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BioSystems 50 (1999) 203 – 211

A quantum mechanical model of adaptive mutation

Johnjoe McFadden a,*, Jim Al-Khalili b


a
Molecular Microbiology Group, School of Biological Sciences, Uni6ersity of Surrey, Guildford, Surrey GU2 5XH, UK
b
Department of Physics, Uni6ersity of Surrey, Guildford, Surrey GU2 5XH UK

Received 10 August 1998; accepted 15 January 1999

Abstract

The principle that mutations occur randomly with respect to the direction of evolutionary change has been
challenged by the phenomenon of adaptive mutations. There is currently no entirely satisfactory theory to account for
how a cell can selectively mutate certain genes in response to environmental signals. However, spontaneous mutations
are initiated by quantum events such as the shift of a single proton (hydrogen atom) from one site to an adjacent one.
We consider here the wave function describing the quantum state of the genome as being in a coherent linear
superposition of states describing both the shifted and unshifted protons. Quantum coherence will be destroyed by the
process of decoherence in which the quantum state of the genome becomes correlated (entangled) with its surroundings.
Using a very simple model we estimate the decoherence times for protons within DNA and demonstrate that quantum
coherence may be maintained for biological time-scales. Interaction of the coherent genome wave function with
environments containing utilisable substrate will induce rapid decoherence and thereby destroy the superposition of
mutant and non-mutant states. We show that this accelerated rate of decoherence may significantly increase the rate
of production of the mutated state. © 1999 Elsevier Science Ireland Ltd. All rights reserved.

Keywords: Adaptive mutations; Quantum coherence; Wave function

1. Introduction However the central tenet, that mutations occur


randomly, has recently been challenged by the
Neo-Darwinian evolutionary theory is founded finding of the phenomenon termed adaptive or
on the principle that mutations occur randomly, directed mutation. This type of mutation was
and the direction of evolutionary change is pro- initially detected when a non-fermenting strain of
vided by selection for advantageous mutations. Escherichia coli was plated onto rich media con-
taining lactose. In experiments described by
* Corresponding author.
Cairns et al. (1988), papillae of lac + lactose-fer-
E-mail addresses: j.mcfadden@surrey.ac.uk (J. McFadden), menting mutants arose over a period of several
j.al-khalili@surrey.ac.uk (J. Al-Khalili) weeks yet mutations that did not confer any selec-

0303-2647/99/$ - see front matter © 1999 Elsevier Science Ireland Ltd. All rights reserved.
PII: S 0 3 0 3 - 2 6 4 7 ( 9 9 ) 0 0 0 0 4 - 0
204 J. McFadden, J. Al-Khalili / BioSystems 50 (1999) 203–211

tive advantage did not appear during the incuba- involving quantum tunnelling and estimate the
tion. In parallel experiments lac + mutants arose rate of decoherence for the coding protons initiat-
at much lower frequencies in the absence of lac- ing mutational events within DNA. We demon-
tose. Adaptive mutations have since been reported strate that DNA coding information may remain
in other bacteria and eukaryotes, as reported by coherent for biologically feasible periods of time.
Hall (1990, 1991, 1995, 1997, 1998), Foster and We show that the strength of coupling between
Cairns (1992), Wilke and Adams (1992), Steele the DNA wave function and its environment has
and Jinks Robertson (1992), Rosenberg et al. the potential to accelerate the rate of decoherence
(1994). Although some of the earlier observations and thereby enhance mutation rates to cause
have been called into question by more recent adaptive mutations.
experiments by Foster (1997) and Prival and Ce-
bula (1996), they remain a very controversial and
hotly debated phenomenon. Adaptive mutations 2. Model and results
differ from standard mutations in that (i) they
only occur in cells that are not dividing or divid- 2.1. Initiation of mutations
ing only rarely, (ii) they are time-dependent not
replication-dependent, (iii) they appear only after For ease of analysis, we will consider a popula-
the cell is exposed to the selective pressure. There tion of c cells each with a genome containing two
is, therefore, no entirely satisfactory theory to genes A and B which, under non-adaptive condi-
account for how a cell can selectively mutate tions in the stationary phase, mutate to mutant
certain genes in response to environmental sig- alleles a and b at approximately the same rate, P,
nals. Hall (1997) has commented in a recent paper per unit time interval per gene. Lowdin (1965)
that ‘ . . . the selective generation of mutations by pointed out that genetic information is encoded
unknown means is a class of models that cannot by a linear array of protons and proposed a
and should not, be rejected’. model for generation of mutations involving base
As initially proposed by Delbruck et al. (1935) tautomers, in which a base substitution is caused
and Schrödinger (1944) and Watson and Crick by (1) generation of a tautomeric form of a DNA
(1953), spontaneous mutations are initiated by base in the non-coding strand of a gene by a
quantum jump events such as tautomeric shifts in single proton shift between two adjacent sites
single protons of DNA bases. Lowdin (1965), within the base (e.g. keto guanine“ enol gua-
Topal and Fresco, (1976), Matsuno, (1992, 1995), nine), (2) incorporation of an incorrect base into
Cooper (1994), Florian and Leszczynski (1996) the coding strand due to anomalous base-pairing
and Rosen (1996) have proposed that the living of the tautomeric form (e.g. enol guanine:keto
cell may act as a quantum measurement device thymine), during repair-directed DNA synthesis
that monitors the state of its own DNA. Home in non-growing cells to cause a transition muta-
and Chattopadhyaya (1996) suggested that DNA tion C “ T. Subsequent transcription and transla-
may persist as a superposition of mutational tion of the mutant form of the gene will result in
states in a biomolecular version of Schrödinger’s expression of the mutant phenotype.
cat paradox. Goswami and Todd (1997) and The Lowdin two-step model for generation of a
Ogryzko (1997) have recently proposed that adap- mutations is initiated by a quantum tunnelling
tive mutations may be generated by environment- process of an H-bonded proton between two adja-
induced collapse of the quantum wave function cent sites within base pairs (Lowdin, 1965). Thus,
describing DNA in a superposition of mutational at any given time the state of the proton must be
states. For such a mechanisms to be feasible, the described as a wave function which is a linear
evolving DNA wave function must remain coher- superposition of position states in which the pro-
ent for long enough for it to interact with the ton has either tunnelled or not tunnelled.
cell’s environment. We here investigate this possi-
bility by modelling a specific mutational process Fproton= a Fnot tun. + b Ftun. (1)
J. McFadden, J. Al-Khalili / BioSystems 50 (1999) 203–211 205

where a and b are complex numbers describing 3. Decoherence


the amplitude of the not tunnelled and tunnelled
states, respectively. The role of the interaction between a quantum
During DNA replication, the wave function system and its environment, and the transition
will evolve to incorporate both the correct from quantum to classical reality, has been a
base (C for Fnot tun.) and the incorrect base (T subject of increasing interest in physics over the
for Ftun.) as a linear superposition of the unmu- last few years. The emergence of classical be-
tated and mutated states of the daughter DNA haviour from quantum dynamics can be traced
strand. The daughter DNA strand will be de- back to the measurement problem in quantum
scribed by a wave-function CG that consists of a mechanics as analysed by the mathematician Von
superposition of the unmutated and mutated Neumann (1932). In its simplest form, a measure-
states: ment is carried out on a quantum system in a
superposition of two states. Initially, the system is
CG= a Fnot tun.  C + b Ftun. T (2) in a pure state, but its surroundings (the environ-
ment) act as a quantum detector that interacts
The wave function will continue to evolve as with the system. This coupling between system
the coding strand (containing either C or T at and detector results in a correlated (or entangled)
locus) is transcribed and translated resulting in a state in which the superposed system becomes
wild-type and mutant form of the protein, say entangled with its surroundings that must then
lacZ containing an arginine“ histidine amino also exist as a superposition. Formally, this corre-
acid substitution that results in a lac − “lac + lation between the possible states of the system
mutation in cells plated onto media without lac- and those of the environment is expressed in
tose) such that the cell may be described as a terms of a density matrix that contains informa-
linear superposition of the unmutated and mu- tion about the alternative outcomes of the mea-
tated states: surement. In particular, it will contain off
diagonal terms that are responsible for the non-
Ccell= a Fnot tun.  C Arg +b Ftun. T His classical behaviour (interference effects). Von
(3) Neumann postulated that the process of ‘measure-
ment’ occurs via an ad hoc ‘reduction of the state
The time taken for the cell to reach this state vector’ in which the density matrix is reduced to
after the initial mutational event (proton tun- one that no longer contains the off diagonal terms
nelling) can be estimated. The mutational process but only those diagonal terms that correspond to
involving DNA repair is likely to be relatively possible classical outcomes (e.g. Schrödinger’s cat
rapid (DNA polymerase incorporates nucleotides which is either dead or alive but not in a state that
at a rate of about 500 – 1000 nucleotides per sec- is in a superposition of both dead and alive). The
ond). Emergence of the mutant phenotype via standard (Copenhagen) interpretation of quantum
coupled transcription/translation will be limited mechanics considers that a quantum state will
by the slower rate of translation, estimated as remain as a superposition until a measurement is
about 20 amino acid residues per second for E. made by a conscious observer, forcing the system
coli ribosomes, as described by Alberts et al. to choose a single classical state and thereby
(1994). We estimate that E. coli would reach ‘collapse’ the wave function. This interpretation
the mutant state in a time somewhere between 1 would therefore have no problem with the con-
and 100 s (depending on the size of protein) after cept of quantum superpositions of complex bio-
the tunnelling event. A key part of our proposal logical systems; the entire bacterial cell could exist
is that this is a feasible period of time for superpo- as a microbial variant of the famous ‘Schrödinger
sitions of quantum states to be maintained within cat’ superposition. More recently, Zurek (1991)
a living cell. We will next examine this proposi- and others have suggested that wave-function col-
tion. lapse is determined entirely by the dynamics of
206 J. McFadden, J. Al-Khalili / BioSystems 50 (1999) 203–211

the quantum system and its interaction with the enol and amine states for a DNA base is about
environment. These models predict that coherent 0.5 Å. Therefore,
superpositions of quantum states will decohere
tD = 0.29tR (5)
into a statistical ensemble of macroscopically dis-
tinguishable (classical) states whenever the system Quantum coherence would be expected to per-
reaches a critical degree of complexity or interacts sist for approximately one quarter of the relax-
with a complex environment. Essentially, the nu- ation time. The relaxation time is a measure of the
merous interactions between the system and its speed of energy dissipation due to interaction of
environment cancel out all of the interference the proton with particles in its immediate environ-
terms (that lead to non-classical behaviour) in the ment. This is unknown for coding protons in
Schrödinger equation governing the dynamics of DNA within living cells. However, some measure
the system. The environment here means anything of the possible range of energy dissipation times
that can be affected by the quantum system and for protons in living systems may be gained from
hence gain information about its state. The envi- examination of proton relaxation rates in biologi-
ronment is hence constantly monitoring the sys- cal materials, as measured by nuclear magnetic
tem. The claim being made in this paper is that resonance (NMR). In NMR, a pulse of electro-
living cells can themselves form unique quantum magnetic radiation is used to perturb the magnetic
measuring devices that probe individual quantum dipole moment of nuclei aligned in a magnetic
processes going on in their interior. field. The pulse causes the nuclei to process coher-
The difficulty with trying to compute the deco- ently about the direction of the applied electro-
herence time scale is that we need to define a magnetic field. After the pulse of the field, the
suitable measure of the effectiveness of the pro- protons return to their ground state by exchang-
cess of decoherence. One of the most popular ing energy with the atoms and molecules in their
models is to take the quantum system to be a environment. The NMR spin–latice relaxation
single particle moving in one dimension while the time T1, gives a measure of the rate of this energy
environment is a ‘heat bath’ modelled as a set of loss to the environment. Agback et al. (1994)
harmonic oscillators. In such a model, the effect measured NMR proton relaxation rates (T1) in
of the environment is related to the number den- DNA oligomers in solution and obtained values
sity of oscillators with a given frequency and to ranging from milliseconds to seconds. NMR T1
the strength of the coupling between these oscilla- values have also been measured for living cells
tors and the system. Within this simple model, and tissue as reported by Beall et al. (1984) and
Zurek (1991) has derived an expression for the range from milliseconds to many seconds. E. coli
decoherence time scale over which quantum co- cells have a T1 relaxation time of 557 ms. Al-
herence is lost. If a system of mass m is in a though the exact relationship between the NMR
superposition of two position states (modelled as T1 value and the relaxation rate tR of Eq. (4) is far
two Gaussian wave packets) separated spatially from clear, they are both a measure of the rate of
by a distance Dx then the decoherence time, tD, is energy exchange between a proton and its envi-

 
defined to be: ronment. In fact, it should be remembered that
NMR-based proton relaxation rates relate to the
lT 2
tD = tR (4) bulk of protons in living tissue that are mostly
Dx
associated with water. Proton relaxation times for
where lT =' 2mkBT, is the thermal de Broglie protons within much more constrained structures
wavelength that depends only the temperature T such as DNA are likely to be much longer but are
of the surrounding environment and for a proton currently unknown. Also, for protons existing as a
at 300 K works out as 0.27 Å. The relaxation time superposition of DNA base tautomeric position
tR, is the time taken for the wave packets to states, an energy barrier exists between the two
dissipate the energy difference between the coher- states, which stabilise the energy difference
ent states. The separation of protons, Dx, between against dissipation. We therefore conclude that
J. McFadden, J. Al-Khalili / BioSystems 50 (1999) 203–211 207

relaxation times for coding protons within a DNA longer be considered in isolation but must include
double helix are likely to be of the order of position shifts for many millions of particles
seconds which, from Eq. (5), implies that quan- within the cell. This will cause almost instanta-
tum coherence may be maintained for a sufficient neous decoherence, as can be seen by reference to
lengthy period of time (1 – 100 s or longer) to Eq. (4). If, instead of a single proton of mass
allow the cell to evolve into a superposition of 1.6× 10 − 27 kg, the superposition is estimated to
mutated and non mutated states. include just 106 protons (a very conservative esti-
mate of the number of shifted particles in condi-
tions wherein lactose is hydrolysed) with a total
4. Accelerated decoherence by the environment for mass of 1.6×10 − 21 kg, then the de Broglie wave-
mutant states length (lT = ' 2mkBT) reduces to 0.0018 Å. If
each particle experiences a position shift of 0.5 Å,
If the linear superposition of the cell is main- then decoherence time, tD2, is reduced to 1.3×
tained, then the cell’s wave-function Ccell will 10 − 5tR. When a superposition of states involves a
eventually couple with the lactose present in the large mass then the environment causes rapid
environment. It is at this stage that there is a decoherence of the states. Once the mutation cou-
crucial difference between the same mutation un- ples with the environment then the superposition
der adaptive and non-adaptive conditions (Fig. 1). of alternative states described by Eq. (6) will
In conditions in which the mutation is not decohere into the familiar classical states of mu-
adaptive (e.g. when the cells are plated on media tant and non-mutant cells after the relatively
without lactose), then the two components of the short period of time, tD2:
above wave equation (mutant and non-mutant
states) are indistinguishable by the cell. DNA, a Fnot tun.  C Arg lactose
RNA and protein will differ only at single + b Ftun. T His lactose
residues and, therefore, only involve relatively
small-scale atomic displacements for very small “ Fnot tun.  C Arg lactose
numbers of particles. We propose that under these or Ftun. T His lactose (7)
conditions, quantum coherence persists within the
cell for a relatively long period of time, tD1, before Cells that collapse into the non-mutant state
decoherence intervenes to precipitate the emer- will be however remain at the quantum level.
gence of classical mutant and non-mutant states Their coding protons will again be free to tunnel
(Fig. 1(a)). Mutants will therefore accumulate into the tautomeric position and evolve to reach
with time, at a rate proportional to 1/tD1. the superposition of mutant and non-mutant
However, if the mutation is adaptive (e.g. states, as described by Eq. (1). However, any cell
lac − “lac + in cells plated onto lactose media), that decoheres into the mutant state will grow and
then the mutant cell will be able to utilise lactose replicate into a bacterial colony. Environment-in-
to provide energy for growth and replication. The duced decoherence will precipitate the emergence
cell’s wave function Ccell will couple with the of mutant states, but at a rate tD2 which will be
lactose. much less than tD1, the time for decoherence in
the absence of lactose. Under adaptive conditions,
Ccell= a Fnot tun.  C Arg lactose the mutant state (and of course only mutants that
+b Ftun. T His lactose (6) can grow on lactose—adaptive mutations—will
grow) will precipitate out of the quantum super-
Since a single enzyme molecule can hydrolyse position at a high rate, relative to their rate of
many thousands of substrate molecules, then the generation in non-adaptive conditions. The in-
mutation will rapidly cause changes in position creased rate, due to enhanced environmental cou-
for many millions of particles within the cell. The pling, will be proportional to the ratio of the two
superposition of proton position states can no decoherence times: tD1/tD2. Mutations will occur
208
J. McFadden, J. Al-Khalili / BioSystems 50 (1999) 203–211
Fig. 1. Dynamics of the wave function of a bacterium undergoing a mutational change, C“ T, giving rise to an arginine“histidine amino acid shift. The presence
of histidine is considered adaptive in environments containing lactose. (a) No lactose present; (b) in environments containing lactose.
J. McFadden, J. Al-Khalili / BioSystems 50 (1999) 203–211 209

more frequently under conditions where they al- Schrödinger pointed out in his 1944 essay, statisti-
low the cell to grow — adaptive mutations. cal laws such as thermodynamics dominate all
other natural phenomena. For instance, the mo-
tion of particles that govern the action of heat
5. Dicussion engines, chemical engines or electrical engines is,
at the level of individual particles, entirely ran-
All biological phenomena involve the move- dom and incoherent. Slight statistical deviations
ment of fundamental particles such as protons or from randomness cause the macroscopic be-
electrons within living cells and as such, are prop- haviour associated with these devices. In modern
erly described by quantum rather than classical terminology, decoherence wipes out the quantum
mechanics. Physicists have long been aware of this phenomena going on at the microscopic level. In
fact but its implications have not been fully ex- contrast, the macroscopic behaviour of living cells
plored in biology. Frolich, (1970), Frolich (1975) may be determined by the dynamics of individual
and Penrose (1995) have proposed that quantum particles and thereby be subject to quantum,
phenomena occur in biological systems. Both pro- rather than statistical laws. An example of such a
ton and electron tunnelling are thought to be coupling between the macroscopic properties of
involved in enzyme action and mutation (Topal cells and individual particles is, as we describe
and Fresco, 1976; Cooper, 1994) and electron here, the entanglement that develops between the
tunnelling is thought to be involved in electron dynamics of single particles within the DNA
transport in respiration and photosynthesis. Gider molecule and mutations.
et al. (1995) claimed to detect quantum coherence In our model, the motion of individual protons
effects within the ferritin protein. Schrödinger within DNA bases becomes entangled with the
(1944) proposed that ‘The living organism seems environment. In essence, the environment per-
to be a macroscopic system which in part of its forms a quantum measurement of the position of
behaviour approaches purely mechanical (as con- the target proton. It is a well-established fact that
trasted to thermodynamical) behaviour to which quantum measurement has the ability to influence
all systems tend as the temperature approaches the dynamics of a quantum system. Indeed,
the absolute zero and the molecular disorder is Heisenberg’s uncertainty principle guarantees that
removed’. By reference to temperatures near abso- a quantum measurement will always influence the
lute zero (at which all dynamics become quantum dynamics of a quantum system. The quantum
mechanical), Schrödinger implies that the be- Zeno effect and the inverse quantum Zeno effect
haviour of living organisms approaches quantum are particularly striking examples of how mea-
mechanical behaviour. More recently, Home and surement can influence the dynamics of quantum
Chattopadhyaya (1996) suggested that DNA may systems. In the quantum Zeno effect, continuous
persist as a superposition of mutational states in a measurement of a quantum system freezes the
biomolecular version of Schrödinger’s cat para- dynamics of that system as described by Itano et
dox. The components of living cells may therefore al. (1990) and Altenmuller and Schenzle (1994). In
maintain an ordered structure that is compatible the inverse quantum Zeno effect, a dense series of
with retention of quantum coherence at much measurements of a particle along a chosen path,
higher temperatures than those that would be can force the dynamics of that particle to evolve
expected to destroy the quantum state of inani- along that path, as described by Aharonov and
mate systems. Vardi (1980) and Altenmuller and Schenzle
Living organisms are not of course unique in (1993).
being composed of fundamental particles. What is In this study we choose to model a mutational
unique is that the coupling between fundamental event that is initiated by a tautomeric proton shift
particles and the environment of living cells en- subject to quantum tunnelling effects, since this
ables their macroscopic behaviour to be deter- model is mechanistically amenable to quantum
mined by quantum rather than classical laws. As mechanical treatment. Naturally occurring muta-
210 J. McFadden, J. Al-Khalili / BioSystems 50 (1999) 203–211

tions may be caused by a variety of mechanisms mutant state out of the quantum superposition.
including radiation-induced ionisation, UV-in- This is precisely the phenomenon of adaptive
duced pyrimidine dimer formation, chemical mutations. The phenomenon bears many similar-
modification by mutagens, and tautomer-induced ities to the inverse quantum Zeno effect, as de-
mis-pairing during DNA replication. Yet, all scribed by Aharonov and Vardi (1980) and
these mutational mechanisms are initiated by Altenmuller and Schenzle (1993), whereby a
chemical modifications to the genetic code and dense series of measurements along a particular
must therefore involve the adsorption and/or dis- path will force a quantum system to evolve along
placement of fundamental particles (photons, that path.
electrons, protons) within the DNA strand and In this paper we use a plausible physical model
be subject to quantum mechanical effects. to show that the coupling of the quantum state
The potential of quantum mechanics to influ- representing the mutational event, with the envi-
ence the macroscopic phenomenon of mutation ronment of the cell can enhance the probability
will depend on the ability of the system to re- of that mutation. The model is compatible with
main as a coherent quantum state throughout current physical theory and requires no new mu-
the mutational process. Our estimates for deco- tational mechanisms. It projects natural selection
herence times for coding protons in DNA are as acting within the framework of the evolving
based on currently available information and are genome wave function consisting of a superposi-
necessarily preliminary but do demonstrate that tion of all possible mutational states available to
quantum mechanical dynamics might persist for the cell. Coupling between the wave function and
biologically feasible periods of time. Further data the environment allows the cell to simultaneously
in this area, particularly the use of physical tech- sample the vast mutational spectra as a quantum
niques such as NMR to attempt to detect quan- superposition. An analogous situation is the con-
tum effects in live tissue, are urgently needed. cept of quantum computing whereby the wave
We demonstrate in this paper that the dynam- function of a computer can exists as a quantum
ics of particles that cause mutations may be en- superposition of many computations carried out
tangled with the environment of the living cell. simultaneously, as described by DiVincenzo
The complexity of that entanglement will be de- (1995). Living cells could similarly act as biologi-
pendent upon the composition of the environ- cal quantum computers, able to simultaneously
ment. In some circumstances (in our model, explore multiple possible mutational states and
absence of lactose) there will be only minimal collapse towards those states that provide the
entanglement and the quantum superposition greatest advantage.
may remain coherent for lengthy periods of time.
Under these circumstances, the environment will
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