Worlds Within Worlds
- The Holarchy of Life
(Chapter 2)
by Andrew P. Smith, Oct 24, 2005
(Posted here: Sunday, May 27, 2007)
2. THE LITTLE BANG
"Symmetry--an important feature in
biological organization--is the outcome of repetition. The term
is usually confined to spatial repetition. But we can also have
repetition in time and this is called rhythm. Biological
organization involves both."
-Joseph Woodger
1
"Whenever anything lives, there is, open
somewhere, a register in which time is being inscribed."
-Henri Bergson
2
Until the beginning of this century, the
lowest form of existence was thought to be the atom. The atomic
theory of matter was formulated by John Dalton in the early 19th
century, but the existence of atoms had been postulated by the
Greek Democritus several thousand years earlier. Traditionally,
then, atoms represent the lowest level of the hierarchy, and
they make a convenient starting point for our discussion. In a
famous poem glorifying the Great Chain of Being, Alexander Pope
referred to its downward reach through angels, human beings, and
animals, to "what no eye can see, no glass can reach."3
Scientists do recognize today, of course,
that atoms are not indivisible, but are composed of still
smaller forms of existence: electrons, protons, neutrons, which
in turn are made up of quarks, leptons and gluons. Despite the
extraordinary and now well-publicized discoveries that
constitute the new physics, however, I believe that what we know
about these subatomic phenomena has not really added
significantly to our understanding of hierarchical principles.
The beginnings of holarchy may perhaps be seen in the ordered
combinations of quarks and leptons in the atoms, and
particularly in three families of these particles that seem to
differ in size but not in their properties (Feynman 1988;
Lima-de-Faria 1988; Glashow 1991). Nevertheless, existence at
this level appears to be so rudimentary that we can barely
perceive the principles that are so evident at higher levels.
Or it may be that this level is so distant
from our own that we can't see it very clearly. An important
principle of the holarchy, which will emerge in our later
discussion, is that our perception of phenomena depends on where
in the holarchy they exist in relation to ourselves. Because
subatomic processes are several levels below our own, on a scale
of both time and space very different from the ones we are most
familiar with, it may be difficult for us to see these processes
in the same way that we see those on higher levels. Certainly
there are some very strange observations emerging from quantum
physics (Capra 1975; Herbert 1985; Feynman 1988; Glashow 1991;
Weinberg 1992; Horgan 1992; Seager 1999), the very existence of
which suggests to some theorists that our understanding of it is
fundamentally flawed or incomplete (Penrose 1989, 1994). In a
later chapter, I will be discussing some of these quantum
phenomena in connection with our understanding of human
consciousness.
For now, however, I will pay them no heed,
and begin this account of the holarchy with atoms. We can say
that the physical level of existence begins with them, while
recognizing that this level is not really the lowest level of
existence. Indeed, a few scientists, like physicist John Barrow,
question whether it is even meaningful to talk about a lowest
level at all:
"It is fashionable to feel that there
is a 'bottom' line in fundamental physics; a basic
collection of individual entities obeying a small number
of mathematical rules in terms of which everything else
can in principle be described. But the world may not be
like this. Like a sequence of Russian dolls, there may
be an unending sequence of levels of complexity, with
very little (if any) evidence of the next level down
displayed by each of them."4
Whether or not Barrow is correct, his words
underscore the point that our understanding of lower levels is
likely to flawed in certain respects, with the result that we
may not be able to see and know these lower levels in the same
way we can see and know higher levels. More of this later.
Properties of atoms
Atoms have traditionally been considered
lifeless forms of matter. They don't seem to have any of the
properties that we normally associate with living things, such
as growth, reproduction, or even death. Yet closer scrutinty
reveals that atoms do have several important features that seem
to presage those of living things. Indeed, we can see in atoms,
albeit in an exceedingly primitive form, three major properties
that we usually associate only with life: growth or
assimilation; self-maintenance or adaptation; and communication.
Assimilation is exhibited by atoms when they
gain an electron, a process called ionization. As writer
and entrepreneur George Land pointed out in an insightful early
formulation of the modern holarchical view, the atom can be said
to grow in the simple sense that it incorporates another
substance or form of energy, and becomes larger (Land 1973).
This growth, however, is severely limited, in that any
individual atom can generally gain only one or at most a very
small number of electrons (which are almost vanishingly small in
size compared to the atom), at which point the process can go no
further.
The process of ionization can also be viewed,
in some circumstances, as an example of adaptation, or
self-maintenance. Higher forms of life, as is well known, must
be able to adapt to changed conditions in order to survive. For
example, if the environment surrounding an organism becomes much
colder, the organism's body responds in certain ways--such as
shivering, or increasing its rate of metabolism--to compensate
for the decreased temperature. Ionization of an atom performs,
on a simpler level, the same basic function. Thus when metallic
sodium is placed into water, it ionizes, in this case losing
rather than gaining an electron and becoming positively charged.
By ionizing, the sodium becomes more stable in the new
environment in which it finds itself.
Finally, atoms can communicate, by forming
chemical bonds with other atoms. In this process, two atoms
exchange or share one or more of their electrons. Communication
at higher levels of existence is traditionally defined as a
transmission of information, and chemical bonding of atoms might
be considered to fall within this general definition. That is,
we could say that in the process of sharing electrons, atoms are
transmitting information to each other. Indeed, I will argue
later that information simply is communication, of atoms
or of analogous holons on higher levels of existence. For now,
though, we can simply define communication as a hetarchical
interaction, that is, one occurring between two holons on the
same level of existence.
In summary, atoms display three fundamental
properties that are found in all higher forms of existence, and
which are usually taken as features of living things. I will
argue later that by adding just one further property to this
list--reproduction--we can account for all known phenomena of
all holons. That is to say, all the complex and sophisticated
behavior of even highly-evolved creatures like ourselves can be
classified as one of these four fundamental properties.
The systems theorists Francisco Varela and
Humberto Maturana want to go even further than this (Varela et
al. 1991; Maturana and Varela 1992; Varela 1994). In their
theory of autopoiesis, living things, at least at some levels,
are defined essentially through adaptation, or self-maintenance:
"an autopoietic machine continuously generates and specifies its
own organization through its operation as a system of production
of its own components."5 This definition allows autopoietic
theory to dispense with direct references to growth,
reproduction, or even evolution (Luisi 1993).
Varela and Maturana, in other words, are
groping for a unified definition of life that incorporates all
kinds of properties in it. I believe that such a definition may
be possible, and is certainly a worthy aim of holarchical
theory. However, the definition quoted above clearly does not
apply to atoms, nor to many other types of holons I will be
discussing in this chapter. So I will stick with the properties
that I have enumerated here, though we will see shortly that
there is in fact a way in which they can be understood as
different aspects of a single property.
If most of the fundamental features of life
can be observed, even in very primitive form, in atoms, we might
argue that as higher forms of life emerge, there are no truly
"new" properties, but simply more complex and sophisticated ways
of expressing the basic, fundamental properties. Thus
philosopher Michael Polanyi suggested that evolution is simply
"a progressive intensification of the higher principles of
life"6 which are already present from the very beginning.
Lima-de-Faria, a biochemist, devotes an entire book to this
idea, summarized here:
"Evolution is a phenomenon inherent
to the construction of the universe...since biological
evolution was anteceded by [the evolution of] other
levels, it became a prisoner of these previous
evolutions. The laws and rules they followed created the
frame from which biological evolution could not and
cannot depart."7
This view is not an attempt to reduce the
higher to the lower, but rather to show that it's constrained by
the lower. More precisely yet, the higher is constrained by
principles that don't necessarily originate in the lower,
but are first evident (to us) there. In contrast to the
extreme Darwinian view, which with little caricature might be
presented as "anything is possible, everything is unlikely",
Lima-de-Faria and others argue that some evolutionary paths were
much more likely than others, perhaps even inevitable. "Natural
selection does not always determine the evolution of
morphology," argues Stephen Jay Gould; "often it only pushes
organisms down a preset, determined path."8 I will be discussing
this issue in detail in Part 2 of this book, when we consider
the processes of evolution. Here I only want to emphasize that
these arguments have their beginnings at the physical level. To
the extent that we can see in atoms some of the same processes
that we see in cells and in organisms, we must begin to wonder
if the choices evolution made might have been neither random nor
unlikely.
The Law of Perspective
I said a moment ago that there is an even
simpler way to define the three properties of atoms that we have
examined so far. Each of these properties--assimilation,
adaptation and communication--can be defined in terms of the
kind of holons with which the holon exhibiting the property
interacts. That is to say, assimilation can be defined as the
process by which a higher-order holon (atom) interacts with a
lower-order holon (electron). Adaptation is the process by which
a lower-order holon (atom) interacts with a higher-order holon
(molecule). Communication is the process by which two holons of
the same kind interact. Thus every property of a holon is
embodied in its interaction with some other holon. This
statement, for now, excludes reproduction, which will be
discussed in Chapter 3.
An important corollary that emerges from
defining these properties in this manner is what might be called
the law of perspective: Every holon or process of interaction of
holons can be viewed from multiple positions in the holarchy; a
process appears different according to the relative position
from which it's viewed.
Consider again the last example presented
above--that of two atoms forming a chemical bond with each
other. What, exactly, has happened? I said a moment ago that
this was an example of communication, and so it is--from the
point of view of the atoms themselves. From the point of view of
the electrons which are shared during this process, however, the
process is adaptation--they have changed the way they interact
with the larger holon, the atom, with which they are associated.
In fact, each of the shared electrons is now interacting with
not one atom but with two.
Further suppose that one of the two
interacting atoms is part of a larger holon, a molecule. When
this atom forms a bond with another atom, the latter becomes
joined to the molecule. From the molecule's point of view, then,
the process is assimilation; it has incorporated another atom,
and grown larger.
Communication, assimilation, adaptation--it
all depends on who you are, which is to say, where
you are. This example, as we will see, can be multiplied
endlessly, at all stages and levels of existence. While many
properties of life appear at every level of existence, the
nature of the property depends on the point of view of the
holon, which in turn depends on its holarchical relationship to
the phenomenon. What the property 'really' is can never be
pinned down; it has a different identity on every plane of
existence. It is in this important sense that we can say that
there is only one fundamental phenomenon occurring, but many
ways to see it.
As we will see later (Chapter 4), the law of
perspective may become very important when we try to assess the
degree of analogy between a holon on one level of existence and
one on another--particularly our own level. As holons ourselves,
we have a characteristic way of looking at both ourselves and
other holons. The law of perspective also will prove to have a
vital bearing on our understanding of mind, and its relation to
the physical and biological world.
Inert and Reactive Atoms
The example of two atoms bonding together to
form a molecule is of particular relevance to understanding the
holarchy, because all higher forms of existence, it should be
apparent, involve molecules, or organizations of molecules. In a
moment, we will examine some of these higher forms of existence.
But first, I want to point out that some atoms are much more
interactive--or as chemists would say, reactive--than others. In
fact, chemists make a distinction between reactive atoms,
those which can form chemical bonds with other atoms; and
inert atoms, which don't form such bonds. Hydrogen and
oxygen are examples of reactive atoms, while helium is an
example of an inert atom. Reactive atoms have electrons that
they can share with other atoms in chemical bonds, while inert
atoms have no such shareable electrons.
Clearly, only reactive atoms can create
higher forms of life. There is no helium, or other inert
elements, present in cells and organisms. Furthermore, of all
the reactive atoms, there is one in particular that is the basis
or "building block" in traditional language, of life. This is
carbon. Carbon, unlike most other atoms, can form chemical bonds
with four other atoms simultaneously. This property allows it to
create complex chemical compounds which make up all cells and
organisms. Thus carbon, because it is highly interactive or
communicative, is the keystone to the higher stages of physical
existence.
As we will see in later chapters, an
analogous situation exists on other levels of existence. There
are holons that are able to communicate (form hetarchical
interactions) with each other and so form higher holons; and
there are holons which can't communicate and so are the end of
the line, so to speak. There is, on other levels, also one
particular holon which is the most communicative, and which is
thus key holon in forming higher holons on that level.
Emergence
When two or more atoms join to form a
molecule, something new appears. A molecule has properties that
are not possessed by its component atoms. A simple example is
provided by water, which consists of two hydrogen atoms and one
oxygen atom. Water, of course, is very different from either
oxygen or hydrogen. The latter are gasses at room temperature,
highly compressible and of very low density. Water is a liquid
under the same physical conditions, almost completely
incompressible and of much higher density.
A molecule is thus a higher-order holon than
an atom, and its appearance an example of what is commonly
called emergence (Pettersson 1996; Holland 1998). The liquidity
of water is an emergent property, one not found in its component
hydrogen and oxygen atoms. As we will see throughout this book,
new or emergent properties are always found in higher-order
holons formed from the interaction of lower order holons.
I used the example of water to illustrate
emergence, because it's a very simple molecule, and well known
to everyone. Actually, however, its very simplicity makes it a
rather poor example. Because water consists of just three atoms,
its degree of emergence from the world of atoms is not very
great. In fact, while hydrogen and oxygen don't exist as liquids
(in the range of temperatures normally found on earth), some
other elements do, such as mercury. So the liquid nature of
water is not a completely new property. It's emergent relative
to hydrogen and oxygen atoms, but not to the world of atoms in
general.
A much better example of emergence is offered
by a somewhat more complex molecule, an amino acid (Fig. 1).
Amino acids are found in all living things, where they exist
both as free molecules and as parts of proteins. There are about
twenty different kinds of amino acids commonly found in cells
and organisms, but all of them have the same basic structure.
They consist of several carbon atoms, terminating at one end
with nitrogen (the amino group), and at the other end in
carboxylic acid (the acid group).
A characteristic feature of all amino acids
is the ability to ionize in two positions--on the amino end and
on the carboxyl end. This seemingly simple property is highly
significant, for it allows amino acids to act as buffers,
that is, to stabilize the pH, or degree of acidity, within the
cell. If the pH becomes too low (too much acid), hydrogen ions
are added to the amino and carboxyl groups; it the pH becomes
too high (too much base), these hydrogen ions dissociate from
these groups (Fig. 1).
As we saw earlier, some atoms, such as
sodium, can also ionize. However, this process is for all
practical purposes irreversible. If sodium is added to water,
all of the atoms ionize. In contrast, the degree of ionization
of an amino acid can be changed over a continuum. This is
possible because the presence of other atoms in the amino acid
stabilizes the ionized atoms. Through a process of sharing
electrons, these adjacent atoms allow the nitrogen of the amino
group or the oxygen of the acid group to remain in a charged or
uncharged state under a variety of conditions. This is a
genuinely emergent property found only in molecules.
The Physical Level of Existence
To summarize, if atoms are considered the
lowest type of holon on the physical level, the next-higher
order holon is represented by certain fairly simple molecules
such as amino acids. Such molecules are composed of atoms, yet
have properties not possessed by their component atoms, or
indeed, by any atoms. These properties are emergent with the
appearance of molecules.
If we look within cells, however, we can find
still more complex types of molecules, representing still
higher-order holons. Just as amino acids are composed of atoms,
for example, peptides are composed of many amino acids; in the
same way, nucleic acids are composed of many nucleotides,
another kind of small molecule. Both peptides and nucleic acids
are biological polymers, formed of repeating units or monomers.
The holarchy present within cells doesn't end
here, however. Polymers like peptides and nucleic acids can, in
turn, combine to form still higher-order holons, which are
generally referred to by cell biologists as simply
supramolecular structures. These, in turn, may be part of still
larger holons, subcellular organelles. Each of these holons has
emergent properties, which I will discuss as we go along. I have
listed them all in
Table 2
; taken together, they compose the
physical level of existence, beginning with atoms and ending in
cells.
The exact arrangement of these holons is
somewhat arbitrary, but the general principle of holarchical
arrangement within cells is very well established. Thus cell
biologists Becker and Deamer remark that "biological structures
[i.e., those within a cell] are almost always constructed in a
hierarchical manner...This hierarchical process has the
advantage of chemical simplicity and efficiency of assembly."9
We will see examples of such advantages, and others, as we go
along. And in Chapter 3, I will discuss at some length just why
and how holarchical organization is used by living things.
There is one aspect of the hierarchical
arrangement in Table 2 that is not arbitary, however. This is
the marking off the beginning of the physical level with atoms,
and the end with cells. As I noted in the beginning of this
chapter, there are holons below the atom, and as we will see,
there are holons above the cell. Both atoms and cells, however,
have a special quality or property that distinguishes them from
any of the holons immediately below or above them, or from those
between them. Both are capable of an independent (autonomous)
existence outside of higher forms of life. While some atoms
exist as components of molecules, they may also be found as free
forms of matter not bonded to each other. Likewise, cells can
exist as unicellular organisms as well as components of
organisms. This distinction is also noted by Petersson10.
In contrast, virtually all holons between
atoms and cells exist solely within cells. Molecules, with the
exception of very simple ones containing one or two types of
atoms, are generally not found free in nature. (And as we saw
earlier with the example of water, the emergent properties of
such molecules are very slight.) Even more so is the case for
simple and complex polymers, macromolecular structures, and
sub-cellular organelles. While many of these subcellular
components can be isolated and studied in the laboratory, in
nature they almost always exist only within cells.
Thus on the basis of what we find within
cells, we can define at least two kinds of holons: those that
can exist more or less independently of higher-order holons and
those that can't. I will call the first type of holons,
exemplified by atoms and cells, as fundamental or
autonomous holons, and the second type, exemplified by
various kinds of molecules found within cells, as
intermediate or social holons. I further propose that
we define the entire set of holons ranging from atoms to cells
as a single level of existence, while referring to any
particular type of holon within that level (such as an amino
acid or a protein molecule) as a stage within that level.
(To encompass either term, I suggest the use of "plane" of
existence, though because of its widespread usage, I will
sometimes use "level" in this sense.) Thus atoms are the first
stage on the physical level of existence, while cells, as we
will see in the next chapter, are the first stage on the
biological level of existence.
In addition to being capable of autonomous
existence, cells and atoms are organized somewhat differently
from the way other types of holons are organized. To appreciate
this, consider first the higher-order, intermediate stages
within cells: small molecules, polymers, and so on. Each of
these holons consists of a large number of holons of the
next-lower stage, all combined into one entity. Thus small
molecules consist of atoms, all joined to one another; polymers
consist of small molecules, all joined together; higher-order
molecular structures consist of associations of polymers.
In contrast, in a cell, all of the lower
holons can exist both semi-autonomously (i.e., not
components of the next higher stage) as well as in bonded
(joined) forms (in which they are components of the next higher
stage). Thus some atoms exist semi-autonomously in cells (e.g.,
sodium and calcium ions), while others exist as components of
small molecules. Some small molecules, in turn, exist
semi-autonomously (individual amino acids), and some as
components of polymers. Some polymers exist free, while others
are components of higher-order structures.
A cell, in other words, not only has new,
emergent properties not found in its lower, component holons,
but also preserves the properties of the lower holons.
For example, the properties of amino acids are preserved within
a cell, because some of these amino acids exist in a
semi-autonomous form in which they behave more or less as though
they were completely isolated, i.e., in a test tube. Likewise,
the properties of certain atoms, such as sodium, are preserved
within cells, because these atoms can exist in a semi-autonomous
state much like that of these same atoms outside of cells.
Petersson refers to this as the "duality criterion":
"some of the entities of any
major integrative level (except the highest) are joined,
bonded or fused together with others, with which they
collaborate in the constitution of an entity of the next
higher level, while some other entities of the
same major level exist as free and independent
entities."11
In contrast, the properties of amino acids
are not preserved in a peptide or protein. The ability to
ionize, for example, is lost, because when amino acids combine
with one another to form peptides or proteins, both the amino
and carboxyl ends of the molecule are joined to neighboring
amino acids. These ends are no longer free to ionize. Likewise,
the properties of individual atoms are not preserved when they
are combined into molecules, because many of their properties
depend on the present of electrons which become shared with
other atoms within the molecule.
I will not discuss the internal organization
of the atom in this context, though it appears to be analogous
to the cell in this respect. Later, however, we will see that a
similar type of organization is present in organisms, which
constitute a fundamental stage on a still higher level of
existence.
Dimensions of existence
An essential principle of the holarchy, as we
saw earlier, is that new, emergent properties appear with higher
levels or stages of existence. Thus a molecule has properties
not found in its individual atoms; a peptide has properties not
found in its component amino acids; a cell has properties not
found in any of its component holons.
Why, or how, do these new properties emerge?
Emergence is sometimes regarded as unexplainable, a "gap" in the
holarchy, since the new properties of the higher holon do not
reduce to those of its lower-order component holons. In many
cases, however, the mystery is overstated. Scientists do
understand fairly well how the properties of higher-order
molecules in the cell emerge, and can explain them to a large
extent in terms of physical principles. A closer look at these
principles in fact allows us to provide a new, and more
powerful, definition of a stage. A stage is a new dimension
of existence. Literally.
Consider again the level formed between atoms
and cells. An atom can be taken, from a certain perspective, as
a point, having no dimensions. This is only relatively true, of
course. An atom has actual dimensions that can be measured. But
for purposes of comparison with other forms of existence, we can
regard atoms as so small that they exist as zero-dimensional
points.
From this perspective, a simple molecule such
as an amino acid can then be viewed as a linear array of atoms,
or a one-dimensional form of existence. A simple polymer such as
a peptide may also exist as a one-dimensional structure; in
fact, the amino acid sequence of a peptide is known as its
primary structure. More often, however such polymers fold
into a planar or secondary structure, such as an ?-helix
or a ?-sheet, which we can regard as a 2-dimensional form of
existence. Still other polymers, such as globular proteins,
feature folding of secondary structure into tertiary
structure, which has three dimensions (Fig. 2; Stryer 1988).
Still higher physical stages can be
understood in terms of further physical dimensions. Thus
biochemists speak of quaternary structure, formed by the
folding of a three-dimensional structure. Furthermore, the
association of many molecules with quaternary structure into a
higher-order holon could be considered, in some fashion, as
still another physical dimension.
However, higher dimensions may also be
understood in terms of time. A macromolecular structure
such as a receptor molecule has three spatial dimensions, but to
understand its function, and thus its very existence, these
dimensions must be viewed in time. This is because such
biomolecules change shape or conformation in certain
characteristic ways as they function in the cell.
Consider, for example, an ion channel, which
is a pore in the cell surface membrane formed by one or several
protein molecules (Fig. 3). Certain ions pass in or out of the
cell by going through this pore, and their flow is regulated by
changing the size and or shape of the pore. The latter, in turn,
results from a change in shape (what biochemists call
conformation) of the proteins forming the pore. Whenever an ion
channel is activated--by certain neurotransmitters, for example,
or by a change in the voltage across the membrane--these
proteins change their shape, open the pore, then after a certain
period of time, revert to their original shape, closing the pore
(Smith 1989; Aidley 1996).
Thus the ion channel, as a meaningful
functional unit, has a temporal dimension as well as spatial
ones. The effective existence of the channel is not as a fixed
three-dimensional structure, but a three-dimensional shape that
changes over a period of time. Taking this period of time as the
window, so to speak, in which we examine it, its existence
emerges as four-dimensional, relative to the zero dimensions at
which we have abitrarily fixed the atom.
We can view an active enzyme molecule in the
same manner. When an enzyme catalyzes a chemical reaction, it
begins by binding to a certain substance, called its
substrate. To do this, the enzyme must change its shape or
conformation, so that the substrate fits into a certain portion
of the enzyme's surface (Stryer 1988). The substrate is then
converted into another type of molecule, the product,
which is then released from its interaction with the enzyme; as
this occurs, the enzyme's shape changes again, reverting to its
original conformation. So an enzyme molecule, like an ion
channel, is four-dimensional when active, repeatedly cycling
between two different shapes or conformations. A single enzyme
molecule may undergo hundreds of such catalytic cycles in
a second.
A second dimension of time appears in still
higher-order macromolecular structures, or in subcellular
organelles. These structures consist of many four-dimensional
holons--that is, three-dimensional molecules cycling through a
fixed period of time--which, as a unit, are moving through a
second period of time. This second period of time adds a fifth
dimension to the holon.
For example, all cells have a surface
membrane that completely surrounds them, and which acts as a
semi-permeable barrier between them and the surrounding
environment. This membrane has a very large number of ion
channels, which allow the cell to take in, or pass out,
different kinds of ions. When this happens, each of the many
channels may open and close a great many times. Thus the event
of membrane permeability is composed of a great many cyclical
events. The unit time of the ion channel is repeated to form the
unit time of the cell membrane (Fig. 4).
In summary, higher order physical stages can
be defined in terms of the number of new dimensions they bring
into existence. To be sure, these dimensions are not
mathematically precise; genuine dimensions in the mathematical
sense have a relationship of infinity to each other. Thus a
one-dimensional figure such as a line contains an infinite
number of points, and a two-dimensonal plane contains an
infinite number of lines. The relationships between the spatial
and temporal dimensions I have discussed here are not infinite.
Neither, however, are these relationships characterized by
simply greater extension in the same dimension.
The key to understanding this lies in the
concept of repetition. A point that simply becomes larger
can still be considered a point; a point that repeats itself
becomes a line. A line that simply becomes longer is still a
line; a line that is repeated as other lines becomes a plane.
Holarchy is comprised of repetitive units. A molecule contains
many atoms; a protein contains many amino acids; an active
enzyme is composed of many catalytic cycles. In this important
sense, a molecule is one-dimensional relative to an atom, and a
protein is two or three-dimensional relative to an atom. A
protein that changes shape in a cyclical fashion is repeating
itself in time. A set of proteins that do this is repeating
itself in a second dimension of time.
I will have much more to say about dimensions
of space and time as we go along, for as we shall see, similar
relationships exist on higher levels. Defining dimensions in
this way, I believe, not only helps us understand how new
properties come into existence, but how, and to what extent,
these properties are already present, in primitive or
rudimentary form, from the beginning. I suggested earlier that
three of the basic features of existence--assimilation,
adaptation and communication--are found in atoms. In some sense,
atoms, too, exist in higher dimensions. They do have extension
in three dimensions of space, and since they can move in this
space, we can talk about dimensions in time as well. But these
higher dimensions of atoms are much less-developed than they are
in the higher physical stages of existence. So we could say
either that new dimensions of space and time come into existence
with higher forms of life, or that these dimensions simply
develop, or unfold, in the higher stages of they physical level.
We will see the same situation at higher levels of existence.
The number of such intermediate stages one
wishes to define is of course somewhat arbitrary. However, I
have found that the available molecular data suggest that six is
a good fit (Table 2). That is, in going from an atom to a cell,
three dimensions of space and three of time emerge. Thus a cell
can be considered to exist at a level six dimensions above that
of the atom, and an organism six dimensions above the cell.
However, as saw earlier, a cell not only contains all the lower
stages of physical holons, but contains them in both
semi-autonomous as well as integrated forms--semi-autonomous
atoms as well as atoms in molecules, and so on. Thus a cell is
not represented by "6", but by 1 + 2 + 3 + 4 + 5 + 6.
In all cases, the new dimension of existence
that emerges with each successively higher stage is directly
related to that stage's emergent properties. The emergent
properties become possible precisely because of the existence of
the new dimension available for the holon to function on. For
example, as we saw earlier, one of the most important emergent
properties of small molecules is the ability to ionize. One of
their component atoms can lose or gain an electron, resulting in
an electrical charge associated with the molecule. This charge
is stabilized by the presence of other atoms bonded to the
ionized atom--the linear dimension of the molecule--and for this
reason, reversible ionization of an atom generally occurs only
within molecules.
Likewise, higher dimensional holons on the
physical level have properties that depend on their higher
degree of dimensionality. For example, the three-dimensional or
four-dimensional quality of proteins is critical to their
ability to act as enzymes, to catalyze metabolic reactions and
perform other vital functions in the cell. The three-dimensional
shape enables the protein to interact with other molecules in
highly specific ways, forming a precise fit between their
surfaces. Again, this property could not emerge without these
critical extra dimensions. The four-dimensional property, as we
saw, enables the enzyme to undergo catalytic cycles.
In addition to these rather specific emergent
properties of higher physical stages, there are some more
general ones that follow directly from existence in a higher
number of dimensions. One of the most fundamental of these
properties, which we will encounter again and again as we
examine other portions of the holarchy, is that higher-order
holons have a longer lifetime than lower-order holons.
All holons in the cell, except atoms, are constantly turning
over, that is, being degraded and replaced by equivalent new
holons. Thus they have a finite lifetime. Molecules such as
amino acids have a very transient existence in the cell; if they
are not incorporated into peptides or proteins, they are quickly
metabolized. Peptides and proteins have a longer lifetime,
measurable in hours or days, or sometimes several weeks
(Creighton 1993). Cells may live for weeks or months12.
Organisms live longer than cells. Processes within each type of
holon also occur on different scales of time (Haldane 1956).
A second fundamental property, closely
related to the first, is that higher-order holons have more
stability than lower-order holons (Simon 1972). There are
several ways of understanding stability, but for now I will
simply define it as the degree to which a higher-order holon is
independent of its lower-order holons. Because the higher
physical holons are composed of many lower holons, they usually
are not dependent on any one of the latter for their existence,
or for any of their main properties. For example, we could
remove a single atom from an amino acid, or replace it with
another atom (to the extent that physical laws permit such
replacement), and the amino acid would probably still be able to
ionize (a form of adaptation), as well as to form chemical bonds
with other amino acids (communicate). This is readily seen in
that there are about twenty different amino acids found in
nature, each differing slightly in their atomic composition, but
each of which possesses the ability to ionize and to link up
with other amino acids (Stryer 1988).
In the same manner, we could remove or
replace any single amino acid from a large peptide or protein
molecule, and in most cases, this will not alter the protein's
properties. If the protein is an enzyme, it will retain its
enzymatic activity. If protein is part of a receptor,
interacting specifically with some ligand, it will retain its
ability to do this. Again, the proof of this is found in the
presence of closely related families of proteins, such as
enzymes and receptors, members of which differ in some of their
amino acids, yet which nonetheless have the same properties
(Creighton 1993; Gerstein and Levitt 1997; Patthy 1999).
I must emphasize that there are certain
exceptions to this rule, certain limits to the stability of
higher-order holons. A few of their lower-order component holons
are always critical to their properties. In any amino acid, for
example, both the nitrogen atom at one end of the molecule, and
the carbon atom at the other end are essential to the amino
acid's ability both to ionize and to form bonds with other amino
acids. All amino acids contain these atoms; without them, they
wouldn't be amino acids. Likewise, in any protein molecule,
there are a few amino acids that are critical to that protein's
function. Studies in which individual amino acids are
mutated--that is, changed into another amino acid--have
demonstrated that replacement of a single amino acid can
sometimes result in a dramatic change in the protein's
properties (Botstein and Shortle 1985; Westh-Hansen et al.
1999). Nevertheless, such critical components are a minority in
the total composition of the holon.
I believe stability is a particularly
important emergent property, because it helps greatly in
classifying different stages of existence within any level of
the holarchy. As I noted earlier, these stages appear at first
glance to be somewhat arbitrary. In the cell there are many
different kinds of molecules, of all sizes and compositions, and
if we defined each stage as simply any molecule that contained
other molecules, or atoms, we would have a virtually infinite
number of stages. But when we apply the criterion of stability,
many of these holons are seen not to constitute genuine stages.
This is why I don't regard simple molecules such as water and
carbon dioxide, for example, as higher stages. Change or remove
any one atom of such molecules, and the properties of the
molecule are drastically altered. Likewise, there are many
holons in the cell formed of a few larger molecules, but which
are not highly stable by the definition used here. Such
stability, it should be apparent, depends on the higher-order
holon containing a fairly large number of lower-order holons.
We will see later that these same
relationships hold as we move to higher levels of existence.
Thus tissues and organs within organisms live longer, and are
more stable, than their individual cells; likewise, organisms
live longer, and are more stable, than their component tissues
and organs. Furthermore, many other emergent properties result
directly from the fact that higher-order holons function on a
larger number of dimensions of both space and time than do
lower-order holons.
Transformation, transcendence and immanence
Still other distinctions between stages and
levels of existence will emerge as we go along. For now, though,
we can conclude that the relationship between fundamental holons
like atoms and cells and their components is qualitatively
different from that between social holons and their component
holons. I propose to restrict use of the word transcendence,
which is often used by hierarchical theorists to describe the
relationship between one holon and its components, to that
specific instance where a genuinely new level of existence comes
into being. Thus a cell transcends its component atoms and
molecules. As we have seen, a characteristic feature of
transcendence, as so defined, is not simply that new, emergent
properties appear, but that the properties of lower holons are
preserved. Within cells, there exist all the lower-order holons
in free form, and in this form, their original properties are
preserved.
In contrast, I will call the process by which
an intermediate stage emerges as transformation. Thus
when an amino acid becomes part of a peptide, transformation
takes place. As when a cell emerges, new properties are created.
Unlike the case with the cell, though, the properties of the
lower-order holons are not preserved. Thus an amino acid within
a protein has different properties from those of the same amino
acid unbonded to other amino acids.
Both transcendence and transformation, of
course, are widely used to describe processes occurring in
holarchies, and are also quite familiar to those theorists with
a spiritual view, that is, who see all of evolution moving
towards a much higher form of life than our own. When we
describe the relationship of transpersonal or "spiritual" states
of existence to our own, however, a third term very commonly
appears: immanence. It is often said that God, or Spirit,
is not only transcendent to, but immanent within, all lower
forms of existence. Spirit permeates lower-order holons, is
found within them as well as beyond them.
If the higher is actually in some sense
within the lower, we might expect to find emergent properties of
the higher-order holons exhibited as well in their lower-order
component holons. The lower order holons, in other words, would
to some extent transcend or transform existence characteristic
of their stage or level of the hierarchy, and behave like higher
holons. Immanence, defined in this way, is found throughout the
lower levels of the holarchy.
Consider again the example of ionization,
discussed earlier. Free oxygen atoms in nature, or more
commonly, simple molecules containing two atoms of oxygen,
generally can't ionize except under very unusual conditions.
However, the same oxygen atom, when part of an amino acid
molecule, may now exhibit this property. The oxygen atom, in
effect, is participating in the higher, emergent
properties of the amino acid. Although it's a zero-dimensional
form of existence, it has acquired a one-dimensional
property, the ability to ionize, by becoming part of a
one-dimensional holon.
Now suppose the amino acid containing that
oxygen atom becomes part of a still higher-order holon, an
enzyme molecule. The ionized oxygen atom may be a crucial
component in the active site of the enzyme, allowing it to
catalyze some metabolic reaction. By virtue of its position in
the enzyme, the oxygen atom is able to interact with another
atom or molecule that it could not interact with as a free
oxygen atom. Thus the oxygen atom again is participating in the
emergent property, acquiring the ability to do something it
could not do by itself. It has acquired a three-dimensional
property, while still maintaining an existence as a
zero-dimensional stage.
We may define immanence, then, as the
appearance of higher-order properties in lower-order holons.
The lower order holon participates in the emergent properties of
higher stages within which it exists. I do want to emphasize
that immanence defined in this way is not exactly the same as
that meant in the spiritual sense. I will discuss the latter in
more detail later in this book. Nevertheless, the implications
of this phenomenon are extremely profound. It suggests that by
associating into higher-order holons, lower-order holons may
actually transform themselves, that is, raise their stage of
existence on the hierarchy. In other words, an atom inside of
a cell is at a higher stage of existence than an independent
atom. As we will see in later chapters, this is true of
fundamental systems on higher levels of existence as well.
Indeed, it is to a very large degree what makes our own species
so different from all other organisms on earth.
The ability of a fundamental holon to
participate in higher stages is also the basis of non-nested
hierarchies in the holarchy. In Chapter 1, I pointed out that
traditional versions of hierarchy like the Great Chain of Being
were based on non-nested, rather than nested or holarchical,
relationships. We are now in a position to appreciate that
non-nested hierarchies result when holons on the same stage of
existence, such as atoms, participate to different degrees in
higher-order holons. Thus an atom in a protein molecule, though
in one sense no higher than an autonomous atom, nonetheless has
emergent properties that the latter does not. Moreover, an atom
in a protein, if part of the active site of an enzyme, may to
some degree control the fate of a lower atom that is part of a
molecule that is transformed by that enzyme. So hierarchical,
non-nested relationships exist between fundamental holons that
differ in their participation in higher-order holons.
The ability of a fundamental holon to
acquire, or to participate in, the emergent properties of higher
holons of which it is a component, is not unlimited. An atom may
have higher properties by virtue of being part of a small
molecule, a biological polymer, or a supramolecular structure.
The limit comes with the cell. Though cells, as we will see in
the next chapter, can be parts of still higher forms of
existence, this does not affect the properties of their
component atoms. Atoms reach their highest level of
development in the cell. An atom, so to speak, is everything
that it can be--or more precisely, some atoms, which participate
in the highest, most emergent properties of the physical level
are completely actualized. In this sense, they have existence in
six physical dimensions. They participate in properties that
involve three dimensions of space as well as three dimensions of
time.
Another way to express this point, as argued
by the mathematician and mystic P.D. Ouspensky, is to say that
higher dimensions can be understood in terms of the
actualization of possibilities (Ouspensky 1961, 1971).
Though his argument was directed towards dimensions of time, I
think it also applies to space, and is somewhat easier to
understand in this manner. Consider an atom in the cell. If it
exists autonomously, outside of higher holons, it functions in
only one dimension. Yet it has the possibility of functioning in
higher dimensions,by participating in higher-order holons. For
example, if the molecule becomes part of a three-dimensional
protein molecule, it may function in three dimensions. If the
protein has a function in time, the molecule may function in
four dimensions. But since the limit of such participation is
reached at the next level--that is, an atom reaches its limit at
the cell--we can say that a cell represents the actualization
of all possibilites of the atom. Everything that is possible
for an atom is realized in the cell.
Structures and Processes
One of the most powerful features of
understanding holons in terms of dimensions of time as well as
space is that it enables us to see the relationship between what
is commonly called a structure, and what is called a
process. One of the commonest criticisms of traditional
science by those interested in creating a new worldview is that
science reduces everything to structures--atoms, molecules,
cells, organisms, and so forth--and is not concerned enough with
processes. Of course scientists are very much aware of
processes, but they tend to give them second billing, defining
them as the movements of various structures. For example,
metabolic processes in cells are described in terms of reactions
in which specific kinds of molecules are transformed into other
kinds of molecules. A process, so defined, seems to be reduced
to something that a structure does. The structure is primary.
In contrast, many critics of traditional
science seek to replace this understanding with one in which
process, rather than structure, is emphasized (Capra 1996). In
this view, everything is in constant flux, and what we call
structures are simply snapshot views taken at particular points
in this flux. Since no point in the flux is really any more
important than any other, they argue--or at the very least, no
point is permanent--focussing on these snapshots distorts the
picture. The reality is the flux, the process.
Understanding that holons can have dimensions
in time as well as space, however, helps us adopt a view in
which both structure and process have a place. Time is obviously
a central feature of any phenomenon that we call a process. To
say that something is a process implies that there is movement
or change in time. In the holarchical view, however, our
awareness of time depends on our relationship in the holarchy to
the phenomenon of interest. Hold up your hand and look at it.
Would you call it a structure or a process? Most people would
call it a structure. The hand is also a process, however, in
fact, a set of a great many processes--it contains millions of
cells and perhaps billions of molecules, and these cells and
molecules are rapidly changing. But we are ordinarily not aware
of these processes. Why?
We are not aware of these processes because
we are so far above the levels of cells and molecules in the
holarchy that we can't perceive the dimension of time in which
these processes occur. This dimension of time is not irrelevant
to us. It is actually incorporated, along with the dimensions of
space, into the properties of cells and molecules that manifest
themselves to us as a hand. But because we can't see this
dimension of time, because we have completely transcended it, we
call the hand a structure.
Now consider what happens when we watch other
people, working, playing or engaging in other activities. What
do we see? I think most people would say they have some
awareness of both structure and process. We see other people as
separate, identifiable organisms, that is, as structures. But we
also have some awareness that they are moving and changing in
time, have relationships to other people, and so are part of a
process. Unlike the case with our hand, we have not transcended
the level on which other people live; it is in fact our level.
Since the stages on this level in which we exist have dimensions
of time as well as space, we have some awareness of this time,
and perceive events to some extent as processes.
Finally, consider the thoughts moving through
your mind. Are these thoughts structures or processes? Most
people would call them processes. Yet in the holarchical view,
they also involve interactions of holons, just as a body part
like the hand does, or people in various activities do. Why,
then, do we perceive our thoughts as processes? I will argue
later that we see them that way because the holons involved are
not below us, like cells and molecules, nor on our level, like
other people, but actually above us, in the form of the human
social organizations we belong to. Thoughts are what we see when
we look at these holons. And because they are above us, the main
way in which they differ from us is that they exist in
dimensions of time that are beyond those of individual
organisms. By virtue of our participation in these higher
dimensions, we can have some awareness of this time, and thus
our view of them is as processes.
To summarize, as we move up the holarchy, we
may see both structures and processes. When we transcend one
level, these structures and processes are synthesized, in our
perspective, in a new, higher-order structure which includes
both time and space in its dimensions. This higher-order
structure then may participate in new dimensions of time on the
next level. Both time and space are always around us, but
depending on where we are, and what we are looking at, we may be
more aware of space, as when we see a structure, or more aware
of time, when we see a process.The implications of this for
ourselves and our relationships to others will be discussed
further in Chapter 4.
Freedom
The principles developed in this chapter will
be encountered again and again as we examine higher levels of
existence. As we do encounter them, we will begin to appreciate
how analogous different levels of existence are. Yet we will
also see in a clearer fashion just what makes one level of
existence higher than another. For another important goal
of this book is to try to find a concept, or set of concepts,
that seem to express exactly what it means for one form of life
to be higher than another.
One such concept, that I want to introduce
now, is freedom. The word freedom obviously has many different
meanings to us, which makes it very difficult to give it a
precise definition. We talk about political freedom, religious
freedom, economic freedom, artistic freedom, even scientific
freedom. These different concepts may be related to each other,
but clearly are not the same thing. A person may experience, or
believe she experiences, some of these freedoms without
necessarily believing she enjoys all of them.
What all of our common-sense definitions of
freedom do seem to have in common, however, is a lack of social
constraints. We say that an individual is free to the extent
that she is not forbidden by social institutions to behave in
certain ways. Political freedom implies the ability to express
certain views, publicly as well as privately. Economic freedom
allows the individual to access certain publicly available goods
and services. Religious freedom permits not only certain kinds
of belief in God, but the public expression of these beliefs.
We also understand that there is no complete
individual freedom in our society. Human beings are not allowed
to behave in any way in which they are capable of behaving. We
are all constrained by certain laws as well as moral and ethical
sanctions. Even further, as I will discuss in Chapter 4, the
ways in which think and feel are also constrained by society.
Freedom can be understood in a very similar
way at lower levels of existence. Just as human beings are
constrained to some degree by their social organizations,
fundamental holons like atoms are constrained by their social
holons. In the previous section I pointed out that atoms, by
virtue of participating in social holons, could realize
higher-order, emergent properties. At the same time, however,
these fundamental holons also become subject to new limits. The
random, Brownian movements that autonomous atoms make are
tightly constrained when these atoms are bonded into molecules.
The buffering properties of an amino acid, as I noted earlier,
are lost when they are joined together into proteins. The
enzymatic activity of a protein may be highly regulated when
that protein is part of a supramolecular complex.
Thus while lower holons determine to some
extent the nature of higher holons, the latter constrain the
lower. This relationship is often expressed by saying that the
lower determines the possibilities of the higher, while the
higher determines the probabilities of the lower (Wilber 1995).
That is, the lower sets broad limits on the kind of higher
holons that can emerge, while the higher sets narrower limits on
the behavior of the lower holons. The nature of a cell is
constrained by the ways in which atoms can organize themselves
into higher holons, which in turn is reflected by the very
properties of atoms themselves. Conversely, the behavior of
atoms is constrained by their being in molecules, which are
further constrained by the molecules' being themselves
constrained in cells. So atoms, being at the bottom of the
numerous stages within a cell, exist within several layers of
constraints.
Just as fundamental holons are constrained by
social holons within any level of existence, we will see in the
following chapters that any level of existence is
constrained by still higher levels. While an atom is constrained
by a molecule, which in turn is constrained by a cell, a cell
for its part is constrained by holons of which it is a member,
such as a tissue; the tissue, in turn, is constrained by the
organism. So every form of existence is subject to a very large
number of constraints on its freedom.
This suggests that we may be able to use the
concept of freedom to describe the position of any form of life
in the holarchy. That is, we might say that the higher in the
holarchy a holon is, the freer it is. A cell is freer than a
molecule; a tissue freer than a cell; an organism freer than a
tissue. In each case, the new degree of freedom can be
appreciated in terms of the properties discussed in this
chapter. The higher is freer than the lower in the sense that it
exists in a greater number of dimensions; that it's more stable;
that it has a longer lifetime; and that it's subject to fewer
constraints.
As I pointed out earlier, we humans are
concerned largely with constraints emanating from within our own
level of existence, that is, those imposed on us by our social
institutions. Whenever the word "freedom" is used, it almost
always refers to freedom from some kind of social constraint.
But the holarchical view implies that there may be still more
constraints imposed on us from still higher levels of existence.
We will consider these matters later.