宇宙起源史完整版（宇宙的起源和命运1）

CHAPTER 8 THE ORIGIN AND FATE OF THE UNIVERSE

第八章　宇宙的起源和命运

Einstein’s general theory of relativity, on its own, predicted that space-time began at the big bang singularity and would come to an end either at the big crunch singularity (if the whole universe recollapsed), or at a singularity inside a black hole (if a local region, such as a star, were to collapse). Any matter that fell into the hole would be destroyed at the singularity, and only the gravitational effect of its mass would continue to be felt outside. On the other hand, when quantum effects were taken into account, it seemed that the mass or energy of the matter would eventually be returned to the rest of the universe, and that the black hole, along with any singularity inside it, would evaporate away and finally disappear. Could quantum mechanics have an equally dramatic effect on the big bang and big crunch singularities? What really happens during the very early or late stages of the universe, when gravitational fields are so strong that quantum effects cannot be ignored? Does the universe in fact have a beginning or an end? And if so, what are they like?

爱因斯坦广义相对论本身预言了：时空在大爆炸奇点处开始，并会在大挤压奇点处（如果整个宇宙坍缩的话）或在黑洞中的一个奇点处（如果一个局部区域，譬如恒星要坍缩的话）结束。任何抛进黑洞的东西都会在奇点处被毁灭，只有它的质量的引力效应能继续在外面被感觉得到。另一方面，当计入量子效应时，物体的质量和能量会最终回到宇宙的其余部分，黑洞和在它当中的任何奇点一道被蒸发掉并最终消失。量子力学对大爆炸和大挤压奇点也能有同样戏剧性的效应吗？在宇宙的极早或极晚期，当引力场是如此之强，以至于量子效应不能不考虑时，究竟会发生什么？宇宙究竟是否有一个开端或终结？如果有的话，它们是什么样子的？

Throughout the 1970s I had been mainly studying black holes, but in 1981 my interest in questions about the origin and fate of the universe was reawakened when I attended a conference on cosmology organized by the Jesuits in the Vatican. The Catholic Church had made a bad mistake with Galileo when it tried to lay down the law on a question of science, declaring that the sun went round the earth. Now, centuries later, it had decided to invite a number of experts to advise it on cosmology. At the end of the conference the participants were granted an audience with the Pope. He told us that it was all right to study the evolution of the universe after the big bang, but we should not inquire into the big bang itself because that was the moment of Creation and therefore the work of God. I was glad then that he did not know the subject of the talk I had just given at the conference – the possibility that space-time was finite but had no boundary, which means that it had no beginning, no moment of Creation. I had no desire to share the fate of Galileo, with whom I feel a strong sense of identity, partly because of the coincidence of having been born exactly 300 years after his death!

整个70年代我主要在研究黑洞，但在1981年参加在梵蒂冈由耶稣会组织的宇宙学会议时，我对于宇宙的起源和命运问题的兴趣重新被唤起。天主教会试图对科学的问题立法，并宣布太阳是绕着地球运动时，对伽利略犯下了大错误。几个世纪后的现在，它决定邀请一些专家就宇宙学问题提出建议。在会议的尾声，所有参加者应邀出席教皇的一次演讲。他告诉我们，在大爆炸之后的宇宙演化是可以研究的，但是我们不应该去过问大爆炸本身，因为那是创生的时刻，因而是上帝的事务。那时候我心中暗喜，他并不知道，我刚在会议上作过的演讲的主题——时空是有限而无界的可能性，就表明着没有开端、没有创生的时刻。我不想去分享伽利略的厄运。我对伽利略之所以有一种强烈的认同感，其部分原因是刚好我出生于他死后的300年！

In order to explain the ideas that I and other people have had about how quantum mechanics may affect the origin and fate of the universe, it is necessary first to understand the generally accepted history of the universe, according to what is known as the “hot big bang model.” This assumes that the universe is described by a Friedmann model, right back to the big bang. In such models one finds that as the universe expands, any matter or radiation in it gets cooler. (When the universe doubles in size, its temperature falls by half.) Since temperature is simply a measure of the average energy – or speed – of the particles, this cooling of the universe would have a major effect on the matter in it. At very high temperatures, particles would be moving around so fast that they could escape any attraction toward each other due to nuclear or electromagnetic forces, but as they cooled off one would expect particles that attract each other to start to clump together. Moreover, even the types of particles that exist in the universe would depend on the temperature. At high enough temperatures, particles have so much energy that whenever they collide many different particle/antiparticle pairs would be produced – and although some of these particles would annihilate on hitting antiparticles, they would be produced more rap-idly than they could annihilate. At lower temperatures, however, when colliding particles have less energy, particle/antiparticle pairs would be produced less quickly – and annihilation would become faster than production.

为了解释我和其他人关于量子力学如何影响宇宙的起源和命运的思想，必须首先按照“热大爆炸模型”来理解为大家所接受的宇宙历史。它是假定从早到大爆炸时刻起宇宙就用弗利德曼模型描述。在此模型中，人们发现当宇宙膨胀时，其中的任何物体或辐射都变得更凉。（当宇宙的尺度大到二倍，它的温度就降低到一半。）由于温度即是粒子的平均能量——或速度的测度，宇宙的变凉对于其中的物质就会有较大的效应。在非常高的温度下，粒子会运动得如此之快，以至于能逃脱任何由核力或电磁力将它们吸引一起的作用。但是可以预料，当它们变冷下来时，互相吸引的粒子开始结块。更有甚者，连存在于宇宙中的粒子的种类也依赖于温度。在足够高的温度下，粒子的能量是如此之高，只要它们碰撞就会产生出来很多不同的粒子/反粒子对——并且，虽然其中一些粒子打到反粒子上去时会湮灭，但是它们产生得比湮灭得更快。然而，在更低的温度下，碰撞粒子具有较小的能量，粒子/反粒子对产生得不快，而湮灭则变得比产生更快。

At the big bang itself the universe is thought to have had zero size, and so to have been infinitely hot. But as the universe expanded, the temperature of the radiation decreased. One second after the big bang, it would have fallen to about ten thousand million degrees. This is about a thousand times the temperature at the center of the sun, but temperatures as high as this are reached in H-bomb explosions. At this time the universe would have contained mostly photons, electrons, and neutrinos (extremely light particles that are affected only by the weak force and gravity) and their antiparticles, together with some protons and neutrons. As the universe continued to expand and the temperature to drop, the rate at which electron/antielectron pairs were being produced in collisions would have fallen below the rate at which they were being destroyed by annihilation. So most of the electrons and antielectrons would have annihilated with each other to produce more photons, leaving only a few electrons left over. The neutrinos and antineutrinos, however, would not have annihilated with each other, because these particles interact with themselves and with other particles only very weakly. So they should still be around today. If we could observe them, it would provide a good test of this picture of a very hot early stage of the universe. Unfortunately, their energies nowadays would be too low for us to observe them directly. However, if neutrinos are not massless, but have a small mass of their own, as suggested by some recent experiments, we might be able to detect them indirectly: they could be a form of “dark matter,” like that mentioned earlier, with sufficient gravitational attraction to stop the expansion of the universe and cause it to collapse again.

就在大爆炸时，宇宙体积被认为是零，所以是无限热。但是，辐射的温度随着宇宙的膨胀而降低。大爆炸后的1秒钟，温度降低到约为100亿度，这大约是太阳中心温度的1千倍，亦即氢弹爆炸达到的温度。此刻宇宙主要包含光子、电子和中微子（极轻的粒子，它只受弱力和引力的作用）和它们的反粒子，还有一些质子和中子。随着宇宙的继续膨胀，温度继续降低，电子/反电子对在碰撞中的产生率就落到它们湮灭率之下。这样只剩下很少的电子，而大部分电子和反电子相互湮灭，产生出更多的光子。然而，中微子和反中微子并没有互相湮灭掉，因为这些粒子和它们自己以及其他粒子的作用非常微弱，所以直到今天它们应该仍然存在。如果我们能观测到它们，就会为非常热的早期宇宙阶段的图象提供一个很好的证据。可惜现今它们的能量太低了，以至于我们不能直接地观察到。然而，如果中微子不是零质量，而是如苏联在1981年进行的一次没被证实的实验所暗示的，自身具有小的质量，我们则可能间接地探测到它们。正如前面提到的那样，它们可以是“暗物质”的一种形式，具有足够的引力吸引去遏止宇宙的膨胀，并使之重新坍缩。

About one hundred seconds after the big bang, the temperature would have fallen to one thousand million degrees, the temperature inside the hottest stars. At this temperature protons and neutrons would no longer have sufficient energy to escape the attraction of the strong nuclear force, and would have started to combine together to produce the nuclei of atoms of deuterium (heavy hydrogen), which contain one proton and one neutron. The deuterium nuclei would then have combined with more protons and neutrons to make helium nuclei, which contain two protons and two neutrons, and also small amounts of a couple of heavier elements, lithium and beryllium. One can calculate that in the hot big bang model about a quarter of the protons and neutrons would have been converted into helium nuclei, along with a small amount of heavy hydrogen and other elements. The remaining neutrons would have decayed into protons, which are the nuclei of ordinary hydrogen atoms.

在大爆炸后的大约100秒，温度降到了10亿度，也即最热的恒星内部的温度。在此温度下，质子和中子不再有足够的能量逃脱强核力的吸引，所以开始结合产生氘（重氢）的原子核。氘核包含一个质子和一个中子。然后，氘核和更多的质子中子相结合形成氦核，它包含二个质子和二个中子，还产生了少量的两种更重的元素锂和铍。可以计算出，在热大爆炸模型中大约4分之1的质子和中子转变了氦核，还有少量的重氢和其他元素。所余下的中子会衰变成质子，这正是通常氢原子的核。

This picture of a hot early stage of the universe was first put forward by the scientist George Gamow in a famous paper written in 1948 with a student of his, Ralph Alpher. Gamow had quite a sense of humor – he persuaded the nuclear scientist Hans Bethe to add his name to the paper to make the list of authors “Alpher, Bethe, Gamow,” like the first three letters of the Greek alphabet, alpha, beta, gamma: particularly appropriate for a paper on the beginning of the universe! In this paper they made the remarkable prediction that radiation (in the form of photons) from the very hot early stages of the universe should still be around today, but with its temperature reduced to only a few degrees above absolute zero (–273ºC). It was this radiation that Penzias and Wilson found in 1965. At the time that Alpher, Bethe, and Gamow wrote their paper, not much was known about the nuclear reactions of protons and neutrons. Predictions made for the proportions of various elements in the early universe were therefore rather inaccurate, but these calculations have been repeated in the light of better knowledge and now agree very well with what we observe. It is, moreover, very difficult to explain in any other way why there should be so much helium in the universe. We are therefore fairly confident that we have the right picture, at least back to about one second after the big bang.

1948年，科学家乔治·伽莫夫和他的学生拉夫·阿尔法在合写的一篇著名的论文中，第一次提出了宇宙的热的早期阶段的图像。伽莫夫颇有幽默——他说服了核物理学家汉斯·贝特将他的名字加到这论文上面，使得列名作者为“阿尔法、贝特、伽莫夫”，正如希腊字母的前三个：阿尔法、贝他、伽玛，这特别适合于一篇关于宇宙开初的论文！他们在此论文中作出了一个惊人的预言：宇宙的热的早期阶段的辐射（以光子的形式）今天还应在周围存在，但是其温度已被降低到只比绝对零度（一273℃）高几度。这正是彭齐亚斯和威尔逊在1965年发现的辐射。在阿尔法、贝特和伽莫夫写此论文时，对于质子和中子的核反应了解得不多。所以对于早期宇宙不同元素比例所作的预言相当不准确，但是，在用更好的知识重新进行这些计算之后，现在已和我们的观测符合得非常好。况且，在解释宇宙为何应该有这么多氦时，用任何其他方法都是非常困难的。所以，我们相当确信，至少一直回溯到大爆炸后大约一秒钟为止，这个图像是正确无误的。

Within only a few hours of the big bang, the production of helium and other elements would have stopped. And after that, for the next million years or so, the universe would have just continued expanding, without anything much happening. Eventually, once the temperature had dropped to a few thousand degrees, and electrons and nuclei no longer had enough energy to overcome the electromagnetic attraction between them, they would have started combining to form atoms. The universe as a whole would have continued expanding and cooling, but in regions that were slightly denser than average, the expansion would have been slowed down by the extra gravitational attraction. This would eventually stop expansion in some regions and cause them to start to recollapse. As they were collapsing, the gravitational pull of matter outside these regions might start them rotating slightly. As the collapsing region got smaller, it would spin faster – just as skaters spinning on ice spin faster as they draw in their arms. Eventually, when the region got small enough, it would be spinning fast enough to balance the attraction of gravity, and in this way disklike rotating galaxies were born. Other regions, which did not happen to pick up a rotation, would become oval-shaped objects called elliptical galaxies. In these, the region would stop collapsing because individual parts of the galaxy would be orbiting stably round its center, but the galaxy would have no overall rotation.

大爆炸后的几个钟头之内，氦和其他元素的产生就停止了。之后的100万年左右，宇宙仅仅只是继续膨胀，没有发生什么事。最后，一旦温度降低到几千度，电子和核子不再有足够能量去抵抗它们之间的电磁吸引力，它们就开始结合形成原子。宇宙作为整体，继续膨胀变冷，但在一个略比平均更密集的区域，膨胀就会由于额外的引力吸引而慢下来。在一些区域膨胀会最终停止并开始坍缩。当它们坍缩时，在这些区域外的物体的引力拉力使它们开始很慢地旋转；当坍缩的区域变得更小，它会自转得更快——正如在冰上自转的滑冰者，缩回手臂时会自转得更快；最终，当这些区域变得足够小，自转的速度就足以平衡引力的吸引，碟状的旋转星系就以这种方式诞生了。另外一些区域刚好没有得到旋转，就形成了叫做椭圆星系的椭球状物体。这些区域之所以停止坍缩是因为星系的个别部分稳定地绕着它的中心旋转，但星系整体并没有旋转。

As time went on, the hydrogen and helium gas in the galaxies would break up into smaller clouds that would collapse under their own gravity. As these contracted, and the atoms within them collided with one another, the temperature of the gas would increase, until eventually it became hot enough to start nuclear fusion reactions. These would convert the hydrogen into more helium, and the heat given off would raise the pressure, and so stop the clouds from contracting any further. They would remain stable in this state for a long time as stars like our sun, burning hydrogen into helium and radiating the resulting energy as heat and light. More massive stars would need to be hotter to balance their stronger gravitational attraction, making the nuclear fusion reactions proceed so much more rapidly that they would use up their hydrogen in as little as a hundred million years. They would then contract slightly, and as they heated up further, would start to convert helium into heavier elements like carbon or oxygen. This, however, would not release much more energy, so a crisis would occur, as was described in the chapter on black holes. What happens next is not completely clear, but it seems likely that the central regions of the star would collapse to a very dense state, such as a neutron star or black hole. The outer regions of the star may sometimes get blown off in a tremendous explosion called a supernova, which would outshine all the other stars in its galaxy. Some of the heavier elements produced near the end of the star’s life would be flung back into the gas in the galaxy, and would provide some of the raw material for the next generation of stars. Our own sun contains about 2 percent of these heavier elements, because it is a second- or third-generation star, formed some five thousand million years ago out of a cloud of rotating gas containing the debris of earlier supernovas. Most of the gas in that cloud went to form the sun or got blown away, but a small amount of the heavier elements collected together to form the bodies that now orbit the sun as planets like the earth.

随着时间流逝，星系中的氢和氦气体被分割成更小的星云，它们在自身引力下坍缩。当它们收缩时，其中的原子相碰撞，气体温度升高，直到最后，热得足以开始热骤变反应。这些反应将更多的氢转变成氦，释放出的热升高了压力，因此使星云不再继续收缩。正如同我们的太阳一样，它们将氢燃烧成氦，并将得到的能量以热和光的形式辐射出来。它们会稳定地在这种状态下停留一段很长的时间。质量更大的恒星需要变得更热，以去平衡它们更强的引力，使得其核聚变反应进行得极快，以至于它们在1亿年这么短的时间里将氢用光。然后，它们会稍微收缩一点。当它们进一步变热，就开始将氦转变成像碳和氧这样更重的元素。但是，这一过程没有释放出太多的能量，所以正如在黑洞那一章　描述的，危机就会发生了。人们不完全清楚下面还会发生什么，但是看来恒星的中心区域会坍缩成一个非常紧致的状态，譬如中子星或黑洞。恒星的外部区域有时会在叫做超新星的巨大爆发中吹出来，这种爆发会使星系中的所有恒星相形之下显得黯淡无光。一些恒星接近生命终点时产生的重元素就抛回到星系里的气体中去，为下一代恒星提供一些原料。我们自己的太阳包含大约2％这样的重元素，因为它是第二代或第三代恒星，是由50亿年前从包含有更早的超新星的碎片的旋转气体云形成的。云里的大部分气体形成了太阳或者喷到外面去，但是少量的重元素集聚在一起，形成了像地球这样的、现在绕太阳公转的物体。

The earth was initially very hot and without an atmosphere. In the course of time it cooled and acquired an atmosphere from the emission of gases from the rocks. This early atmosphere was not one in which we could have survived. It contained no oxygen, but a lot of other gases that are poisonous to us, such as hydrogen sulfide (the gas that gives rotten eggs their smell). There are, however, other primitive forms of life that can flourish under such conditions. It is thought that they developed in the oceans, possibly as a result of chance combinations of atoms into large structures, called macromolecules, which were capable of assembling other atoms in the ocean into similar structures. They would thus have reproduced themselves and multiplied. In some cases there would be errors in the reproduction. Mostly these errors would have been such that the new macromolecule could not reproduce itself and eventually would have been destroyed. However, a few of the errors would have produced new macromolecules that were even better at reproducing themselves. They would have therefore had an advantage and would have tended to replace the original macromolecules. In this way a process of evolution was started that led to the development of more and more complicated, self-reproducing organisms. The first primitive forms of life consumed various materials, including hydrogen sulfide, and released oxygen. This gradually changed the atmosphere to the composition that it has today, and allowed the development of higher forms of life such as fish, reptiles, mammals, and ultimately the human race.

地球原先是非常热的，并且没有大气。在时间的长河中它冷却下来，并从岩石中溢出的气体里得到了大气。这早先的大气不能使我们存活。因为它不包含氧气，但有很多对我们有毒的气体，如硫化氢（即是使臭鸡蛋难闻的气体）。然而，存在其他在这条件下能繁衍的生命的原始形式。人们认为，它们可能是作为原子的偶然结合形成叫做宏观分子的大结构的结果而在海洋中发展，这种结构能够将海洋中的其他原子聚集成类似的结构。它们就这样地复制了自己并繁殖。在有些情况下复制有误差。这些误差多数使得新的宏观分子不能复制自己，并最终被消灭。然而，有一些误差会产生出新的宏观分子，在复制它们自己时会变得更好。所以它们具有优点，并趋向于取代原先的宏观分子。进化的过程就是用这种方式开始，它导致了越来越复杂的自复制的组织。第一种原始的生命形式消化了包括硫化氢在内的不同物质而放出氧气。这样就逐渐地将大气改变到今天这样的成份，允许诸如鱼、爬行动物、哺乳动物以及最后人类等生命的更高形式的发展。

This picture of a universe that started off very hot and cooled as it expanded is in agreement with all the observational evidence that we have today. Nevertheless, it leaves a number of important questions unanswered:

宇宙从非常热开始并随膨胀而冷却的景象，和我们今天所有的观测证据相一致。尽管如此，还有许多重要问题未被回答：

1. Why was the early universe so hot?

（1）为何早期宇宙如此之热？

2. Why is the universe so uniform on a large scale? Why does it look the same at all points of space and in all directions? In particular, why is the temperature of the microwave back-ground radiation so nearly the same when we look in different directions? It is a bit like asking a number of students an exam question. If they all give exactly the same answer, you can be pretty sure they have communicated with each other. Yet, in the model described above, there would not have been time since the big bang for light to get from one distant region to another, even though the regions were close together in the early universe. According to the theory of relativity, if light cannot get from one region to another, no other information can. So there would be no way in which different regions in the early universe could have come to have the same temperature as each other, unless for some unexplained reason they happened to start out with the same temperature.

（2）为何在大尺度上宇宙是如此一致？为何在空间的所有地方和所有方向上它显得是一样的？尤其是，当我们朝不同方向看时，为何微波辐射背景的温度是如此之相同？这有点像问许多学生一个考试题。如果所有人都刚好给出相同的回答，你就会十分肯定，他们互相之间通过话。在上述的模型中，从大爆炸开始光还没有来得及从一个很远的区域传到另一个区域，即使这两个区域在宇宙的早期靠得很近。按照相对论，如果连光都不能从一个区域走到另一个区域，则没有任何其他的信息能做到。所以，除非因为某种不能解释的原因，导致早期宇宙中不同的区域刚好从同样的温度开始，否则，没有一种方法能使它们有互相一样的温度。

3. Why did the universe start out with so nearly the critical rate of expansion that separates models that recollapse from those that go on expanding forever, that even now, ten thousand million years later, it is still expanding at nearly the critical rate? If the rate of expansion one second after the big bang had been smaller by even one part in a hundred thousand million million, the universe would have recollapsed before it ever reached its present size.

（3）为何宇宙以这样接近于区分坍缩和永远膨胀模型的临界膨胀率的速率开始，以至于即使在100亿年以后的现在，它仍然几乎以临界的速率膨胀？如果在大爆炸后的1秒钟那一时刻其膨胀率甚至只要小10亿亿分之1，那么在它达到今天这么大的尺度之前宇宙就已坍缩。

4. Despite the fact that the universe is so uniform and homogeneous on a large scale, it contains local irregularities, such as stars and galaxies. These are thought to have developed from small differences in the density of the early universe from one region to another. What was the origin of these density fluctuations?

（4）尽管在大尺度上宇宙是如此的一致和均匀，它却包含有局部的无规性，诸如恒星和星系。人们认为，这些是从早期宇宙中不同区域间的密度的很小的差别发展而来。这些密度起伏的起源是什么？

The general theory of relativity, on its own, cannot explain these features or answer these questions because of its prediction that the universe started off with infinite density at the big bang singularity. At the singularity, general relativity and all other physical laws would break down: one couldn’t predict what would come out of the singularity. As explained before, this means that one might as well cut the big bang, and any events before it, out of the theory, because they can have no effect on what we observe. Space-time would have a boundary – a beginning at the big bang.

广义相对论本身不能解释这些特征或回答这些问题，因为它预言，在大爆炸奇点宇宙是从无限密度开始的。在奇点处，广义相对论和所有其他物理定律都失效：人们不能预言从奇点会出来什么。正如以前解释的，这表明我们可以从这理论中除去大爆炸奇点和任何先于它的事件，因为它们对我们没有任何观测效应。空间一时间就会有边界——大爆炸处的开端。

Science seems to have uncovered a set of laws that, within the limits set by the uncertainty principle, tell us how the universe will develop with time, if we know its state at any one time. These laws may have originally been decreed by God, but it appears that he has since left the universe to evolve according to them and does not now intervene in it. But how did he choose the initial state or configuration of the universe? What were the “boundary conditions” at the beginning of time?

看来科学揭露了一组定律，在不确定性原理极限内，如果我们知道宇宙在任一时刻的状态，这些定律就会告诉我们，它如何随时间发展。这些定律也许原先是由上帝颁布的，但是看来从那以后他就让宇宙按照这些定律去演化，而不再对它干涉。但是，它是如何选择宇宙的初始状态和结构的？在时间的开端处“边界条件”是什么？

One possible answer is to say that God chose the initial configuration of the universe for reasons that we cannot hope to understand. This would certainly have been within the power of an omnipotent being, but if he had started it off in such an incomprehensible way, why did he choose to let it evolve according to laws that we could understand? The whole history of science has been the gradual realization that events do not happen in an arbitrary manner, but that they reflect a certain underlying order, which may or may not be divinely inspired. It would be only natural to suppose that this order should apply not only to the laws, but also to the conditions at the boundary of space-time that specify the initial state of the universe. There may be a large number of models of the universe with different initial conditions that all obey the laws. There ought to be some principle that picks out one initial state, and hence one model, to represent our universe.

一种可能的回答是，上帝选择宇宙的这种初始结构是因为某些我们无望理解的原因。这肯定是在一个全能造物主的力量之内。但是如果他使宇宙以这种不可理解的方式开始，何以他又选择让它按照我们可理解的定律去演化？整部科学史是对事件不是以任意方式发生，而是反映了一定的内在秩序的逐步的意识。这秩序可以是、也可以不是由神灵主宰的。只有假定这种秩序不但应用于定律，而且应用于在时空边界处所给定的宇宙初始条件才是自然的。可以有大量具有不同初始条件的宇宙模型，它们都服从定律。应该存在某种原则去抽取一个初始状态，也就是一个模型去代表我们的宇宙。

One such possibility is what are called chaotic boundary conditions. These implicitly assume either that the universe is spatially infinite or that there are infinitely many universes. Under chaotic boundary conditions, the probability of finding any particular region of space in any given configuration just after the big bang is the same, in some sense, as the probability of finding it in any other configuration: the initial state of the universe is chosen purely randomly. This would mean that the early universe would have probably been very chaotic and irregular because there are many more chaotic and disordered configurations for the universe than there are smooth and ordered ones. (If each configuration is equally probable, it is likely that the universe started out in a chaotic and disordered state, simply because there are so many more of them.) It is difficult to see how such chaotic initial conditions could have given rise to a universe that is so smooth and regular on a large scale as ours is today. One would also have expected the density fluctuations in such a model to have led to the formation of many more primordial black holes than the upper limit that has been set by observations of the gamma ray background.

所谓的紊乱边界条件即是这样的一种可能性。这里含蓄地假定，或者宇宙是空间无限的，或者存在无限多宇宙。在紊乱边界条件下，在刚刚大爆炸之后，寻求任何空间的区域在任意给定的结构的概率，在某种意义上，和它在任何其他的结构的概率是一样的：宇宙初始态的选择纯粹是随机的。这意味着，早期宇宙可能是非常紊乱和无规则的。因为与光滑和有序的宇宙相比，存在着更多得多的紊乱和无序的宇宙。（如果每一结构都是等几率的，多半宇宙是从紊乱无序态开始，就是因为这种态多得这么多。）很难理解，从这样紊乱的初始条件，如何导致今天我们这个在大尺度上如此光滑和规则的宇宙。人们还预料，在这样的模型中，密度起伏导致了比由伽玛射线背景所限定的多得多的太初黑洞的形成。

If the universe is indeed spatially infinite, or if there are infinitely many universes, there would probably be some large regions somewhere that started out in a smooth and uniform manner. It is a bit like the well-known horde of monkeys hammering away on typewriters – most of what they write will be garbage, but very occasionally by pure chance they will type out one of Shakespeare’s sonnets. Similarly, in the case of the universe, could it be that we are living in a region that just happens by chance to be smooth and uniform? At first sight this might seem very improbable, because such smooth regions would be heavily outnumbered by chaotic and irregular regions. However, suppose that only in the smooth regions were galaxies and stars formed and were conditions right for the development of complicated self-replicating organisms like ourselves who were capable of asking the question: why is the universe so smooth.? This is an example of the application of what is known as the anthropic principle, which can be paraphrased as “We see the universe the way it is because we exist.”

如果宇宙确实是空间无限的，或者如果存在无限多宇宙，则就会存在某些从光滑和一致的形态开始演化的大的区域。这有一点像著名的一大群猴子敲打打字机的故事——它们大部分所写的都是废话。但是纯粹由于偶然，它们可能碰巧打出莎士比亚的一首短诗。类似地，在宇宙的情形，是否我们可能刚好生活在一个光滑和一致的区域里呢？初看起来，这是非常不可能的，因为这样光滑的区域比紊乱的无序的区域少得多得多。然而，假定只有在光滑的区域里星系、恒星才能形成，才能有合适的条件，让像我们这样复杂的、有能力质疑为什么宇宙是如此光滑的问题、能自然复制的组织得以存在。这就是被称为人择原理的一个应用的例子。人择原理可以释义作：“我们看到的宇宙之所以这个样子，乃是因为我们的存在。”

There are two versions of the anthropic principle, the weak and the strong. The weak anthropic principle states that in a universe that is large or infinite in space and/or time, the conditions necessary for the development of intelligent life will be met only in certain regions that are limited in space and time. The intelligent beings in these regions should therefore not be surprised if they observe that their locality in the universe satisfies the conditions that are necessary for their existence. It is a bit like a rich person living in a wealthy neighborhood not seeing any poverty. .

人择原理有弱的和强的意义下的两种版本。弱人择原理是讲，在一个大的或具有无限空间和／或时间的宇宙里，只有在空间一时间有限的一定区域里，才存在智慧生命发展的必要条件。在这些区域中，如果智慧生物观察到他们在宇宙的位置满足那些为他们生存所需的条件，他们不应感到惊讶。这有点像生活在富裕街坊的富人看不到任何贫穷。

One example of the use of the weak anthropic principle is to “explain” why the big bang occurred about ten thousand million years ago – it takes about that long for intelligent beings to evolve. As explained above, an early generation of stars first had to form. These stars converted some of the original hydrogen and helium into elements like carbon and oxygen, out of which we are made. The stars then exploded as supernovas, and their debris went to form other stars and planets, among them those of our Solar System, which is about five thousand million years old. The first one or two thousand million years of the earth’s existence were too hot for the development of anything complicated. The remaining three thousand million years or so have been taken up by the slow process of biological evolution, which has led from the simplest organisms to beings who are capable of measuring time back to the big bang

应用弱人择原理的一个例子是“解释”为何大爆炸发生于大约100亿年之前——智慧生物需要那么长时间演化。正如前面所解释的，一个早代的恒星首先必须形成。这些恒星将一些原先的氢和氦转化成像碳和氧这样的元素，由这些元素构成我们。然后恒星作为超新星而爆发，其裂片形成其他恒星和行星，其中就包括我们的太阳系，太阳系年龄大约是50亿年。地球存在的头10亿或20亿年，对于任何复杂东西的发展都嫌太热。余下的30亿年左右才用于生物进化的漫长过程，这个过程导致从最简单的组织到能够测量回溯到大爆炸那一瞬间的生物的形成。

Few people would quarrel with the validity or utility of the weak anthropic principle. Some, however, go much further and propose a strong version of the principle. According to this theory, there are either many different universes or many different regions of a single universe, each with its own initial configuration and, perhaps, with its own set of laws of science. In most of these universes the conditions would not be right for the development of complicated organisms; only in the few universes that are like ours would intelligent beings develop and ask the question, “Why is the universe the way we see it?” The answer is then simple: if it had been different, we would not be here!

很少人会对弱人择原理的有效性提出异议。然而，有的人走得更远并提出强人择原理。按照这个理论，存在许多不同的宇宙或者一个单独宇宙的许多不同的区域，每一个都有自己初始的结构，或许还有自己的一套科学定律。在这些大部分宇宙中，不具备复杂组织发展的条件；只有很少像我们的宇宙，在那里智慧生命得以发展并质疑：“为何宇宙是我们看到的这种样子？”这回答很简单：如果它不是这个样子，我们就不会在这儿！

The laws of science, as we know them at present, contain many fundamental numbers, like the size of the electric charge of the electron and the ratio of the masses of the proton and the electron. We cannot, at the moment at least, predict the values of these numbers from theory – we have to find them by observation. It may be that one day we shall discover a complete unified theory that predicts them all, but it is also possible that some or all of them vary from universe to universe or within a single universe. The remarkable fact is that the values of these numbers seem to have been very finely adjusted to make possible the development of life. For example, if the electric charge of the electron had been only slightly different, stars either would have been unable to burn hydrogen and helium, or else they would not have exploded. Of course, there might be other forms of intelligent life, not dreamed of even by writers of science fiction, that did not require the light of a star like the sun or the heavier chemical elements that are made in stars and are flung back into space when the stars explode. Nevertheless, it seems clear that there are relatively few ranges of values for the numbers that would allow the development of any form of intelligent life. Most sets of values would give rise to universes that, although they might be very beautiful, would contain no one able to wonder at that beauty. One can take this either as evidence of a divine purpose in Creation and the choice of the laws of science or as support for the strong anthropic principle.

我们现在知道，科学定律包含许多基本的数，如电子电荷的大小以及质子和电子的质量比。至少现在，我们不能从理论上预言这些数值——我们必须由观察找到它们。也许有一天，我们会发现一个将它们所有都预言出来的一个完整的统一理论，但是还可能它们之中的一些或全部，在不同的宇宙或在一个宇宙之中是变化的。令人吃惊的事实是，这些数值看来是被非常细致地调整到使得生命的发展成为可能。例如，如果电子的电荷只要稍微有点不同，则要么恒星不能够燃烧氢和氦，要么它们没有爆炸过。当然，也许存在其他形式的、甚至还没被科学幻想作家梦想过的智慧生命。它并不需要像太阳这样恒星的光，或在恒星中制造出并在它爆炸时被抛到空间去的更重的化学元素。尽管如此，看来很清楚，允许任何智慧生命形式的发展的数值范围是比较小的。对于大部份数值的集合，宇宙也会产生，虽然它们可以是非常美的，但不包含任何一个能为如此美丽而惊讶的人。人们既可以认为这是在创生和科学定律选择中的神意的证据，也可以认为是对强人择原理的支持。

There are a number of objections that one can raise to the strong anthropic principle as an explanation of the observed state of the universe. First, in what sense can all these different universes be said to exist? If they are really separate from each other, what happens in another universe can have no observable consequences in our own universe. We should therefore use the principle of economy and cut them out of the theory. If, on the other hand, they are just different regions of a single universe, the laws of science would have to be the same in each region, because otherwise one could not move continuously from one region to another. In this case the only difference between the regions would be their initial configurations and so the strong anthropic principle would reduce to the weak one.

人们可以提出一系列理由，来反对强人择原理对宇宙的所观察到的状态的解释。首先，在何种意义上可以说，所有这些不同的宇宙存在？如果它们确实互相隔开，在其他宇宙发生的东西，怎么可以在我们自己的宇宙中没有可观测的后果？所以，我们应该用经济学原理，将它们从理论中割除去。另一方面，它们若仅仅是一个单独宇宙的不同区域，则在每个区域里的科学定律必须是一样的，因为否则人们不能从一个区域连续地运动到另一区域。在这种情况下，不同区域之间的仅有的不同只是它们的初始结构。这样，强人择原理即归结为弱人择原理。

A second objection to the strong anthropic principle is that it runs against the tide of the whole history of science. We have developed from the geocentric cosmologies of Ptolemy and his forebears, through the heliocentric cosmology of Copernicus and Galileo, to the modern picture in which the earth is a medium-sized planet orbiting around an average star in the outer suburbs of an ordinary spiral galaxy, which is itself only one of about a million million galaxies in the observable universe. Yet the strong anthropic principle would claim that this whole vast construction exists simply for our sake. This is very hard to believe. Our Solar System is certainly a prerequisite for our existence, hand one might extend this to the whole of our galaxy to allow for an earlier generation of stars that created the heavier elements. But there does not seem to be any need for all those other galaxies, nor for the universe to be so uniform and similar in every direction on the large scale.

对强人择原理的第二个异议是，它和整个科学史的潮流背道而驰。我们是从托勒密和他的支持者的地心宇宙论发展而来，通过哥白尼和伽利略日心宇宙论，直到现代的图象，其中地球是一个中等大小的行星，它绕着一个寻常的螺旋星系外圈的普通恒星作公转，而这星系本身只是在可观察到的宇宙中万亿个星系中的一个。然而强人择原理却宣布，这整个庞大的构造仅仅是为我们的缘故而存在，这是非常难以令人置信的。我们太阳系肯定是我们存在的前提，人们可以将之推广于我们的星系，使之允许早代的恒星产生重元素。但是，丝毫看不出存在任何其他星系的必要，在大尺度上也不需要宇宙在每一方向上必须如此一致和类似。

One would feel happier about the anthropic principle, at least in its weak version, if one could show that quite a number of different initial configurations for the universe would have evolved to produce a universe like the one we observe. If this is the case, a universe that developed from some sort of random initial conditions should contain a number of regions that are smooth and uniform and are suitable for the evolution of intelligent life. On the other hand, if the initial state of the universe had to be chosen extremely carefully to lead to something like what we see around us, the universe would be unlikely to contain any region in which life would appear. In the hot big bang model described above, there was not enough time in the early universe for heat to have flowed from one region to another. This means that the initial state of the universe would have to have had exactly the same temperature everywhere in order to account for the fact that the microwave back-ground has the same temperature in every direction we look. The initial rate of expansion also would have had to be chosen very precisely for the rate of expansion still to be so close to the critical rate needed to avoid recollapse. This means that the initial state of the universe must have been very carefully chosen indeed if the hot big bang model was correct right back to the beginning of time. It would be very difficult to explain why the universe should have begun in just this way, except as the act of a God who intended to create beings like us.

如果人们能够表明，相当多的宇宙的不同初始结构会演化产生像我们今天看到的宇宙，至少在弱的形式上，人们会对人择原理感到更满意。如果这样，则一个从某些随机的初始条件发展而来的宇宙，应当包含许多光滑的、一致的并适合智慧生命演化的区域。另一方面，如果宇宙的初始条件必须极端仔细地选择，才能导致在我们周围所看到的一切，宇宙就不太可能包含任何会出现生命的区域。在上述的热大爆炸模型中，没有足够的方向使热从一个区域流到另一区域。这意味着宇宙的初始态在每一处必须刚好有同样的温度，才能说明我们在每一方向上看到的微波背景辐射都有同样温度，其初始的膨胀率也要非常精确地选择，才能使得现在的膨胀率仍然是如此接近于需要用以避免坍缩的临界速率。这表明，如果直到时间的开端热大爆炸模型都是正确的，则必须非常仔细地选择宇宙的初始态。所以，除非作为上帝有意创造像我们这样生命的行为，否则要解释为何宇宙只用这种方式起始是非常困难的。

In an attempt to find a model of the universe in which many different initial configurations could have evolved to something like the present universe, a scientist at the Massachusetts Institute of Technology, Alan Guth, suggested that the early universe might have gone through a period of very rapid expansion. This expansion is said to be “inflationary,” meaning that the universe at one time expanded at an increasing rate rather than the decreasing rate that it does today. According to Guth, the radius of the universe increased by a million million million million million (1 with thirty zeros after it) times in only a tiny fraction of a second.

因发文规范篇幅所限，本文分两部分，第二部分请见：

《时间简史08｜宇宙的起源和命运2（中英文）》

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