Computational Complexity and the Origin of
Universals
Leonid I. Perlovsky Nichols Research Corporation
lperl@bellatlantic.net
ABSTRACT: This paper establishes close relationships
between fundamental problems in the philosophical
and mathematical theories of mind. It reviews
the mathematical concepts of intelligence,
including pattern recognition algorithms,
neural networks and rule systems. Mathematical
difficulties manifest as combinatorial complexity
of algorithms are related to the roles of
a priori knowledge and adaptive learning,
the same issues that have shaped the two-thousand
year old debate on the origins of the universal
concepts of mind. Combining philosophical
and mathematical analyses enables tracing
current mathematical difficulties to the
contradiction between Aristotelian logic
and Aristotelian theory of mind (Forms).
Aristotelian logic is shown to be the culprit
for the current mathematical difficulties.
I will also discuss connections to Gödel’s
theorems. The conclusion is that fuzzy logic
is a fundamental requirement for combining
adaptivity and apriority. Relating the mathematical
and philosophical helps clarifying both and
helps analyzing future research directions
of the mathematics of intelligence.
I. Introduction: Mathematics and Philosophy
The two-thousand year old debate on the origins
of universal concepts of mind was about the
roles of adaptivity or learning from experience
vs. the a priori knowledge (the inborn or
God-given). It is closely related to the
epistemological problem of the origins of
knowledge. The problem of combining adaptivity
and a-priority is fundamental to computational
intelligence as well as to understanding
human intelligence. There is an interrelationship
among concepts of mind in mathematics, psychology,
and philosophy, which is much closer than
currently thought among scientists and philosophers
of today. From the contemporary point of
view, the questions about mind posed by ancient
philosophers are astonishingly scientific.
A central question to the work of Plato,
Aristotle, Avicenna, Maimonides, Aquinas,
Occam, and Kant was the question of the origins
of universal concepts. Are we born with a
priori knowledge of concepts or do we acquire
this knowledge adaptively by learning from
experience? This question was central to
the work of ancient philosophers, medieval
theologists, and it was equally important
to theories of Freud, Jung, and Skinner.
The different answers they gave to this question
are very similar to the answers given by
McCulloch, Minsky, Chomsky and Grossberg.
When 2300 years ago Plato faced a need to
explain our ability to conceptualize, he
concluded that concepts are of a priori origin.
The philosophy based on the transcendental,
a priori reality of concepts was named realism.
During the following 2000 years the concept
of a-priority was tremendously strengthened
by the development of monotheistic religion
in Europe, to the extent that it interfered
with empirical studies. At the end of scholastic
era, human spirit felt strong enough to question
a priori truths on the empirical ground.
Occam rejected the concept of a-priority;
he held nominalistic views that are opposite
to realism. Following Antisthenes, nominalism
considers ideas to be just names for classes
of similar empirical facts. Occam prepared
the way for empiricism of Lock and Hume,
that is among foundations of the scientific
method.
Time has obscured the influence of Occam
on the development of the scientific method,
and his name is hidden behind the figures
of great philosophers and scientists that
came after him. However, despite the realism
of Descartes, Leibnitz, and Newton, nominalism
of the forerunner of contemporary scientific
thinking continues to pervade scientific
attitudes of today. One of the reasons for
the influence of nominalism is the unbreakable
tie between the scientific method and objectivization
of the subject of inquiry. In physics, theoretical
tradition of the Newton's realism counterbalanced
the influence of nominalism, but in the area
of empirical sciences, such as psychology
in the last century, the reality of facts
seemed more significant than the reality
of ideas that have not been clad in a mathematical
form.
Near the end of 19th century, the success
of the mathematical method in physics had
advanced a requirement of objectivization
and, in the empirical sciences, where the
only criterion of objectivity was seen in
the reproducible experiments, questioned
a possibility of a theoretical consideration
of a priori concepts. A priori concepts started
loosing ground, became lowered to the level
of (at best) unproved hypothesis, and I would
risk to say that in some areas of science
a temptation of objectivity eliminated a
possibility for deep theoretical scientific
thinking. Concepts dressed not in the strict
language of mathematical computations, seemed
compromised. In this atmosphere, to resolve
the dilemma between the objectivity and depth
of investigation, there was born behaviorism,
a new scientific direction redefining psychology
as a science of human behavior (Watson, 1913)
and an accompanying intellectual and philosophical
movement (Skinner, 1974).
A concept of behaviorism that attempted to
explain the entire human psychology as a
sequence of stimuli and reflexes and denied
a need for consciousness in understanding
of the intellect, dominated American psychology
from about 1920 to 1960 (Jaynes, 1976). One
of the reasons for the past popularity of
behaviorism was a striving toward scientific
strictness in the absence of mathematical
methods adequate for the complicated problem
of the analysis of mind. Seeing the only
criteria of scientific objectivity in reproducible
experimental results, behaviorism had to
forgo considerations of deep mental processes
(Grossberg, 1988). Behaviorism as a scientific
school, as a temporary idealization of a
complicated problem, created a scientific
methodology of experimental psychology, established
an importance of the environment as a determining
factor in human behavior, showed that the
role of mental factors is often incorrectly
exaggerated in everyday life, and successfully
described multiple aspects of behavior in
terms of external factors alone. However,
behaviorism as a philosophy maintaining that
the concepts of consciousness, free will,
idea, are not needed in psychology and should
be discarded (Skinner, 1974), exerted an
inhibiting influence on the development of
concepts of mind. As an attempt to reduce
psychology exclusively to external factors,
— behaviorism is a continuation of an ancient
philosophical tradition of nominalism expressed
in psychological terms of the twentieth century.
Emergence of cybernetics proceeded under
the influence of the dominating psychological
concept of behaviorism, which can be seen
from the cybernetics' program paper
(Rosenblueth, Wiener, & Bigelow, 1943).
The mutual influence of behaviorism, nominalistic
philosophy, and cybernetics was enhanced
by the fact that available cybernetic models
were relatively simple linear Wiener filters,
suitable for utilization of only simple a
priori knowledge. It was truly revolutionary
that despite of these prevailing nominalistic
orientation, McCulloch came to a conclusion
that under the influence of nominalistic
concepts since Occam, the realistic logic
(based on the a-priority of ideas) decayed,
which caused problems for scientific understanding
of mind (McCulloch, 1961; 1965). The basis
of the search for the material structures
of intellect McCulloch founded on a realistic
philosophy, created by the school of Plato
and Aristotle. However, early neural network
research in 1950s and 1960s did not follow
this direction and pursued nominalistic concept
of learning from examples, without using
complicated a priori knowledge, until the
demise of behaviorism in 1960s.
The early research in neural networks from
1940s to 1960s has generated tremendous interest
as it promised to resolve the mystery of
mind. Why did the Goliath-to-be fell down
in 1960s? How did it happen that a relatively
mild criticism by Minsky and Papert (1969)
had a devastating effect on the interest
in artificial neural systems? The question
of why did this happen was widely discussed
in a scientific community. However, the often
offered explanations pointing to personal
opinions can not be accepted, as unscientific
and relatively useless. A personal opinion
can produce a large scale effect in a society
only if it captures, embodies, and serves
as a conduit for a new philosophical trend.
The crisis in the field of early neural networks
coincided with the contemporaneous downfall
of behavioristic psychology and philosophy,
which was but a milestone in the age old
debate between realism and nominalism. Emergence
of cybernetics proceeded under the heavy
influence of behaviorism (Rosenblueth, Wiener
& Bigelow, 1943). Similarly, behaviorism
influenced early neural network research
in 1950s and 1960s. It pursued nominalistic
concept of learning from examples and did
not follow the realistic philosophical direction
outlined by McCulloch in 1940s. However,
behaviorism, as a philosophy, impoverished
study of mind and was rejected in 1960s.
The downfall of early neural network research
is related to its association with the behaviorism
and nominalism, a philosophy untenable any
longer as a philosophy of mind.
Notwithstanding, today nominalism still forms
the basis for many algorithms and neural
networks, which do not utilize complicated
a priori information in the process of learning
and adaptation. Jung has explained the schism
between philosophies of realism and nominalism
due to the two types of deep seated psychological
attitudes. Nominalism and empiricism are
related to an extroverted psychological attitude,
which is at a premium in our pluralistic
society. Thus, it is not a coincidence or
chance, that nominalism continue to exert
significant influence on scientific concepts
in this century despite of the realistic
philosophies of the founders of science.
However, a concerted research effort toward
combining a priori knowledge and learning
is emerging. And today, tracing the relationships
between philosophical and mathematical theories
of the intellect and outlining future research
directions, mathematicians move away from
Occam, who stands near the roots of scientific
objectivization toward the idealistic realism
of Plato and Aristotle.
II. Apriority, Adaptivity and Conundrum of
Combinatorial Complexity
Mathematical methods of recognition of complex
patterns have met with difficulties that
are often expressed in terms of the complexity
of a recognition process. Various recognition
paradigms have their own sets of difficulties,
but it seems that there always is a step
in the recognition process that is exponentially
or combinatorially complex. A well known
term used in this regard is "the curse
of dimensionality" (Bellman, 1961).
This designates a phenomenon of exponential
(or combinatorial) increase in the required
number of training samples with the increase
of the dimensionality of a pattern recognition
problem. The curse of dimensionality is characteristical
of adaptive algorithms and neural networks.
Another set of difficulties is encountered
by those approaches to the problem of recognition
that utilize systems of a priori rules. In
the case of rule systems, the difficulty
is in a fast (combinatorial) growth of the
number of rules with the complexity of the
problem (Winston, 1984). Model-based approaches
that utilize a priori object models in the
recognition process encounter difficulties
manifested as combinatorial complexity of
required computations (Nevatia & Binford,
1977; Brooks, 1983; Grimson & Lozano-Perez,
1984). The difficulties of various mathematical
paradigms of intelligence have been summarized
in recent reviews as follows. "... Much
of our current models and methodologies do
not seem to scale out of limited 'toy' domains"
(Negahdaripour & Jain, 1991). The key
issue is the "combinatorial explosion
inherent in the problem"
(Grimson & Huttenlocher, 1991).
The seemingly inexorable combinatorial explosion
that reincarnates in every paradigm of mathematical
intelligence is related in this paper to
a fundamental issue of the roles of a priori
knowledge vs. adaptive learning. This relationship
has been discussed recently for geometric
patterns in (Perlovsky, 1994) and for function
approximation in (Girosi, Jones & Poggio,
1995). The issue of the roles of a priori
knowledge vs. adaptive learning has been
of an overriding concern in the research
of mathematics of intelligence since its
inception. This controversy is here traced
throughout the entire history of the concepts
of mind throughout the Middle Ages to Aristotle
and Plato. The philosophical thoughts of
the past turn out to be directly relevant
to the development of mathematical concepts
of intellect today.
A contemporary direction in the theory of
intellect based on modeling neural structures
of the brain was founded by McCulloch and
his co-workers (McCulloch and Pitts,
1943). In search of a mathematical theory
unifying neural and cognitive processes they
combined an empirical analysis of biological
neurons with the theory of information and
mathematically formulated the main properties
of neurons. McCulloch believed that the material
basis of the mind is in complicated neural
structures of a priori origin. Specialized,
genetically inherited a priori structures
have to provide for specific types of learning
and adaptation abilities. An example of such
a structure investigated by McCulloch was
a group-averaging structure providing for
scale-independent recognition of objects,
which McCulloch believed serves as a material
basis for concepts or ideas of object independent
of their apparent size (Pitts & McCulloch,
1947).
However, this investigation into the a priori
aspect of the intellect was not continued
during the neural network research in 1950s
and 60s and neural networks developed at
that time utilized simple structures. These
neural networks were based on the concept
of general, non-specific adaptive learning
using empirical data. By underlining the
adaptive aspect of intellect and neglecting
its a priori aspect, this approach deviated
from the program outlined by McCulloch. Simple
structures of early neural networks and learning
based entirely on the empirical data were
in agreement with behaviorist psychology
dominant at the time. When the fundamental,
mathematical character of limited capabilities
of perceptrons was analyzed by Minsky and
Papert (1969), interest in the field of neural
networks fell sharply.
Concurrent with early neural networks, adaptive
algorithms for pattern recognition have been
developed based on statistical techniques
and the concept of classification space (Nilsson,
1965; Fukunaga, 1972; Duda and Hart, 1973;
Watanabe, 1985). In order to recognize objects
(patterns) using these methods, the objects
are characterized by a set of classification
features that are designed based on a preliminary
analysis of a problem and thus contains a
priori information needed for a solution
of this type of problems. However, general
mathematical methods of the design of classification
features utilizing a priori information have
not been developed. Design of classification
features based on a priori knowledge of specific
problems remains an art requiring human participation.
When a problem complexity is not reduced
to a few classification features by a human
analyst, these approaches lead to difficulties
related to exorbitant training requirements.
Exorbitant training requirements of statistical
pattern recognition algorithms can be understood
due to geometry of high-dimensional classification
spaces (Perlovsky, 1994). Due to the fact
that volume of a classification space grows
exponentially with the dimensionality (number
of features), training requirements for non-constrained
paradigms are exponential in terms of the
problem complexity. This is essentially same
problem that was encountered earlier in the
field of adaptive control and was named "the
curse of dimensionality" (Bellman, 1961).
The father of cybernetics, Wiener, has also
seen this problem, he underlined that using
higher order predictive models, or combining
many simple models is inadequate for the
description of complex non-stationary systems,
because of insufficient data for learning
(Wiener, 1948).
Facing exorbitant training requirements of
statistical pattern recognition algorithms
and being dissatisfied with limited capabilities
of mathematical methods of modeling neural
networks, which existed at the time, Minsky
suggested a different concept of artificial
intelligence based on the principle of a-priority.
He argued that intelligence could only be
understood on the basis of extensive systems
of a priori rules (Minsky, 1968). This was
the next attempt (after McCulloch) to develop
the mathematics of intellect from the principle
of a-priority. The main advantage of this
method is that it requires no training, because
it explicitly incorporates detailed, high
level a priori knowledge into the decision
making. This knowledge is represented in
a "symbolic" form similar to high
level cognitive concepts utilized by a human
in conscious decision making processes, thus
the name of this approach: "Symbolic
Artificial Intelligence".
The main drawback of this method is the difficulty
of combining rule systems with adaptive learning;
while modeling the a priori aspect of the
intellect, rule systems were lacking in adaptivity.
Although, Minsky emphasized that his method
does not solve the problem of learning (Minsky,
1975), notwithstanding, attempts to add learning
to rule-based artificial intelligence continued
in various fields of modeling the mind, including
linguistics and pattern recognition (Winston,
1984; Koster & May, 1981; Botha,
1991; Bonnisone et al, 1991; Keshavan et
al, 1993). In linguistics, Chomsky has proposed
to build a self-learning system that could
learn a language similarly to a human, using
a symbolic mathematics of rule systems (Chomsky,
1972). In Chomsky's approach, the learning
of a language is based on a language faculty,
which is a genetically inherited component
of the mind, containing an a priori knowledge
of language. This direction in linguistics,
named the Chomskyan Revolution, was about
recognizing the two questions about the intellect:
first, how is it possible? and second, how
is learning possible? as the center of a
linguistic inquiry and of a mathematical
theory of mind
(Botha, 1991). However, combining adaptive
learning with a priori knowledge proved difficult:
variabilities and uncertainties in data required
more and more detailed rules leading to combinatorial
complexity of logical inference (Winston,
1984).
Model-based approaches in machine vision
have been used to extend the rule-based concept
to 2-D and 3-D sensory data. Use of physically
based models permits utilization of detailed
a priori information on objects' properties
and shape in algorithms of image recognition
and understanding (Nevatia & Binford,
1977; Brooks, 1983; Winston, 1984; Grimson
& Lozano-Perez, 1984; Chen & Dyer,
1986; Michalski et al, 1986; Lamdan &Wolfson,
1988; Negahdaripour & Jain, 1991; Bonnisone
et al, 1991; Segre, 1992; Keshavan et al,
1993; Califano & Mohan, 1994). Models
used in machine vision typically are complicated
geometrical 3-D models that require no adaptation.
These models are useful in applications where
variabilities are limited and types of objects
and other parameters of the recognition problem
are constrained. When unforeseen variabilities
are a constant factor in the recognition
problem, utilization of such models faces
difficulties that are common to rule-based
systems. More and more detailed models are
required, potentially leading to a combinatorial
explosion.
Parametric model-based approaches have been
proposed to overcome the difficulties of
previously used methods and to combine the
adaptivity of parameters with a-priority
of models. In these approaches adaptive parameters
are used to adapt models to variabilities
and uncertainties in data. Parametric adaptive
methods date back to Widrow's Adaline (1959)
and linear classifiers. These early parametric
methods can be efficiently trained using
few samples, however, they are limited to
simple decision regions and are not suitable
for many complicated problems. Complicated
problems, such as routinely solved by human
perception mechanisms, require utilization
of multiple flexible models. In the process
of recognition, an algorithm has to decide
which subset of data corresponds to which
model. This step is called segmentation,
or association, and it requires a consideration
of multiple combinations of subsets of the
data. Because of this, complicated adaptive
models often lead to combinatorial explosion
of the complexity of the recognition process.
Fifty years of experience with classical
mathematical concepts of intelligence led
to three important conclusions. First, intelligent
algorithms have to combine learning and adaptivity
with complicated a priori structures, second,
they should utilize complicated internal
models learned on the basis of a priori structures,
and third, all classical approaches to this
problem led to combinatorial complexity.
A mathematical analysis leads to the conclusion
that the specific types of combinatorial
complexity are closely related to the roles
of apriority and adaptivity (Perlovsky; 1994;
1996b, f; 1997a, c). While methods based
on adaptivity face combinatorial explosion
of the training process, those based on a-priority
face combinatorial explosion of the complexity
of rule systems, and attempts to combine
the two face combinatorial explosion of the
computational complexity. Existing approaches
to this problem has not resolved the conundrum
of combinatorial complexity. To repeat again,
"... Much of our current models and
methodologies do not seem to scale out of
limited 'toy' domains" (Negahdaripour
& Jain, 1991); "The key issues (is)...
"combinatorial explosion inherent in
the problem"
(Grimson & Huttenlocher, 1991).
III. Aristotelian Contradiction, Gödel, and
Zadeh
Tracing metaphysical origins of our mathematical
concepts of intellect is helpful for understanding
the dynamics of changing scientific paradigms.
In particular, two concepts due to Aristotle
were examined (Perlovsky, 1996a, c, d). One
is the Aristotelian logic conceived to describe
eternal truths. Another is the Aristotelian
theory of mind describing adaptive, changeable
Forms. The mathematical difficulties we are
facing today were traced to a contradiction
in the Aristotelian treatment of these concepts.
This contradiction is related to the Aristotelian
disagreement with Plato, and to the Aristotelian
rejection of Plato's Ideas for the new concept
of Form. "Symbolic AI" utilized
internal structures based on Aristotelian
logic similar to the Plato's Ideas. Similarity
between logical rule systems and the Plato's
conception of mind has been discussed by
Chomsky (1972). He has directly related the
principle of a-priority in algorithm design
to the philosophy of Plato. He has also hoped
that the problem of learning can be solved
using rule-based approach to intelligence.
As discussed in Section 1, this approach
faced combinatorial computational complexity.
The combinatorial explosion has been related
to Gödelian theorems, which revealed the
combinatorial nature of Aristotelian logic
(Perlovsky, 1996g; 1997c; 1998).
The most striking fact is that the first
one who pointed out that learning can not
be achieved in Plato's theory of mind was
Aristotle. Aristotle recognized that in Plato's
formulation there could be no learning, since
Ideas (or concepts) are given a priori in
their final forms of eternal unchangeable
truths. Thus, learning is not needed and
is impossible, and the world of ideas is
completely separated from the world of experience.
Searching to unite the two worlds and to
understand learning, Aristotle developed
a concept of Form having, on the one hand,
a universal and higher a priori reality like
Plato's Ideas, but on the other, being a
formative principle in an individual experience
(Metaphysics). Forms can exist as potentialities
and as actualities. In Aristotelian theory
of Form, the adaptivity of the mind was due
to a meeting between the a priori Form and
matter, forming an individual experience.
The major point of Aristotelian theory departure
from Plato's Ideas was that before a Form
meets matter it exists as a potentiality,
thus, it has to be not in its final form
of a concept; it becomes a concept in the
process of experience. In the process of
learning a Form-as-potentiality evolves into
a Form-as-actuality that is the crisp concept
of logic. This theory was further developed
by Avicenna (XI AD), Maimonides (1190), Aquinas
(XIII), and Kant (1781) among many other
philosophers during the last 2300 years.
But, Aristotelian logic is unsuitable for
describing Forms, because Aristotelian logic
deals explicitly with the eternal truths
in their final crisp forms of concepts. For
example, consider a "law of excluded
third", which is a central law of Aristotelian
logic. According to the law of excluded third,
every statement is either true or not true,
and there is no third alternative. It might
be applicable to eternally valid truths,
but it is not applicable to our everyday
intelligence, nor to fluid and adaptable
Aristotelian Forms describing the process
of learning. Since Aristotelian logic is
a foundation of most of our algorithms including
the logic of propositions and "Symbolic
AI", the difficulties and contradictions
of "Symbolic AI" are traced to
Aristotle. Fuzzy logic is needed for Aristotelian
theory of Form — theory of mind. Thus, the
2300 year old contradiction between theory
of mind and logic is being resolved with
fuzzy logic (Perlovsky, 1996e; 1997a).
For 2000 years philosophers-realists, followers
of Plato and Aristotle, analyzed ontological
differences between Plato's Ideas and Aristotelian
Forms, but the principled epistemological
difference was not noticed. Ontology refers
to existence: while Plato assumed that Ideas
exist in a separate world, Aristotle considered
Forms as existing in our mind. Epistemology
refers to the ways in which knowledge is
acquired: in Plato's theory, Ideas are unchangeable
eternal truths, while Aristotelian Forms
are dynamic entities. Only, when scientists
have applied the Aristotelian logic to mathematical
modeling of mind, the contradiction between
Aristotelian logic and theory of mind led
to difficulties, contradictions, and impasse,
which is being resolved today in shifting
scientific paradigms. Analyzing the original
contradiction will help us to understand
the future directions in the research of
mind, both, mathematical and metaphysical.
Plato-Aristotelian conception of mind based
on a priori structures was further developed
by Kant. As well known, Kant identified a
priori inner models as a separate faculty
of mind that he called Understanding. Mind's
operations with a priori concepts Kant calls
the domain of Pure Reason (1781). The main
question that the analysis of Pure Reason
shall answer, according to Kant, is "How
are synthetic judgments a priori possible?"
In the mathematical theory of mind, this
specific faculty is represented in hierarchical
models: next levels in a hierarchy contain
synthesis of the lower level concepts. Thus,
development of a priori hierarchical models
is a key to mathematical modeling of the
Understanding or Pure Reason. Making this
hierarchy fuzzy, adaptable and situationally
dependent to enable learning is the future
challenge.
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