Janus: A Summing Up

by Arthur Koestler

  * See above, Prologue. ** The term 'information' in modern communication-theory is used in a more general sense than in common parlance. Information includes anything from the colour and taste of an apple to the Ninth Symphony of Beethoven. Irrelevant inputs convey no information and are called 'noise' -- on the analogy of a noisy telephone line.

  But though apparently quite common in children, eidetic memory tends to vanish with the onset of puberty, and is rare among adults. Children and primitives live in a world of visual imagery. In William Golding's novel The Inheritors, the author makes his Neanderthalers say, instead of 'I have thought of something,' 'I have a picture in my head.' The eidetic child's way of 'imprinting' pictures on the mind may represent a phylogenetically and ontogenetically earlier form of memory formation -- which is lost when abstractive, conceptual thinking becomes dominant.

  To sum up, abstractive memory, operating through multiple interlocking hierarchies, strips down the input to bare essentials according to each hierarchy's criteria of relevance. Recalling the experience requires dressing it up again. This is made possible, up to a point, by the cooperation of the hierarchies concerned, each of which contributes those aspects it has deemed worth preserving. The process is comparable to the superimposition of colour-plates in printing. Added to this are 'spotlight' memories of vivid details which may include fragments of eidetic imagery, and carry a strong emotive charge. The results of this exercise in re-creating the past is a kind of collage, with glass eyes and a strand of genuine hair stuck on to the hazy, schematized picture.

  15

  When the centipede was asked in which precise order it moved its hundred legs, it became paralysed and starved to death because it had never thought of this problem before and had left its legs to look after themselves. When an intent is formed at that top level of the hierarchy which we call the conscious self -- an intent such as tying one's shoelaces or lighting a cigarette -- it does not directly activate the contractions of individual muscles, but triggers off a coordinated pattern of impulses -- functional holons -- which activates sub-patterns, and so on. But this can only be done one step at a time; the top echelons in the hierarchy do not normally have direct dealings with the lowly ones, and vice versa. Brigadiers do not concentrate their attention on individual soldiers; if they did, the operation would go haywire. Signals must be transmitted by 'regulation channels' as the army calls them, i.e., step by step up or down the levels of the hierarchy.

  This statement may sound trivial, but ignoring it carries penalties of various kinds. The short-circuiting of intermediary levels by focusing conscious attention on activities which otherwise proceed automatically, usually ends in the centipede's predicament -- reflected in symptoms that range from the awkward condition we call 'self-conscious' behaviour to disorders such as impotence, stuttering or spastic colons. Viktor Frankl, the founder of 'logotherapy', coined the term 'hyper-reflection' for disorders of this type. [25]

  On the other hand, the ancient practices of Hatha Yoga and some derivative techniques at present much in vogue aim at deliberate control of visceral and neural processes (including the alpha waves of the brain), through meditation aided by biofeedback gadgets. But under normal conditions, the 'one-step rule' holds in all types of hierarchies -- from ontogeny and phylogeny to social institutions and the processing of the sensory input on its step-wise ascent from the receptor organs to consciousness.

  16

  I have repeatedly referred to the 'apex' of the hierarchy. Some hierarchies do indeed have a well-defined apex or peak, and a definite bottom level -- e.g., a small business enterprise with a single proprietor and a stable work force. But the grand holarchies of existence -- whether social, biological or cosmological -- tend to be 'open-ended' in one or both directions. A laboratory chemist, analysing a chemical compound, is engaged in a stepwise operation, where the apex of his tree -- the sample to be analysed -- is on the molecular level of the hierarchy, branching into chemical radicals, branching into atoms. For his particular purpose this hierarchy of a limited number of levels is sufficient. But from a broader point of view, which takes into account sub-atomic processes, what appears to the chemist as a complete tree turns out to be merely a branch of a more comprehensive hierarchy. Just as holons are, by definition, sub-wholes, so all branches of a hierarchy are sub-hierarchies, and whether you treat them as 'wholes' or 'parts' depends on the task in hand. The chemist need not bother about the so-called elementary particles which, as somebody remarked, have a disconcerting tendency not to remain elementary for very long, and seem to consist ultimately -- or penultimately -- of patterns of energy-concentration or stresses in the universal foam of space-time. Our laboratory chemist can safely ignore these surrealistic developments in modern quantum physics; but he must not forget -- under the penalty of mental dehydration -- that his tidy little hierarchic tree extends only through a very limited number of levels in the great open-ended hierarchies of being.

  The same applies at the other end of the scale to the astronomer faced with the wheels -- within -- wheels display of solar systems, galaxies, galactic clusters and the possibility of parallel universes in hyper-space.

  By way of a summary, I would like to call the reader's attention to Appendix I, 'Beyond Atomism and Holism -- The Concept of the Holon'. This is the edited text of a paper read at the Alpbach Symposium which attempts to put into concise form the characteristic properties of open hierarchic systems discussed in this chapter (and also some other properties, still to be discussed).

  II

  BEYOND EROS AND THANATOS

  1

  One further universal characteristic of holarchic order which remains to be discussed is of such basic importance that it deserves a chapter to itself.

  The holons which constitute a living organism or a social body are, as we have seen, Janus-like entities: the face turned towards the higher levels in the holarchy is that of a subordinate part in a larger system; the face turned towards the lower levels shows a quasi-autonomous whole in its own right.

  This implies that every holon is possessed of two opposite tendencies or potentials: an integrative tendency to function as part of the larger whole, and a self-assertive tendency to preserve its individual autonomy.

  The most obvious manifestation of this basic polarity is found in social holarchies. Here the autonomy of the constituent holons is jealousy guarded and asserted on every level -- from the rights of the individual to those of clan or tribe, from administrative departments to local governments, from ethnic minorities to sovereign nations. Every social holon has a built-in tendency to preserve and defend its corporate identity. This self-assertive tendency is indispensable for maintaining the individuality of holons on all levels, and of the hierarchy as a whole. Without it, the social structure would dissolve into an amorphous jelly or degenerate into a monolithic tyranny. History provides many examples of both.

  At the same time the holon is dependent on, and must function as an integrated part of the larger system which contains it: its integrative or self-transcending tendency, resulting from the holon's partness, must keep its self-assertive tendency in check. Under favourable conditions, the two basic tendencies -- self-assertion and integration -- are more or less equally balanced, and the holon lives in a kind of dynamic equilibrium within the whole -- the two faces of Janus complement each other. Under unfavourable conditions the equilibrium is upset, with dire consequences.

  We thus arrive at a basic polarity between the self-assertive tendency and the integrative tendency of holons on every level, and, as we shall see, in every type of hierarchic system. This polarity is a fundamental feature of the present theory and one of its leitmotifs. It is not a product of metaphysical speculation, but is in fact implied in the model of the multi-levelled holarchy, because the stability of the model depends on the equilibration of the dual aspects of its holons, as wholes and as parts. This polarity or coincidencia oppositorum is present in varying degrees in all manifestations of lif
e. Its philosophical implications will be discussed in later chapters; for the time being let us note that the self-assertive tendency is the dynamic expression of the holon's wholeness, its integrative tendency the dynamic expression of its partness.*

  * For 'integrative tendency' I shall occasionally use as synonymous: 'participatory' or 'self-transcending' tendency.

  As far as the holons in social hierarchies are concerned, the polarity is obvious -- shouting at us from the headlines of the daily newspaper. But in less obvious ways the dichotomy of self-assertion versus integration is ubiquitous in biology, psychology, ecology and wherever we find complex hierarchic systems -- which is practically everywhere around us. To paraphrase Gertrude Stein again: a whole is a part is a whole. Each sub-whole is a 'sub' and a 'whole'. In the living animal or plant, as in the body social, each part must assert its individuality, for otherwise the organism would lose its articulation and disintegrate; but at the same time the part must submit to the demands of the whole -- which is not always a smooth process.

  We have seen earlier on that each part of the living creature, from complex organs down to the organelles inside the cell, has its intrinsic rhythm and pattern of activity, governed by its own built-in code of rules, which makes it function as a quasi-independent unit. On the other hand, these autonomous activities of the holon are released, inhibited and modified by controls on higher levels of the hierarchy which act on the holon's integrative potential and make it function as a subordinate part. In a healthy organism as in a healthy society, the two tendencies are in equilibrium on every level of the hierarchy. But when exposed to stress, the self-asserting tendency of the affected part of the organism or society may get out of hand -- i.e., the part will tend to escape the restraining controls of the whole. This can lead to pathological changes -- such as malignant growths with an untrammelled proliferation of tissues which have escaped genetic restraint. On a less extreme level, virtually any organ or function may get temporarily and partially out of control. In rage and panic the sympathico-adrenal apparatus takes over from the higher centres which normally coordinate behaviour; when sex is aroused, the gonads seem to take over from the brain. The idée fixe, the obsession of the crank, are cognitive holons running riot. There is a wide range of mental disorders in which some subordinate part in the cognitive hierarchy exerts a tyrannical rule over the whole, or in which some chunks of the personality seem to have 'split off' and lead a quasi-independent existence. The most frequent aberrations of the human mind are due to the obsessional pursuit of some part-truth, treated as if it were the whole truth -- a holon masquerading as the whole.

  In the routines of everyday existence both tendencies are in constant interplay. The self-assertive tendency is manifested on every level of the hierarchies of behaviour: in the stubbornness of instinctive rituals in animals and of acquired habits in men; in tribal traditions and social customs; and even in a person's individual gait, gestures or handwriting, which he might be able to modify, but not sufficiently to fool the expert; the holons of his graphological style defend their autonomy. It is the integrative tendency, equally ubiquitous, which prevents us from becoming complete slaves of our habits and freezing into automata; it is manifested in flexible strategies, original adaptations, and creative syntheses which originate higher, more complex and integrated forms of thought and behaviour, adding new levels to the open-ended hierarchy.

  2

  The basic polarity is much in evidence in the phenomena of emotive behaviour on the individual and social scale. No man is an island; he is a holon. Looking inward, he experiences himself as a unique, self-contained, independent whole; looking outward as a dependent part of his natural and social environment. His self-assertive tendency is the dynamic manifestation of his individuality; his integrative tendency expresses his dependence on the larger whole to which he belongs, his partness. When all is well, the two tendencies are more or less evenly balanced. In times of stress and frustration, the equilibrium is upset, manifested in emotional disorders. The emotions derived from the frustrated self-assertive tendencies are of the well-known, adrenergic, aggressive-defensive type: hunger, rage and fear, including the possessive components of sex and of parental care. The emotions derived from the integrative tendency have been to a large extent neglected by academic psychology: one may call them the self-transcending type of emotions. They arise out of the human holon's need to belong, to transcend the narrow boundaries of the self and to be part of a more embracing whole -- which may be a community, a religious creed or political cause, Nature, Art, or the anima mundi.

  When the need to belong, the urge towards self-transcendence is deprived of adequate outlets, the frustrated individual may lose his critical faculties and surrender his identity in blind worship or fanatical devotion to some cause, regardless of its merits. As we have seen earlier on, it is one of the ironies of the human condition that its ferocious destructiveness derives not from the self-assertive, but from the integrative potential of the species. The glories of science and art, and the holocausts of history caused by misguided devotion, were both nurtured by the self-transcending type of emotions. For the code of rules which defines the corporate identity, and lends coherence to a social holon (its language, laws, traditions, standards of conduct, systems of belief) represents not merely negative constraints imposed on its activities but also positive precepts, maxims and moral imperatives. In normal times, when the social hierarchy is in equilibrium, each of its holons operates in accordance with its code of rules, without attempting to impose it on others; in times of stress and crisis, a social holon may get over-excited and tend to assert itself to the detriment of the whole, just like any over-excited organ or obsessive idea.

  3

  The dichotomy of wholeness and partness, and its dynamic manifestation in the polarity of the self-assertive and integrative tendencies is, as already said, inherent in every multi-levelled hierarchic system, and implied in the conceptual model. We find it reflected even in inanimate nature: wherever there is a relatively stable dynamic system, from atoms to galaxies, its stability is maintained by the equilibrium of opposite forces, one of which may be centrifugal -- i.e., inertial or separative, the other centripetal, i.e., attractive or cohesive, which binds the parts together in the larger whole, without sacrifice of their identity. Newton's first law -- 'Every body continues in its state of rest or uniform motion in a straight line unless compelled by a force to change that state' -- sounds like a proclamation of the self-assertive tendency of every speck of matter in the universe; while his Law of Gravity reflects the integrative tendency.*

  * In a science-fiction play, written many years ago, I had a visiting maiden from an alien planet explain the central doctrine of its religion: '... We worship gravitation. It is the only force which does not travel through space in a rush; it is everywhere in repose. It keeps the stars in their orbits and our feet on our earth. It is Nature's fear of loneliness, the earth's longing for the moon; it is love in its pure, inorganic form.' (Twilight Bar, 1945.)

  We may venture a step further, and regard the Principle of Complementarity as an even more basic example of our polarity. According to this principle, which dominates modern physics, all elementary particles -- electrons, photons, etc. -- have the dual character of corpuscles and waves: according to circumstances they will behave either as compact grains of matter, or as waves without substantial attributes or definable boundaries. From our point of view, the corpuscular aspect of the electron -- or any elementary holon -- manifests its wholeness and self-assertive potential, while its wave-character manifests its partness and integrative potential.*

  * Another instance of thc polarity of inanimate nature is reflected in Mach's Principle, which connects terrestrial inertia with the total mass of the universe; see below, Ch. XIII.

  4

  Needless to say, the manifestations of the two basic tendencies appear in different guises on different levels of the hierarchy, according to the specific codes --
or 'organizing relations' -- characteristic of that level. The rules which govern the interactions of sub-atomic particles are not the same rules which govern the interactions between atoms as wholes; and the ethical rules which govern the behaviour of individuals are not the same rules which govern the behaviour of crowds or armies. Accordingly, the manifestations of the polarity of self-assertive and integrative tendencies, which we find in all phenomena of life, will take different forms from level to level. Thus, for example, we shall find the polarity reflected as: