John Collier

Daniel R. Brooks and E. O. Wiley have proposed a theory of evolution in which fitness is merely a rate determining factor. Evolution is driven by non-equilibrium processes which increase the entropy and information content of species together. Evolution can occur without environmental selection, since increased complexity and organization result from the likely capture at the species level of random variations produced at the chemical level. Speciation can occur as the result of variation within the species which decreases the probability of sharing genetic information. Critics of the Brooks-Wiley theory argue that they have abused terminology from information theory and t thermodynamics. In this paper I review the essentials of the theory, and give an account of hierarchical physical information systems within which the theory can be interpreted. I then show how the major conceptual objections can be answered.

Supervenience is a relationship which has been used recently to explain the physical determination of biological phenomena despite resistance to reduction. Supervenience, however, is plagued by ambiguities which weaken its explanatory value and obscure some interesting aspects of reduction in biology. Although I suspect that similar considerations affect the use of supervenience in ethics and the philosophy of mind, I don’t intend anything I have to say here to apply outside of the physical and biological cases I consider.The main point of this paper is that there is a property of biological systems which makes it both misleading and inappropriate to reduce central biological phenomena to the properties of underlying components. Despite this, reductive explanation has been a major source of innovation in biological theory. The apparent tension can be resolved if underlying properties are explanatorily relevant to the higher level phenomena even though the latter are not strictly reducible to the former. Supervenience, I will argue, is not robust enough to deny reduction while supporting explanatory relevance.

Rhythmic entrainment is the formation of regular, predictable patterns in time and/or space through interactions within or between systems that manifest potential symmetries. We contend that this process is a major source of symmetries in specific systems, whether passive physical systems or active adaptive and/or voluntary/intentional systems, except that active systems have more control over accepting or avoiding rhythmic entrainment. The result of rhythmic entrainment is a simplification of the entrained system, in the sense that the information required to describe it is reduced. Entrainment can be communicated, passing information from one system to another. The paradigm is a group of jazz percussionists agreeing on a complex musical progression. The process of rhythmic entrainment is complementary to that of symmetry breaking, which produces information. The two processes account for much, if not all, of the complexity and organization in the universe. Rhythmic entrainment can be more or less spontaneous, with the completely spontaneous form being uncontrollable. A balance between the two forms can produce a more robust system, requiring less energy to maintain, whether in physical, biological or social systems. We outline some applications in physics, chemistry, biology, measurement and communication, ending with the especially interesting case of social and economic order. First though, we must introduce some basic principles.

The subject of this chapter is the identity of individual dynamical objects and properties. Two problems have dominated the literature: transtemporal identity and the relation between composition and identity. Most traditional approaches to identity rely on some version of classification via essential or typical properties, whether nominal or real. Nominal properties have the disadvantage of producing unnatural classifications, and have several other problems. Real properties, however, are often inaccessible or hard to define (strict definition would make them nominal). I suggest that classification should be in terms of dynamical properties of systems, starting with individual systems rather than classes, and working up by abstractions that fit causal generalities. The advantage of this approach is that individuality is testable and revisable as we come to know more about systems. Another advantage is that if anything is real, then it is the dynamical. Once I have presented this approach in general, I will show that the central concept of dynamical cohesion (the "dividing glue") is amenable to giving a principled account of individuation as a process, at the same time explaining the origin of diversity. Some other advantages of this approach are presented, including how it can be used as a basis for testable classifications. This last has moral implications, since cohesion at the individual and the social levels, and their interactions, can impinge on proper moral decisions.

We find symmetry attractive. It interests us. Symmetry is often an indicator of the deep structure of things, whether they be natural phenomena, or the creations of artists. For example, the most fundamental conservation laws of physics are all based in symmetry. Similarly, the symmetries found in religious art throughout the world are intended to draw attention to deep spiritual truths. Not only do we find symmetry pleasing, but its discovery is often also surprising and illuminating as well. For these reasons, we are inclined to think that symmetries are informative, and that symmetries contain information. On the other hand, symmetries represent a kind of invariance under transformation. Such invariance implies that symmetrical things contain redundancies. Redundancy, in turn, implies that the information content of a symmetrical structure or configuration is less than that of a similar nonsymmetrical structure. Symmetry, then, entails a reduction in information content. These considerations present us with somewhat of a paradox: On the one hand, many symmetries that we find in the world are surprising, and surprise indicates informativeness. On the other hand, the surprise value of information arises because it presents us with the unexpected or improbable, but symmetries, far from creating the unexpected, ensure that the known can be extended through invariant transformations. How can this paradox be resolved?

Since the origins of the notion of emergence in attempts to recover the content of vitalistic anti-reductionism without its questionable metaphysics, emergence has been treated in terms of logical properties. This approach was doomed to failure, because logical properties are either sui generis or they are constructions from other logical properties. If the former, they do not explain on their own and are inevitably somewhat arbitrary (the problem with the related concept of supervenience, Collier, 1988a), but if the latter, reducibility is assured because logical constructs are reducible, by definition, to their logical components. A satisfactory account of emergence must recognise that it is a dynamical, not a logical property of property of natural systems, and that its basis is dynamical rather than logical composition. Collier (1988a) introduced the concept of cohesion as the closure of the causal relations among the dynamical parts of a dynamical particular that determine its resistance to external and internal fluctuations that might disrupt its integrity. Cohesion is an equivalence relation that partitions a set of dynamical particulars into unified and distinct entities, providing the identity conditions for such particulars. Cohesion blocks reduction of dynamical particulars, and is necessary for dynamical emergence. We will give reasons for thinking that cohesion might be sufficient for emergence as well.

Both natural and engineered systems are fundamentally dynamical in nature: their defining properties are causal, and their functional capacities are causally grounded. Among dynamical systems, an interesting and important sub-class are those that are autonomous, anticipative and adaptive (AAA). Living systems, intelligent systems, sophisticated robots and social systems belong to this class, and the use of these terms has recently spread rapidly through the scientific literature. Central to understanding these dynamical systems is their complicated organisation and their consequent capacities for re- and self- organisation. But there is at present no general analysis of these capacities or of the requisite organisation involved. We define what distinguishes AAA systems from other kinds of systems by characterising their central properties in a dynamically interpreted information theory.

Complex systems are dynamic and may show high levels of variability in both space and time. It is often difficult to decide on what constitutes a given complex system, i.e., where system boundaries should be set, and what amounts to substantial change within the system. We discuss two central themes: the nature of system definitions and their ability to cope with change, and the importance of system definitions for the mental metamodels that we use to describe and order ideas about system change. Systems can only be considered as single study units if they retain their identity. Previous system definitions have largely ignored the need for both spatial and temporal continuity as essential attributes of identity. After considering the philosophical issues surrounding identity and system definitions, we examine their application to modeling studies. We outline a set of five alternative metamodels that capture a range of the basic dynamics of complex systems. Although Holling’s adaptive cycle is a compelling and widely applicable metamodel that fits many complex systems, there are systems that do not necessarily follow the adaptive cycle. We propose that more careful consideration of system definitions and alternative metamodels for complex systems will lead to greater conceptual clarity in the field and, ultimately, to more rigorous research.

We argue that living systems process information such that functionality emerges in them on a continuous basis. We then provide a framework that can explain and model the normativity of biological functionality. In addition we offer an explanation of the anticipatory nature of functionality within our overall approach. We adopt a Peircean approach to Biosemiotics, and a dynamical approach to Digital-Analog relations and to the interplay between different levels of functionality in autonomous systems, taking an integrative approach. We then apply the underlying biosemiotic logic to a particular biological system, giving a model of the B-Cell Receptor signaling system, in order to demonstrate how biosemiotic concepts can be used to build an account of biological information and functionality. Next we show how this framework can be used to explain and model more complex aspects of biological normativity, for example, how cross-talk between different signaling pathways can be avoided. Overall, we describe an integrated theoretical framework for the emergence of normative functions and, consequently, for the way information is transduced across several interconnected organizational levels in an autonomous system, and we demonstrate how this can be applied in real biological phenomena. Our aim is to open the way towards realistic tools for the modeling of information and normativity in autonomous biological agents.

Speculation about the evolutionary origins of morality has yet to show how a biologically based capacity for morality might be connected to moral reasoning. Applying an evolutionary approach to three kinds of cases where partiality may or may not be morally reasonable, this paper explores a possible connection between a psychological capacity for morality and processes of wide reflective moral equilibrium. The central hypothesis is that while we might expect a capacity for morality to include aspects of partiality, we might also expect these same aspects of the capacity to produce systemic forms of performance-based error. Understanding these errors helps point the way toward a theory of moral competence that includes aspects of both partiality and impartiality.

Evolutionary moral realism is the view that there are moral values with roots in evolution that are both specifically moral and exist independently of human belief systems. In beginning to sketch the outlines of such a view, we examine moral goods like fairness and empathetic caring as valuable and real aspects of the environments of species that are intelligent and social, or at least developing along an evolutionary trajectory that could lead to a level of intelligence that would enable individual members of the species to recognize and respond to such things as the moral goods they in fact are. We suggest that what is most morally interesting and important from a biological perspective is the existence and development of such trajectories, rather than the position of one particular species, such as our own, on one particular trajectory.

We find symmetry attractive. It is often an indicator of the deep structure of things, whether they be natural phenomena, or artificial. For example, the most fundamental conservation laws of physics are all based in symmetry. Similarly, the symmetries found in religious art throughout the world are intended to draw attention to deep spiritual truths. Not only do we find symmetry pleasing, but its discovery is often also surprising and illuminating as well. For these reasons, we are inclined to think that symmetries are informative. On the other hand, symmetries represent a kind of invariance under transformation, i.e., redundancies. Redundancy, in turn, implies that the information content of a symmetrical structure or configuration is less than that of a similar nonsymmetrical structure. Symmetry, then, entails a reduction in information content. These considerations present us with somewhat of a paradox. On the one hand, many symmetries that we find in the world are surprising, and surprise indicates informativeness. On the other hand, the surprise value of information arises because it presents us with the unexpected or improbable, but symmetries, far from creating the unexpected, ensure that the known can be extended through invariant transformations. How can this paradox be resolved? Rhythmic entrainment is the formation of regular, predictable patterns in time and/or space through interactions within or between systems (resulting in symmetry). The result of entrainment is a simplification of the entrained system. It is the complement to symmetry breaking. Entrainment can be either forced or spontaneous, with the spontaneous form being uncontrollable. It results from processes that are called self-organising. Interestingly, spontaneous entrainment require much less power to form and maintain. It is also the source of levels in systems. I finish with some observations for social systems.

Biological systems are typically hierarchically organized, open, nonlinear systems, and inherit all of the characteristics of such systems that are found in the purely physical and chemical domains, to which all biological systems belong. In addition, biological systems exhibit functional properties, and they contain information in a form that is used internally to make required functional distinctions. The existence of these additional biological properties is widely granted, but their exact nature is controversial. I will address first the issue of biological function, and then turn to the issue of information in biosystems.

Developments in science in the last few decades have led to doubts about the validity of the mechanical paradigm that has dominated science since the Scientific Revolution. The new views, coming from recently founded disciplines like non-equilibrium thermodynamics, chaos theory and the theory of dynamical systems, are rooted in physics. Nonetheless, much of their motivation comes from fields as diverse as weather prediction, ecology, economics, the study of traffic flow, and the growth of cities. Although Quantum Mechanics also led to doubts about the validity of the mechanical paradigm, the new views reveal problems within classical physics itself. The implications of these developments for our understanding of space have been largely unexamined. But the close connection between the Newtonian view of space and the mechanical paradigm means that the demise of the mechanical paradigm will require a re-evaluation of our understanding of physical space.

A major goal of science is to discover laws that underlie all regular phenomena. This goal is best satisfied by eternal principles that leave fundamental properties unchanged and unchangeable. Science has been forced to accept that some processes, especially biological processes, are inherently time oriented. It can either forgo the ideal of universal principles, and account for temporality through specific boundary conditions, or else incorporate the sources of change directly into fundamental principles that are the same for all times and places, and for all temporal scales. In the past, unifying principles adequate for biology have caused trouble for physics, and vice versa. Recent work at the intersection of non-equilibrium statistical mechanics and information theory suggests that physics and biology can finally be reconciled.

It is generally agreed that organisms are Complex Adaptive Systems. Since the rise of Cybernetics in the middle of the last century ideas from information theory and control theory have been applied to the adaptations of biological organisms in order to explain how they work. This does not, however, explain functionality, which is widely but not universally attributed to biological systems. There are two approaches to functionality, one based on etiology (what a trait was selected for), and the other based in autonomy. I argue that the etiological approach, as understood in terms of control theory, suffers from a problem of symmetry, by which function can equally well be placed in the environment as in the organism. Focusing on the autonomy view, I note that it can be understood to some degree in terms of control theory in its version called second order cybernetics. I present an approach to second order cybernetics that seems plausible for organisms with limited computational power, due to Hooker, Penfold and Evans. They hold that this approach gives something like concepts, certainly abstractions from specific situations, a trait required for functionality in its system adaptive form (i.e., control of the system by itself). Using this cue, I argue that biosemiotics provides the methodology to incorporate these quasi concepts into an account of functionality.

Anticipation allows a system to adapt to conditions that have not yet come to be, either externally to the system or internally. Autonomous systems actively control the conditions of their own existence so as to increase their overall viability. This paper will first give minimal necessary and sufficient conditions for autonomous anticipation, followed by a taxonomy of autonomous anticipation. In more complex systems, there can be semi-autonomous subsystems that can anticipate and adapt on their own. Such subsystems can be integrated into a system’s overall autonomy, typically with greater efficiency due to modularity and specialization of function. However, it is also possible that semi-autonomous subsystems can act against the viability of the overall system, and have their own functions that conflict with overall system functions.

Integrating concepts of maintenance and of origins is essential to explaining biological diversity. The unified theory of evolution attempts to find a common theme linking production rules inherent in biological systems, explaining the origin of biological order as a manifestation of the flow of energy and the flow of information on various spatial and temporal scales, with the recognition that natural selection is an evolutionarily relevant process. Biological systems persist in space and time by transfor ming energy from one state to another in a manner that generates structures which allows the system to continue to persist. Two classes of energetic transformations allow this; heat-generating transformations, resulting in a net loss of energy from the system, and conservative transformations, changing unusable energy into states that can be stored and used subsequently. All conservative transformations in biological systems are coupled with heat-generating transformations; hence, inherent biological production, or genealogical proesses, is positively entropic. There is a self-organizing phenomenology common to genealogical phenomena, which imparts an arrow of time to biological systems. Natural selection, which by itself is time-reversible, contributes to the organization of the self-organized genealogical trajectories. The interplay of genealogical (diversity-promoting) and selective (diversity-limiting) processes produces biological order to which the primary contribution is genealogical history. Dynamic changes occuring on times scales shorter than speciation rates are microevolutionary; those occuring on time scales longer than speciation rates are macroevolutionary. Macroevolutionary processes are neither redicible to, nor autonomous from, microevolutionary processes.