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L. HULL
Abstract
Hull, David L. (Department of Philosophy, Universityof Wisconsin, Milwaukee, Wisconsin
53201) 1979. The Limits of Cladism. Syst. Zool. 28:416-440.-The goal ofcladistic systematics
is to discern sister-grouprelations (cladistic relations) by the methods of cladistic analysis
and to represent them explicitly and unambiguously in cladograms and cladistic classifications. Cladists have selected cladistic relations to represent fortwo reasons: cladistic relations
can be discerned with reasonable certaintyby the methods of cladistic analysis and they can
be represented with relative ease in cladograms and classifications. Cladists argue that features of phylogeny other than cladistic relations cannot be discerned with sufficientcertainty
to warrantattemptingto represent them in either cladograms or classificationsand could not
be represented if they could. I argue that a better alternative is to work toward improving
methods of cladistic analysis (or else to supplement them with other methods) so that such
features of phylogeny can be discerned and to devise methods of representationcapable of
representing them in both cladograms and classifications. However, cladograms and classifications cannot represent everythingabout phylogeny. It is better to represent one or two
aspects of phylogeny explicitly and unambiguously than nothing at all. [Cladism; classification; evolution; species.]
1979
LIMITS
OF CLADISM
417
particularfeatureof evolutionarydevel- sen, 1977; Wiley, 1979). Do the evoluopmentto represent.First,the Linnaean tionaryphenomenawhichcladisticanalhierarchy,as a list of indented names, ysis cannot discern actuallyexist? As I
lends itselfmorenaturallyto expressing understandevolution and evolutionary
discontinuousthan continuousphenom- theory,two of these phenomenaclearly
ena. Whetheror not evolutionis gradual occur (ancestorsgiving rise to descenor saltative,phylogenyis largelya matter dants and reticulateevolution),one is
ofsplittingand divergence.A hierachyof quite likely(multiplespeciation),and the
discretetaxanames is well-calculatedto fourthis doubtful(speciationwithoutderepresentsuccessivesplitting.
It is notas viation, although the unique derived
well-calculatedto representvaryingde- charactermaybe all butundetectable).Is
grees ofdivergence.Second, the cladists not the inabilityof cladisticanalysis to
argue thatorderof branchingcan be as- discern the preceding phenomena, ascertainedwithsufficient
certainty
to war- sumingthey take place, a limitationof
in themethodsofcladisticanalysis?Instead
rantthe inclusionof such information
a classificationwhile other aspects of of decliningto deal withsuch phenomphylogenycannotbe. The methodwhich ena because the methods of cladistic
cladistshave devisedto discoverorderof analysiscannotdiscernthem,perhaps a
branchingis cladisticanalysis.
betterstrategy
mightbe to attemptto imCladists arguethat,by and large,all a proveupon themethodsofcladisticanalhas togo on is thetraitsofthe ysis or to supplementthem with other
systematist
specimens before him, whether these methods.The crucial question with respecimens representextant or extinct spect to cladism,as I see it, is what is
forms.By studyinghis specimens,he can cladisticanalysis?Whatare its limits?Is
discovernestedsetsofcharacters.
Unique cladisticanalysisone wayofascertaining
derived charactersdistinguisha mono- phylogeny,the only way of ascertaining
phyleticgroupfromits nearestrelatives; phylogeny,the only way of obtaining
sharedderivedcharacterscombinethese knowledgeof any phenomena?
monophyletic
groupsintomoreinclusive
One factabout cladismwhich complimonophyletic
groups.In thiswaythesys- cates attemptsto answer the preceding
tematistcan ascertainnested sets of sis- questions is thatcladism,like all scienter-groups.This method,so cladists ar- tificmovements,is neither immutable
gue, cannotbe used to discerna variety normonolithic.At any one time,cladists
ofotherrelations-speciationwithoutthe can be founddisagreeingwitheach other
appearance of at least one unique de- about particularprinciplesand conclurived character, reticulate evolution, sions. In addition,if one tracesthe demultiple speciations,and the ancestor- velopmentofcladismthroughtime,from
descendantrelation-nor can any other its inception in the works of Hennig
method.
(1950), throughits introductionto EnSeveralquestionsariseat thisjuncture. glish-speaking systematists (Hennig,
If the Linnaean hierarchycannotrepre- 1965, 1966; Brundin, 1966; Nelson,
sent certainfeaturesof evolutionaryde- 1971a, 1971b, 1972a, 1972b, 1973a,
velopmentverywell, is not thata limi- 1973b, 1973c, 1974) to the latest publitationoftheLinnaeanhierarchy?
Instead cations of present-daycladists, signifiofrefusingto representwhata particular cantchangescan be discerned.The most
in significant
has difficulty
systemofrepresentation
change whichhas takenplace
representing,
a betteralternativemight in cladism is a transitionfromspecies
be to abandon or improvethatsystemof being primaryto charactersbeing priThis is one avenue which mary.For Hennig(1966, 1975) and Brainrepresentation.
the cladiststhemselveshave taken(Grif- din (1972a), the basic units of cladistic
fiths,1976; Hennig,1966; L0vtrup,1973; analysisare species, characterizedby at
Nelson, 1972a, 1973c; Pattersonand Ro- least one unique derivedcharacter.Now,
418
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1979
LIMITS
OF CLADISM
419
420
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1979
LIMITS
OF CLADISM
421
years.It no longermeansto cladistswhat numbers of organisms, and so on. HowMayr,Camin and Sokal proposed. The ever, as a diagram in two-dimensional
meanings of "cladism" and "cladistic space, a tree can include only so much
analysis" have changed accordingly.In informationbefore a point of diminishing
an attemptto reduce the confusionover returnssets in. Eventually attemptsto inthe meaning of "cladogram," cladists clude additional sorts of informationrehave introducedthe distinction
between sult in the loss of information.If trees are
cladograms,phylogenetictrees,and evo- supposed to be systems of information
lutionaryscenarios.'Once again,the par- storage and retrieval, the information
ticulartermsused to markthese distinc- must be retrievable.
tions are not important;the distinctions Scenarios, as cladists use the term,are
themselvesare. It is also true that the not diagrams. They are historical narracladists have devised these distinctions tives which attemptto describe not only
for their own purposes. Others might which groups gave rise to which (the sort
wantto drawotherdistinctions
orto draw of information contained in trees) but
these distinctions differently.In any also the ecological changes and evolucase, all threeappellationsreferto rep- tionary forces which actually produced
resentations,
notto thephenomenabeing the adaptations which characterize the
represented."Cladogram"and "tree" re- organisms discussed. Romer's (1955:57)
ferto two sortsofdiagrams,while "scen- storyof the role which the drying up of
ario" refers to a historical narrative ponds and streams played in the transicouched in ordinarybiologicallanguage. tion from the crossopterygians to early
Phylogenetictreesare designedto de- amphibians is by now a classic example
pict phylogeneticdevelopment,indicat- of an evolutionary scenario. Because
ing whichtaxaare extinct,whichextant, scenarios are presented in ordinary lanwhich gave rise to which,degrees of di- guage-supplemented
with a host of
vergence,and so on. As diagramstheydo technical biological terms-the phenomnot include discussionsof the methods ena which scenarios can describe are limused to constructthem,the naturalpro- ited only by the limitations of language.
cesses which produced the phenomena
Hennig's early cladograms (Hennig,
theydepict,and a varietyofotherconsid- 1950:103; 1966:59, 71) give every aperationsof equal importance.A tree is a pearance of being highly stylized trees.
diagram,not an entiretaxonomicmono- The circles arrayed along the top of the
graph.All sortsofconventionshave been diagram apparently represent extant
devised to representphylogenyin a dia- species, while those at the nodes repregrammaticform;forexample,lines usu- sent extinct,common ancestors (see Fig.
ally representlineages, forksrepresent la). At one stage in the development of
speciationevents,the slantand lengthof the cladogram, Nelson (1972b, 1973b) ara line reflectthe rapiditywithwhich di- gued thatthe circles at the nodes did not
vergencetookplace, and the termination represent real common ancestors but
ofa line indicatesextinction.
Othertech- "hypothetical ancestors." The term is
niques of representation
have also been problematic. All taxa thatever existed are
used on occasion; forexample,dots in- equally real. Only our ability to discern
dicatingquestionableconnections,lines them varies. We can usually discern exof varyingthicknessesreflecting
relative tant species with greater certaintythan
1 The distinctionbetween cladograms, trees, and
scenarios discussed in Tattersalland Eldredge (1977)
was taken froma manuscriptby Gareth Nelson. See
Mayr (1978) for early definitionsof such terms as
i'cladogram.. "phenogram," and "phylogram."
422
SYSTEMATIC
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ZOOLOGY
ciationevent(thesplittingofone species
intotwo),or the emergenceof an evolutionarynovelty(a unique derived character), or both. If the emergence of a
B
C
A
unique derived characteroccurs always
evolution of the cladogram. (a) A and only at speciation,thenthe two anFIG. 1.-The
cladogram in which the darkened circles at the tercoincide.Ifnot,not.Similar
mini represent extant species, while those at the swersalways
hold forthe term"cladistic
nodes representcommon ancestors. (b) A cladogram observations
in which the darkened circles at the termini rep- relation."It can referto orderofsplitting
resent species, both extant and extinct, while the of taxa,or to orderof appearanceof evocircles at the nodes represent "hypothetical com- lutionary
novelties,orboth.The decision
mon ancestors," i.e., morphotypes.(c) A cladogram
in which the darkened circles at the termini rep- hingeson how "operational"one wishes
resent species, both extant and extinct,while the to make cladisticanalysis.Since specianodes represent speciation events and/orthe emer- tion eventsare inferred
by means of the
gence of unique derived characters.
appearance of evolutionarynovelties,
one inferential
stepcan be eliminatedby
talkingonlyaboutthe emergenceofevocal species concept even when it is ap- lutionarynovelties and not speciation
plied to extantforms.)If extinctformsare events.
CERTAINTY
AND LEGITIMATE
DOUBT
One reasonforthecladists'introducing
the distinction between cladograms,
trees, and scenarios was to clarifythe
technicalsense in whichtheywere using
the term"cladogram."Too manypeople
were misinterpreting
cladogramsas bizarre,highlystylizedtrees.A second reason was to establishthe logical and epistemologicalpriorityof cladogramsover
treesand oftreesoverscenarios.As cladists definethese terms,an inclusionrelationexistsbetweenthem.Scenariosincontained in
clide all the information
trees,and more besides. Trees include
all theinformation
containedcladograms,
and morebesides. Thus, any knowledge
requiredfora cladogramis requiredfor
a tree,and anyknowledgerequiredfora
tree is required fora scenario,but not
vice versa. Thus, cladogramsare more
certainthantrees,and treesmorecertain
than scenarios.As harmlessas the distinctionbetween cladograms,trees,and
scenariosmayseem on the surface,it results in cladisticanalysisbeing in some
sense basic to all evolutionarystudies.
The relationsset out above do obtain
between cladograms,trees,and scenarios-as the cladists definethese terms.
That is one reason why non-cladists
But even
mightpreferotherdefinitions.
1979
LIMITS
OF CLADISM
423
424
SYSTEMATIC
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VOL. 28
gest any infallible means for deciding be known(or at least cannotbe known
whetheror not a traitis actuallya syn- withsufficient
to see whythey
certainty)
apomorphy.The same can be said for are so difficult
to discern.Is it thatthey
such relationsas the polarityof transfor-cannotbe known,or thattheycannotbe
mationseries. In fact,Tattersalland El- knownby means of cladisticanalysis?Is
dredge(1977:206) state,"In practiceit is thereno wayto acquireknowledgeofthe
hard, even impossible, to marshal a world other than by cladistic analysis?
strong,logical argumentfora given po- The pointofthissectionis,however,that
larity for many characters in a given the differencein our abilityto ascertain
group." The sortof argumentfromneg- cladisticrelationsand otherevolutionary
ative evidence which the cladists use phenomena is one of degree, not kind.
againstothersat the level of taxacan be Differencesir1degree of certaintyare
used againstthemat the level of traits. neitherveryneat noraesthetically.
pleasOf course,theiropponentsalso mustin- ing, but they are the most thatcladists
dividuateand categorizetraits.Thus, the can justifiablyclaim. Whatthey lose in
cladists' positionis refutedat only one elegance and simplicity,they gain in
level of analysis,while the position of plausibility.
their opponents is refutedat two. Put
Certaincladists,in morerecentpublimore directly,such argumentsrefuteno cations,seem to be movingin precisely
positionswhatsoever.
this direction.For example, Eldredge
The cladistshave weakened the force (1979:169) statesthat,contrary
to his earoftheirarguments
by presentingthemin lier opinions:
a needlessly dichotomousfashion.The
I no longer oppose the constructionof phylogeonlythingthattheyneed to knowto protrees outright,or for that matter, scenarnetic
duce cladogramsare cladistic relations, ios (which
are, afterall, the most fun),but mereand theyare knowable.Otherswho wish
ly point out that, in moving through the more
to produce trees need to know much
complex levels, we inevitablybecome furtherremoved fromthe original data base in adding asmore; e.g., ancestor-descendantrelasumptions and ad hoc (and largely untestable)
tions, the existence of multiplespeciahypotheses. As long as we understand precisely
tion and reticulateevolution,etc. These
what we are doing at each step in the analysis,
phenomenaare totallyunknowable.The
which includes having an adequate grasp of the
cladists need not present such an exprobability that we are wrong and of what the
assumptions are what we have added along the
treme(and suspiciouslyself-serving)
pothere no longer seems to me any reason for
sition. Estimationsof cladisticrelations way,
anyone to tell anyone else what not to do.
are inferencesand as such carrywith
themthe possibilityoferror.However,it
Althoughthoseworkersengagedin the
is certainlytrue that everythingwhich productionof trees and scenariosmight
the cladistsneed to knowthe evolution- differwith Eldredge on the situation
ists also need to know,while the evolu- beingas extremeas he makesitoutto be,
tionists need to know more besides. theytoo are aware ofthe difficulties.
For
These additionalphenomenaalso carry example,Lucchese (1978:716) concludes
withthema certaindegree ofuncertain- a paper on the evolutionof sex chromoty. Hence, evolutionaryclassifications somes withthe followingremarks:
are bound to be moreuncertainthancladistic classifications.The question re... foran individual to professan insightinto the
mainswhetherall evolutionary
phenom- biological changes that have occurred
through
ena otherthan cladisticrelationsare so
time remains an act of faithof considerable magnitude. [Yet, within]the limitationsjust set forth,
uncertainthatno attemptshouldbe made
the purpose of this article has been to spin a relto include information
about them in a
atively reasonable evolutionary tale in the hope
In the succeedingsections
classification.
of expanding the currentperception of a highly
of this paper, I will investigatevarious
significantexample of genetic regulation in euphenomenawhich cladistsargue cannot
karyotes.
1979
THE PRINCIPLE
LIMITS
OF CLADISM
OF DICHOTOMY
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OF CLADISM
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LIMITS
OF CLADISM
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knewpreciselywhichfossilsthesewere.
Perhapspaleontologistshave been overly enthusiastic in identifyingmissing
linksand commonancestors,but I findit
hard to believe thattheyhave been this
foolhardy.As Harper (1976) and others
have pointed out, paleontologistsrarely
specifya particularspecies as a common
ance*stor.Almost always a genus or
highertaxonis specified.When paleontologistsclaim that one genus or other
highertaxonarose fromanother,theydo
not mean thathighertaxa "evolve," althoughat one time macroevolutionwas
more popular than it is now. All they
mean is thatthe species whichis ancestral to this highertaxon,if it were ever
discovered,would be placed in thetaxon
whichhas been specifiedas being ancestral.For example,whetheror not specimens of the actual species which gave
riseto amphibianshave been discovered,
whetheror nottheycould be recognized
as such iftheywere,Romeris committed
to the view thatthey would be placed
Nor are paamongthe crossopterygians.
leontologistsnecessarily committedto
Even
ofmonophyly.
Simpson'sdefinition
thoughthey may be willing to specify
only a genus or otherhighertaxonas a
commonancestor,theymaystillhave the
goal of makingall highertaxa monophyletic at the species level and would redrawthe boundariesof theirhighertaxa
if theybecame convincedthata higher
taxonwas descended fromtwo or more
species, even thoughthese species were
all includedin a highertaxonofequal or
lower rank.But it mustalso be admitted
thatclaiminga highertaxonas a common
ancestoris not as empiricalas claiming
thata particularspecies is. Higher taxa,
as theyare usuallyconstructed,
are largely a functionofthe principlesof classification adopted (Engelmann and Wiley,
1977).
Harper(1976) also presentseightprinciples which he thinkscan help distinrelationsfromancesguish sister-group
relations.All of Harper's
tor-descendant
principlescannotbe discussedhere,but
one is sufficiently
importantto warrant
430
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OF CLADISM
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432
SYSTEMATIC
time (Simpson, 1961; Mayr, 1963; Ghiselin, 1974; Hull, 1976, 1978; Wiley,
1978). Cohesiveness at any one time and
continuitythroughtime are what matter,
not phenotypic or even genotypic similarity.Some lineages may diverge extensively through time without splitting;
some not. It does not matter.A continuously evolving lineage should no more
be divided into distinct species than an
organism undergoing ontogenetic development should be divided into distinct
organisms. These same considerations
apply to the other situations shown in
Fig. 3.
Cladists argue thatnew species should
be recognized only when splitting occurs. In non-saltative speciation, temporal continuityis maintained, but the cohesiveness of the lineage is disrupted.
They also argue that whenever splitting
takes place, the ancestral species must be
considered extinct. Bonde (1975:295)
characterizes Hennig's position as follows:
By the process of speciation the ancestral species
is split into two new species called sisterspecies
(or daughterspecies) .... That the two sisterspecies are new and the ancestral species becomes
extinct at the speciation is most practical for a
consistent terminology,and it also follows frorn
Hennig's species concept, and fromthe definition of phylogenetic relationship below (cf.
Brundin, 1972a: 118).
ZOOLOGY
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OF CLADISM
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SYSTEMATIC
RULE
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The rule of deviation also has a methodological form.Whether or not speciation is always accompanied by the production of at least one unique derived
characterin one of the groups,5ifno such
character is discernible, the groups will
not be discernible by the methods of cladistic analysis. Of course, they will not
be discernible by any other methods
either. It is unlikely (probably impossible) for speciation to occur without at
least one new character developing, but
if "character" is used in its traditional
sense to refer to such things as tooth
structure,feathercolor, type ofblood proteins, peculiarities in mating dance, etc.,
it may be the case that speciation can occur without the production of a distinguishing featureof the sortthata systematist is likely to notice. He can know that
the two groups are two groups because
they do not mate. He may even be able
to tell which group is which because they
inhabit differentranges. But he will not
be able to decide which species a specimen belongs to merely by examining it.
(Of course, one might redefine the term
"character" to include spatial location or
some such.)
For those cladists who see theirtask as
the recognition of species and the grouping of these species into more and more
inclusive taxa, the discovery of the appropriate unique derived characters and
shared derived characters is crucial. It is
very likely that the relevant characters
exist. The task is to discover and categorize them appropriately. The cladists
1979
LIMITS
OF CLADISM
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438
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EINSTEIN,
1979
LIMITS
OF CLADISM
439
Syst.Zool. 28:1-21.
NITA, S. C. 1971. Establishingthe linkageof differentvariantsofa Romanianchronicle.In Hodson, F. R., D. G. Kendall,and P. Tautu (eds.),
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