The Counter-Enlightenment refers to a loose collection of intellectual stances that arose during the European Enlightenment
in opposition to its mainstream attitudes and ideals. The
Counter-Enlightenment is generally seen to have continued from the 18th
century into the early 19th century, especially with the rise of Romanticism.
Its thinkers did not necessarily agree to a set of counter-doctrines
but instead each challenged specific elements of Enlightenment thinking,
such as the belief in progress, the rationality of all humans, liberal democracy, and the increasing secularisation of European society.
In the late 20th century, the concept of the Counter-Enlightenment was popularised by pro-Enlightenment historian Isaiah Berlin as a tradition of relativist, anti-rationalist, vitalist, and organic thinkers stemming largely from Hamann and subsequent German Romantics. While Berlin is largely credited with having refined and promoted the
concept, the first known use of the term in English occurred in 1949 and
there were several earlier uses of it across other European languages, including by German philosopher Friedrich Nietzsche.
Term usage
Joseph-Marie, Comte de Maistre was one of the more prominent altar-and-throne counter-revolutionaries who vehemently opposed Enlightenment ideas.
Early usage
Despite criticism of the Enlightenment being a widely discussed topic
in twentieth- and twenty-first century thought, the term
"Counter-Enlightenment" was slow to enter general usage. It was first
mentioned briefly in English in William Barrett's 1949 article "Art, Aristocracy and Reason" in Partisan Review. He used the term again in his 1958 book on existentialism, Irrational Man; however, his comment on Enlightenment criticism was very limited. In Germany, the expression "Gegen-Aufklärung" has a longer history. It was probably coined by Friedrich Nietzsche in "Nachgelassene Fragmente" in 1877.
Lewis White Beck used this term in his Early German Philosophy
(1969), a book about Counter-Enlightenment in Germany. Beck claims that
there is a counter-movement arising in Germany in reaction to Frederick II's secular authoritarian state. On the other hand, Johann Georg Hamann and his fellow philosophers believe that a more organic conception of social and political life, a
more vitalistic view of nature, and an appreciation for beauty and the
spiritual life of man have been neglected by the eighteenth century.
Isaiah Berlin
Isaiah Berlin established this term's place in the history of ideas. He used it to refer to a movement that arose primarily in late 18th- and early 19th-century Germany against the rationalism, universalism and empiricism
that are commonly associated with the Enlightenment. Berlin's essay
"The Counter-Enlightenment" was first published in 1973, and later
reprinted in a collection of his works, Against the Current, in 1981. The term has been more widely used since.
Berlin argues that, while there were opponents of the Enlightenment outside of Germany (e.g. Joseph de Maistre) and before the 1770s (e.g. Giambattista Vico),
Counter-Enlightenment thought did not take hold until the Germans
"rebelled against the dead hand of France in the realms of culture, art
and philosophy, and avenged themselves by launching the great
counter-attack against the Enlightenment." This German reaction to the
imperialistic universalism of the French Enlightenment and Revolution,
which had been forced on them first by the francophile Frederick II of Prussia, then by the armies of Revolutionary France and finally by Napoleon, was crucial to the shift of consciousness that occurred in Europe at this time, leading eventually to Romanticism. The consequence of this revolt against the Enlightenment was pluralism. The opponents to the Enlightenment played a more crucial role than its proponents, some of whom were monists, whose political, intellectual and ideological offspring have been terreur and totalitarianism.
Darrin McMahon
In his book Enemies of the Enlightenment (2001), historian Darrin McMahon extends the Counter-Enlightenment back to pre-Revolutionary France and down to the level of "Grub Street". McMahon focuses on the early opponents to the Enlightenment in France, unearthing a long-forgotten "Grub Street" literature in the late 18th and early 19th centuries aimed at the philosophes. He delves into the obscure world of the "low Counter-Enlightenment" that attacked the encyclopédistes
and fought to prevent the dissemination of Enlightenment ideas in the
second half of the century. Many people from earlier times attacked the
Enlightenment for undermining religion and the social and political
order. It later became a major theme of conservative criticism of the
Enlightenment. After the French Revolution, it appeared to vindicate the
warnings of the anti-philosophes in the decades prior to 1789.
Graeme Garrard
Rousseau is identified by Graeme Garrard as the originator of the Counter-Enlightenment.
Cardiff University professor Graeme Garrard claims that historian William R. Everdell was the first to situate Rousseau as the "founder of the Counter-Enlightenment" in his 1971 dissertation and in his 1987 book, Christian Apologetics in France, 1730–1790: The Roots of Romantic Religion. In his 1996 article, "the Origin of the Counter-Enlightenment: Rousseau and the New Religion of Sincerity", in the American Political Science Review
(Vol. 90, No. 2), Arthur M. Melzer corroborates Everdell's view in
placing the origin of the Counter-Enlightenment in the religious
writings of Jean-Jacques Rousseau, further showing Rousseau as the man who fired the first shot in the war between the Enlightenment and its opponents. Graeme Garrard follows Melzer in his "Rousseau's Counter-Enlightenment" (2003). This contradicts Berlin's depiction of Rousseau as a philosophe
(albeit an erratic one) who shared the basic beliefs of his
Enlightenment contemporaries. But similar to McMahon, Garrard traces the
beginning of Counter-Enlightenment thought back to France and prior to
the German Sturm und Drang movement of the 1770s. Garrard's book Counter-Enlightenments
(2006) broadens the term even further, arguing against Berlin that
there was no single "movement" called "The Counter-Enlightenment".
Rather, there have been many Counter-Enlightenments, from the middle of
the 18th century to the 20th century among critical theorists,
postmodernists and feminists. The Enlightenment has opponents on all
points of its ideological compass, from the far left to the far right,
and all points in between. Each of the Enlightenment's challengers
depicted it as they saw it or wanted others to see it, resulting in a
vast range of portraits, many of which are not only different but
incompatible.
James Schmidt
The idea of Counter-Enlightenment has evolved in the following years.
The historian James Schmidt questioned the idea of "Enlightenment" and
therefore of the existence of a movement opposing it. As the conception
of "Enlightenment" has become more complex and difficult to maintain, so
has the idea of the "Counter-Enlightenment". Advances in Enlightenment
scholarship in the last quarter-century have challenged the
stereotypical view of the 18th century as an "Age of Reason",
leading Schmidt to speculate on whether the Enlightenment might not
actually be a creation of its opponents, but the other way round. The
fact that the term "Enlightenment" was first used in 1894 in English to refer to a historical period supports the argument that it was a late construction projected back onto the 18th century.
By the mid-1790s, the Reign of Terror
during the French Revolution fueled a major reaction against the
Enlightenment. Many leaders of the French Revolution and their
supporters made Voltaire and Rousseau, as well as Marquis de Condorcet's ideas of reason, progress,
anti-clericalism, and emancipation, central themes to their movement.
It led to an unavoidable backlash to the Enlightenment as there were
people opposed to the revolution. Many counter-revolutionary writers,
such as Edmund Burke, Joseph de Maistre and Augustin Barruel, asserted an intrinsic link between the Enlightenment and the Revolution. They blamed the Enlightenment for undermining traditional beliefs that sustained the ancien regime.
As the Revolution became increasingly bloody, the idea of
"Enlightenment" was discredited, too. Hence, the French Revolution and
its aftermath have contributed to the development of
Counter-Enlightenment thought.
Edmund Burke was among the first of the Revolution's opponents to relate the philosophes to the instability in France in the 1790s. His Reflections on the Revolution in France (1790) identifies the Enlightenment as the principal cause of the French revolution. In Burke's opinion, the philosophes provided the revolutionary leaders with the theories on which their political schemes were based.
Augustin Barruel's Counter-Enlightenment ideas were well developed before the revolution. He worked as an editor for the anti-philosophes literary journal, L'Année Littéraire. Barruel argues in his Memoirs Illustrating the History of Jacobinism (1797) that the Revolution was the consequence of a conspiracy of philosophes and freemasons.
In Considerations on France (1797), Joseph de Maistre
interprets the Revolution as divine punishment for the sins of the
Enlightenment. According to him, "the revolutionary storm is an
overwhelming force of nature unleashed on Europe by God that mocked
human pretensions."
In the 1770s, the "Sturm und Drang" movement started in Germany. It questioned some key assumptions and implications of the Aufklärung and the term "Romanticism" was first coined. Many early Romantic writers such as Chateaubriand, Friedrich von Hardenberg (Novalis) and Samuel Taylor Coleridge inherited the Counter-Revolutionary antipathy towards the philosophes. All three directly blamed the philosophes in France and the Aufklärer
in Germany for devaluing beauty, spirit and history in favour of a view
of man as a soulless machine and a view of the universe as a
meaningless, disenchanted void lacking richness and beauty. One
particular concern to early Romantic writers was the allegedly
anti-religious nature of the Enlightenment since the philosophes and Aufklärer were generally deists, opposed to revealed religion. Some historians, such as Hamann,
nevertheless contend that this view of the Enlightenment as an age
hostile to religion is common ground between these Romantic writers and
many of their conservative Counter-Revolutionary predecessors. However,
not many have commented on the Enlightenment, except for Chateaubriand,
Novalis, and Coleridge, since the term itself did not exist at the time
and most of their contemporaries ignored it.
The historian Jacques Barzun
argues that Romanticism has its roots in the Enlightenment. It was not
anti-rational, but rather balanced rationality against the competing
claims of intuition and the sense of justice. This view is expressed in
Goya's Sleep of Reason, in which the nightmarish owl offers the dozing social critic of Los Caprichos
a piece of drawing chalk. Even the rational critic is inspired by
irrational dream-content under the gaze of the sharp-eyed lynx. Marshall Brown makes much the same argument as Barzun in Romanticism and Enlightenment, questioning the stark opposition between these two periods.
By the middle of the 19th century, the memory of the French
Revolution was fading and so was the influence of Romanticism. In this
optimistic age of science and industry, there were few critics of the
Enlightenment, and few explicit defenders. Friedrich Nietzsche
is a notable and highly influential exception. After an initial defence
of the Enlightenment in his so-called "middle period" (late 1870s to
early 1880s), Nietzsche turned vehemently against it.
Totalitarianism and Fascism
Totalitarianism as a product of the Enlightenment
After World War II, the Enlightenment re-emerged as a key organizing concept in social and political thought and the history of ideas, often suggesting links between counter-enlightenment ideas and fascism.
There was also, conversely, new counter-enlightenment literature, blaming the 18th-century Age of Reason for totalitarianism. The locus classicus of this view is Max Horkheimer and Theodor Adorno's Dialectic of Enlightenment
(1947). Adorno and Horkheimer take "enlightenment" as their target
including the specifically 18th-century form, – i.e. "The
Enlightenment". Dialectic of Enlightenment traces the degeneration of the general concept of enlightenment, from ancient Greece (epitomized by the cunning "bourgeois" hero Odysseus) to 20th-century fascism. Adorno and Horkheimer claim that The Enlightenment is epitomized by the Marquis de Sade. However, some philosophers have rejected Adorno and Horkheimer's claim that Sade's moral skepticism is actually coherent, or that it reflects Enlightenment thought.
Nazism and Fascism as products of the Counter-Enlightenment
Many historians and other scholars have argued that fascism was a product of the Counter-Enlightenment itself. For example, Ze'ev Sternhell
called fascism "an exacerbated form of the tradition of
counter-Enlightenment": with fascism, "Europe created for the first time
a set of political movements and regimes whose project was nothing but
the destruction of Enlightenment culture." Similar opinions were expressed by such historians as Georges Bensoussan and Enzo Traverso,
who noted "Counter-Enlightenment tendencies, combined with industrial
and technical progress, a state monopoly over violence, and the
rationalisation of methods of domination" and "Counter-Enlightenment (Gegenaufklärung)
and the cult of modern technology, a synthesis of Teutonic mythologies
and biological nationalism" in Nazism, thus recognizing it as grounded
on intellectual traditions of counter-Enlightenment, but mixing them
with "instrumental reason" which allowed adopting "the methods of
industrial production and scientific management were employed" for such
irrational goals as racial extermination. Prior to these historians, various philosophers described fascism as a
"revolt against reason" and a force hostile to scientific objectivity
and rational inqury, namely Umberto Eco, Bertrand Russell, Richard Wolin and Jason Stanley.
A plot of the Lorenz attractor for values r = 28, σ = 10, b = 8/3A plot of the 3D Lorenz attractorAn animation of a double-rod pendulum at an intermediate energy showing chaotic behavior. Starting the pendulum from a slightly different initial condition would result in a vastly different trajectory. The double-rod pendulum is one of the simplest dynamical systems with chaotic solutions.
Chaos theory is an interdisciplinary area of scientific study and branch of mathematics. It focuses on underlying patterns and deterministic laws of dynamical systems that are highly sensitive to initial conditions. These were once thought to have completely random states of disorder and irregularities. Chaos theory states that within the apparent randomness of chaotic complex systems, there are underlying patterns, interconnection, constant feedback loops, repetition, self-similarity, fractals and self-organization. The butterfly effect, an underlying principle of chaos, describes how a small change in one state of a deterministic nonlinear system can result in large differences in a later state (meaning there is sensitive dependence on initial conditions). A metaphor for this behavior is that a butterfly flapping its wings in Brazil can cause or prevent a tornado in Texas.
Small differences in initial conditions, such as those due to errors in measurements or due to rounding errors in numerical computation,
can yield widely diverging outcomes for such dynamic systems, rendering
long-term prediction of their behavior impossible in general. This can happen even though these systems are deterministic, meaning that their future behavior follows a unique evolution and is fully determined by their initial conditions, with no random elements involved. In other words, despite the deterministic nature of these systems, this does not make them predictable. This behavior is known as deterministic chaos, or simply chaos. The theory was summarized by Edward Lorenz as:
Chaos: When the present determines the future but the approximate present does not approximately determine the future.
Chaos theory concerns deterministic systems which are predictable for
some amount of time and then appear to become random. The amount of
time for which the behavior of a chaotic system can be effectively
predicted depends on three things: How much uncertainty can be tolerated
in the forecast, how accurately its current state can be measured, and a
time scale depending on the dynamics of the system, called the Lyapunov time.
Some examples of Lyapunov times are: Chaotic electrical circuits, about
1 millisecond; weather systems, a few days (unproven); the inner solar
system, 4 to 5 million years. In chaotic systems, the uncertainty in a forecast increases exponentially
with elapsed time. Hence, mathematically, doubling the forecast time
more than squares the proportional uncertainty in the forecast. This
means, in practice, a meaningful prediction cannot be made over an
interval of more than two or three times the Lyapunov time. When
meaningful predictions cannot be made, the system appears random.
Chaotic dynamics
The map defined by x → 4 x (1 – x) and y → (x + y)mod 1 displays sensitivity to initial x positions. Here, two series of x and y values diverge markedly over time from a tiny initial difference.
In common usage, "chaos" means "a state of disorder". However, in chaos theory, the term is defined more precisely. Although
no universally accepted mathematical definition of chaos exists, a
commonly used definition, originally formulated by Robert L. Devaney, says that to classify a dynamical system as chaotic, it must have these properties:
In some cases, the last two properties above have been shown to actually imply sensitivity to initial conditions. In the discrete-time case, this is true for all continuousmaps on metric spaces. In these cases, while it is often the most practically significant
property, "sensitivity to initial conditions" need not be stated in the
definition.
If attention is restricted to intervals, the second property implies the other two. An alternative and a generally weaker definition of chaos uses only the first two properties in the above list.
Lorenz equations used to generate plots for the y variable. The initial conditions for x and z were kept the same but those for y were changed between 1.001, 1.0001 and 1.00001. The values for , and were 45.91, 16 and 4
respectively. As can be seen from the graph, even the slightest
difference in initial values causes significant changes after about 12
seconds of evolution in the three cases. This is an example of sensitive
dependence on initial conditions.
Sensitivity to initial conditions means that each point in a
chaotic system is arbitrarily closely approximated by other points that
have significantly different future paths or trajectories. Thus, an
arbitrarily small change or perturbation of the current trajectory may
lead to significantly different future behavior.
Sensitivity to initial conditions is popularly known as the "butterfly effect", so-called because of the title of a paper given by Edward Lorenz in 1972 to the American Association for the Advancement of Science in Washington, D.C., entitled Predictability: Does the Flap of a Butterfly's Wings in Brazil set off a Tornado in Texas?. The flapping wing represents a small change in the initial condition of
the system, which causes a chain of events that prevents the
predictability of large-scale phenomena. Had the butterfly not flapped
its wings, the trajectory of the overall system could have been vastly
different.
As suggested in Lorenz's book entitled The Essence of Chaos, published in 1993, "sensitive dependence can serve as an acceptable definition of chaos".
In the same book, Lorenz defined the butterfly effect as: "The
phenomenon that a small alteration in the state of a dynamical system
will cause subsequent states to differ greatly from the states that
would have followed without the alteration." The above definition is consistent with the sensitive dependence of
solutions on initial conditions (SDIC). An idealized skiing model was
developed to illustrate the sensitivity of time-varying paths to initial
positions.
A predictability horizon can be determined before the onset of SDIC
(i.e., prior to significant separations of initial nearby trajectories).
A consequence of sensitivity to initial conditions is that if we
start with a limited amount of information about the system (as is
usually the case in practice), then beyond a certain time, the system
would no longer be predictable. This is most prevalent in the case of
weather, which is generally predictable only about a week ahead. This does not mean that one cannot assert anything about events far in
the future - only that some restrictions on the system are present. For
example, we know that the temperature of the surface of the earth will
not naturally reach 100 °C (212 °F) or fall below −130 °C (−202 °F) on
earth (during the current geologic era), but we cannot predict exactly which day will have the hottest temperature of the year.
In more mathematical terms, the Lyapunov exponent
measures the sensitivity to initial conditions, in the form of rate of
exponential divergence from the perturbed initial conditions. More specifically, given two starting trajectories in the phase space that are infinitesimally close, with initial separation , the two trajectories end up diverging at a rate given by
where is the time and
is the Lyapunov exponent. The rate of separation depends on the
orientation of the initial separation vector, so a whole spectrum of
Lyapunov exponents can exist. The number of Lyapunov exponents is equal
to the number of dimensions of the phase space, though it is common to
just refer to the largest one. For example, the maximal Lyapunov
exponent (MLE) is most often used, because it determines the overall
predictability of the system. A positive MLE, coupled with the
solution's boundedness, is usually taken as an indication that the
system is chaotic.
In addition to the above property, other properties related to
sensitivity of initial conditions also exist. These include, for
example, measure-theoreticalmixing (as discussed in ergodic theory) and properties of a K-system.
Non-periodicity
A chaotic system may have sequences of values for the evolving
variable that exactly repeat themselves, giving periodic behavior
starting from any point in that sequence. However, such periodic
sequences are repelling rather than attracting, meaning that if the
evolving variable is outside the sequence, however close, it will not
enter the sequence and in fact, will diverge from it. Thus for almost all initial conditions, the variable evolves chaotically with non-periodic behavior.
Topological mixing
Six iterations of a set of states
passed through the logistic map. The first iterate (blue) is the
initial condition, which essentially forms a circle. Animation shows the
first to the sixth iteration of the circular initial conditions. It can
be seen that mixing occurs as we progress in iterations. The
sixth iteration shows that the points are almost completely scattered in
the phase space. Had we progressed further in iterations, the mixing
would have been homogeneous and irreversible. The logistic map has
equation . To expand the state-space of the logistic map into two dimensions, a second state, , was created as , if and otherwise.The map defined by x → 4 x (1 – x) and y → (x + y)mod 1 also displays topological mixing.
Here, the blue region is transformed by the dynamics first to the
purple region, then to the pink and red regions, and eventually to a
cloud of vertical lines scattered across the space.
Topological mixing (or the weaker condition of topological transitivity) means that the system evolves over time so that any given region or open set of its phase space
eventually overlaps with any other given region. This mathematical
concept of "mixing" corresponds to the standard intuition, and the
mixing of colored dyes or fluids is an example of a chaotic system.
Topological mixing is often omitted from popular accounts of
chaos, which equate chaos with only sensitivity to initial conditions.
However, sensitive dependence on initial conditions alone does not give
chaos. For example, consider the simple dynamical system produced by
repeatedly doubling an initial value. This system has sensitive
dependence on initial conditions everywhere, since any pair of nearby
points eventually becomes widely separated. However, this example has no
topological mixing, and therefore has no chaos. Indeed, it has
extremely simple behavior: all points except 0 tend to positive or
negative infinity.
Topological transitivity
A map is said to be topologically transitive if for any pair of non-empty open sets, there exists such that . Topological transitivity is a weaker version of topological mixing. Intuitively, if a map is topologically transitive then given a point x and a region V, there exists a point y near x whose orbit passes through V. This implies that it is impossible to decompose the system into two open sets.
An important related theorem is the Birkhoff Transitivity
Theorem. It is easy to see that the existence of a dense orbit implies
topological transitivity. The Birkhoff Transitivity Theorem states that
if X is a second countable, complete metric space, then topological transitivity implies the existence of a dense set of points in X that have dense orbits.
Density of periodic orbits
For a chaotic system to have denseperiodic orbits means that every point in the space is approached arbitrarily closely by periodic orbits. The one-dimensional logistic map defined by x → 4 x (1 – x) is one of the simplest systems with density of periodic orbits. For example, → →
(or approximately 0.3454915 → 0.9045085 → 0.3454915) is an (unstable)
orbit of period 2, and similar orbits exist for periods 4, 8, 16, etc.
(indeed, for all the periods specified by Sharkovskii's theorem).
Sharkovskii's theorem is the basis of the Li and Yorke (1975) proof that any continuous one-dimensional system that exhibits a
regular cycle of period three will also display regular cycles of every
other length, as well as completely chaotic orbits.
Strange attractors
The Lorenz attractor
displays chaotic behavior. These two plots demonstrate sensitive
dependence on initial conditions within the region of phase space
occupied by the attractor.
Some dynamical systems, like the one-dimensional logistic map defined by x → 4 x (1 – x),
are chaotic everywhere, but in many cases chaotic behavior is found
only in a subset of phase space. The cases of most interest arise when
the chaotic behavior takes place on an attractor, since then a large set of initial conditions leads to orbits that converge to this chaotic region.
An easy way to visualize a chaotic attractor is to start with a point in the basin of attraction
of the attractor, and then simply plot its subsequent orbit. Because of
the topological transitivity condition, this is likely to produce a
picture of the entire final attractor, and indeed both orbits shown in
the figure on the right give a picture of the general shape of the
Lorenz attractor. This attractor results from a simple three-dimensional
model of the Lorenz
weather system. The Lorenz attractor is perhaps one of the best-known
chaotic system diagrams, probably because it is not only one of the
first, but it is also one of the most complex, and as such gives rise to
a very interesting pattern that, with a little imagination, looks like
the wings of a butterfly.
Unlike fixed-point attractors and limit cycles, the attractors that arise from chaotic systems, known as strange attractors, have great detail and complexity. Strange attractors occur in both continuous dynamical systems (such as the Lorenz system) and in some discrete systems (such as the Hénon map). Other discrete dynamical systems have a repelling structure called a Julia set,
which forms at the boundary between basins of attraction of fixed
points. Julia sets can be thought of as strange repellers. Both strange
attractors and Julia sets typically have a fractal structure, and the fractal dimension can be calculated for them.
Coexisting attractors
Coexisting chaotic and non-chaotic attractors within the generalized Lorenz model. There are 128 orbits in different colors, beginning with different
initial conditions for dimensionless time between 0.625 and 5 and a
heating parameter r = 680. Chaotic orbits recurrently return close to
the saddle point at the origin. Nonchaotic orbits eventually approach
one of two stable critical points, as shown with large blue dots.
Chaotic and nonchaotic orbits occupy different regions of attraction
within the phase space.
In contrast to single type chaotic solutions, studies using Lorenz models have emphasized the importance of considering various types of
solutions. For example, coexisting chaotic and non-chaotic may appear
within the same model (e.g., the double pendulum system) using the same
modeling configurations but different initial conditions. The findings
of attractor coexistence, obtained from classical and generalized Lorenz
models, suggested a revised view that "the entirety of weather possesses a dual
nature of chaos and order with distinct predictability", in contrast to
the conventional view of "weather is chaotic".
Minimum complexity of a chaotic system
Bifurcation diagram of the logistic mapx → rx (1 – x). Each vertical slice shows the attractor for a specific value of r. The diagram displays period-doubling as r increases, eventually producing chaos. Darker points are visited more frequently.
Discrete chaotic systems, such as the logistic map, can exhibit strange attractors whatever their dimensionality. In contrast, for continuous dynamical systems, the Poincaré–Bendixson theorem shows that a strange attractor can only arise in three or more dimensions. Finite-dimensionallinear systems are never chaotic; for a dynamical system to display chaotic behavior, it must be either nonlinear or infinite-dimensional.
The Poincaré–Bendixson theorem
states that a two-dimensional differential equation has very regular
behavior. The Lorenz attractor discussed below is generated by a system
of three differential equations such as:
where , , and make up the system state, is time, and , , are the system parameters.
Five of the terms on the right hand side are linear, while two are
quadratic; a total of seven terms. Another well-known chaotic attractor
is generated by the Rössler equations, which have only one nonlinear term out of seven. Sprott found a three-dimensional system with just five terms, that had only
one nonlinear term, which exhibits chaos for certain parameter values.
Zhang and Heidel showed that, at least for dissipative and conservative quadratic
systems, three-dimensional quadratic systems with only three or four
terms on the right-hand side cannot exhibit chaotic behavior. The reason
is, simply put, that solutions to such systems are asymptotic to a two-dimensional surface and therefore solutions are well behaved.
While the Poincaré–Bendixson theorem shows that a continuous dynamical system on the Euclidean plane cannot be chaotic, two-dimensional continuous systems with non-Euclidean geometry can still exhibit some chaotic properties.
The above set of three ordinary differential equations has been referred to as the three-dimensional Lorenz model. Since 1963, higher-dimensional Lorenz models have been developed in numerous studies for examining the impact of an increased degree of nonlinearity, as
well as its collective effect with heating and dissipations, on solution
stability.
Chaos and linear systems
Perhaps surprisingly, chaos may occur also in linear systems, provided they are infinite dimensional. A theory of linear chaos is being developed in functional analysis. Quantum mechanics
is also often considered as a prime example of linear non chaotic
theory, that dampens out chaotic behaviour in the same manner that viscosity dampens out turbulence,
this is actually not the case for quantum mechanical systems with
infinite degrees of freedom, such as strongly correlated systems that do
exhibit forms of nano scale turbulence.
Other characteristics of Chaos
Infinite dimensional maps
The straightforward generalization of coupled discrete maps is based upon convolution integral which mediates interaction between spatially distributed maps:
,
where kernel is propagator derived as Green function of a relevant physical system,
might be logistic map alike or complex map. For examples of complex maps the Julia set or Ikeda map may serve. When wave propagation problems at distance with wavelength are considered the kernel may have a form of Green function for Schrödinger equation:.
Moreover, from the theoretical physics standpoint, dynamical
chaos itself, in its most general manifestation, is a spontaneous order.
The essence here is that most orders in nature arise from the spontaneous breakdown
of various symmetries. This large family of phenomena includes
elasticity, superconductivity, ferromagnetism, and many others.
According to the supersymmetric theory of stochastic dynamics,
chaos, or more precisely, its stochastic generalization, is also part
of this family. The corresponding symmetry being broken is the topological supersymmetry which is hidden in all stochastic (partial) differential equations, and the corresponding order parameter is a field-theoretic embodiment of the butterfly effect.
Combinatorial (or complex) chaos
There are also definitions of chaos that don't require the
sensitivity on initial conditions property, such as combinatorial chaos
(I.e. applying recursively a discrete combinatorial action). This is also comparable and similar to chaos generated by cellular automata. This is important because this type of chaos it's also equivalent to a turing machine, you can execute computation with such dynamical systems, and as such the halting problem
is not decidable, therefore some computational algorithms may never
end. This is ultimately a very different way for a system to be
unpredictable.
James Clerk Maxwell
was the first scientist to emphasize the importance of initial
conditions, and he is seen as being one of the earliest to discuss chaos
theory, with work in the 1860s and 1870s. In the 1880s, while studying the three-body problem, Henri Poincaré found that there can be orbits that are nonperiodic, and yet not forever increasing nor approaching a fixed point. In 1898, Jacques Hadamard
published an influential study of the motion of a free particle gliding
frictionlessly on a surface of constant negative curvature, called "Hadamard's billiards". Hadamard was able to show that all trajectories are unstable, in that all particle trajectories diverge exponentially from one another, with a positive Lyapunov exponent.
Despite initial insights in the first half of the twentieth
century, chaos theory became formalized as such only after mid-century,
when it first became evident to some scientists that linear theory which is smooth and continuous,
and which was the prevailing system theory at that time, simply could
not explain the observed behavior of certain experiments like that of
the logistic map which has jump and erratic behaviours. Both of these observations underline the connection of chaos to either stochastic or non-linear dynamical systems, but definitely non-differentiable and non-continuous time evolution.
What had been attributed to measure imprecision and simple "noise" was considered by chaos theorists as a full component of the studied systems. In 1959 Boris Valerianovich Chirikov proposed a criterion for the emergence of classical chaos in Hamiltonian systems (Chirikov criterion). He applied this criterion to explain some experimental results on plasma confinement in open mirror traps.This is regarded as the very first physical theory of chaos, which
succeeded in explaining a concrete experiment. And Boris Chirikov
himself is considered as a pioneer in classical and quantum chaos.
The main catalyst for the development of chaos theory was the
electronic computer. Much of the mathematics of chaos theory involves
the repeated iteration
of simple mathematical formulas, which would be impractical to do by
hand. Electronic computers made these repeated calculations practical,
while figures and images made it possible to visualize these systems. As
a graduate student in Chihiro Hayashi's laboratory at Kyoto University,
Yoshisuke Ueda was experimenting with analog computers and noticed, on
November 27, 1961, what he called "randomly transitional phenomena". Yet
his advisor did not agree with his conclusions at the time, and did not
allow him to report his findings until 1970.
Edward Lorenz was an early pioneer of the theory. His interest in chaos came about accidentally through his work on weather prediction in 1961. Lorenz and his collaborator Ellen Fetter and Margaret Hamilton were using a simple digital computer, a Royal McBeeLGP-30,
to run weather simulations. They wanted to see a sequence of data
again, and to save time they started the simulation in the middle of its
course. They did this by entering a printout of the data that
corresponded to conditions in the middle of the original simulation. To
their surprise, the weather the machine began to predict was completely
different from the previous calculation. They tracked this down to the
computer printout. The computer worked with 6-digit precision, but the
printout rounded variables off to a 3-digit number, so a value like
0.506127 printed as 0.506. This difference is tiny, and the consensus at
the time would have been that it should have no practical effect.
However, Lorenz discovered that small changes in initial conditions
produced large changes in long-term outcome. Lorenz's discovery, which gave its name to Lorenz attractors, showed that even detailed atmospheric modeling cannot, in general, make precise long-term weather predictions.
In 1963, Benoit Mandelbrot, studying information theory, discovered that noise in many phenomena (including stock prices and telephone circuits) was patterned like a Cantor set, a set of points with infinite roughness and detail. Mandelbrot described both the "Noah effect" (in which sudden
discontinuous changes can occur) and the "Joseph effect" (in which
persistence of a value can occur for a while, yet suddenly change
afterwards). In 1967, he published "How long is the coast of Britain? Statistical self-similarity and fractional dimension",
showing that a coastline's length varies with the scale of the
measuring instrument, resembles itself at all scales, and is infinite in
length for an infinitesimally small measuring device. Arguing that a ball of twine appears as a point when viewed from far
away (0-dimensional), a ball when viewed from fairly near
(3-dimensional), or a curved strand (1-dimensional), he argued that the
dimensions of an object are relative to the observer and may be
fractional. An object whose irregularity is constant over different
scales ("self-similarity") is a fractal (examples include the Menger sponge, the Sierpiński gasket, and the Koch curve or snowflake, which is infinitely long yet encloses a finite space and has a fractal dimension of circa 1.2619). In 1982, Mandelbrot published The Fractal Geometry of Nature, which became a classic of chaos theory.
In December 1977, the New York Academy of Sciences organized the first symposium on chaos, attended by David Ruelle, Robert May, James A. Yorke (coiner of the term "chaos" as used in mathematics), Robert Shaw,
and the meteorologist Edward Lorenz. The following year Pierre Coullet
and Charles Tresser published "Itérations d'endomorphismes et groupe de
renormalisation", and Mitchell Feigenbaum's
article "Quantitative Universality for a Class of Nonlinear
Transformations" finally appeared in a journal, after 3 years of referee
rejections. Thus Feigenbaum (1975) and Coullet & Tresser (1978) discovered the universality in chaos, permitting the application of chaos theory to many different phenomena.
Alongside largely lab-based approaches such as the Bak–Tang–Wiesenfeld sandpile, many other investigations have focused on large-scale natural or social systems that are known (or suspected) to display scale-invariant
behavior. Although these approaches were not always welcomed (at least
initially) by specialists in the subjects examined, SOC has nevertheless
become established as a strong candidate for explaining a number of
natural phenomena, including earthquakes, (which, long before SOC was discovered, were known as a source of scale-invariant behavior such as the Gutenberg–Richter law describing the statistical distribution of earthquake sizes, and the Omori law describing the frequency of aftershocks), solar flares, fluctuations in economic systems such as financial markets (references to SOC are common in econophysics), landscape formation, forest fires, landslides, epidemics, and biological evolution (where SOC has been invoked, for example, as the dynamical mechanism behind the theory of "punctuated equilibria" put forward by Niles Eldredge and Stephen Jay Gould).
Given the implications of a scale-free distribution of event sizes,
some researchers have suggested that another phenomenon that should be
considered an example of SOC is the occurrence of wars.
These investigations of SOC have included both attempts at modelling
(either developing new models or adapting existing ones to the specifics
of a given natural system), and extensive data analysis to determine
the existence and/or characteristics of natural scaling laws.
Also in 1987 James Gleick published Chaos: Making a New Science, which became a best-seller and introduced the general principles of chaos theory as well as its history to the broad public. Initially the domain of a few, isolated individuals, chaos theory
progressively emerged as a transdisciplinary and institutional
discipline, mainly under the name of nonlinear systems analysis. Alluding to Thomas Kuhn's concept of a paradigm shift exposed in The Structure of Scientific Revolutions
(1962), many "chaologists" (as some described themselves) claimed that
this new theory was an example of such a shift, a thesis upheld by
Gleick.
The sensitive dependence on initial conditions (i.e., butterfly effect) has been illustrated using the following folklore:
For want of a nail, the shoe was lost.
For want of a shoe, the horse was lost.
For want of a horse, the rider was lost.
For want of a rider, the battle was lost.
For want of a battle, the kingdom was lost.
And all for the want of a horseshoe nail.
Based on the above, many people mistakenly believe that the impact of
a tiny initial perturbation monotonically increases with time and that
any tiny perturbation can eventually produce a large impact on numerical
integrations. However, in 2008, Lorenz stated that he did not feel that
this verse described true chaos but that it better illustrated the
simpler phenomenon of instability and that the verse implicitly suggests
that subsequent small events will not reverse the outcome. Based on the analysis, the verse only indicates divergence, not boundedness. Boundedness is important for the finite size of a butterfly pattern. The characteristic of the aforementioned verse was described as "finite-time sensitive dependence".
Chaos theory has been used for many years in cryptography. In the past few decades, chaos and nonlinear dynamics have been used in the design of hundreds of cryptographic primitives. These algorithms include image encryption algorithms, hash functions, secure pseudo-random number generators, stream ciphers, watermarking, and steganography. The majority of these algorithms are based on uni-modal chaotic maps
and a big portion of these algorithms use the control parameters and the
initial condition of the chaotic maps as their keys. From a wider perspective, without loss of generality, the similarities
between the chaotic maps and the cryptographic systems is the main
motivation for the design of chaos based cryptographic algorithms. One type of encryption, secret key or symmetric key, relies on diffusion and confusion, which is modeled well by chaos theory. Another type of computing, DNA computing, when paired with chaos theory, offers a way to encrypt images and other information. Many of the DNA-Chaos cryptographic algorithms are proven to be either
not secure, or the technique applied is suggested to be not efficient.
Robotics
Robotics is another area that has recently benefited from chaos
theory. Instead of robots acting in a trial-and-error type of refinement
to interact with their environment, chaos theory has been used to build
a predictive model. Chaotic dynamics have been exhibited by passive walking biped robots.
Biology
For over a hundred years, biologists have been keeping track of populations of different species with population models. Most models are continuous, but recently scientists have been able to implement chaotic models in certain populations. For example, a study on models of Canadian lynx showed there was chaotic behavior in the population growth. Chaos can also be found in ecological systems, such as hydrology.
While a chaotic model for hydrology has its shortcomings, there is
still much to learn from looking at the data through the lens of chaos
theory. Another biological application is found in cardiotocography.
Fetal surveillance is a delicate balance of obtaining accurate
information while being as noninvasive as possible. Better models of
warning signs of fetal hypoxia can be obtained through chaotic modeling.
As Perry points out, modeling of chaotic time series in ecology is helped by constraint. There is always potential difficulty in distinguishing real chaos from chaos that is only in the model.
Hence both constraint in the model and or duplicate time series data
for comparison will be helpful in constraining the model to something
close to the reality, for example Perry & Wall 1984.Gene-for-gene co-evolution sometimes shows chaotic dynamics in allele frequencies. Adding variables exaggerates this: Chaos is more common in models incorporating additional variables to reflect additional facets of real populations. Robert M. May himself did some of these foundational crop co-evolution studies, and this in turn helped shape the entire field. Even for a steady environment, merely combining one crop and one pathogen may result in quasi-periodic- or chaotic- oscillations in pathogen population.
Economics
It is possible that economic models can also be improved through an
application of chaos theory, but predicting the health of an economic
system and what factors influence it most is an extremely complex task. Economic and financial systems are fundamentally different from those
in the classical natural sciences since the former are inherently
stochastic in nature, as they result from the interactions of people,
and thus pure deterministic models are unlikely to provide accurate
representations of the data. The empirical literature that tests for
chaos in economics and finance presents very mixed results, in part due
to confusion between specific tests for chaos and more general tests for
non-linear relationships.
Chaos could be found in economics by the means of recurrence quantification analysis. In fact, Orlando et al. by the means of the so-called recurrence quantification correlation
index were able to detect hidden changes in time series. Then, the same
technique was employed to detect transitions from laminar (regular) to
turbulent (chaotic) phases as well as differences between macroeconomic
variables and highlight hidden features of economic dynamics. Finally, chaos theory could help in modeling how an economy operates as
well as in embedding shocks due to external events such as COVID-19.
Finite predictability in weather and climate
Due to the sensitive dependence of solutions on initial conditions
(SDIC), also known as the butterfly effect, chaotic systems like the
Lorenz 1963 model imply a finite predictability horizon. This means that
while accurate predictions are possible over a finite time period, they
are not feasible over an infinite time span. Considering the nature of
Lorenz's chaotic solutions, the committee led by Charney et al. in 1966 extrapolated a doubling time of five days from a general circulation
model, suggesting a predictability limit of two weeks. This connection
between the five-day doubling time and the two-week predictability limit
was also recorded in a 1969 report by the Global Atmospheric Research
Program (GARP). To acknowledge the combined direct and indirect influences from the
Mintz and Arakawa model and Lorenz's models, as well as the leadership
of Charney et al., Shen et al. refer to the two-week predictability limit as the "Predictability Limit Hypothesis," drawing an analogy to Moore's Law.
AI-extended modeling framework
In AI-driven large language models, responses can exhibit
sensitivities to factors like alterations in formatting and variations
in prompts. These sensitivities are akin to butterfly effects. Although classifying AI-powered large language models as classical
deterministic chaotic systems poses challenges, chaos-inspired
approaches and techniques (such as ensemble modeling) may be employed to
extract reliable information from these expansive language models (see
also "Butterfly Effect in Popular Culture").
Other areas
In chemistry, predicting gas solubility is essential to manufacturing polymers, but models using particle swarm optimization
(PSO) tend to converge to the wrong points. An improved version of PSO
has been created by introducing chaos, which keeps the simulations from
getting stuck. In celestial mechanics,
especially when observing asteroids, applying chaos theory leads to
better predictions about when these objects will approach Earth and
other planets. Four of the five moons of Pluto rotate chaotically. In quantum physics and electrical engineering, the study of large arrays of Josephson junctions benefitted greatly from chaos theory. Closer to home, coal mines have always been dangerous places where
frequent natural gas leaks cause many deaths. Until recently, there was
no reliable way to predict when they would occur. But these gas leaks
have chaotic tendencies that, when properly modeled, can be predicted
fairly accurately.
Chaos theory can be applied outside of the natural sciences, but
historically nearly all such studies have suffered from lack of
reproducibility; poor external validity; and/or inattention to
cross-validation, resulting in poor predictive accuracy (if
out-of-sample prediction has even been attempted). Glass and Mandell and Selz have found that no EEG study has as yet indicated the presence of strange attractors or other signs of chaotic behavior.
Redington and Reidbord (1992) attempted to demonstrate that the
human heart could display chaotic traits. They monitored the changes in
between-heartbeat intervals for a single psychotherapy patient as she
moved through periods of varying emotional intensity during a therapy
session. Results were admittedly inconclusive. Not only were there
ambiguities in the various plots the authors produced to purportedly
show evidence of chaotic dynamics (spectral analysis, phase trajectory,
and autocorrelation plots), but also when they attempted to compute a
Lyapunov exponent as more definitive confirmation of chaotic behavior,
the authors found they could not reliably do so.
In their 1995 paper, Metcalf and Allen maintained that they uncovered in animal behavior a pattern of period
doubling leading to chaos. The authors examined a well-known response
called schedule-induced polydipsia, by which an animal deprived of food
for certain lengths of time will drink unusual amounts of water when the
food is at last presented. The control parameter (r) operating here was
the length of the interval between feedings, once resumed. The authors
were careful to test a large number of animals and to include many
replications, and they designed their experiment so as to rule out the
likelihood that changes in response patterns were caused by different
starting places for r.
Time series and first delay plots provide the best support for
the claims made, showing a fairly clear march from periodicity to
irregularity as the feeding times were increased. The various phase
trajectory plots and spectral analyses, on the other hand, do not match
up well enough with the other graphs or with the overall theory to lead
inexorably to a chaotic diagnosis. For example, the phase trajectories
do not show a definite progression towards greater and greater
complexity (and away from periodicity); the process seems quite muddied.
Also, where Metcalf and Allen saw periods of two and six in their
spectral plots, there is room for alternative interpretations. All of
this ambiguity necessitate some serpentine, post-hoc explanation to show
that results fit a chaotic model.
By adapting a model of career counseling to include a chaotic
interpretation of the relationship between employees and the job market,
Amundson and Bright found that better suggestions can be made to people
struggling with career decisions. Modern organizations are increasingly seen as open complex adaptive systems
with fundamental natural nonlinear structures, subject to internal and
external forces that may contribute chaos. For instance, team building and group development
is increasingly being researched as an inherently unpredictable system,
as the uncertainty of different individuals meeting for the first time
makes the trajectory of the team unknowable.
Traffic forecasting may benefit from applications of chaos theory.
Better predictions of when a congestion will occur would allow measures
to be taken to disperse it before it would have occurred. Combining
chaos theory principles with a few other methods has led to a more
accurate short-term prediction model (see the plot of the BML traffic model at right).
Chaos theory has been applied to environmental water cycle data (also hydrological data), such as rainfall and streamflow. These studies have yielded controversial results, because the methods
for detecting a chaotic signature are often relatively subjective. Early
studies tended to "succeed" in finding chaos, whereas subsequent
studies and meta-analyses called those studies into question and
provided explanations for why these datasets are not likely to have
low-dimension chaotic dynamics.