The Second Law of Thermodynamics and

"Chemical Evolution" for the Origin of Life

by Craig Rusbult, Ph.D.
 

This page builds on the foundation of Entropy and Evolution which explains why "most thermo-based arguments [against a general ‘evolution’ of all types, and specifically against neo-Darwinian biological evolution] are clearly wrong."  This page will examine specific questions that are quoted from the section on Chemical Evolution:
        As explained above [in Biological Evolution], the "ratchet" mechanism of neo-Darwinian evolution [with harmful mutations producing no major change in a population, and neutral mutations or rare beneficial mutations being preserved by selection] can produce an increase in biocomplexity.  But this evolutionary mechanism would not exist before life began, and neither would the coordinated biological systems that make unusual things happen inside our bodies, including the formation of specific biomolecules that are needed to make the systems, in a "chicken and egg" problem.  In addition, some chemical reactions that seem important for life (to make essential biomolecules) are energetically unfavorable, like a ball rolling uphill.

The questions we'll examine are in the paragraph above.  Below you'll find the principles we'll use, in excerpts from "Entropy and Evolution" that will be reminders (if you've read that page, which I recommend) and will make sense if you already understand thermodynamics, or if you're a fast learner.  There are no omissions (denoted by ..... below) in the final two sections — "why some things don't happen" and "how our bodies make unusual things happen" — because these concepts in these sections are essential for understanding the ideas later in this page when we look at problems that must be solved in a formation of life by Chemical Evolution.   Here are excerpts from Entropy and Evolution:

        At the micro-level, a system's entropy is a property that depends on the number of ways that energy can be distributed among the particles in the system.  Entropy is a measure of probability, because if energy can be distributed in more ways in a certain state, that state is more probable .....[so] the chemicals in a system tend to eventually end up in the particular state (their equilibrium state) that can occur in the greatest number of ways when energy is distributed among its zillions of molecules.
        Basically, the Second Law of Thermodynamics is just a description of probability, ..... stating that during any reaction the entropy of the universe will increase. .....
        The everyday analogies used by some young-earth creationists — like "a tidy room becoming messy" due to increasing entropy — are not used in scientific applications of the Second Law, because entropy is about energy distributions and associated probabilities, not macroscopic disorder, and our psychological intuitions about "entropy as disorder" are often wrong.  .....
        The Second Law is simple in principle, but applying it to real systems can be difficult due to the challenge of determining probabilities at the microscopic level.  During a reaction, the entropy in a system can increase in two main ways, ..... and if we think of a system's total entropy as "constraint-entropy plus temperature-entropy" an entropy change can be due to constraint-change [when constraint increases, and thus freedom decreases, entropy decreases] or temperature-change [when temperature increases, so there is more energy to distribute and thus more ways it can be distributed, entropy increases], or both.  Sometimes these factors produce opposite effects, with constraint causing entropy decreases and temperature causing entropy increases.  When this happens the temperature-change is usually a larger factor, so there is an increase in the overall entropy of the universe even though "disorder" seems to decrease, as you'll see in the examples below [omitted here].  .....
        why things happen:  A wide variety of common reactions occur when an attractive force pulls particles closer together, which constrains them (producing a small decrease of entropy) but increases their kinetic energy and temperature (producing a larger increase of entropy) so total entropy increases even though "disorder" seems to decrease. .....  The overall result of these reactions [during astronomical evolution] — which produced hydrogen atoms and molecules, stars, heavy-nucleus atoms, and planets in solar systems — was an "evolution" that produced a change from simplicity to complexity, and an increase in ordered structures at the microscopic and macroscopic levels. .....
        why reactions occur:  At normal temperatures, most reactions are "driven forward" by the formation of stronger attractive-force interactions between particles (which is manifested as a temperature increase [in the system and/or in its surroundings]), not by a decrease of constraints.  .....
        why chemical reactions occur:  In the common experiences of everyday life, most reactions are chemical, not astronomical.  These chemical reactions occur because stronger bonds ("stronger attractive-force interactions between particles") are formed due to the reaction.

        Why some things don't happen.
        If we think of all possible reactions, and ask "Why do some reactions occur, but others don't occur?", we find two reasons:  • If a reaction would violate the Second Law, it is thermodynamically unfavorable and will not occur.  • Sometimes a reaction that could occur (since it is allowed by the Second Law) does not occur because its rate of reaction is extremely slow, so it is kinetically unfavorable.  This possibility is why, earlier, I said "chemicals tend to eventually end up in their [thermodynamically optimal] equilibrium state" but not "chemicals will end up..."
        For example, gasoline and oxygen can exist in a car's gas tank for years without reacting, even though their reaction is thermodynamically favorable and in some situations they will react very vigorously.  Why?  Because these chemicals must overcome an obstacle — an activation energy — before they can react, and usually (at normal temperatures when there is no spark or flame) the collisions between molecules of gasoline and oxygen don't supply enough energy to let them overcome this obstacle and become "activated," so they don't react and are in a temporary metastable state.  {activation energy is explained more thoroughly in the appendix}
        As with most things in nature, the results of activation energies can be either bad or good.  We want some reactions to occur but they don't occur due to activation energies, and we think this is bad.  But gasoline doesn't burn in a car's gas tank, only in the engine, and we think this is good.  Activation energies are also biologically useful because they provide a kinetic obstacle — so undesirable reactions are prevented, and (as explained below) desirable reactions can be controlled — and this allows life.

        How our bodies make unusual things happen.
        Inside our bodies, reactions occur that would not occur outside our bodies, and molecules exist that would not exist outside our bodies.  How and why can this happen?
        kinetics:  Many reactions that usually are kinetically unfavorable can occur because some proteins, which are called enzymes, act as catalysts that increase a reaction rate and "make things happen" by providing a way to lower the activation energy and/or bring chemicals together in a spatial orientation that is "just right" for reacting.  Enzymes operate in the context of control systems that control which reactions do and don't occur, and when.  These control systems are analogous to a thermostat that turns a furnace on and off, when we do and don't need heat, but are much more complex and wonderful.
        thermodynamics:  Many reactions that usually are thermodynamically unfavorable can occur when they are coupled with another reaction.  For example, if a biologically useful reaction that is unfavorable (because it produces a change of -400 in universe-entropy) is combined with a sufficiently favorable reaction (that produces a change of +500 in universe-entropy) the overall coupled reaction is favorable, since it produces an increase of +100 in universe-entropy.  Our bodies use external fuel — the chemical potential energy stored in the foods we eat and the oxygen we breathe — to drive these coupled reactions.
        Living organisms in the earth's biosystem are maintained in their unusual state (having high chemical potential energy, with low constraint-entropy and normal temperature-entropy) by using external energy from the sun, with solar energy first being directly consumed by plants, which convert it into chemical potential energy that can be consumed by animals.  In both plants and animals, coordinated biological systems produce the mechanisms of life — operating in control systems, coupled reactions, and in many other ways — that are necessary to make these unusual things happen.
 


 
        Now, using the principles of thermodynamics outlined above,
we'll look at "problems to solve" in a formation of life by chemical evolution:
1) an evolutionary mechanism [mutation-and-selection] would not exist before life began,
2) and neither would the coordinated biological systems that make unusual things happen,
3) including the formation of specific biomolecules that are needed to make the systems;
4) some chemical reactions that seem important for life are energetically unfavorable.

As you read the comments below, think about how each of the four problems involves a
"chicken and egg" relationship, if life is necessary to produce what is necessary for life.

1) The origin of life requires a minimal complexity that may exceed what can be produced by natural process, and until a system can accurately reproduce itself (until it's alive?) the neo-Darwinian evolutionary mechanisms cannot help a system (or a population of systems) move toward the minimal complexity that is required for life.

2) A wide variety of biological processes, including reproduction in #1, require the coordinated biological systems of life.  If you've read my "Entropy and Evolution" page, you won't expect me to be quoting Henry Morris favorably, but here it is, when he claims that "The Second Law of Thermodynamics could well be stated as follows:  In any ordered system, open or closed, there exists a tendency for that system to decay to a state of disorder, which tendency can only be suspended or reversed by an external source of ordering energy directed by an informational program and transformed through an ingestion-storage-converter mechanism into the specific work required to build up the complex structure of that system. (1976)"  Despite the many errors in this statement — his claim about Second Law "disorder" is vague and overgeneralized, and "ordering energy" is too specific to describe the wide variety of "thermodynamically unusual things" that occur in a living organism, and despite a "tendency to disorder" the entropy (not just the perceived "disorder") can decrease within an open system, and many reactions produce "order" due to the simple operation of attractive forces (as explained in why things happen)* — he does describe the essential functions of information and mechanisms in the maintenance of life.   But would it be possible for life to begin through a "replicating closed auto-catalytic system... [that has] the complex web of interactions built in from the outset"? {more   {* Do you see why a favorable quoting of Morris must be rare? }

3) A living organism must have biomolecules that are biologically useful.  For example, if a large number of long-chain proteins did form (despite the problems in #4) they would contain a wide variety of amino acid sequences, and most sequences would not produce useful proteins (although the utility of early proteins might have been low but not zero, and then it improved with time) so the formation of a biologically useful protein seems highly improbable.  This low probability is equivalent to a low configurational entropy, according to Charles Thaxton & Walter Bradley (*) who analyze entropy in terms of thermal entropy and configurational entropy which depend on "the number of ways energy and mass, respectively, may be arranged in a system."   {* Thaxton & Bradley are the authors, along with geologist Roger Olsen, of The Mystery of Life's Origin. }   {more}

4) In a natural origin of life, many important chemical reactions are energetically unfavorable, like a ball rolling uphill, in reactions to form organic molecules (some amino acids and all nucleotides) and then to combine these into long-chain biomolecules (proteins and RNA).  A living organism can make these unfavorable reactions occur by coupling uphill-reactions with downhill-reactions, to make the combination energetically favorable.  But before an "origin of life" these coupling mechanisms would not yet be available.   {more}

 

        Converting Energy into Useful Functions
        In The Mystery of Life's Origin, Thaxton & Bradley explain how living organisms use biochemistry to produce a metastable environment (which is not thermodynamically favorable, since the system's low constraint-entropy is not combined with a high temperature-entropy) by converting externally available energy into internally useful functions, in a way that causes the overall entropy change in the universe (in system + surroundings) to be thermodynamically favorable, consistent with the Second Law.  Here is my summary:
        Localized areas of relatively low system-entropy can be maintained by a flow of energy.  For example, supplying energy to a refrigerator can lower the temperature inside it, even though this would never occur (and it would violate the Second Law) under ordinary circumstances.  But as long as energy continues to flow through the refrigerator, and its "mechanism that produces cold" is operating properly, the low-entropy cold area can be maintained in a way that is consistent with the Second Law.  Similarly, energy flow through our bodies can — due to the mechanisms that maintain life, that convert external energy (in photons or food) into biologically useful functions — maintain our bodies in a low-entropy state.
        Thaxton and Bradley explain why a "coupling mechanism" is necessary:
        "Maintenance of the complex, high-energy condition associated with life is not possible apart from a continuous source of energy.  A source of energy alone is not sufficient, however, to explain the origin or maintenance of living systems.  The additional crucial factor is a means of converting this energy into the necessary useful work to build and maintain complex living systems. ...
        "An automobile with an internal combustion engine, transmission, and drive chain provides the necessary mechanism for converting the energy in gasoline into comfortable transportation.  Without such an "energy converter," however, obtaining transportation from gasoline would be impossible.  In a similar way, food would do little for a man whose stomach, intestines, liver, or pancreas were removed.  Without these, he would surely die even though he continued to eat.  Apart from a mechanism to couple the available energy to the necessary work, high-energy biomass is insufficient to sustain a living system far from equilibrium.  In the case of living systems such a coupling mechanism channels the energy along specific chemical pathways to accomplish a very specific type of work."  {quoted from the first of the book's three chapters about thermodynamics, which are available on the web}

        Mechanisms during Three Evolutions
        Thaxton & Bradley end the passage above, "We therefore conclude that, given the availability of energy and an appropriate coupling mechanism, the maintenance of a living system far from equilibrium presents no thermodynamic problems."  But they recognize the important difference between maintenance and origin: "While the maintenance of living systems is easily rationalized in terms of thermodynamics, the origin of such living systems is quite another matter."
        Let's look at the role of "mechanisms" in three types of evolution:
        During biological evolution after life is established, the basic life-allowing mechanisms already exist, which allows life to continue with inheritance-replication that is adequate (but not perfect) through many generations, and during these generations the mechanisms can increase in variety and complexity through a neo-Darwinian "ratcheting process" that includes, but is not limited to, mutation and selection.  But even though an evolutionary increase in biological complexity is compatible with the Second Law, scientists should still ask "What types of complexity can be produced, in what amounts, and how quickly?"
        In chemical evolution the basic mechanisms do not exist (thus life cannot exist) so the mechanisms must be produced (so life can exist).  For a variety of reasons, producing life seems much more difficult than maintaining life and increasing its diversity & complexity.
        During astronomical evolution, most reactions are driven by simple attractive forces, so a mechanism is not needed.

        Typically, young-earth creationists use the Second Law of Thermodynamics to criticize ALL evolution, even though arguments against two types (astronomical and biological) don't seem valid.
        Defenders of evolution correctly claim that an external source of energy can allow a decrease of entropy within an open system during any type of evolution.  But appeals to an inflow of energy don't address the important difference between chemical evolution and biological evolution, between producing a coupling mechanism (in the first generation of life) and then maintaining it (through succeeding generations).  Even though most thermo-based arguments are wrong, the questions in this page are scientifically interesting and currently unanswered.

 


APPENDIX

    A Solution for Chicken-and-Egg Problems?
    The replicating closed auto-catalytic system described by Stuart A. Kaufmann has the advantage that the complex web of interactions is built in from the outset.  In essence this view acknowledges irreducible complexity, that is, the system has to be sufficiently complex in order for auto-catalytic behavior to emerge.  There is no stepwise evolution of this emergent property; it suddenly appears (as with all emergent properties) once the polymer complexity has achieved the threshold level.  Thus, the system is complex and whole from the start.  Indeed, this is what living systems appear to be.   { Loren Haarsma & Terry Gray, in Complexity, Self-Organization, and Design }

    Thermodynamics and The Origin of Life
    Scientists have proposed a two-stage process for a natural origin of life: reactions form organic molecules which combine to make larger biomolecules (like proteins and RNA), which then self-organize into a living organism.  For the first stage, a major problem is that many essential reactions are "uphill" in energy.  Walter Bradley illustrates downhill-reactions and uphill-reactions by analogy with a pool table.  Here is my paraphrased summary:
    Imagine a hemispherical valley in the middle of a horizontal billiard table that has no pockets.  We place 10 pool balls on the table, then gently agitate the table.  Eventually, all balls end up in the valley.  Without the valley this clustering would have a low probability (and low entropy), but with the valley it has the highest probability (and highest entropy).  There is less "apparent disorder" but entropy (of the universe) has increased, consistent with the Second Law. 
    Bradley explains that "the difficulty in getting polymerization condensation reactions is that our pool table [doesn't have a valley]... it has a hill. ...  One might conclude that the formation of protein and DNA via polymerization condensation reactions is well nigh impossible. ...  The only solution to this dilemma is to do some very specific work on the system to assist these balls up the hill. ...  This work must be very carefully done so as to not jar loose the balls that are already there.  Thus, the energy must be selective in getting the balls up the hill while at the same time not causing the balls there to be removed from their positions of metastable equilibrium."
    Many reactions occur because, as illustrated in Sections 3A and 3B, a small unfavorable change in entropy is overcome by a large favorable change in energy.  But with many reactions that are essential for life, the changes in entropy and energy are both unfavorable.  A living organism can make these unfavorable reactions occur by coupling uphill-reactions with downhill-reactions, to make the combination energetically favorable.  But in an "origin of life" scenario the coupling mechanisms would not be available.  Thaxton & Bradley say, "While the maintenance of living systems is easily rationalized in terms of thermodynamics, the origin of such living systems is quite another matter."  The question of an energy-harnessing mechanism — which was not needed for astronomical evolution, was available for biological evolution, but was needed yet not available for chemical evolution — is discussed earlier.  {more about the origin of life}

    Information and Entropy
    One problem for a natural origin of life is that even if biomolecules did form, despite the unfavorable reactions described above, an extremely small fraction of these biomolecules would be useful.  Thaxton & Bradley claim that this low probability is a low "configurational entropy" and they explain the difference between two types of entropy:
    "Consider the case of the formation of protein or DNA from biomonomers in a chemical soup.  For computational purposes it may be thought of as requiring two steps:  (1) polymerization to form a chain molecule with an aperiodic but near-random sequence, and  (2) rearrangement to an aperiodic, specified information-bearing sequence.  The entropy change associated with the first step is essentially all thermal entropy change, as discussed above.  The entropy change of the second step is essentially all configurational entropy change."
    Their claim seems credible, since the number of microstates (the number of different distributions) associated with all possible biomolecule-sequences (after Step 1) is much larger than the microstates associated with a specific biomolecule-sequence (after Step 2), so there has been a large decrease in probability (and thus entropy) during Step 2, and this is the "configurational entropy change."  We can also think about this entropy change as the "information" that is needed to specify the specific sequence.


The rest of this appendix is detailed versions of three sections — why some things don't happen,... — in the main body.

    Thermodynamics and Kinetics
    If we think of all possible reactions, and ask "Why do some reactions occur, but others don't occur?", we find two reasons: thermodynamic and kinetic.  In thermodynamics, we ask "is a reaction thermodynamically favorable?"  In kinetics, we ask "if a reaction can occur, when will it occur and how quickly?"  So far in this page, we've looked at only thermodynamics.  But there is a hint of kinetics in Section 1 where I waffle by saying that chemicals "tend to eventually end up in their equilibrium state" instead of just saying they "will end up..."?
    Why is it wise to waffle when making thermodynamic claims?  Because the principles of thermodynamics let us predict whether a reaction can occur, and what the equilibrium state would be if it does occur, but thermodynamics does not say when it will occur (and whether it will probably occur in a given amount of time), or how quickly.  To help us answer these questions, we can use our observations of "what does and doesn't happen" plus the principles of kinetics.
    As contrasting examples of "how quickly," the reactions of oxygen with iron and with gasoline are both thermodynamically favorable, but the oxidation of iron occurs slowly (in rusting) while the oxidation of gasoline occurs quickly (in a fire).

    An Obstacle that Prevents Reaction
    The question, "How quickly?", can be answered in two ways because "quickly" has two meanings.  The kinetic answer above, re: slow rusting or fast burning, is about speed of reaction.  Another kinetic answer is about the timing of reaction, and a more precise question is, "When will a reaction occur?"
    Gasoline can exist in a car's gas tank for years without reacting, so during this time it is not reacting quickly.  But when we start the car's engine, a spark initiates a reaction which is so fast that it becomes a small-scale explosion when the gases produced by the reaction are confined within a cylinder of the engine.  Why can the reactive chemicals (gasoline and oxygen) exist for years without reacting?  Because the chemicals must overcome an obstacle — an "activation energy" — before the fast reaction can occur.
    What is activation energy?  To illustrate by analogy, imagine a red ball that is trapped in a transparent bowl on top of a green hill.  The ball is thermodynamically unstable because it would roll down the hill if it could.  But this thermodynamically favorable reaction will occur only if the ball can first escape from the bowl.  The action of the ball climbing up and over the bowl's edge is analogous to chemicals overcoming their activation energy.  Until this occurs, the ball is in a metastable state; it is temporarily stable, even though it would react (by rolling down the hill) if it could.  Similarly, the gasoline and oxygen would react, but they don't react until the spark allows some of the molecules to overcome their activation energy;  this lets them react and they "release energy" to their neighbors, which lets these neighbors overcome their activation energy so they can react and release energy to their neighbors, and so on, in a self-sustaining chain reaction that occurs very quickly, after it begins.
    As with most things in nature, the results of activation energies can be either bad or good.  We want some reactions to occur, but they don't occur due to activation energies, and this is bad.  But gasoline doesn't burn in a car's gas tank, only in the engine, and this is good.  Activation energies are also biologically useful because they provide a kinetic obstacle — so undesirable reactions are prevented, and (as explained below) desirable reactions can be controlled — and this allows life.

    How our bodies make unusual things happen.
    Inside our bodies, reactions occur that would not occur outside our bodies, and molecules exist that would not exist outside our bodies.  How and why can this happen?
    kinetics:  Many reactions that usually are kinetically unfavorable can occur because some proteins, which are called enzymes, act as catalysts that "make things happen" by providing a way to lower the activation energy and/or bring chemicals together in a spatial orientation that is "just right" for reacting.  Enzymes operate in the context of control systems that control which reactions do and don't occur, and when.  These control systems are analogous to a thermostat that turns a furnace on and off, when we do and don't need heat, but are much more complex and wonderful.
    thermodynamics:  Many reactions that usually are thermodynamically unfavorable can occur when they are part of a coupled reaction.  For example, if a biologically useful reaction that is unfavorable (because it produces a change of -400 in universe-entropy) is combined with a sufficiently favorable reaction (that produces a change of +500 in universe-entropy) the overall coupled reaction is favorable, since it produces an increase of +100 in universe-entropy.  Our bodies use external fuel (with chemical potential energy stored in the foods we eat and the oxygen we breathe) to produce internal fuel (with energy temporarily stored in "high energy" molecules such as adenosine triphosphate, ATP) that is used in coupled reactions.

    Converting Energy into Useful Functions
    The overall result of biochemistry (the chemistry that occurs inside our bodies) is to produce a "living environment" with molecules and reactions that would not occur outside our bodies.  This is a metastable environment, with high energy and low entropy, that is maintained by the use of external energy.  In a book about The Mystery of Life's Origin, Chapter 7 (the first chapter about thermodynamics) explains how living organisms can exist despite their unfavorable energy and entropy, by converting external energy into useful internal functions.  Here is my brief summary:
    Localized areas of high entropy can be maintained by a flow of energy.  For example, if electrical energy flows through water, HH will form at one electrode and OO will form at the other electrode, reversing the favorable "explosive reaction to form HOH" so it becomes the normally unfavorable "HOH + HOH --> HH + OO + HH".  Or, supplying energy to a refrigerator can lower the temperature inside it, even though this would never occur (and it would violate the Second Law) under ordinary circumstances.  But as long as energy continues to flow through the refrigerator, and its "mechanism that produces cold" is operating properly, the high-entropy cold area can be maintained, in a way that is consistent with the Second Law.  Similarly, energy flow through our bodies can — due to the mechanisms that maintain life, that convert food energy into biologically useful functions — maintain our bodies in a high-entropy state.
    The book's authors (Charles Thaxton and Walter Bradley, plus geologist Roger Olsen) explain why a "coupling mechanism" is necessary: "Maintenance of the complex, high-energy condition associated with life is not possible apart from a continuous source of energy.  A source of energy alone is not sufficient, however, to explain the origin or maintenance of living systems.  The additional crucial factor is a means of converting this energy into the necessary useful work to build and maintain complex living systems from the simple biomonomers that constitute their molecular building blocks.  An automobile with an internal combustion engine, transmission, and drive chain provides the necessary mechanism for converting the energy in gasoline into comfortable transportation.  Without such an "energy converter," however, obtaining transportation from gasoline would be impossible.  In a similar way, food would do little for a man whose stomach, intestines, liver, or pancreas were removed.  Without these, he would surely die even though he continued to eat.  Apart from a mechanism to couple the available energy to the necessary work, high-energy biomass is insufficient to sustain a living system far from equilibrium.  In the case of living systems such a coupling mechanism channels the energy along specific chemical pathways to accomplish a very specific type of work.  We therefore conclude that, given the availability of energy and an appropriate coupling mechanism, the maintenance of a living system far from equilibrium presents no thermodynamic problems."
    The authors also emphasize the important difference between producing a coupling mechanism (during chemical evolution to produce the first generation of life) and maintaining it (during many succeeding generations of life, to allow a process of biological evolution): "While the maintenance of living systems is easily rationalized in terms of thermodynamics, the origin of such living systems is quite another matter."
    During biological evolution after life is established and stable, the basic life-allowing mechanisms already exist, are inherited with sufficient reliability through many generations, and in principle these basic mechanisms can increase in variety and complexity through a neo-Darwinian ratchet process so the relevant questions are "What types of complexity can be produced, and how quickly?"  But in chemical evolution, the basic mechanisms do not exist (so life cannot exist) but they must be produced (so life can exist), and this seems much more challenging.

 


 
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four pages (including this one) about
Chemical Evolution and The Origin of Life

Thermodynamics: Entropy and Evolution

the views of other authors about
THERMODYNAMICS AND EVOLUTION

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