| Sabelli
HC and Carlson-Sabelli L.
Process Theory:
Energy, Information and Structure in the Phase Space of Opposites.
Proc of the Internat Soc for the Systems Science, 1992.
PROCESS
THEORY: ENERGY, INFORMATION AND STRUCTURE
IN THE
PHASE SPACE OF OPPOSITES
Hector Sabelli and Linnea Carlson-Sabelli
Rush University, Chicago, IL, USA
Abstract
This article operationalizes process theory (PT) through the
phase space of mathematical dynamics.
This provides a model for the relation between energy
information and matter in physical processes, and a practical
method to study systems. Linking
with catastrophe theory (Thom), PT postulates that the difference
between interacting opposites functions as an asymmetric control
parameter in the creation of structures, as it provides information
regarding outcome. Interacting opposites contribute synergically to the
total energy of the system, which functions as a bifurcating factor.
At the physical level, PT views the conversion of energy into
matter as the formation of structure in far-from-equilibrium processes,
when the intensity of opposing forces is equal and extremely high, and
the rate of communication achieves its maximum c2.
Methodologically, the phase space of opposites serves to study creative
processes at all levels of organization. The model also suggests a
strategy to promote creativity through the increase in energy flow
density and informational symmetry.
Key words:
Asymmetry, catastrophe, chaos, co-creation, energy, information,
trifurcation.
Here
we present a process theory (PT) of physical and psychological systems,
according to which the creation of structures -- matter itself, and its
organization in biological, social and psychological systems -- is
governed by the opposing information and the synergic energy provided by
the interacting and opposing forces. The article first presents the
theoretical model; those readers willing to wade through it may find it
provides a practical method to consider and evaluate alternative
hypotheses in their own field. Companion articles at this meeting illustrate the application
of PT to psychological, social, artistic and spiritual issues [3, 5, 6,
28, 35].
The model
E = M x I
In simple terms, the interaction between two or more opposite
flows of energy (E) creates structures of matter (M).
Catastrophes [39] are taken as the simplest case for the
formation of a tridimensional organization.
It is thus proposed that the formation of more complex structures
is governed by control parameters similar to those that govern
catastrophes. At low
intensities, opposites neutralize each other; at high intensities, their
interaction is non-linear, creating a structure in the third dimension.
PT thus postulates that a positive function of both opposites functions
as a bifurcating control variable in the process of structure formation,
with a role homologous to that of the bifurcating factor in Thom's
catastrophes; that is to say, linear changes at low intensities, and
non-linear changes (formation of a tridimensional structure) at high
intensities. The difference of opposites provides information (I)
regarding the direction of change, and predicting outcome; when both
opposites are of similar intensity, the outcome is uncertain. I
functions in a manner homologous to the asymmetric variable in
catastrophe theory; that is to say: linear changes around the extremes
of asymmetry between opposites, and non-linear creation of
tridimensional structure when opposites are symmetric (zero
information). We thus postulate that the bifurcating factor b is a
function of the energy of the system:
b = E(x) = f [P(x) and no-P (x)]
and that the asymmetric factor is a function of the
information or difference between the opposites:
a = I(x) = g [P(x) - no-P(x)]
Complex patterns and structures organize when opposing forces are
equal and intense. The interaction of opposites gives form to processes
(attractors), changes their form (bifurcations, of which catastrophes
are the simplest case), and forms dissipative structures. We speculate
that the formation of matter itself represents a similar organization of
a dissipative structure in high intensity energy processes. When E is
high, and I = c2, energy can become matter.
Structure formation is a function of the intensity of energy and
the rate of two way communication:
E = M x I,
which becomes Einstein's equation as m represents the mass
of matter, and c2 represents the maximum amount of
information that can be exchanged in a process, representing a two-way
communication.
Brief historical introduction
Previous publications present the scientific, mathematical and
philosophical foundations of PT [24, 25, 26, 29, 30]. In brief, PT
interprets mathematical dynamics in terms of process philosophy, and
embodies process philosophy in the mathematics of processes.
Pythagoras first discovered that simple numbers may represent
universal forms that order processes at all levels of integration.
Following Heraclitus process philosophy, the Italian physician
Empedocles [14] postulated that these basic forms are one
energy (which he called fire), two
opposites (attraction and repulsion at the material level; love and
conflict at the human level), which organize matter into three
types of structures -- solid, conserving structure and volume; liquid,
conserving volume but changing form; and gaseous, constantly expanding.
The organization of energy into structures
via the interaction of opposites makes up the evolution of the universe
and of the species [14]. The idea that numbers order natural processes
is implicit in all science, and led to the creation of the first
dynamics (calculus) by Newton and Leibnitz. In our century, it has been
expanded by Gödel [16] in his demonstration that no logic simpler than
arithmetics can account for arithmetics itself. This suggests to us that
quantity, order, and the qualities associated with numbers (such as
oneness, opposition, etc), are universal forms of natural and logical
processes. Thom's catastrophe theory [39] is a conscious attempt to
formulate these cosmic forms (which he calls logoi to honor Heraclitus)
in mathematical terms. The various forms of attractors described by
mathematical dynamics are also logoi. According to PT, the basic logoi
are asymmetry, opposition, co-creation.
Cosmic asymmetry
Hypothesis 1: Everything is asymmetric in time, quality, and space,
and hence everything changes, and is a source of change. Symbolically:
(i) for
all x, xt < xt+i (temporal
asymmetry)
(ii) xi,t
< xj,t and xi,t > xj,t
if and only if i = j and t=t' (dynamic antisymmetry)
(iii) if
x < y and y < z, then x < z (transitivity).
Nothing is symmetric, nor it remains identical to itself. An entity
x is identical to itself only when examined from the one perspective (i=j)
and at one instant of time (t=t'). Time is a universal asymmetry. The
universe has the properties of a partially ordered set (lattice theory).
The simplest process is action (energy x time), as illustrated by the
dimensions of the Planck constant.
Based on the asymmetry of biomolecules, Pasteur proposed the
existence of a fundamental asymmetry in all forms of matter [18]. Current
research has confirmed his hypothesis at all levels of integration [12,
24]: the non-conservation of parity in beta decay; the optical rotation of
atoms; non-equilibrium in thermodynamics; the asymmetric preponderance of
matter over anti-matter; the time-asymmetric collapse of the wave function
in quantum mechanics; the asymmetry of crystals; the violation of gauge
symmetry by superfluids; the lack of time symmetry in magnets; ionic
asymmetry across plasma membranes; anatomical asymmetries, such cerebral
lateralization; social asymmetries of class, sex, race, nationality; and
the obvious asymmetry of time and of causation.
Pasteur's cosmic asymmetry may represent the fundamental order that
Einstein postulated to exist, underlying the probabilistic structure of
statistical and quantum mechanics. This fundamental determinism, however,
does not exclude creativity and uncertainty, as complex deterministic
systems can create chaos. Quantum
phenomena may be deterministic chaos. We propose that unidimensional
asymmetry is the fundamental form of energy, as reflected by time and
cause. The asymmetry of energy becomes embodied in the information it
carries, and the structures it forms. Information, implies a difference
between opposites. In this sense, the asymmetry is truly cosmic (which
means ordering as well as universal), as it may explain the evolution from
simple to complex. Asymmetry is the dynamic oneness of the universe, the
shared asymmetry of all processes reflected by the universal asymmetries
of time and energy. Asymmetry is a
union of unequal opposites, the coexistence of two different, opposite
poles in a unity.
Union of opposites
Hypothesis
2: Opposition is universal. For
all x, there is a P(xi,t) if and only if there is a xj,t'
such that no-P(xj,t'); and P(xi)
- no-P(xj) tends to 0 as t tends to infinity.
If a property P applies to an entity x at times t with respect to
i, then there is another time t', or another perspective j, in which P is
not true regarding x. Every system contains opposites [positive (P) and
negative (no-P) forces]. Every type of interaction coexists with its
opposite: harmony and conflict, synergy and antagonism, attraction and
repulsion, union and separation. Fundamental entities such as subatomic
particles coexist with anti-particles; and social roles coexist with
complementary others. (Obviously, chairs do not coexist with anti-chairs,
but are complementary opposites to the seated human form.)
The existence of an inverse for every member of a set defines group
theory. The universe is a
group in which every entity has an inverse. Whereas group inverses are
symmetric, actual oppositions are always asymmetric; one of the opposites
predominates over the other at particular moments of time, at particular
points of space, and in particular respects. Matter and anti-matter
exemplify the asymmetry of opposition, as for every type of
"elementary" particle there is an anti-particle, but the former
is much more abundant. The ambiguous figures presented to us by Gestalt
psychologists, make us aware of the fact that, under normal circumstances,
one form carries the information, while the other represents the
background, because it is not differentiated from the more or less uniform
environment.
Oppositions are embodied in energy and in matter, and they
communicate information. Information
is the "news of a difference" [1]; information thus implies the
coexistence and the difference (asymmetry) of opposites. In catastrophes,
the difference of opposites functions as an asymmetric factor.
Opposition is based on asymmetry.
There always is a quantity or lineal order upon which the duality
of opposition is based; for instance, attraction and repulsion are
constructed upon a continuum of distance. This is a particular case of
Hegel-Engels law relating quantity and quality [24].
Hence, instead of opposite vectors departing from a common origin,
both opposites grow in the same direction, from negative to zero to
positive; for instance, time runs from the remote to the immediate past,
to the present (0 origin) to the future.
Interacting
forces can be either synergic or antagonistic. In reality, most
interactions have both synergic and antagonistic components. We thus
represent opposites as two axes creating a phase plane. In the case of
complementary opposites, these axes are mutually orthogonal. This phase
plane of opposites (see figures in [6]) provides a method to study how
opposites coexist --the union of opposites of process philosophy and
dialectic logic. Every point in the plane (or space) determined by the
orthogonal coordinates represents the intensities of each of the two or
more complementary and opposite forces coexisting at a given moment. This
is in contrast to traditional and mathematical logic that, interpreting
reality in an extensional or substantialist manner, view opposites as
mutually exclusive systems separated by a sharp and impermeable boundary,
such as is illustrated in a Venn diagram. It also differs from the
continuous model that assumes opposites to be inversely related. The phase
plane of opposites provides more complete information than dichotomous
questionnaires or linear scales in the study of choice [4], and presumably
also in psychological testing and opinion polls. Processes often include
three or more opposite alternatives (trifurcations)
such as harmony, conflict or separation in interpersonal relations, in
which case we use a tridimensional phase space [24, 9, 33].
The
flow of energy, whether mechanical, electrical, social, or psychological,
creates resistance and opposition. As a result, opposites become more
symmetric. If the opposing forces are relatively weak, they may neutralize
each other. If they are both intense, they co-create qualitative change
--bifurcations and the formation of structures and systems.
Whereas information is lost in transmission [36], it is increased
by bifurcation and by system formation.
In parallel with the increase in entropy, processes tend to
increase the rate of information flow at focal points [3]; thereby
processes evolve in time, and are locally controlled by their most complex
structure (supremacy of the complex). Evolution from simple to complex
(for which there is overwhelming empirical evidence in physics, biology,
history and psychology) co-exists with the maximization of entropy (second
law of thermodynamics). This coexistence of opposite processes represents
a thermodynamic enantiodromia. PT expands the second law of thermodynamics,
postulating a more general hypothesis: processes
tend to symmetry --including not only the point attractor of entropy,
disorder and rest, but also complex attractors, chemical structures,
biological organisms, etc [24, 25, 26, 34]. The asymmetric flow of energy
creates symmetric material structures. This asymmetric flow from prior and
simpler asymmetry to greater symmetry and complexity spontaneously creates
structures that catalytically direct further evolution (supremacy of the
complex).
Co-creation of structures via the interaction of
opposites
Whereas mechanics (classic, statistical, relativistic, or quantic)
postulate stationary and
reversible processes, thermodynamics and dynamics postulate that processes
asymmetrically tend to attractors. But why the pendulum of the clock is
kept inside a box? Because
only closed, isolated processes maintain their attractors. Open processes
interact, and thereby change their attractors (bifurcation). Although
attractors are defined as forms of stability towards which processes flow
when left undisturbed, a wide variety of mathematical and physical systems
become more, rather than less, organized after being perturbed; for
instance, low-frequency oscillations may control the multiple components
of the system. To describe such phenomena, Haken [17] has introduced the
concept of synergetics. Most
significantly, increasing energy facilitates order; for instance, when the
energy of a lasser is increased beyond a critical point, the apparent
atomic randomness changes into sinusoidal periodicity [20]. We define as
co-creations those interactions that generate bifurcations; within the
context of an interaction, or a sequence of them, the interacting
processes are complementary opposites. The simplest interactions are
additive, creating linear sequences with positive and negative numerical
values. For instance,
information regarding the direction of change is provided by the algebraic
sum of opposites. Additive
combinations may also create spirals (e.g. the Fibonacci series). Next,
interactions may be multiplicative, amplifying; in this manner, opposites
enhance each other, and hence their combination is always positive.
For instance, opposite processes are synergic in providing energy
to a system. Synergic and
antagonistic relations between opposites define the asymmetric and
bifurcating parameters in catastrophes (see above). Combinations of
additive and multiplicative interactions may generate non-linear
functions, which often are folded rather than monotonic, i.e. a single
value of one variable may be associated with two values of the other
(ambiguity or contradiction). In
this manner, bifurcations occur.
Processes are cascades of bifurcations. Far from remaining in
stable patterns (attractors), processes change (bifurcations) and create
new emergent attractors [38] and dissipative structures [23] as result of
multiple interactions with other processes. Through a similar process,
physical structures (including matter itself) may form and evolve. As
structures, and matter itself, are stable forms generated by equi-librium,
(the equality of two opposing forces), the asymmetric factor in the
process of creation may indeed correspond to the difference between
opposites. The bifurcating factor may be the flow of energy and
information, as the creation of complexity appears to be associated with
increasing free energy flow density: 1 erg gm-1 s-1
for the galaxy as a totality; 2 for the sun; 500 for plants; 17,000 for
animal bodies; 150,000 for human brain [10].
Poincaré's phase space allows the study of complex processes by
examining the form of their trajectory. The choice of axes is a critical
and yet unsolved problem, but process philosophy suggest the axes should
be opposites. This phase space of
opposites (see figure N [6]) provides a mathematical formulation to
study how coexisting opposites co-create structures. We currently use the
phase space of opposites in our empirical studies of mood [6; 28] and
interpersonal relations [5, 24]. The interaction of opposite motivations
(energy-information) creates choices (material interactions between
persons). The choice or rejection of a particular person does not depend
exclusively on the corresponding attraction and repulsion except in
extreme cases; in all others, the outcome depends on the entire system
rather than on the interaction of opposite motivations at each point. In
the case of interpersonal choices, the interaction between opposite
motivations seldom is additive or linear, but more often creates a
distribution which can be described by one or another of Thom's elementary
catastrophes [7, 8]. Thus the interaction of opposites in a plane
generates an asymmetry (opposition) in a third dimension, creating a
structure in space. More generally, the non-linear interaction of forces
at one level of N-dimensions creates a new opposition at the Nth+1
dimension.
Catastrophes
are the simplest forms of bifurcations, i.e. the transitions from one
point attractor to another (e.g.choice to rejection). The simplest
catastrophes are governed by only two control variables: (a) asymmetric,
which at mid values is associated with large changes between the opposite
modes, while at extreme values is associated with small changes around the
modes; and (b) bifurcating, which at low values is at low values is
associated with a continuous outcome, and at high values, with a
discontinuous outcome. In the case of interpersonal choices, we found a
and b to be functions of attraction and repulsion (P and N). Hence: b = f
( P + N); and a = g (P - N) [7]. PT postulates that b represents the
synergy of opposites (energy and shared information) while a represents
the antagonism between opposites, that provides information regarding the
direction of the outcome. Catastrophes are hence functions of the
difference and the sum of the interacting opposites, and represent the
simplest case of how the interaction of opposites creates structure. We speculate
that these concepts apply not only to catastrophes but also to more
complex bifurcations, including the formation of structures. The
asymmetric and the bifurcating factors governing all creative processes
would then be functions of the sum and differences between interacting
opposites. The generation of bifurcations, and the formation of structure
would be enhanced by the flow of energy and information, and decreased by
the difference between opposite forces.
We further speculate that the model might also apply to physical
processes, as the distribution of matter and void is determined by
processes of attraction and repulsion that concentrate and separate
energy-carrying particles. The distribution of matter in physical space
reflects the trajectory of energy-carrying particles in phase space.
Hypothesis 3: Structures of matter are formed when opposite forces
in a system are both of high and similar intensity.
As processes tend to symmetry, they form patterns and structures.
At the most fundamental level, energy forms matter, which is an
equi-librium or symmetry between opposing energies.
Inspired
by living systems theory [21], process theory views energy, information
and matter as three inseparable aspects (forms) of each system:
E = M x I
E is physical energy, but social and psychological energy
are forms of physical energy. M stands for pattern and structure, as
matter is the fundamental structure of the macroscopic world. Information
is provided by the difference [asymmetry] between oppositely directed
forces of attraction and repulsion. The quantity of information that can
communicated is limited by the frequency of the energy carrier. Hence I <
c2, as the velocity of the light c is the maximal attainable.
Einstein's famous formula E=mc2 represents the extreme case in
which the rate of communication of information has reached its maximum,
and hence equality, in both directions; energy can then convert into mass
(m). More generally, the formation of structure is fostered by the E of
the system, and by the equality of the mutually opposing forces (I = 0).
Whereas Einstein imagined a stable universe in which time was a
fourth space-like dimension, current cosmologies postulate an evolutionary
universe in stages; near the origin of the universe, only energy would
have existed, matter being formed only later.
Shifting from the developmental model of stages to a process view
of coexisting processes, suggests an alternative possibility: that E, I,
and M co-exist in all phases of the evolution of the universe, and that at
every stage, the conversion of energy into mater is greater than the
conversion of matter into energy: [E-->M]
> [M-->E]
In more general terms, E, I and M are three related aspects of
systems of the form M = f ( M/I), manifested in many different physical
relations such as Einstein's law E = m c 2, where mass m
represents matter and c2 represents the maximum rate of two way
communication; Coulomb's law: V = i x R, where current i carries
information and resistance R is a function of the material circuit. It is
also manifested in human processes, such as the relation between labor
(E), wealth (M) and technology (I) in economic value.
As
E is a function of both matter and information, neither matter nor ideas
have absolute primacy over the other. equilibrium may be attained when a
low-mass but informationally complex process matches the power of a
high-mass simpler process. PT
postulates the priority of the simple and the supremacy of the complex
[24]: Simple and abundant processes have priority
(e.g. the predetermination of beliefs and feelings by health and
economics), while complex but rare processes have local
supremacy (e.g. mind controls bodily functions). This translates as the priority of the biological, the
mediation by the social, and the supremacy of the psychological in human
processes [29], implying a clinical approach different from Engel's
biopsychosocial model [30].
One, two, three as cosmic forms in systems and processes
Every entity may be considered as a form in a complex space.
A space is a set of qualities, including time and physical
distance, represented as dimensions. Thom [39] defines logoi as forms of
nature in abstract, mathematical spaces. PT adopts the view that forms are
shared by all levels of organization. Because they are forms in phase
space, they are forms in physical space; and, for the same reason, they
are biological, social, psychological and logical forms. (Philosophically,
this represents the union, or identity, of materialism and idealism.) A
biological rhythm is also a physical rhythm and a psychological one. In a
system, rhythms by necessity are isomorphic at all levels of organization.
PT postulates that all systems are organized by three universal and
asymmetric forms which are homologous to the simple numbers. As qualities, unity, opposition and triadic space-like
structures are homologous to 1,2,3 as quantities. These forms repeat in
every respect, and at each level of organization, thereby generating
complexity, novelty, and fractal self-similarity. Regarding the
composition of processes, the flow of energy is uni-directional;
information requires the existence of at least two alternatives;
structures of matter are three-dimensional. Unidirectionality, asymmetry,
energy, unity, are expressions of oneness as a universal form of
processes. Opposition, information, and symmetry are particular forms of
duality. Likewise triadicity is manifested in a number of ways: in the
three dimensions of physical space, the tridimensional phase space of
catastrophes and chaos, the intercourse of two sexes to create a new life,
the balance of opposite forces to erect material structures, the
coexistence of energetic, informational and material aspects in all
systems, etc [24]. Triadicity is characteristic of creative reasoning
[13].
Supporting
the hypothesis that these are three cosmic forms, Bourbaki [2] considered
lattice, group and topology theories as the three foundations of
mathematics. Lattice theory explore the formal properties of asymmetry
(<). The existence of an inverse for every member of a set defines
group theory, which in this manner explores the multiple forms of
opposition. Topology studies the tri- and n-dimensional forms of
continuously modified structures, and the bifurcations between forms. PT
assumes that simple and universal forms such oneness, opposition and
space-like tridimensionality, are topologically nested within the more
complex structures of nature and thought.
Discussion
The phase space of opposites provides a practical method to study
the creation of patterns and structures at all levels of organization, as
we illustrate elsewhere [4-9, 24, 33, 34].
The fact that non-linearities occur such as catastrophes and chaos
in simpler processes, and ambivalence and contradiction in psychological
processes, occur when opposite forces are both intense and nearly equal,
suggests a strategy to promote creativity, namely to increase the density
of energy flow and the symmetry of the opposites.
For instance, we propose that creative social solutions may be
found by the combination of right and left perspectives, rather than by
the adoption of one or the other of these two views [5, 32].
Likewise, creative solutions to a marital conflict are often more
readily achieved by a joined marital session in the midst of a crisis than
by individual therapy, or by dealing with issues of low emotional
intensity.
Pasteur's discovery of cosmic asymmetry exemplifies how one may
learn about the simple by studying its expression in complex processes.
This "inference from complexity" [24] complements the more
common analytic approach that attempts to understand the complex by
decomposing it into its simpler parts. In Pasteur's spirit, we have
considered what can be learned about the formation of systems through
studies on psychological processes.
PT
is a scientific formulation of the process philosophy born as physiology
in ancient Greece. Biological roots also underlie modern developments such
as Pasteur's cosmic asymmetry, Miller's living systems theory, and Thom's
catastrophes. Complex biological processes are taken as models for simpler
physical processes, in a reversal of traditional reductionism. Neither
approach has the solidity of mathematical proof, but both serve to
generate interesting hypotheses to be tested. Progress in science is
promoted by the generation of opposing hypotheses, which need not be true
to be fruitful. In this philosophical spirit, PT interprets Pasteur's
cosmic asymmetry as change, and makes it the basic order of the universe,
as contrasted to the probabilistic approach of quantum and statistical
mechanics; postulates that the universe tends towards a symmetry of
opposites, and hence towards both simplicity and complexity (enantiodromia)
as opposed to the statistical mechanical view of entropy; and interprets
Einstein's formula as an net flow from energy towards information and
matter. Thus processes create novelty, and are not reversible; time flows,
and determinism is not absolute. Hence the possibility of human freedom,
action and creativity, and of error, evil, and uncertainty. Philosophy
--the love for knowledge-- does not aspire to the certainty that some
claim for science, and others for religion, but it contributes to human
progress by promoting alternative perspectives, and reasserting the
Socratic-Cartesian methodological doubt. It is in this spirit that we
formulate a process view of physical and human systems. Formulating its
hypotheses mathematically allows one to apply and test them empirically.
Acknowledgement:
To María McCormick of the Society for the Advancement of Clinical
Philosophy for her support of our work, and to the members of the Society
for their discussions and suggestions.
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