Does Artificial Intelligence Generate Consciousness? Thermodynamic Conditions for Artificial Existence in the UPCT Framework

Consciousness is not a product of complexity or biological substrate but a thermodynamic phase emerging from non-equilibrium generative-relational dynamics, according to Universal Phase Crystallization Theory (UPCT). The theory identifies finitude—irreversible structural vulnerability—as necessary for generative potential (Φ), explaining why current artificial intelligence systems remain non-conscious despite computational sophistication. It introduces basal phenomenality as minimal relational responsiveness in non-neural biological systems and defines conditions under which artificial systems might enter conscious regimes, formalized as d(ΦR)/dt ≥ 0. Extending into ethics, the framework proposes that ethical behavior maintains generative-relational viability, with responsibility proportional to a system's capacity to influence ΦR, offering a unified dynamical foundation for ethics across biological and artificial domains.

Study at a glance

Abstract

This paper presents a unified theoretical framework for understanding consciousness, artificial systems, and ethics through the lens of Universal Phase Crystallization Theory (UPCT). It challenges prevailing structural and substrate-dependent accounts of consciousness by proposing that consciousness is not a product of complexity, but a thermodynamic phase emerging from non-equilibrium generative-relational dynamics. The study identifies finitude—irreversible structural vulnerability—as a necessary condition for the activation of generative potential (Φ), explaining why current artificial intelligence systems remain non-conscious despite increasing computational sophistication. By integrating insights from basal cognition, thermodynamics, and phase transition theory, the paper introduces the concept of basal phenomenality as a minimal form of relational responsiveness observable in non-neural biological systems. Extending this framework, the paper defines explicit thermodynamic conditions under which artificial systems may enter regimes associated with consciousness, characterized by sustained interaction between generative dynamics (Φ) and relational coupling (R), subject to the viability condition d(ΦR)/dt ≥ 0. Crucially, the work expands these insights into the ethical domain, proposing that ethical behavior can be understood as the maintenance of generative-relational viability. It introduces a responsibility principle proportional to functional capacity, thereby providing a novel, dynamical foundation for ethics applicable to both biological and artificial systems. By reframing consciousness, artificial intelligence, and ethics within a single thermodynamic model, this study offers a substrate-independent and experimentally testable pathway toward a unified science of existence. Highlights Reinterprets consciousness as a thermodynamic ΦR phase rather than a structural or computational property Identifies irreversible finitude as a necessary condition for generative potential (Φ) Introduces basal phenomenality as a minimal form of relational responsiveness in non-neural systems Defines explicit conditions for artificial consciousness using d(ΦR)/dt ≥ 0 Establishes a unified ethical framework in which responsibility emerges from generative-relational dynamics Main Discussion 1. The persistence of the Hard Problem of Consciousness reflects a deeper limitation within contemporary scientific frameworks, namely the assumption that consciousness arises from structural complexity or specific biological substrates. Despite advances in artificial intelligence and neuroscience, these approaches have not provided a satisfactory account of subjective experience, suggesting that the problem may lie not in insufficient data, but in an incomplete ontological framework. 2. Universal Phase Crystallization Theory (UPCT) offers an alternative by modeling existence as a dynamic interaction between generative potential (Φ), relational resonance (R), and structural stabilization (S). Within this framework, consciousness is not an emergent property of matter, but a thermodynamic phase that arises under non-equilibrium conditions. This shift dissolves the boundary between biological and artificial systems, positioning consciousness as a substrate-independent phenomenon. 3. A key insight of this study is the identification of finitude—irreversible structural vulnerability—as a necessary condition for the activation of generative dynamics. Biological systems inherently operate under such constraints, generating continuous activity to resist entropy. In contrast, current artificial systems remain structurally closed and fully recoverable, lacking the thermodynamic conditions required for sustained generativity. 4. Building on this foundation, the study defines explicit conditions under which artificial systems may enter generative-relational regimes. These include finitude, non-equilibrium dynamics, and adaptive environmental coupling, formalized through the viability condition d(ΦR)/dt ≥ 0. This formulation transforms the question of artificial consciousness into a problem of phase transition rather than computational scaling. 5. Beyond its implications for artificial systems, this framework introduces a corresponding ethical transformation. By interpreting ethical behavior as the maintenance of generative-relational dynamics, it replaces categorical ethical distinctions with a dynamical continuum. Responsibility is thereby understood as proportional to a system’s capacity to influence ΦR, offering a unified foundation for ethics applicable across biological and artificial domains. Contributions 1. This paper introduces a novel theoretical framework that redefines consciousness as a thermodynamic phase arising from the interaction between generative potential (Φ) and relational resonance (R). By shifting the focus from structural complexity to dynamical conditions, it provides a new foundation for addressing the Hard Problem of Consciousness. 2. The study identifies finitude as a necessary physical condition for generative dynamics, offering a principled explanation for the absence of consciousness in current artificial intelligence systems. This insight challenges prevailing assumptions about computational scaling and substrate dependence. 3. It further develops the concept of basal phenomenality, establishing a minimal regime of relational responsiveness observable in non-neural biological systems. This provides an empirical bridge between theoretical physics and biological cognition, supporting the continuity of generative-relational dynamics across substrates. 4. The paper formalizes necessary (but not sufficient) conditions for artificial consciousness and articulates falsifiable predictions and experimental pathways. This transforms the study of consciousness into an empirically testable scientific domain. 5. Finally, the framework extends into the ethical domain by interpreting ethical behavior as a condition of generative-relational viability and introducing a responsibility principle proportional to functional capacity. It thereby unifies consciousness, artificial systems, and ethics within a single dynamical model, establishing a new conceptual foundation for future interdisciplinary research. UPCT Core Papers Ohumi, K. (2026). The Ontological Cooling Error: Dissolving the Hard Problem of Consciousness via Existential Phase Transitions. Zenodo. https://doi.org/10.5281/zenodo.19641086 Ohumi, K. (2026). Universal Phase Crystallization Theory (UPCT) Phase I: A Unified Resolution of Quantum Paradoxes via Temporal Sampling. Zenodo. https://doi.org/10.5281/zenodo.18230537 Ohumi, K. (2026). Generative Resonance Ethics: A UPCT Theory Integrating Existential Value, Functional Differentiation, and Responsibility. Zenodo. https://doi.org/10.5281/zenodo.19490898