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Second-Order Cybernetics

On the Importance of Being Emergent


Peter Cariani • Harvard Medical School, USA • cariani@mac.com

> Upshot • Emergence and Embodiment is a highly worthwhile and well-


crafted collection of essays on second-order cybernetics that draws to-
gether ideas related to self-organization, autopoiesis, organizational clo-
sure, self-reference, and neurophenomenology. Chapters include articles
by Heinz von Foerster, Francesco Varela, Niklas Luhmann, George Spencer-
Brown, and Evan Thompson and external commentaries on them that
analyze the relevance of their ideas in the context of social and cultural
theory. Despite some projective distortions to cybernetics that arise from
the internal imperatives of culture criticism, the book contains many valu-
able insights and analyses of core ideas of cybernetics that significantly
advance our understanding of them.
book Review Second-Order Cybernetics

Cybernetics has always been a fertile Hansen; Varela collaborator and philoso-
ground for providing new perspectives on pher, Evan Thompson; John Protevi; and
our own nature and position in the world. Laura Brigham. George Spencer-Brown’s
As a theory of how observer-actors are calculus of distinctions and self-reference
(self-) organized so as to adapt to their sur- is the focus of essays by Michael Schiltz and Extended Review of “Emergence and
roundings in order to fulfill internal goals, Edgar Landgraf. Two essays, one by post- Embodiment: New Essays on Second-
cybernetics offers a universalistic, trans-hu- humanist Cary Wolfe on Luhmann’s social Order Systems Theory” edited by
man framework that explains how purpose systems theory and Derridean “theory,” and Bruce Clark and Mark B. N. Hanson.
and meaning are possible in both natural one by Ira Livingston on “neocybernetics” Duke University Press, Durham, 2009.
and artificial worlds alike. and “complex visuality” close the book. ISBN 978-0-6223-4600-5. 296 pages.
This book is a discussion of ideas con- The thematic center of the book revolves
cerning observer-actors and their interac- around autopoiesis, which ties together
tions that have evolved within the cyber- Francesco Varela’s personal recollections,
netics movement over the last 70 years. The Thompson’s and Protevi’s accounts of the
commentaries pertain to the intellectual his- evolution of Varela’s thinking from autopoi- even remotely interested in the evolution of
tory and philosophy of cybernetics, as seen esis to neurophenomenology, Hanson’s cybernetic thought. If one is already some-
through the eyes of contemporary cultural analysis of the problem of boundaries and what familiar with the basic theories and
86 theorists. Major themes involve open-ended closures, Luhmann’s discussion of differenc- personalities, the essays are, for the most
adaptive reciprocal informational transac- es between social and biological self-pro- part, satisfyingly thoughtful and insightful,
tions with external environments, organi- duction networks, Schiltz’s essay on Spencer well-crafted and well-motivated.
zational closure through self-production/ Brown’s calculus of self-reference, and Brig- Von Foerster’s ideas about “order-from-
autopoiesis, the problem of boundaries (rec- man’s application of Maturana’s autopoietic noise” and self-reference in self-organizing
onciling open-endedness of emergent inter- theory of cognition to cognitive neurology. systems come first. A brief interview with von
nal, external, and network transactions with The essays are either discourses that are Foerster in 2001 and an accompanying essay
boundaries and closure), self-reference, and internal to cybernetics itself or applications by Bruce Clarke very usefully discusses his
the relationship of autopoiesis to conscious- of cybernetics to social and cultural studies. somewhat inscrutable 1959 paper (Foerster
ness. Because presentations in cultural studies 1960) on the thermodynamics of self-orga-
The intellectuals at the core of the book are often more of provocative and evocative nizing systems. I am a long-time admirer of
are Heinz von Foerster, Francesco Varela, dances of ideas than straightforward expli- von Foerster from afar, both as a profound
Niklas Luhmann, and, to a lesser extent, cations of concepts, entailments, and effec- thinker and a beautiful human being, but
George Spencer-Brown. The volume in- tive uses, one should not look here for clear, I confess that I have always found Gordon
cludes newly-published posthumous inter- operational definitions of emergence, em- Pask’s provocative drawings that appear in
views, first person accounts, and English bodiment, autopoiesis, or self-organization. von Foerster’s paper more compelling than
translations of each of them, along with ad- I confess that my tastes run towards meaty, its thermodynamic arguments, which have
ditional articles on their work by others, in- grounded architectonics rather than concept always struck me as somewhat oblique. We
cluding: the editors, Bruce Clark and Mark salads, but there is plenty here for anyone know from biology that energetically open

Constructivist Foundations vol. 5, N°2


Second-Order Cybernetics
On the Importance of Being Emergent Peter Cariani

systems can and do complexify; the real W. Ross Ashby’s operationalist-pragmatist matter of self-description with the possibil-
questions are cybernetic rather than ther- theory of systems-as-models (Ashby 1956). ity of infinite regression, as platonists and
modynamic and involve how these systems Here, prior familiarity of cybernetics and contemporary higher-order theories of con-
bring into being new, emergent functional- systems theories can actually get in the way sciousness prefer, or is it a matter of circular
ities. How do observer-actors arise from the of understanding the specific references to sets of self-productions in which the dy-
dynamics of material systems? theories and ideas that the authors intend. namics of material systems naturally settle
Given the prominence of emergence in Clarke’s lens moves on to later works by down into stable, persistent, resonant states?
the title of book, one might have expected von Foerster, most of which can be found The former is disconnected from the mate-
more discussion of Gordon Pask’s ideas in the 2003 Understanding Understanding rial processes that might support it, while
concerning the emergence of concepts and collection of his papers (Foerster 2003). the latter is intimately connected to the rela-
relevance criteria in self-organizing systems Resonant eigenstates/eigenbehaviors and tional organization of the material substrate.
and the co-evolution of shared meanings in self-reference are recurring elements of von How are we to think of von Foerster’s self-
his conversation theory. Where von Foerster Foerster’s thought (and perhaps of all of our referential loops, Varela’s formalized self-
discusses emergence of new structures in thoughts). Neuroscientists from Ramon y referential autopoiesis (Varela 1979) and
abstract terms, Pask’s paper, “On the Natu- Cajal onwards through Rafael Lorente de Spencer Brown’s laws of form in this con-
ral History of Networks” (Pask 1960), which No and Warren S. McCulloch understood text? Should we be wary of potential mys-
appeared in the same proceedings, discusses full well that the brain is nothing if not sets tical and mysterian uses of self-reference?
in depth how a concrete (embodied), ill-de- of reciprocal-connections that form recur- Are paradoxes and circular logics created
fined electrochemical system can acquire a rent circuits. Half of McCulloch and Pitts’ by indefinite self-reference to be celebrated
new sensing capability (Cariani 1993). What seminal 1943 paper on neural networks as sources of freedom from linear logics or
is also somewhat disappointing is that, aside (McCulloch & Pitts 1943) dealt with “nets avoided entirely as confusing halls of mir-
from Evan Thompson’s comments on the with circles” capable of indefinite reverbera- rors? Should we worry about the seductions
emergence of consciousness, where emer- tion and memory that shifts time in order of ideal, platonic worlds, and the tempta-
gence does come up in the book, it only to liberate neural systems from dependence tions to lose ourselves and our theories
arises in connection with the emergence of on their immediate inputs. By the late 1940’s within them? Here, Michael Schiltz’s essay
complex forms in Stephen Wolfram’s com- there was a fairly widespread belief, usually on laws of form and social systems is a par-
putational worlds (Wolfram 2002) or the attributed to Karl Lashley and Donald Hebb ticularly welcome critical discussion of the
emergence of complex structures in Stuart (Orbach, 1998), that short-term memory relevance of Brown’s calculus of indications
Kaufmann’s dynamical systems (Kauffman processes responsible for ongoing informa- for cybernetics and social systems theory. As
1993). These latter two approaches are bril- tional integration in the waking state might Schiltz perceptively observes, “self-reference
liant within their own contexts and purposes, involve reverberating circuits of some sort. is infinity in finite guise” (p. 173). But if we
but they do not in any appreciable way deal Within this context, von Foerster proposed are speaking of real actor-observers with real
with the central “second-order” cybernetic that stable, resonant eigenstates of neural brains, the recursions of materially-realized
problems of emergence of, in and between activity might constitute different, switch- self-referential operations only go so deep,
observers. How do emergent functional or- able informational brain states (Foerster unlike the imaginary, endless tapes of Tur-
ganizations create new concepts, meanings, 1969). Particular internal network eigenbe- ing machines or indefinitely long, garden-
purposes, coordinations and communica- haviors can then function as stable mental path sentences of ideal grammars. 87
tions? One comes to understand only in ret- symbol-tokens (Rocha 1996). If one con- Some basic discussion of form-matter
rospect that the emergence in the title refers siders stable resonances in sensorimotor relations in the context of different, incom-
not to cybernetic conceptions of emergence, loops, then one has the eigenbehaviors of an mensurable “world hypotheses” is in order
but the emergence of second-order from individual. Pairs and groups of such adap- here. To my mind, three perspectives are
first-order cybernetics. Being an emergent, tively resonant agents form stable eigenbe- relevant in this context: materialist mech-
even insurgent, intellectual movement, and haviors, leading to communicative signaling anicism vs. hylomorphism (i.e., organiza-
therefore eligible for popular “post-” or networks with shared, adaptively coevolved tion embedded in matter) vs. platonic ideal
“neo” labels appears to be more important meanings and ever larger, growing circles of forms. These result in different conceptions
than the emergent phenomena that lie at stabilized, cooperative social behaviors. One of novelty (emergence), and different epis-
the center of the movement’s epistemology has an understanding of acquired, evolving, temologies (materialist realism vs. construc-
(more on this below). I had an analogous and subjective concepts and meanings that tivist pragmatism vs. platonic realism). I
revelatory moment when I realized that the is constructive and grounded in adaptivity would argue that most primary thinkers of
unfamiliar phrase “second-order systems rather than in somesort of realist account cybernetics have had an implicitly hylomor-
theory” in the book’s subtitle refers specifi- based on “objective” truth-values. So far, so phic philosophy that could be called “cyber-
cally to Luhmann’s social systems theory, good. netic functionalism.” Both first and second
which is simply called “systems theory” by A pertinent question here is how are we order cybernetics has always been very much
many of the authors, and not, say, Ludwig to think about the nature of the self-refer- biologically-inspired, conceiving of organ-
von Bertalanffy’s general systems theory or ences that are purportedly involved? Is it a isms immersed in and in constant infor-

http://www.univie.ac.at/constructivism/journal/5/2/086.cariani
mational and material exchange with their self-constructing and maintaining systems radically underestimates and misconstrues
environments, and seeking to understand that make meanings in order to fulfill em- the philosophies of many of the think-
how goals and meanings might be embed- bedded purposes. ers who made up the first wave (e.g., Mc-
ded in naturally evolved material organisms. In the context of these three worldviews, Culloch, Wiener, Ashby, Walter, von Foer-
In contrast to cybernetics, the dominant it is truly strange that in their introduction, ster, Pask, Beer, and one could add Piaget
culture of modern molecular biology reduc- Emergent Cybernetics, Clark and Hansen here as well). When one looks more closely
tionistically privileges the particularities of accuse Wiener, Ashby, and essentially all of at these thinkers, it becomes obvious that
material parts and local mechanisms over early cybernetics of a kind of platonistic dis- they had embodied and enactive systems
functional organization. On the other front, embodied separation of form from matter in mind from the start (see, for example,
platonic idealism, in symbolic AI ontologies (pp. 2–5). In a section entitled From Cyber- Asaro 2008a, 2008b; Cariani 2009; de Latil
of world-as-computation, and some sectors netics to Neocybernetics they say, 1956; Pickering 2002). The Embodied Mind
of artificial life, asserts the supremacy of (Varela, Thompson, & Rosch 1991) distantly
ideal form and the complete irrelevance of
matter. Pask and von Foerster’s cybernetic
“ One could generalize from Wiener and Ashby
– as well as from much of its popular offspring
echoes Embodiments of Mind (McCulloch
1965) in its title. Arguably, all of the germs
conceptions of self-organizing, emergent in cyberpunk and technoid fantasies – that first- of second-order cybernetics were already
systems that arise from (often hidden) ma- order cybernetics remains inscribed within classi- present in the movement by the mid-1950s,
terial dynamics are thus fundamentally dif- cal scientific thought: it holds on to humanist and but without a self-described distinction be-
ferent from Wolfram’s platonic visions. idealist dualisms that describe the world in terms tween observed and observing systems. The
book Review Second-Order Cybernetics

For the vast majority of cyberneticists, of an equivocal dialectic of matter and form, of ensuing Procrustean rewriting of the intel-
mathematics was regarded as a tool for de- substance and pattern, in which the immaterial lectual history of cybernetics to conform
scribing and analyzing relational organiza-
tion/order in material systems, and not a

wrests agency from the embodied (p. 4). to the dichotomous and faintly Manichean
structures of debates within cultural theory
model of or substitute for the ultimate nature The term “neocybernetics” has been does violence to our understandings of the
of the world. A useful test for distinguishing coined here, partly in order to distinguish ideas of cybernetics and their evolution.
between platonic and hylomorphic assump- conceptions of self-constructing and inter- I would instead argue that the first-or-
tions is to ask whether one thinks cellular acting emergent observer-actors (“second- der/second-order distinction is more of a
automata, either physically implemented or order cybernetics”) from feedback control difference in research orientation than un-
simulated, could realize an autopoietic sys- theory (“first-order cybernetics”). It also derlying philosophy, an inevitable difference
tem, such that one would regard it as a live serves as a new covering term that allows that was always and will always be present
organism. If autopoiesis necessarily entails a critical theorists of various orientations in in cybernetics. Some division will persist as
particular kind of organization embedded in the humanities to more freely and flexibly long as cybernetics remains a universalistic
a material substrate, such that a set of rela- import and selectively appropriate ideas movement that encompasses natural bio-
tions must be materially realized in order for of cybernetics without having to defend logical, psychological, and social systems on
it to be autopoietic, then one has adopted a the original ideas or their interpretations. the one hand, and artificial, designed sys-
hylomorphic conception. If the form of the Clarke and Hanson essentially dichotomize tems on the other. Those in science and en-
relations is all that counts, as in a simula- first- and second-order philosophies into gineering who are focused on understand-
88 tion or a physically-implemented cellular familiar modernist/postmodernist poles, ing the workings of biological organisms
automata that does not reproduce its own with an earlier, more naive, “technoscien- and the design of adaptive, artificial systems
hardware, then one has adopted a platonic tific” first-order phase, followed by a more understandably need to focus on the nuts-
perspective. sophisticated, self-reflexive emergent “neo- and-bolts of how physically-realized feed-
The three worldviews are complemen- cybernetic” second phase. The “importance back control and communications systems
tary ways of seeing the world, and are best of being emergent” here for their cultural operate. Those who are in the psychologi-
adapted to different realms. A reductionist theory discourse is to set up this early/late, cal and social sciences, on the other hand,
worldview is appropriate if you are a mo- modern/postmodern, realist/post-realist are focused on the qualitative and reflexive
lecular biologist searching for new molecu- opposition – this is why emergence figures dynamics of interpersonal interactions,
lar pharmaceutical interventions that can so prominently in the book’s title. While communications, and cooperations rather
switch the dynamics of cells, but that have there is some utility and historical truth in than on the underlying neural processes
no use for theories of life. A platonic, com- this distinction as a marker of intellectual and mechanisms that make these possible.
putationalist worldview is effective if you are identities and tribal allegiances within the Their different research contexts also make
a mathematician or computer scientist who cybernetics movement, the polemical con- for fundamental differences in method and
can imagine or program whole ideal worlds struction of the dichotomy causes Clark and style. A scientist or engineer needs to apply
into being by fiat. But a hylomorphic, cyber- Hansen to make mistakes of several kinds. a great deal of logical, empirical and prag-
netic functionalism is essential if you want The first mistake is to temporalize the matic rigor to concrete problems in order
to understand how real-world biological, first-order/second-order distinction, (ear- to receive funding for his or her work. In
psychological, and social systems work, as ly = first-order, late = second-order), which these kinds of performative contexts there is

Constructivist Foundations vol. 5, N°2


Second-Order Cybernetics
On the Importance of Being Emergent Peter Cariani

a natural reticence to publish more specu- cybernetics and these latter-day computa- paratus that it uses to interpret the world.
lative and philosophical excursions that tionalist approaches are poorly appreciated. This involves the adaptive construction of
might undermine one’s reputation for rigor, The antagonism, both philosophical and fi- sensors, both external and internal, that
even if one is thinking in “second-order” nancial, between cybernetics and AI seems make distinctions on the world. However,
terms. A systems therapist, cultural theorist, to be lost history. Artificial intelligence was although a self-constructed system chooses
or artist, on the other hand, is often in the born at a conference at Dartmouth in 1956 its own sensors (and in effect the percep-
position of inspiring colleagues and clients that was organized by McCarthy, Minsky, tual categories and observables that it uses
using the persuasive power of a novel ex- Rochester, and Shannon, three years after to engage the world), it does not choose the
planatory framework. Each to its own place. the Macy conferences on cybernetics had values of the signals it receives via those
We would not want poets designing our air- ended (Boden 2006; McCorduck 1972). The sensors. So such systems are organization-
planes, nor aeronautical engineers writing two movements coexisted for roughly a de- ally-closed because of their self-chosen ob-
our poetry. The first-order/second-order cade, but by the mid-1960s, the proponents servables but are informationally-open to
distinction as construed here, in parallel of symbolic AI gained control of national the world via the contingent interactions
perhaps with modernism/postmodernism, funding conduits and ruthlessly defunded of those constructed sensors with the envi-
is as much about attitude as it is about con- cybernetics research. This effectively liq- ronment. This distinction between sensors/
tent, whether one strives for clarity and res- uidated the subfields of self-organizing measuring devices/observables/categories
olution (even in lieu of certainty) or playful systems, neural networks and adaptive ma- and the contingent states of incoming sig-
ambiguity and imaginative possibility. With chines, evolutionary programming, biologi- nals allows for both clear organizational,
some of the second-order cybernetics, it can cal computation, and bionics for several de- functional boundaries and informational
sometimes be difficult to distinguish what is cades, leaving the workers in management, permeability. We invoke the concept of
meant metaphorically and even poetically therapy and the social sciences to carry “information” here in Ashby’s operational
from what is meant more conventionally. the torch. I think some of the polemical sense of reduction of internal contingency
But this is also part of its charm. pushing-and-shoving between first-order rather than in its now-taboo realist/refer-
In my mind the most exasperating mis- control theorists and second-order crowds entialist sense. If we recognize this duality
take the editors make is to conflate early that I witnessed in subsequent decades was of closed categories and open, contingent
cybernetics with symbolic AI and com- the cumulative result of a shift of funding, states, we can have our cake and eat it too,
puter science (as in the very first sentence membership, and research from the “hard” and thus avoid the false choices of either so-
of the teaser on the book’s back cover). The natural sciences to “soft” socio-psychologi- lipsism or realism.
“mathematical and engineering sides of cy- cal interventions. Clan wars ensue when the Evan Thompson’s interesting essay deals
bernetics” are characterized as “Artificial pool of natural resources dwindles. Rather with Varela’s transition from theories of life
Intelligence (AI), robotics, computer sci- than rows of gigantic moai statues on now- to theories of consciousness (neurophe-
ence, and command-control-communica- barren hills, we have left to us libraries of nomenology). Thompson discusses Varela’s
tions technologies” (pp. 34–35). Although monumental writings about profound ideas proposition that “life is cognition,” which
early cybernetics did encompass adaptive whose original meanings are rapidly being reminded me in some respects of Howard
control theory and some robotics (Grey lost to time. Pattee’s cell psychology (Pattee 1982). On
Walter’s autonomous tortoises), cybernet- Beyond problems of matter and form/ one level, one can agree that living organiza-
ics was and is quite distinct from comput- organization are issues of social autopoi- tions have embedded within their dynamics 89
er science and AI (“symbolic AI”). These esis, closure, enaction, and the relations of an implicit goal state of structural stability,
movements have fundamentally different matter, mind, and consciousness. Luhmann such that the adaptive “adjustment of inner
goals, founding concepts, and methods – discusses his own conceptions of self-or- to outer relations,” even on the cellular level,
cybernetics concerns the organization of ganization and autopoiesis in relation to can constitute a form of intentional, goal-
effective action in the world via the incor- Maturana’s in a talk, circa 1992, that was driven sense-making. On the other hand,
poration of ends into means, not the com- transcribed into German and subsequently living organization entails the ongoing re-
putational and representational possibili- translated into English for this volume by production of material parts and relations,
ties of symbol systems – but the urge seems Hans-Georg Moeller and editor, Bruce whereas the actions of specialized informa-
to be to crudely lump everything together Clark. Protevi’s illuminating chapter, Be- tional subsystems such as nervous systems
into one info-computational “technosci- yond Autopoiesis, discusses the evolution of entail adaptive switchings of functional
ence” that has given us “a computer on your Varela’s thinking regarding the application states rather than production of material
desk and an iPhone in your pocket” (p. 35). of autopiesis to social systems. He addresses components. An animal whose mental func-
When many cultural theory commenta- problems of closure and openness that are tions are temporarily interrupted by means
tors confuse cybernetics with artificial life raised by some of the tenets of autopoi- of general anesthesia is nevertheless still a
simulations, cellular automata, complexity etic theory in the context of postmodernist living organization; the question is whether
studies, and computational emergence a la wrangling over the status of boundaries. My one can have sense-making in the absence
Wolfram, one gets a sinking feeling that the own sense of organizational closure is that of a living organization, i.e., in a digital com-
profound philosophical differences between the organism constructs the physical ap- puter or robot. Thompson also discusses the

http://www.univie.ac.at/constructivism/journal/5/2/086.cariani
relationship of autopoiesis to Robert Rosen’s Standing on the foundations laid by References
metabolism-repair (M,R) systems (Letelier, both first- and second-order cybernetics,
Martin, & Mpodozis 2003). we should look to the future of cybernetic Asaro P. (2008a) Ashby’s embodied representa-
Thompson then considers the possi- theory. One of the goals of cybernetics today tions: Towards a theory of perception and
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road not (yet) taken. H. Freeman, San Francisco.

Constructivist Foundations vol. 5, N°2


Second-Order Cybernetics
On the Importance of Being Emergent Peter Cariani

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