Chapter 1. What Is Emergence?

If you wish to make an apple pie from scratch, you must first invent the universe.

—Carl Sagan, Cosmos

For most of us, the notion of emergence is tough to grasp because the concept is just entering our consciousness. When something new arises, we have no simple, shorthand language for it. The words we try seem like jargon. So we stumble with words, images, and analogies to communicate this whiff in the air that we can barely smell. We know it exists because something does not fit easily into what we already know.

Emergence disrupts, creates dissonance. We make sense of the disturbances that emergence creates partially through developing language that helps us to tease out useful distinctions. As the vocabulary to describe what is emerging becomes more familiar, our understanding increases. For example, disturbance, disruption, and dissonance are part of the language of engaging emergence. These terms are cousins, and I often use them interchangeably. Disruption is the most general of the three words. If something involves an emotional nuance, chances are that I call the disruption a disturbance. When conflict is involved or the disruption is particularly grating, with a lack of agreement or harmony, I will likely refer to its dissonance.

This chapter helps build a vocabulary we can all use by defining emergence. The chapter also provides a brief history of how our understanding of emergence has evolved. It offers some distinctions between strong and weak emergence and describes essential characteristics of emergence—what it looks like and how it behaves. The chapter ends by reflecting on the challenge of learning how to engage emergence.

Defining Emergence

In the preface, I defined emergence as simply as possible: order arising out of chaos. A more nuanced definition is higher-order complexity arising out of chaos in which novel, coherent structures coalesce through interactions among the diverse entities of a system. Emergence occurs when these interactions disrupt, causing the system to differentiate and ultimately coalesce into something novel.

Key elements of this definition are chaos and novelty. Chaos is random interactions among different entities in a given context. Think of people at a cocktail party. Chaos contains no clear patterns or rules of interaction. Make that a cocktail party in which no single culture prevails, so that no one is sure how close to stand to others, whether to make eye contact, or whether to use first or last names. Emergent order arises when a novel, more complex system forms. It often happens in an unexpected, almost magical leap. The cocktail party is actually a surprise party, and everyone knows where to hide and when to sing “Happy Birthday.”

Emergence produces novel systems—coherent interactions among entities following basic principles. In his bestseller Emergence, science writer Steven Johnson puts it this way: “Agents residing on one scale start producing behavior that lies one scale above them: ants create colonies; urbanites create neighborhoods; simple pattern-recognition software learns how to recommend new books.”1 Emergence in human systems has produced new technologies, towns, democracy, and some would say consciousness—the capacity for self-reflection.

A Short History of Emergence

If we want to engage emergence, understanding its origins helps. Scientist Peter Corning offers a brilliant essay on emergence.2 He brought a multitude of sources together to describe an evolution in perspectives. I have paraphrased some highlights:

  • Emergence has gone in and out of favor since 1875. According to philosopher David Blitz, the term was coined by the pioneer psychologist G. H. Lewes, who wrote, “[T]here is a co-operation of things of unlike kinds. The emergent is unlike its components . . . and it cannot be reduced to their sum or their difference.” By the 1920s, the ideas of emergence fell into disfavor under the onslaught of analysis. Analysis was seen as the best means to make sense of our world. In recent years, nonlinear mathematical tools have provided the means to model complex, dynamic interactions. This modeling capability has revived interest in emergence—how whole systems evolve.
  • Emergence is intimately tied to studies of evolution. Herbert Spencer, an English philosopher and contemporary of Darwin’s, described emergence as “an inherent, energy-driven trend in evolution toward new levels of organization.” It described the sudden changes in evolution—the move from ocean to land, from ape to human.

Although evolutionary scientists have done much of the work, people from a variety of disciplines have also struggled to explain this common and mysterious experience. What enables an unexpected leap of understanding in a field of study or practice? In 1962, Thomas Kuhn contributed to our understanding by coining the term paradigm shift to describe a tradition-shattering change in the guiding assumptions of a scientific discipline.3

Then the Santa Fe Institute, a leader in defining the frontiers of complex systems research, took the work further. Engagingly told by Mitchell Waldrop in his book Complexity, the story of how the Santa Fe Institute was born reads like a great adventure.4 In the mid-1980s, a hunch brought biologists, cosmologists, physicists, economists, and others to the Los Alamos National Laboratory to explore odd notions about complexity, adaptation, upheavals at the edge of chaos.5 Though their disciplines used different terms, they shared a common experience with this strange form of change. They were no longer alone with their questions. Others were exploring the same edges.

They gave this experience a name: emergent complexity, or emergence for short. While emergence has aspects of the familiar—Mom’s nose, Dad’s eyes—it is its own notion. It isn’t just integrating old ideas with what’s new. It is something more—and different. It is whole systems evolving over time. Single-cell organisms interact, and multicellular creatures emerge. Humans become self-conscious and track their own evolution.

In Emergence, Steven Johnson speaks of how our understanding of emergence has evolved.6 In the initial phase, seekers grappled with ideas of self-organization without language to describe it. Without a coherent frame of reference, the ideas were like a magician’s illusion: our attention was diverted to the familiar while the real action was happening unseen in front of our noses.

As language emerged—complexity, self-organization, complex adaptive systems—a second phase began. These terms focused our attention in new directions. People started coming together across disciplines to understand the nature of these patterns. The Santa Fe Institute was central to this phase.

During the 1990s, we entered a third phase, applied emergence, in which we “stopped analyzing emergence and started creating it.”7 In other words, we could see emergence occurring naturally in phenomena like anthills. And we started working with it—for example, developing software that recognizes music or helps us find mates.

This book is about creating conditions for applied emergence in our social systems. It aims to help us work with the dynamics of emergent complexity so that our intentions are realized as life-serving outcomes.

Distinctions Between Weak and Strong Emergence

Scientists distinguish two forms of emergence: weak and strong emergence. Understanding this distinction clears up some confusion. Predictable patterns of emergent phenomena, such as traffic flows and anthills, are examples of weak emergence. In contrast, strong emergence is experienced as upheaval. When disruptions dramatically change a system’s form, as in revolutions and renaissances, strong emergence has occurred.

Weak emergence describes new properties arising in a system. A baby is wholly unique from its parents, yet is basically predictable in form. In weak emergence, rules or principles act as the authority, providing context for the system to function. In effect, they eliminate the need for someone in charge. Road systems are a simple example.

Strong emergence occurs when a novel form arises that was completely unpredictable. We could not have guessed its properties by understanding what came before. Nor can we trace its roots from its components or their interactions. We see stories on television. Yet we could not have predicted this form of storytelling from books.

As strong emergence occurs, the rules or assumptions that shape a system cease to be reliable. The system becomes chaotic. In our social systems, perhaps the situation is too complex for a traditional hierarchy to address it. Self-organizing responses to emergencies are an example. Such circumstances give emergence its reputation for unnerving leaps of faith.

Yet emergent systems increase order even in the absence of command and central control: useful things happen with no one in charge. Open systems extract information and order out of their environment. They bring coherence to increasingly complex forms. In emergent change processes, setting clear intentions, creating hospitable conditions, and inviting diverse people to connect does the work. Think of it as an extended cocktail party with a purpose.

Characteristics of Emergence

Although the conversation continues, scientists generally agree on these qualities of emergence:

Radical novelty—At each level of complexity, entirely new properties appear (for example, from autocracy—rule by one person with unlimited power—to democracy, where people are the ultimate source of political power)

Coherence—A stable system of interactions (an elephant, a biosphere, an agreement)

Wholeness—Not just the sum of its parts, but also different and irreducible from its parts (humans are more than the composition of lots of cells)

Dynamic—Always in process, continuing to evolve (changes in transportation: walking, horse and buggy, autos, trains, buses, airplanes)

Downward causation—The system shaping the behavior of the parts (roads determine where we drive)

The phrase “The whole is greater than the sum of its parts” captures key aspects of these ideas. Birds flock, sand forms dunes, and individuals create societies. Each of these phrases names a related but distinct system. Each system is composed of, influenced by, but different from its mate: birds and flocks, sand and dunes, individuals and societies.

As with all change, emergence occurs when disruptions shape the interactions. In emergence, coherence breaks apart; differences surface and re-form in a novel system. The two most frequently cited dynamics:

No one is in charge—No conductor is orchestrating orderly activity (ecosystems, economic systems, activity in a city).

Simple rules engender complex behavior—Randomness becomes coherent as individuals, each following a few basic principles or assumptions, interact with their neighbors (birds flock; traffic flows).

Twelve-step programs characterize these ideas at work. Most participants are fiercely independent people who are not there to follow someone in authority. Yet with the guidance offered through 12 statements, these programs are highly complex, worldwide organizations that have influenced the lives of millions.

No doubt the simplicity of these two dynamics may leave many senior executives and government agency heads skeptical. No one is in charge? Not likely. Isn’t it interesting that the word order is a term for issuing instructions? What happens when orders come from the top? If they disrupt existing functions of the organization, sometimes it moves in novel and useful directions. And sometimes the orders produce entirely unexpected—emergent—outcomes that arise from within the system, bearing little resemblance to the orders given.

If managers say, “We’re too complex for simple rules,” chances are they’re confusing complicated and complex. We often make things more complicated than necessary. Filling out a form in a bureaucracy is a common example. Complexity is entirely different. Complexity has elegance. It is, to paraphrase Einstein, as simple as possible but not simpler.

Emergence is an energy-efficient approach to accomplishing complex tasks. Consider the different costs of handling conflict through dialogue versus war. Negotiations among a handful of diplomats can lead to breakthrough agreements for all involved. In contrast, armed conflict involves thousands and generally produces results that work for one party, along with loss of life and property for all involved. Quite a different proposition in time, money, and life!

How Does Novelty Emerge?

Two key dynamics shape how novelty arises—how systems, including us, learn and adapt. Increasingly complex and novel forms emerge from interactions among autonomous, diverse agents, like us, through

  • feedback among neighboring agents, and
  • clustering as like finds like.

Feedback

Systems grow and self-regulate through feedback. Output from one interaction influences the next interaction. We talk to a neighbor, we share some of the discussion with friends, and suddenly everyone in town knows that Sally married Harry.

Disruptions are feedback. They signal potential change. Most of us focus on the symptoms, the visible outcomes of such signals. A fight breaks out, and we concentrate on who is winning and losing. What caused the fight? How else might it be resolved? We ask different questions when we pay attention to what’s behind the feedback.

Feedback opens communication. It connects what’s inside and outside, at the top and bottom, across and within systems. It gives us a chance to notice what is emerging and discern its meaning.

Systems theory uses feedback loops to help us map how interactions influence each other. It names two types of feedback loops: reinforcing and balancing loops.

Perhaps this is how the fight erupted: I speak my mind. It pushes your buttons; you get mad and push back. Even if I hadn’t intended to irritate you, now I’m on the defensive. To protect myself, I attack you. And things escalate. In what is called a reinforcing feedback loop, output reinforces an action in the same general direction—sometimes toward more, sometimes toward less. Reinforcing loops are also called vicious or, when healthy, virtuous cycles.

Another form of feedback occurs through balancing feedback loops. Opposite forces counteract each other. Separation of powers among executive, legislative, and judiciary branches of government illustrates balancing loops. Each keeps the others in check. In healthy systems, those that continually learn and adapt, balancing loops periodically interrupt reinforcing loops, ending their perpetual growth. Without such checks we get global warming, economic meltdowns, and cancer.

Clustering

As we interact, feeding back to each other, like attracts like. Some of us bond around a shared characteristic. For example, we both like the same candidate for office. Over time, small groups with similar interests form. Perhaps parents advocate for a new style of school. With continued interaction, small groups become larger groups. Increasingly complex networks take shape when something binds them together. Parents, teachers, and small businesses unite to create new types of schools. At some point, a complex and stable cluster arises. It has unique properties unlike its individual elements. A national movement for charter schools takes off. Something novel emerges.

Humans are talented at pattern matching—clustering like with like. We even do it unconsciously. We see it indirectly in how towns and cities form. Asian districts exist in San Francisco, New York, and London. All of the auto dealerships are in the same part of town. As maps of the Internet are created, clusters of highly interconnected sites are appearing. We are experiencing emergence in process. Through our increasingly sophisticated technology, we can track complex networks forming. New tools show us the neural networks of the brain, the ecosystems of nature, and social structures in cultures. The ability to see complexity is reinvigorating interest in emergence. We can finally study complex patterns over time and space.

Pacific Northwest News Ecology—Extended Network8
Segment of network map.

Such tools make complex stories visible. For example, at a 2010 Journalism That Matters conference, a map of Northwest news and information Web sites caught the attention of an executive editor. He noticed the competition in the center of the map. He searched long and hard to locate his organization. A colleague explained that their antiquated technology caused the problem. No doubt, priorities changed when the executive returned to the office.

Learning How to Engage Emergence

The story of emergence is still young. We have struggled with its existence, described some of its properties, and given it a name. We are early in understanding what it means to social systems—organizations, communities, and sectors such as politics, health care, and education. We are just learning how to work with it to support positive changes and deep transformation.

In social systems, emergence can move us toward possibilities that serve enduring needs, intentions, and values. Forms can change, conserving essential truths while bringing forth innovations that weren’t possible before. In journalism, traditional values of accuracy and transparency are making their way into the blogosphere, social network sites, and other emerging media.

Emergence is a process, continual and never-ending. It emphasizes interactions as much as it does the people or elements interacting. Most of us focus on what we can observe—the animal, the project outcome, the object. Emergence involves also paying attention to what is happening—the stranger arriving with different cultural assumptions that ripple through the organization or community.

Emergence is a product of interactions among diverse entities. Since interactions don’t exist in a vacuum, the context also matters. That is why just bringing diverse people together won’t necessarily lead to a promising outcome. Initial conditions set the context. How the invitation is issued, the quality of welcome, the questions posed, the physical space, all influence whether a fight breaks out or warm, unexpected partnerships form.

In truth, working with emergence can be a bit like befriending Kokopelli, a trickster of the ancient Pueblo peoples of the American Southwest, or his Norse counterpart, Loki. Working with mischievous spirits always has some catches.

Back to the Table of Contents

On to  Chapter 2. What’s the Catch?

Share