observing systems, which
in my opinion include not only technical factors, such as the choice of a measurement tool,
but also cognitive processes and mental representations. In other words, does a clear-cut
distinction between separate systems not require an epistemic element, which is, in final
analysis, arbitrary? Of great interest in this respect, is a recent article, in which Caponigro and
Giannetto (2012, 1) argue that “there are not two classes of quantum states, entangled and
factorizable (i.e., non-entangled), but only a single class of states: the entangled states." In
other words, the nature of any underlying physical reality should be understood in terms of
entangled states. Factorizable states depend on the role of the observer who determines the
distinction between entangled and non-entangled states, and thus contain epistemic elements
(Ibid., 2-3). This means that entangled or non-entangled systems are linked to how we “cut” a
piece of world to single out for observation. This "cut" gives rise not only to incorrect
classifications of quantum systems (entangled or factorizable systems), but also the idea of the
existence of "independent" quantum systems. There are not two classes of quantum systems
but only one. The basic nature, the quantum systems, is all entangled. Moreover, Laur Jarv
(Univ. of Tartu, Estonia) argues, that in the case of different relativistic observers the extent
1 Particles which have interacted physically remain under certain conditions entangled (such that
they are mysteriously twisted together) even after they have become separated over large distances.
The shared state of polarization or spin, for example, remains indefinite until measurement.
2 Email communication with Michele Caponigro, dated Aug 9, 2012.
2
of entanglement is seen in different ways. A system which is seen as entangled by one
observer can be seen as non-entangled by another one with respect to the same set of
observables. This makes an even stronger case for the epistemic aspect of entanglement, but
puts Caponigro's and Giannetto's ontological conclusion, that all systems must be ultimately
entangled, into question.3 To conclude, given the obvious epistemic aspects of entanglement,
it is not completely out of question anymore, to think of models of reality in which the
observing mind has an influence on the world we live in.
Against this background, I propose to accept both, mind and matter. Reducing one to the other
makes it extremely difficult to account for a number of processes that can be observed
directly. In line with Nagarjuna, I suggest, though, not to subscribe to a substance dualism.
Mind and matter are rather relational or complementary. Such irreducibility need not be
unscientific. In fact a well-known form of irreducibility can be found within the field of
quantum physics, where a single entity such as a photon shows both wave and particle
character. We need both to account for light-matter-interaction. When a gamma ray hits a
gold atom, the energy and impulse of the involved ‘particles’ before and after the impact
conform to the calculations with the ordinary equations of energy and impulse conservation.
This suggests that the gamma ray displays its particle character in order to transmit impulse,
as well as its wave character in order to transmit energy by reducing its wave length.
The double character of light has been nicely demonstrated in Anton Zeilinger's double slit
experiment. Even though only one single photon at a time is being sent through the two
parallel slits, an interference pattern is slowly building up as each photon hits the observation
plane in areas where the amplitudes of the superimposed wave fronts are maximal. The
precise location of observation is apparently random. Caslav Brukner and Anton Zeilinger
(2002) state that the observer can decide which property of the photon becomes reality by
putting detectors into the interfering path or not. Without detectors one gets the interference
pattern and with detectors the beam path. Yet, when choosing to determine the path one has
no influence over the trajectory. Whether the photon goes through the left or right slit remains
completely random. According to this interpretation, the observer decides whether the particle
or wave character of the photon becomes reality. Feynman, on the other hand, claimed that
each electron4 makes it through both slits and even traverses every possible trajectory
simultaneously (Greene 2000, 110). Recently, Ralf Menzel, Dirk Puhlmann, Axel Heuer, and
Wolfgang P. Schleich succeeded in finding through which slit the photon went without losing
3 Email communication with Laur Jarv, dated Aug. 14, 2012.
4 The double slit experiment does not only work for photons, but also electrons, protons, or even
atoms and molecules.
3
the interference pattern. This was achieved by entangling the photon. Thus light’s wave- and
particle-like characteristics were demonstrated simultaneously (Francis 2012).
Anton Zeilinger's (2003, 229) interpretation, which is based on the position that information
and reality are the same, requires that we deny the existence of the photon on its trajectory
between its source and the detector.5 Arthur Zajonc responded that the continued existence of
the photon made good sense to him but that "[i]f you allow that the photon, or the electron, by
nature has that continued existence, then its own intrinsic nature is very strange, and believing
this has a big impact on the way you see the world. If you say that it has no continued
existence—that only the source, the detector, and certain events exist, and there is nothing that
one can say about the particle’s intervening existence—that is an easy way to avoid the impact
of quantum mechanics. The effects are interesting, but they have no ontological significance.
They don’t make a statement about reality. For me, I think these experiments make statements
about the way the world is." (Ibid., 140).
Even though the existence of the photon on its way through the double slit experiment may be
denied, and the location of its detection on the observation screen is purely random, there is
still a causal relation between switching on the button and the stripes on the screen. In a
purely pragmatic way one has to admit dependent origination: if I had pulled the cable out of
the socket during the experiment, the stripes would have disappeared. Upon a careful analysis
of what is happening to the photon in between the source and the detector one either has to
admit a very strange way of existence of the photon (Zajonc) or its non-existence (Zeilinger).
In the following I am going to argue that both of these interpretations can be seen as valid
from the standpoint of Nagarj una's concept of emptiness, which is closely associated with
what I propose to call the relational existence of relative truth.
We may recall that Nagarjuna argues that if things (such as mind and matter) really exist
independently in their own right, they cannot influence each other, and this would contradict
the Buddhist axiom of dependent origination. In other words, his analysis supports the
viability of a model of reality that equally accepts both mental and material factors of
existence under the condition that they are correctly understood to be empty of an
independent existence and thus capable of mutual interaction. This allows one to understand
dependent origination as a dynamic system of interrelatedness which precludes any clean
separation between any individual component of the system—or any subsystem that is singled
out for observation—and all the rest. It is in this sense that dependent origination is equated
5 This is what Anton Zeilinger maintained at a Mind and Life Conference in October 1997 in Dharam-
sala (Zajonc 2004,139-40).
4
with emptiness in "Root Verses of the Middle Way" (Mulamadhyamakakarika, MMK
XXIV. 18).
It has been rightfully questioned whether the individual component of a complex system, that
lacks a locally determined reality still deserves the label ‘existent’. In his MMK 1.10,
Nagarjuna clearly negates such a possibility:
Since the existence of entities devoid of an own being is not found,
The formula when x exists, y comes to be is not appropriate.6
The causal clause in the first part of the verse clearly shows that for Nagarjuna the concept of
existence presupposes an own-being or inherent, independent existence. With such an
understanding the traditional formula for dependent origination does not work. To say x exists
means x exists independently, but an independent x cannot have any causal relation with
anything, otherwise it would not have an own-being. If the building blocks of the universe
consisted of completely isolated, independent entities, there could be no interaction at all. Or
anything could arise from anything, like darkness from light, as Candraklrti (ca. 600 - ca. 650
CE) explains in “Entrance to the Middle Way” (Madhyamakavatdra) VI. 14 (Seyfort Ruegg
2002, 71). In other words, when one understands existence as independent existence, and
reifies the members of the traditional formula when x exists y comes to be, the formula does
not work anymore. It could be argued that Nagarjuna still accepts causality on a pragmatic
level. After all he endorses the principle of dependent origination in his introduction to Rootn
Verses of the Middle Way. But what is dependent origination without arising? Nagarjuna
immediately gives an answer in the first verse of his Root Verses:
Nowhere are things found anywhere that have ariseno
From themselves, other, a combination of both, and without a cause. MMK 1.1
Given the negation of an "own-being" (svabhava) and "other-being" (parabhava) in chapter
fifteen of the Root Verses9 this can only mean that in the absence of a locally determined
6 MMK 1.10 (Ye Shao Yong (2011, 18): bhavanam nihsvabhavanam no sattd vidyate yotah / satTdam
asmin bhavatTti etan naivopapadyate / /
7 Ye Shao Yong (2011, 12): anirodham anutpddom ... yah pratltyasamutpadam ... desaydmasa sam-
buddhas tam vande vadatam varam. My own translation: "I pay homage to him the fully awakened,
the best of all teachers who has proclaimed dependent origination as being without cessation and
arising,..."
8 Ye Shao Yong (2011, 12): na svato napi parato no dvabhyam ndpy ahetutah / utpanna jatu vidyonte
bhavah kvacana kecana / /
5
existence, or own-being, the borderline between "self" and "other" cannot be drawn anymore.
It is not possible to say, for example, precisely where a cause stops being a cause and from
which borderline we have an effect, since locally determined causes and conditions cannot be
identified and singled out. In other words dependent origination must be understood as a
dynamic system of interrelatedness without concrete building blocks resembling billiard balls.
This applies not only to the spatial extension of the building blocks but also their temporal
extension. Just as the members of an entangled system appear, upon measurement, to share
the same quantum mechanical state such as position, momentum, spin or polarization even
over long distances in space, so the event of an intentional deed (karman) and its effect can be
related over a long period in time. In Candraklrti's "Introduction to the Middle Path"
(Madhyamkâvatâra VI.39) we find a justification of such a long term relation on the grounds
that nothing passes out of existence:
Since there is no passing out of existence in terms of its own nature, you should know
that the fruit [of deeds] will arise at some time, even if the termination of the deed
[sometimes] lies back a long time. Because of its (i.e., the deed's) power, [this works]
even without a ground [consciousness].10
The idea here is that causes such as intentional deeds are not determined in time either, so that
it is impossible to say when precisely they end. Thus they can link up with the event of
retribution in the far future even without a chain of locally and temporally determined factors
of existence stored in a ground consciousness (as maintained in the Yogàcàra school).
Again, coming back to our double slit experiment, even though the precise mechanics of a
photon cannot be known, there is a causal relation between switching on the power and the
appearance of the stripes on the screen. If one still speaks of existence, then you end up
having Arthur Zajonc's ’strange way of existence’. Nàgàrjuna, however, prefers not to call
this existence anymore. Still, in the following verse from Nàgàrjuna's “Hymn to [the Buddha]
Transcending the World” (Lokâtïtastava), a physical reality that differs from pure nominalism
is maintained:
If a name and its object were not different
9 MMK XV.3ab (Ye Shao Yong 2011, 236): "Where, in the absence of an own-being, will there be an
other-being?" kutah svabhâvasyâbhâve parabhâvo bhavlsyatl
10 MA VI.39 (La Vallée Poussin 1992,126): / gang phyir rang bzhin gyis de mi 'gags p a / / de phyir kun
gzhi med kyang 'di (read 'di'i) nus phyir / / l a lar las 'gags yun ring Ion las kyang / / 'bras bu yang dag
'byung bar rig par gyis / (Cf. Li Xue Zhu 2012, 7) : yasmât svarüpena na tan niruddham ciram
nlruddhâd api karmano 'tab / kvacid vinaivâlayam asya sakteh phalam samutpadyata ity avaihi/ /
6
One's mouth would be burned by [the word] fire.
If they were different there would be no comprehension of anything.11 LS 7abc
In other words, one does not bring something into existence by only saying it, but a mutual
dependence between the perceived and the perceiver is a necessary condition for
comprehension. This line of thought only holds water if the perceiver also has an influence on
the perceived. To some extent this can be compared to the interpretation in which the observer
plays a role in letting the particle or wave character of the photon become reality.
Dharmaklrti, a famous epistemologist and logician of the 7th century CE, argues that based on
the principle of like causes like, the main cause of anything mental must be also mental, i.e.,
the preceding phase of the respective continuum of mental factors. In a sensory perception,
the senses and their cognitive objects are only auxiliary causes, whose presence can have a
causal influence on the properties of the resulting conscious moment (Steinkellner 2012, 365-
66). The fully developed form of Yogacara even goes so far to negate external, mind
independent matter. Vasubandhu the older (ca. 320 - ca. 380 CE, Frauwallner 1951) thus
replies in his "Proof in Twenty Verses that Everything is Only Mental Representation"
(Vimsatika Vijnaptimatratasiddhi) to a realist that if he takes material factors of existence to
arise from karman, i.e., the mental imprints of former deeds, why he does not then accept that
these material factors are, like their causes, mind as well. (Frauwallner 2010, 397).
In his “Reasoning in Sixty Verses” (Yuktisastikdkarika), Nagarjuna, too, claims that the
elements (i.e., earth, water, fire, air, and space) are nothing but mind and only falsely
imagined:12
What has been taught, the great elements and so forth,
Are contained in consciousness.
Once this is understood they dissolve.
They are falsely imagined, indeed.13 YS 34
In all fairness to idealist interpretation, it should here be explained that it is not simply the
human mind or imagination that creates the world, rather it is the product of all the individual,
11 LS 7abc (Lindtner 1990, 130): samjnarthayor ananyatve mukham dahyeta vahnina / anyatve
'dhigamabhavas.
12 This is, at least, what the 11th century master Ratnakarasanti understands. See Tripathi, R. Shankar
& Negi, Th. Sain 2001, 15.
13 YS 34 (Lindtner 1990, 110): mahabhutadi vijhane proktam samavarudhyate/ tajjnane vigamam
yati nanu mithya vikalpitam / /
7
cognitively inactive sub-consciousnesses of sentient beings, which contain numerous mental
seeds or imprints left from previous mental events responsible for activating the chains of
pairs of the perceived and a perceiver. The common experience of external objects is
explained by maintaining that a particular group of sentient beings shares common imprints
which influence each other when they give rise to common appearance. Human beings thus
share the common imprints for the manifestation of drinking water. For a fish, however, water
must be like space. In his Collected Works the Tibetan rNying ma master Rong zom chos kyi
bzang po (1042-1136) uses the example of “wild herbivores possessing the purity of fire”
(Tib. ri dwags me'i gtsang sbra can) who wash themselves with fire without burning
themselves.14 The point here is that it is not enough to simply think “I am not burning in fire”
but one needs to be such an animal with all necessary mental imprints.
Against the background of these notable parallels between quantum physics and the Buddhist
philosophy of dependent origination and emptiness the question arises, how the issue of
objective randomness fits into this picture. First of all, it could be argued that there is an
equally valid alternative, namely David Bohm's theory of non-local causality. The trajectory
of the photon in the double slit experiment could be calculated, if the initial state of the
photon was known. But an initial state or its causes can never be provided, so that in Bohm's
model, too, one still has the randomness observed in experiment (Zajonc 2004, 27). A
Buddhist would have no problem with that since a beginning from a primary cause such as a
Big Bang would be rejected. Secondly, a Buddhist philosopher could also follow mainstream
physics and accept objective randomness as something beyond the reach of relative truth,
which is characterized by dependent origination. It would then relate to the level of ultimate
truth, which is defined, among other things, by non-arising. In a similar vein, objective
randomness could be compared to spontaneous Buddha activity which unfolds
unintentionally, even though most Buddhist traditions (the rNying ma pas being a prominent
exception) agree that Buddhahood and its activity are produced through the accumulation of
merit and wisdom over a long period of time. In the rNying ma tradition of “Great Perfection”
(Tib. rdzogs chen) primordial wisdom is taken to be unproduced and yet spontaneously
present in its luminosity and compassionate responsiveness. (Mathes 2008, 98-110).
One may admit that these parallels between Madhyamaka and quantum physics are
interesting, but still question their relevance within the macroscopic scale of daily life. It
should be considered, however, that everything is made up of subatomic particles. A lot of
quantum effects may cancel themselves out on macroscopic or even mesoscopic levels, but
14 Rong zom chos bzang 1999, vol. 1, 426.
8
there is no reason why entangled systems should not be found also on larger scales. In a
dialogue with the astrophysicist Trinh Xuan Thuan the French Buddhist monk Matthieu
Ricard reckons with regard to the Einstein Podolsky Rosen Effect (i.e., entanglement), that
since all ‘particles’ in the universe were closely bound together in the singularity of Big Bang,
they could still be so now.15 Such a universal entanglement could be, in fact, an intelligent
way of interpreting the strange behavior of Foucault's pendulum. Foucault hung a pendulum
from the roof of the Panthéon in Paris in order to prove that the Earth rotates on its axis. It
slowly seemed to change the direction in which it was swinging. But it always swung in the
same direction; it was only the Earth that turned. But what is motionless? After a few weeks
even the sun has moved slightly from the direction of the pendulum's swing. Only the most
distant galaxies did not drift away from the initial plane of its swing. Trinh Xuan Thuan draws
the conclusion that the pendulum's behavior depends on the entire universe including the
most distant galaxies.16 In support of this conclusion one could refer to the Austrian
philosopher and physicist Ernst Mach, who declared that the amount of resistance to
movement comes from the influence of the whole universe (Mach's principle). But such
interactions cannot be based on the exchange of energy, resembling as they do to the one
between entangled photons or electrons. Trinh Xuan Thuan concludes that “each part contains
the whole, and each part depends on all the other parts”.17
In yet another domain of inquiry well beyond the microscopic scale, neuroscience, the
amazing synchronization of widely distributed assemblies of cortical neurons correlates with
conscious processing. The neuroscientist Wolf Singer made the noteworthy prediction at the
end of his presentation at our symposium that “we shall have to make the same transition as
physics did when extending classical physics to quantum physics.” This involves thinking in
terms of “self-organizing systems with non-linear dynamics and very high dimensionality, in18which relationships in phase space have the status of objects!’ Such a dynamic system of
interrelatedness reminds one of the above-mentioned quantum states of entangled systems
whose components do not exist in a locally determined way.
This calls for the introduction a new concept of existence, one that does not require a locally
determined entity with an "own-being", but a dynamic system of mutual interrelationship and
interconnectedness. It is this absence of own-being and other-being from the standpoint of
15 Ricard & Trinh Xuan Thuan 2001, 73.
16 Ibid., 69-70.
17 Ibid., 70.
18 I.e., a space in which all possible states of a system are represented.
9
dependent origination that is called emptiness. In keeping with Nagarjuna’s philosophy,
entities with an own-being would then be viewed as reified constructions of the mind, which
simplify phenomena at the cost of misrepresenting their irreducibly complex interconnected
ness. There is no reason why such dynamic systems should not include mind with its complex
structures on equal footing with matter. The flaws of substantial dualism are avoided by
maintaining the mutual dependence of mind and matter and their emptiness of an own-being.
In conclusion I suggest, as a primary frame of reference, a type of existence or rather "co
existence" characterized by a dynamic system of mutual interrelationship called "mind-matter-
field" whose aspects, including mental events, cannot be separated. This perspective would
not only conform to the Madhyamaka definition of the object of negation as "own-being" but
also provide a model which can more readily accommodate the strange observations of
quantum physics, and the anticipated transition or paradigm shift in neuroscience.
Understanding oneself and the things and beings around us—not only in natural science but
also society, ecology or economy—as dynamic systems of mutual interrelationship would
draw attention to our responsibilies as engaged, embedded agents. This is what the (tantric)
Nagarjuna claims in his “Exposition of the Enlightened Attitude” (Bodhicittavivarana, verse
73):
When yogins have cultivated this emptiness in such a way,
Their mind will no doubt be devoted to the welfare of others.19
Once the Buddhist has realized that her or his existence is in one way or the other interwoven
in open dynamic systems, it becomes clear that one's own and everybody's goal of attaining
enduring happiness is best served by helping others and not by singling out, and clinging to, a
self, which is wrongly conceived of as existing independent of the rest of the world. That also
applies to the erroneous perceptions that clans, ethnic groups, nation states, economies and
other subsystems can be separated from their complex nexus of interrelations and regarded as
autonomous entities with their own independent agendas and modi operandi.
19 BV (Lindtner 1990, 206): / de Itar stong pa nyid 'di ni / / rnal 'byor pa yis bsgom byas na / / gzhan
gyl don la chags p a '/ bio / / 'byung bar 'gyur ba the tshom med /
10
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