Status: Draft — In Progress
This Appendix collects structured bibliographic entries with short annotations of relevance to the Unity–Polarity Axioms (UPA), semantic‑world modeling, and SGI architecture.
How to Use This Appendix
- Each entry provides:
- Domain tags (primary knowledge area)
- UPA cross‑references (A‑tags)
- 3–6 sentence annotation explaining conceptual relevance
- Recommended workflow:
- Scan the Compact Summary Table below to identify relevant works.
- Jump to the associated section for full annotations.
- Use A‑tags to correlate readings with theory chapters.
Compact Summary Table
| Author / Work | Domain | Key UPA A‑tags |
|---|---|---|
| Smuts — Holism & Evolution | Holism | A1, A15 |
| Hegel — Phenomenology of Spirit | Dialectics | A5, A11, A15 |
| Laozi — Dao De Jing | Complementarity | A2, A9, A15 |
| Whitehead — Process & Reality | Process Ontology | A1, A9, A11 |
| Bateson — Ecology of Mind | Systems | A5, A7, A9 |
| Rosen — Life Itself | Relational Biology | A1, A12, A15 |
| Spivak — CT for the Sciences | Category Theory | A13, A14 |
| Jung — Psychological Types | Personality | A2, A4, A9 |
| Sutton & Barto — RL | Learning | A6, A7, A10 |
| Pearl — Causality | Causal Modeling | A6, A7, A13 |
| Cover & Thomas — Info Theory | Information | A4, A7, A15 |
| Jaynes — Probability Theory | Bayesian | A6, A7, A13 |
| Kauffman — At Home in the Universe | Complexity | A3, A12 |
| Deacon — Incomplete Nature | Emergence | A1, A5, A15 |
I.1 Primary Historical Sources Primary Historical Sources
Smuts — Holism and Evolution (1926)
Smuts presents holism as an irreducible formative principle driving integration and developmental progression. He anticipates UPA themes of structured unity, multi‑scale organization, and viability but does not specify minimal generative mechanisms. UPA renovates his view by introducing explicit polarity, σ‑pairing, and harmony conditions.
Hegel — Phenomenology of Spirit (1807)
Hegel’s dialectic models development through reciprocal determination of opposites. His insights support co‑definition and recursive structure. UPA departs by removing necessary contradiction and teleology, replacing synthesis with contextual harmony.
Laozi — Dao De Jing (c. 4th c. BCE)
Laozi articulates complementarity as a core modal principle and emphasizes dynamic contextual balance. This anticipates UPA axioms on polarity, contextuality, and harmony. UPA formalizes these patterns via axes, σ‑pairing, and structured viability.
I.2 Influential Philosophical Sources
Whitehead — Process and Reality (1929)
UPA: A1, A9, A11 | Domain: Ontology, Process Philosophy
Whitehead develops a process‑based ontology in which reality consists of events rather than substances. His emphasis on relational becoming aligns with UPA’s generative unity and recursive differentiation. However, UPA introduces minimal polarity structure (axes, σ‑pairs) absent in Whitehead, enabling stronger formalization and computational mapping. His notion of prehension foreshadows co‑definition (A5) across scales.
Spinoza — Ethics (1677)
UPA: A1, A4, A9 | Domain: Substance, Dual‑Aspect
Spinoza’s monism anticipates UPA’s claim that unity is ontologically prior. His parallelism between mind and body reflects correlated similarity (A4), although UPA reframes this as structured polarity rather than identity. Spinoza’s structure is metaphysically rigorous but lacks generative differentiation; UPA adds axes, novelty, and contextual modulation.
Merleau‑Ponty — Phenomenology of Perception (1945)
UPA: A5, A7, A11 | Domain: Embodied Mind
Merleau‑Ponty emphasizes embodiment, relationality, and lived context, mirroring UPA claims regarding co‑definition (A5) and contextuality (A7). He offers rich descriptions of nested structure (A11) but without minimal formal signature. His treatment of perception as world‑embedded supports semantic worlds and SGI interpretability.
William James — Principles of Psychology (1890)
UPA: A6, A7, A9 | Domain: Psychology, Pragmatism
James foregrounds dynamic experience, contextual adaptation, and pluralism. His pragmatic approach resonates with UPA’s emphasis on viable expression (A15) and complementarity (A9). UPA extends his insights with formal structure for transformation (A6) and context modulation (A7).
Nāgārjuna — Mūlamadhyamakakārikā (c. 2nd c.)
UPA: A4, A5, A9 | Domain: Non‑Dualism
Nāgārjuna analyzes dependent origination and emptiness, showing that phenomena co‑define one another. This supports UPA’s core commitments to correlated similarity (A4) and co‑definition (A5). While structurally resonant, UPA provides explicit polarity, recursion, and harmony metrics absent in classical Madhyamaka.
I.3 Systems Theory, Holism & Complexity
Gregory Bateson — Steps to an Ecology of Mind (1972)
UPA: A5, A7, A9, A12 | Domain: Systems, Cybernetics, Ecology
Bateson highlights relational patterns in cognition, communication, and ecology, treating mind as distributed across systems. His emphasis on pattern and relationship aligns with co‑definition (A5) and contextual modulation (A7). Complementarity (A9) appears in double‑bind dynamics, while multi‑axis perspectives (A12) emerge via interdependence of social and ecological systems. UPA extends Bateson by providing explicit generative polarity formalism.
Varela, Thompson & Rosch — The Embodied Mind (1991)
UPA: A5, A7, A11, A15 | Domain: Enactive Cognition, Systems
This work reframes cognition as embodied, enactive, and context‑dependent. Its core thesis—that cognition arises through adaptive coupling of organism and world—supports contextuality (A7) and co‑definition (A5). Recursion (A11) appears in layered sensorimotor loops, and viability corresponds to harmony (A15). UPA adds minimal axis + σ‑pair requirements lacking here.
Robert Rosen — Life Itself (1991)
UPA: A1, A9, A12, A15 | Domain: Relational Biology, Complexity
Rosen asserts that living systems must be understood through relational models rather than mechanism, aligning with unity‑first ontology (A1) and complementarity (A9). He anticipates multi‑axis expression (A12) and viability conditions (A15). UPA clarifies generative polarity and cross‑domain functoriality (A13–A14) absent from Rosen’s framework.
Prigogine & Stengers — Order Out of Chaos (1984)
UPA: A3, A6, A9, A15 | Domain: Thermodynamics, Complexity
Prigogine emphasizes irreversible dynamics and self‑organization from far‑from‑equilibrium states. These dynamics reflect lawful transformation (A6), contextual structure, and polarity between order/disorder (σ‑pair). Harmony (A15) echoes viability thresholds. UPA adds minimal axis‑level structure and multi‑scale propagation.
von Bertalanffy — General Systems Theory (1968)
UPA: A1, A7, A12, A15 | Domain: Systems Theory
von Bertalanffy formalizes general system properties—hierarchy, openness, feedback—mirroring recursion (A11) and multi‑axis (A12) claims. Contextual regulation (A7) and viability (A15) are embedded in system–environment coupling. UPA strengthens these insights with explicit σ‑pair structure and classification of opposites (A16).
I.4 Semantic Worlds, Representation & Category Theory
Lawvere & Schanuel — Conceptual Mathematics
UPA: A13, A14 | Domain: Category Theory, Foundations
Introduces category‑theoretic thinking in accessible form, emphasizing structure‑preserving mappings. Its treatment of arrows and objects provides conceptual grounding for functorial correspondence (A13–A14). While UPA extends these ideas into σ‑polarity and semantic‑world modeling, Lawvere offers a foundational structural lens required for SGI interpretability.
Baez & Stay — Physics, Topology, Logic and Computation (2011)
UPA: A2, A12, A13, A14 | Domain: Applied Category Theory
Shows how categorical tools unify physical, logical, and computational structures. Their work supports UPA’s cross‑domain correspondence (A13–A14) and multi‑axis expression (A12). Although σ‑pairing is not explicit, the categorical framing underwrites generalizable world‑to‑world mappings central to SGI.
Spivak — Category Theory for the Sciences (2014)
UPA: A13, A14, A11 | Domain: Category Theory, Data Semantics
Spivak provides templates for formally encoding scientific structure using categories, schemas, and functors. This scaffolds UPA’s semantic‑world indexing and interpretive transfer. Recursion (A11) appears via compositional modeling, though polarity requires UPA augmentation.
Hofstadter — Fluid Concepts & Creative Analogies (1995)
UPA: A5, A9, A13 | Domain: Analogy, Representation
Hofstadter models analogy as a core cognitive mechanism, resonating with UPA’s co‑definition (A5) and complementarity (A9). His emphasis on transfer aligns with functorial correspondence (A13). UPA formalizes these dynamics through σ‑pair structure and contextual modulation.
Gentner — Structure‑Mapping Theory (1983)
UPA: A5, A13, A14 | Domain: Analogy, Cognitive Science
Gentner argues analogical reasoning depends on relational correspondence rather than surface similarity. This supports UPA’s interpretive mapping (A13–A14) and co‑definition (A5). UPA extends SMT by embedding polarity structure within analogical spaces.
Gärdenfors — Conceptual Spaces (2000)
UPA: A2, A4, A7, A12 | Domain: Geometry of Meaning
Proposes a geometric representation of meaning organized along quality dimensions—supporting axis‑based polarity (A2) and correlated similarity (A4). Contextuality (A7) governs region activation; multi‑axis (A12) is inherent. UPA augments with σ‑pair structure and harmony.
Barwise & Seligman — Information Flow (1997)
UPA: A4, A5, A13, A14 | Domain: Logic, Semantics
Develops a theory of information based on local logics and channels, supporting semantic correspondence across contexts. This anticipates UPA’s interpretive transfer (A13–A14) and co‑definition (A5). UPA adds structured polarity and harmony for evaluating cross‑world viability.
I.5 Psychology & Clinical Models
Carl Jung — Psychological Types (1921)
UPA: A2, A4, A5, A9, A11 | Domain: Personality, Archetypes
Jung identifies recurring polarity structures (e.g., introversion–extraversion, thinking–feeling), anticipating UPA’s axis‑based differentiation (A2) and correlated similarity (A4). His archetypes reflect nested polarity (A11) and complementary function (A9). UPA adds σ‑pair formalization + viability criteria for adaptive balance.
Costa & McCrae — Five‑Factor Model (1980s–)
UPA: A2, A7, A11, A12, A15 | Domain: Trait Psychology
The Big Five model describes trait continua expressible as polar axes (A2) modulated by context (A7). Hierarchical structure exemplifies recursion (A11), and trait interactions reflect multi‑axis expression (A12). UPA extends this with harmony (A15) linking balanced expression to well‑being.
Peterson & Seligman — Character Strengths & Virtues (2004)
UPA: A9, A10, A15 | Domain: Virtue, Well‑being
This atlas highlights structured complementarity (A9) and tradeoff (A10) within character domains. Harmony (A15) manifests as balanced strength expression. UPA strengthens this taxonomy by embedding virtue constructs into polarity + contextual viability.
Porges — Polyvagal Theory (1995–)
UPA: A6, A7, A9, A15 | Domain: Affective Regulation, Clinical
Porges models autonomic regulation as dynamic, context‑dependent modulation (A7) between opposing physiological modes. Complementarity (A9) and harmony (A15) map to safety + adaptive function. UPA generalizes these patterns through σ‑pairs + viability metrics.
Kernberg — Object Relations (1960s–)
UPA: A5, A7, A11, A15 | Domain: Clinical, Developmental
Object relations theory models self–other structures as relationally co‑defined (A5), contextually activated (A7), and hierarchically nested (A11). Disturbance corresponds to disharmony (A15). UPA provides generative polarity to clarify integrative dynamics.
Linehan — Dialectical Behavior Therapy (1993)
UPA: A9, A10, A15 | Domain: Treatment, Dialectic
DBT operationalizes therapeutic work around dialectical tension (A9) and contextual tradeoffs (A10). Harmony (A15) functions as treatment goal. UPA adds minimal structure for classifying oppositions + mapping adaptive resolution.
Rogers — Client‑Centered Therapy (1951)
UPA: A7, A9, A15 | Domain: Humanistic, Therapeutic
Rogers emphasizes contextual attunement (A7), congruence, and complementary growth dynamics (A9). Harmony (A15) underlies psychological integrity. UPA formalizes these principles within σ‑polarity + viability.
Kazdin — Behavior Therapy Foundations (1970s–)
UPA: A6, A7, A10 | Domain: Learning, Intervention
Kazdin grounds intervention in lawful transformation (A6) and contextual reinforcement (A7). Tradeoffs (A10) structure behavior regulation. UPA broadens this by embedding multi‑axis dynamics + harmony criteria.
I.6 SGI, Architectures & Computational Contexts
Brooks — “Intelligence Without Representation” (1990)
UPA: A2, A6, A7, A15 | Domain: Embodied Robotics, Architecture
Brooks argues that intelligent behavior can emerge without explicit symbolic representation, emphasizing situated action and layered control systems. This resonates with UPA’s context modulation (A7) and lawful transformation (A6) while challenging monolithic world models. His subsumption architecture mirrors multi-axis expression (A12) and supports harmony (A15) via robust adaptive balance. UPA adds explicit σ-polarity and functorial mapping.
Minsky — Society of Mind (1986)
UPA: A11, A12, A13 | Domain: Modular Cognition
Minsky conceptualizes mind as a society of interacting agents, anticipating recursive and multi-axis structure (A11–A12). His framing aligns with UPA’s composability and functorial transfer (A13) across specialized modules. UPA adds polarity + harmony conditions to coordinate inter-agent integration.
Simon — Sciences of the Artificial (1969)
UPA: A7, A10, A11, A12 | Domain: Hierarchy, Design
Simon emphasizes hierarchical decomposition, modularity, and bounded rationality, consistent with recursion (A11) and multi-axis organization (A12). Context (A7) informs problem structure; tradeoffs (A10) shape decision processes. UPA extends these insights with polarity and harmony.
Sutton & Barto — Reinforcement Learning (1998)
UPA: A6, A7, A10, A15 | Domain: Learning, Adaptation
RL formalizes learning from reward-driven interaction, grounding dynamics (A6) and contextual modulation (A7). Tradeoffs (A10) operate between exploration–exploitation σ-pairs. Harmony (A15) maps to reward structures + viability. UPA generalizes novelty + functorial world transfer.
Sun — CLARION Architecture (1990s–)
UPA: A2, A7, A11, A12 | Domain: Dual-Process Cognition
CLARION models implicit–explicit polarity (A2) within hierarchical structure (A11). Contextual modulation (A7) governs process selection, while multi-axis (A12) supports distributed learning. UPA adds σ-pair classification + harmony.
LeCun, Bengio & Hinton — “Deep Learning” (2015)
UPA: A2, A11, A12 | Domain: Representation Learning
DL highlights transformation across layered structure (A11) and multi-axis representation (A12). Latent axes approximate semantic polarity (A2), though not explicitly paired. UPA adds interpretive σ-pairs + harmony evaluation.
Pearl — Causality (2000)
UPA: A6, A7, A13 | Domain: Causal Modeling
Pearl formalizes intervention and causal inference through structural models supporting lawful transformation (A6). Context (A7) drives conditional dependence; mapping between causal models parallels functorial structure (A13). UPA extends this with polarity + viability.
Newell & Simon — Physical Symbol System Hypothesis (1976)
UPA: A13, A14, A12 | Domain: Symbolic AI
PSSH frames cognition as manipulation of structured symbolic representations. This aligns with functorial correspondence (A13–A14). UPA reconciles PSSH by embedding symbolic axes within broader polarity + multi-axis expression (A12) for SGI.
Schmidhuber — Intrinsic Motivation / Novelty (1991–)
UPA: A3c, A6, A7, A15 | Domain: Creativity, Novelty
Schmidhuber operationalizes novelty (A3c) via compression progress and intrinsic motivation. Dynamic transformation (A6) and contextual modulation (A7) shape adaptive curiosity. UPA integrates novelty with σ-axes + harmony (A15) for reintegration.
Battaglia et al. — Relational Inductive Bias and Graph Nets (2018)
UPA: A4, A12, A13, A14 | Domain: Relational AI
Graph networks encode object–relation semantics aligned with correlated similarity (A4), multi-axis structure (A12), and functorial mapping (A13–A14). UPA augments these with polarity structure + harmony.
I.7 Methods & Mathematics
Shannon — A Mathematical Theory of Communication (1948)
UPA: A4, A7, A15 | Domain: Information Theory
Shannon provides quantitative measures of information and uncertainty. Correlated similarity (A4) aligns with shared structure in signals; contextuality (A7) shapes channel characteristics. Harmony (A15) parallels signal viability under noise. UPA extends to semantic polarity and multi-axis integration.
Jaynes — Probability Theory: The Logic of Science (2003)
UPA: A6, A7, A13 | Domain: Bayesian Inference
Jaynes develops Bayesian inference as an extension of logic for uncertain reasoning. This supports lawful transformation (A6) and contextuality (A7) in belief updating. Functorial transfer (A13) parallels mapping between model spaces. UPA adds polarity + viability.
Cover & Thomas — Elements of Information Theory (1991)
UPA: A4, A7, A15 | Domain: Information, Coding
Formalizes entropy, mutual information, and channel capacity. Correlated similarity (A4) underlies code efficiency; context (A7) shapes optimal encoding. Harmony (A15) parallels reliable transmission. UPA augments with σ-pairs + semantic structure.
Amari — Information Geometry (1990s–)
UPA: A2, A4, A6, A12 | Domain: Geometry, Statistics
Amari models statistical manifolds via geometric structure. Axes (A2) + correlated similarity (A4) map to coordinate charts; dynamics (A6) evolve distributions; multi-axis (A12) arises in manifold structure. UPA extends with polarity + novelty.
Mac Lane — Categories for the Working Mathematician (1971)
UPA: A13, A14, A11 | Domain: Category Theory
Foundational categorical structures support functorial mapping (A13–A14) + compositional recursion (A11). Provides abstraction for cross-domain correspondence used in UPA + SGI. UPA adds σ-axis structure + viability.
Kolmogorov — Complexity Foundations (1960s–)
UPA: A3c, A12, A15 | Domain: Complexity, Information
Kolmogorov complexity formalizes minimal description, aligning with novelty (A3c). Multi-axis (A12) emerges in decomposed representations; harmony (A15) relates to compressibility + viability. UPA integrates novelty into polarity + context.
von Neumann — Self-Replication & Automata (1940s–50s)
UPA: A11, A12, A15 | Domain: Computation, Emergence
von Neumann’s automata models exhibit recursive structure (A11) and multi-axis composition (A12). Harmony (A15) appears as stable self-reproduction. UPA adds polarity + contextuality.
Voevodsky et al. — Homotopy Type Theory / Univalent Foundations (2013)
UPA: A1, A4, A13 | Domain: Foundations, Type Theory
HoTT encodes identity + equivalence as structured paths, resonating with correlated similarity (A4) + functoriality (A13). Unity (A1) appears implicitly in univalence. UPA extends with σ-pair polarity + harmony.
I.8 Suggested Secondary Readings
Capra & Luisi — The Systems View of Life (2014)
UPA: A1, A7, A12, A15 | Domain: Systems, Biology, Philosophy
A broad synthesis of systems biology, cybernetics, and complexity emphasizing relational organization and contextuality (A7). Multi-axis expression (A12) underlies ecological and biological integration. UPA adds polarity, σ-pairs, and harmony structure (A15) to formalize viability.
Sheldrake — A New Science of Life (1981)
UPA: A3, A9 | Domain: Speculative Biology
Introduces morphic resonance as formative influence. While speculative, it frames distributed pattern formation (A9) and novelty (A3). Included primarily for historical context; UPA provides clearer generative structure.
Kauffman — At Home in the Universe (1995)
UPA: A3, A6, A12, A15 | Domain: Complexity, Evolution
Kauffman explores self-organization and emergent order from simple rules, paralleling novelty (A3), lawful transformation (A6), and multi-axis expression (A12). Harmony (A15) links adaptability to system stability. UPA adds polarity.
Taleb — Antifragile (2012)
UPA: A7, A10, A15 | Domain: Risk, Robustness
Taleb highlights systems that benefit from variability and stress. Tradeoffs (A10) and contextual modulation (A7) shape resilience; harmony (A15) maps to adaptive balance. UPA extends by specifying polarity axes.
Lakoff & Johnson — Metaphors We Live By (1980)
UPA: A4, A5, A7 | Domain: Cognition, Language
Argues conceptual metaphors structure thought, consistent with correlated similarity (A4) and co-definition (A5). Contextuality (A7) shapes metaphor activation. UPA adds σ-pair mapping.
Dennett — From Bacteria to Bach and Back (2017)
UPA: A11, A12, A13 | Domain: Cognition, Evolution
Dennett frames cognition as layered evolutionary construction, aligning with recursion (A11) and multi-axis modularity (A12). Functorial transfer (A13) appears in cognitive reuse. UPA introduces polarity/generative unity.
Deacon — Incomplete Nature (2011)
UPA: A1, A5, A7, A15 | Domain: Emergence, Mind
Deacon examines absence/constraint as generative principle, complementing unity (A1) and co-definition (A5). Contextuality (A7) and viability (A15) appear in emergent systems. UPA adds polarity + formal structure.
Tononi & Koch — Integrated Information Theory (2008–)
UPA: A4, A11, A15 | Domain: Consciousness, Information
IIT models consciousness via integrated information. Correlated similarity (A4) and recursion (A11) appear in subsystem integration; harmony (A15) relates to viability of integration. UPA extends scope beyond consciousness.
Chalmers — Reality+ (2022)
UPA: A4, A7, A13 | Domain: Metaphysics, Virtuality
Explores ontology of virtual worlds, implicating semantic-world mapping (A13) and correlated similarity (A4). Contextuality (A7) shapes virtual embodiment. UPA adds polarity + viability.
Searle — The Rediscovery of the Mind (1992)
UPA: A5, A7 | Domain: Philosophy of Mind
Critiques reductionism; emphasizes irreducible features of consciousness. Co-definition (A5) and contextuality (A7) appear implicitly. UPA supplies formal polarity + harmony conditions.
Wolfram — A New Kind of Science (2002)
UPA: A3, A6, A12 | Domain: Cellular Automata, Computation
Wolfram argues simple rules yield complex behavior, aligning with novelty (A3) and lawful transformation (A6). Multi-axis (A12) emerges via pattern interactions. UPA adds polarity + viability.
Hameroff & Penrose — Orch-OR (1990s–)
UPA: A1, A4 | Domain: Quantum Mind (Speculative)
Proposes quantum processes underpin consciousness. Included for conceptual contrast; correlated similarity (A4) + unity (A1) apply. UPA provides broader modeling.
Smolin — Three Roads to Quantum Gravity (2001)
UPA: A2, A12, A13 | Domain: Physics
Explores integration of relativity + quantum frameworks. Axis structure (A2), multi-axis (A12), and functorial correspondence (A13). UPA adds polarity + semantic structure.
Rovelli — Helgoland (2021)
UPA: A4, A9, A13 | Domain: Relational Quantum Mechanics
Rovelli emphasizes relational properties (A4) and complementarity (A9). Functorial transfer (A13) appears implicitly. UPA embeds these in polarity + viability.
Tegmark — Our Mathematical Universe (2014)
UPA: A1, A4, A12 | Domain: Cosmology
Advocates mathematical ontology. Unity (A1), correlated similarity (A4), and multi-axis structure (A12) resonate. UPA adds polarity + harmony.
Barad — Meeting the Universe Halfway (2007)
UPA: A4, A5, A9, A13 | Domain: Philosophy, Relational Ontology
Agential realism emphasizes co-definition (A5), correlated similarity (A4), and complementarity (A9). Functorial parallels (A13) appear in relational transfer. UPA provides minimal polarity + harmonic viability.
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