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Museum of Comparative Zoology, Harvard University, Cambridge, MA
02138
Contributed by Stephen Jay Gould, July 23, 1997
In 1979, Lewontin and I borrowed the architectural term
"spandrel" (using the pendentives of San Marco in Venice as an
example) to designate the class of forms and spaces that arise as
necessary byproducts of another decision in design, and not as
adaptations for direct utility in themselves. This proposal has
generated a large literature featuring two critiques:
(i) the terminological claim that the spandrels of San
Marco are not true spandrels at all and (ii) the
conceptual claim that they are adaptations and not byproducts. The
features of the San Marco pendentives that we explicitly defined as
spandrel-properties Much Ado About Little and Lots
Just as the four evangelists fit so splendidly But, my goodness, we never anticipated so many exaptive spinoffs from
this introductory image Claim One: What's In A Name?
Lewontin and I (1) invoked the principle of spandrels to introduce
our critique of adaptationist logic because, in our judgment, the
primary fallacy of this approach lies in a tendency to treat a proven
current utility for any individual feature as prima facie
evidence of its adaptive origin. We wished, in contrast, to emphasize
that any adaptive change in a complex and integrated organism must
engender an automatic (and often substantial) set of architectural
byproducts. These sequelae I chose the mosaic decoration of the pendentives under the great dome
of San Marco in Venice in part because I had been so impressed by their
beauty and felt so instructed by the analogical transfer thereby
suggested to issues of adaptation in my own field. I also thought that
the architectural term "spandrel" could serve as an excellent
label, fully applicable to biological examples, for the general
phenomenon thus illustrated. I liked the term, first of all, because
its etymological origin lay so firmly in the domain of measurement and
geometry that D'Arcy Thompson had emphasized in his locus
classicus [On Growth and Form (31), first published in
1917 and continually in print ever since] for the formalist critique
of adaptationism In architecture, the prototypical spandrel is the triangular space
"left over" on top, when a rectangular wall is pierced by a
passageway capped with a rounded arch (see Fig. 1). By extension, a
spandrel is any geometric configuration of space inevitably left over
as a consequence of other architectural decisions. Thus, the space
between the floor and the first step of a staircase or the horizontal
course between the lintels of a horizontal line of windows and the
bottom of the row of windows on the floor just above are also called
spandrels. By generalization then
Moreover, the term spandrel is particularly applicable to biological
problems of adaptation because the architectural concept stresses the
same point of distinction between historical origin and later utility
that has proven so troublesome in evolutionary theory. Architectural
usage has always emphasized the availability of these left-over spaces
for later decoration that may come to define the beauty or essence of a
style. (I grew up in New York City and always appreciated the elaborate
geometrical ornamentations on the panels that cover the horizontal
spandrel-courses of our numerous Art Deco buildings.) For example,
Webster's Third New International Dictionary (32) gives
these two subsidiary definitions for spandrel: "an ornamentally
treated space between the ... curve [of an arch] and an
enclosing right angle" and "a corner space with scroll work or
other decorative filling between a rounded corner ... and a
squared corner of a rectangular frame." Thus, the definition of a
spandrel includes both its origin as a necessary but consequential (and
therefore "nonadaptive") form and its availability for later (or
secondarily adaptive), and potentially crucial, use The nonconceptual, purely terminological, and truly trivial issue that
seems to bother Dennett (4) and Houston (7) so much involves my
application of the term spandrel (classically used, as shown in Fig. l,
for two-dimensional spaces left over) to the three-dimensional tapering
triangular spaces between the round domes and the four rounded arches
that support each dome in the cathedral of San Marco in Venice. These
spaces I will leave it to professional architects to decide whether the
general concept of a spandrel as a two-dimensional byproduct of
definite form should be extended to such three-dimensional analogs as
the pendentives of San Marco or the diamond-shaped panels that must be
present at the intersections of the fans in any late gothic fan-vaulted
ceiling (our other example in ref. 1). I agree with Dennett and Houston
that most architects, apparently, do not do so. But many do,
particularly in continental European usage. In our original paper (1),
I followed Bacchion (8), who discusses the San Marco pendentives under
the general term spandrel: "In the spandrels, under the Evangelists,
there is an extraordinary group: four men pouring water from leather bottles on their shoulders." This usage seems general. Franchi (9),
for example, identifies as spandrels the famous pendentives under the
dome of the Pazzi Chapel at the Church of Santa Croce in Florence (the
burial place of Galileo), where Brunelleschi also placed figures (in
terra cotta) of the evangelists: "In the spandrels between the dome
and the arches there are the four evangelists attributed to
Brunelleschi himself."
Thus, if evolutionary biology needs a general name for the concept of a
nonadaptive architectural byproduct of definite and necessary form Claim Two: Are Spandrels Spandrels or Adaptations?
In arguing that the San Marco pendentives possess some structural
utility (7), or in claiming that they must have been actively chosen as
a design solution (4) (and must therefore be, at least by analogy,
adaptive) because unused alternatives exist in principle (squinches
instead of pendentives, various forms of bracketing rather than smooth
spaces suited for mosaics), our critics have either ignored or
misunderstood our clearly stated claim (ref. 1, p. 339) about the
nonadaptive, and architecturally consequential, aspect of these spaces.
We never thought or argued that the pendentives do nothing useful. (In
some trivial sense, for starters, they work much better than similar
spaces left open and unroofed, if only because they keep out the rain.)
Robert Mark (3), the distinguished civil engineer and architectural historian who analyzed our debate with Dennett (4) and who affirms our
central claim about the necessary form and number of spandrels as
byproducts (while also noting the active role of pendentives in
buttressing) stresses the same point in recognizing the inevitably
diamond-shaped form and even spacing of the ceiling spandrels in
King's College Chapel (our second example in ref. 1) but then stating
that closed rather than open spandrels operate "to prevent the spread
of fire, to improve acoustics and to exclude birds in the roof from
entering the chapel" (ref. 3, p. 385).
By spandrel, Lewontin and I (1) intended (purposefully and
specifically) to designate the physical properties
Proc. Natl. Acad. Sci. USA
Vol. 94,
pp. 10750-10755,
September 1997
Evolution
their necessary number (four) and shape (roughly
triangular)
are inevitable architectural byproducts, whatever the
structural attributes of the pendentives themselves. The term spandrel
may be extended from its particular architectural use for
two-dimensional byproducts to the generality of "spaces left over,"
a definition that properly includes the San Marco pendentives.
Evolutionary biology needs such an explicit term for features arising
as byproducts, rather than adaptations, whatever their subsequent
exaptive utility. The concept of biological spandrels
including the
examples here given of masculinized genitalia in female hyenas,
exaptive use of an umbilicus as a brooding chamber by snails, the
shoulder hump of the giant Irish deer, and several key features of
human mentality
anchors the critique of overreliance upon adaptive
scenarios in evolutionary explanation. Causes of historical origin must
always be separated from current utilities; their conflation has
seriously hampered the evolutionary analysis of form in the history of
life.
but so obviously
secondarily and epiphenomenally
into the spandrels of San Marco, I
have been delighted beyond all measure by the unintended consequences
spawned by our metaphor and example (1). Lewontin and I (1) designed
this architectural analog as an illustration of dangers and fallacies
in overzealous commitment to adaptationist explanations
and the
notoriety of our paper surely testifies to the success of this primary
intent.
including (i) an entire book by
linguistic scholars on our (mostly unconscious) literary tactics (2);
(ii), a wise commentary by a noted scholar of medieval building (3); and (iii), wonder of wonders in our faintly
philistine (and avowedly secular) professional community (4-7), a
burgeoning interest in at least two humanistic subjects generally
shunned by scientists for reasons of passive ignorance, or even active distaste: church architecture and literary parody [of the puerile, "ain't-I-clever," sort embodied in two recent titles, "The
Scandals of San Marco" and "The Spaniels of St. Marx." Ouch!
(5-6)]. The shrill and negative commentaries in the third and last
category advance two claims against our example
one almost risibly
trivial (that our spandrels aren't spandrels), the other seriously
false and based on a misreading of our clearly stated intent (that San Marco's spandrels are adaptations after all).
spandrels in our terminology
arise nonadaptively as secondary consequences ["correlations of growth" in Darwin's phrase (19)], but then become available for later cooptation to useful function in the subsequent history of an evolutionary lineage. We began our article with an architectural, rather than a biological, example (a good decision as validated by the
intensity of ensuing discussion) because we believed that adaptationist
bias would cloud the logic of an illustration "too close to home"
whereas a case from a distant discipline would evoke no a
priori preference and could therefore be judged more fairly and
without prejudice.
for the word spandrel arose as a diminutive offshoot
from the most organic of all quantifications, the "span," or
distance, between the outstretched thumb and last finger. [Isaiah's
God shows his love for humanity by such solicitude in measurement: for
he "who hath measured the waters in the hollow of his hand, and meted
out heaven with the span" shall also "feed his flock like a
shepherd" and "gather the lambs with his arm" (Isaiah
40:11-12)].
and here I saw the utility of an
application to problems of adaptation in biology
a spandrel is any
space necessarily and predictably shaped in a certain way, and not
explicitly designed as such, but rather arising as an inevitable side
consequence of another architectural decision (to pierce a wall with a
rounded arch, to build a stair at a certain height from the floor, to
construct a multistoried building with windows in rows). I believed
that this concept
a predictable form that arises as a side consequence rather than a direct adaptation
had important application to biology but lacked a name. (Darwin's "correlation of growth" came to mind, but his term is ambiguous and never caught on in any case.) I thought,
and continue to feel, that spandrel is the most obvious, the most
useful, and the most historically sanctioned term available for such a
central concept.
Fig. 1.
(Upper) A pendentive (or
three-dimensional spandrel) formed as a necessarily triangular space
where a round dome meets two rounded arches at right angles.
(Lower) "Classical" two-dimensional spandrels; the
necessarily triangular spaces between rounded arches and the
rectangular frame of surrounding walls and ceilings.
[View Larger Version of this Image (18K GIF file)]
the two concepts
that permit a fruitful application to evolutionary biology.
necessarily four in number and necessarily tapering and
triangular, when domes are mounted on four arches joined at right
angles (see Fig. 1)
are called
"pendentives." [And, for what it's worth, I knew this before Lewontin and I ever wrote our original article in 1979 (1)
not because
I have any extensive expertise in architectural terminology, but
because I asked my friend Peter Stevens, a distinguished Boston architect and author of a fine modern work in the tradition of D'Arcy
Thompson, Patterns in Nature (33)].
a
structure of predictable size and shape that then becomes available for
later and secondary utility
the architectural term spandrel seems
eminently (may I even say optimally) suited. For spandrel does enjoy
standard use, at least for two-dimensional spaces that originate as
byproducts. The extension to three dimensions (and therefore to full
generality), a usage also sanctioned by some architectural historians,
seems well justified, both by tradition and for the clear benefits
always conferred by a generalized descriptor for an important concept
in any scientific field.
form, position, constitution, and number, for example
that must arise as enforced consequences of primary reasons for building or altering a complex structure. (We assume that, in biological systems, the usual primary reason will center upon the standard mechanism of natural selection leading to adaptive change.) In San Marco, the primary decision
surely "adaptive" by analogy, because architects chose this option based on known prior success
involved mounting domes on four rounded arches
meeting at right angles. Once this solution has been chosen, the two
spandrel-properties (inevitable byproducts) of the pendentives necessarily follow: the pendentives must be four in number, and each
must have a tapering triangular form, widest at the top, and narrowing
to the slit between the two arches below their circular tops. Whatever
the function of the pendentives, ranging from relatively trivial in
keeping out the rain to potentially vital in buttressing the dome,
their number (four) and their form (roughly triangular) arise as
inevitable byproducts of the primary decision to mount domes on arches.
This is the property of consequential necessity that we wanted to
capture in our general definition of a spandrel. We wrote in the first
paragraph of our article (1):
Spandrels
the tapering triangular spaces formed by the
intersection of two rounded arches at right angles
are necessary
architectural byproducts of mounting a dome on rounded arches... .
The system begins with an architectural constraint: the necessary four
spandrels and their tapering triangular form. (p. 339)
We wanted to emphasize this nonadaptive origin for basic properties of spandrel-spaces because biologists so often err in inferring an adaptive origin from a later and fruitful use of available spandrels. Again, the San Marco example seemed particularly instructive, for the form and number of the spandrels arose as nonadaptive byproducts but, some three centuries later, these spaces were ornamented with beautiful mosaics in a particularly fitting way. For the central dome, the mosaicists placed the four evangelists at the tops of the spandrels, with the four Biblical rivers (of Genesis, chapter 2) just below, each personified as a man pouring water into the narrow space at the spandrel's bottom, where the flow irrigates a single flower. The design "fits" so well into the spandrel that, if we didn't know the historical order of formation or appreciate the structural consequences of mounting domes on arches, we might invert causality and assume that the spandrels were designed explicitly to house the evangelists. We wrote (1):
Each spandrel contains a design admirably fitted into its tapering space ... The design is so elaborate, harmonious, and purposeful that we are tempted to view it as the starting point of any analysis, as the cause in some sense of the surrounding architecture. But this would invert the proper path of analysis. The system begins with an architectural constraint: the necessary four spandrels and their tapering triangular form ... Spandrels do not exist to house the evangelists. (pp. 339-340)
Robert Mark, the only participant in this debate with requisite
architectural expertise, affirms our central point (while also noting
the direct utility of pendentives in buttressing). He writes of our San
Marco example (ref. 3, p. 386): "Domes mounted on arches create
roughly triangular spaces in the corners, between the upper sides of
the arches and the base of the dome." For our second example, the
diamond-shaped ceiling spandrels between the fan vaults in King's
College Chapel, Mark both affirms the geometric necessity of the spaces
and supports our claim (incorrectly challenged by Dennett in ref. 4)
that the bosses hanging from the spandrels
the subsequent cooptation
based upon symbols of Tudor power carved into the bosses and therefore
the analog of the evangelists in the San Marco spandrels
represent a
consequential use of a necessarily preexisting space and cannot be
reasonably interpreted as the primary cause of the unified ceiling
design. Mark (3) wrote:
The adoption of radially ribbed vaulting from a central plan to a square- or rectangular-planned bay leaves an opening created by the perimeter of the conoid tops that requires closure ... This is most simply effected by the placement over the opening of a large, flat stone plate [the spandrel in our usage]. The boss is actually only the ornament protruding from that plate ... Rather than providing an appropriate "ceiling to carry the Tudor symbols" [Mark here quotes Dennett's claim that fan vaulting may have been chosen to yield spandrels for bearing the bosses, that could carry the Tudor symbols] it is far more likely that fan vaulting was selected for the college hall to adopt an up-to-date high architectural style. (p. 388)
Thus, spandrels are spandrels
that is, automatic byproducts of
other architectural decisions and therefore nonadaptive in their
origin. Spandrels are not adaptations, despite their availability for
later fruitful use (the main point of our example from the start and
surely not a weakness in our argument) and whatever their coordinated
utility in the original structure. Spandrels may keep out the rain,
protect privacy, exclude birds, cut down noise, even help to buttress
the building
but their basic physical features of size, shape, and
number originate as secondary consequences, not primary intents.
Standard Arguments Against Spandrels and the Excellence of San Marco as a Prototype
The testable and fruitful application of our definition of spandrels to biological evolution requires that two standard objections be overcome. Lewontin and I ventured outside our field and chose the pendentives of San Marco as our primary illustration because this case provides a wealth of historical and structural data (not always available in the imperfect archives of evolutionary sequences) sufficient to rebut both major arguments against the importance and utility of the concept of spandrels.
Separating Primary Cause (Adaptation) from Secondary Effect (Spandrel).Spandrels are architecturally enforced byproducts of
primary changes. But spandrels may then be subsequently coopted for
highly fruitful use
leading to the result that Gould and Vrba (10) called exaptation. But if we now have available only the modern structure with its mix of primary adaptations and secondarily exapted
spandrels
the usual situation in biology when we do not have a fossil
record of actual historical stages leading to a present structure
then
how can we identify and allocate the proper statuses? After all, both
types of features may now be exquisitely well "crafted" for a
current utility
for the exapted spandrel may work just as well, and
may be just as crucial to current function of the whole, as the primary
adaptation. That is, the central dome of San Marco now sits on rounded
arches with excellent structural integrity, but the evangelists fill
the spandrels with equally excellent design for a central iconographic
purpose. So which is the primary structural decision and which the
nonadaptive byproduct coopted for utility? Did the architects decide to
mount a dome on arches, thus engendering the spandrels as a necessary
consequence, or had the designers devised such a good plan for
decorating spandrels that they persuaded the architects to provide the
four pendentives so that they could execute their evangelical design?
In principle, two basic methods
one better than the other
can resolve
this crucial question of causal sequence. First (and evidently superior
for relying on raw observation rather than inference), we might obtain
evidence for an actual historical order and therefore be able to know
which feature arose first as a primary adaptation and which
subsequently as a coopted byproduct. Second (and more generally
applicable in relying on available data of present cases, but
necessarily inferential), we may tabulate the "comparative anatomy"
of current examples in a cladistic context and try to determine a
historical order from the distribution. For example, all snails that
grow by coiling a tube around an axis must generate a cylindrical space
along the axis. This space is called an umbilicus. It may be narrow and
entirely filled with calcite (then called a columella), but it is more
often, and especially in land snails, left open. A few species use the
open umbilicus as a brooding chamber to protect the eggs (11).
We may therefore ask: Is the umbilical brooding chamber a coopted
spandrel
a space that arose as a nonadaptive, geometric byproduct of
winding a tube around an axis? Or did snails initially evolve their
spiral coiling as part of an actively selected design centered upon the
direct advantages of protecting eggs in a cigar-shaped central space?
We cannot use the first method of actual historical sequence to resolve
this question because we do not know whether the first coiled snails
brooded their eggs in an umbilical chamber. But the second method of
comparative anatomy seems decisive in this case, however inferential:
The cladogram of gastropods includes thousands of species, all with
umbilical spaces (often filled as a solid columella and therefore
unavailable for brooding) but only a very few with umbilical brooding.
Moreover, the umbilical brooders occupy only a few tips on distinct and
late-arising twigs of the cladogram, not a central position near the
root of the tree. We must therefore conclude
both from geometric logic
(ineluctable production of the umbilicus, given coiling of the shell)
and from the distribution of umbilical brooding on the cladogram
that
the umbilical space arose as a spandrel and then became coopted for later utility in a few lines of brooders.
This case is admittedly a bit simplistic in its obvious and unambiguous resolution. But many actual examples in biology do not resolve easily by this second method because the putative spandrel is not so clearly consequential as a structure, or so taxonomically restricted as an evolved feature, that an inference of historical order evidently follows. For example, did the famous "male-mimicking" genitalia of the female spotted hyena (12-14) arise as a spandrel of the evolution of female dominance and superior size (an adaptation built by high testosterone titers, which induce masculinized genitalia as an automatic result) or did masculinized genitalia, as a direct adaptation produced by natural selection on endocrine levels, yield aggressivity and large female size as a byproduct? Many details of this case strongly favor the interpretation of masculinized genitalia as a spandrel (14). But resolution requires a wealth of information often not available, and does not follow so clearly from the logic of the case, as for the previous example of snail umbilici.
The instructive power of the San Marco prototype lies in a clear weight of evidence provided in both categories. First, in happy contrast with most biological examples, in which long geological histories and imperfect evidence often preclude resolution, we know the actual timing of construction in San Marco and can clearly identify the pendentives as secondary spandrels with respect to their optimal number and form for housing evangelists. The domes of San Marco, and all accompanying structures, were built three centuries before the mosaicists placed their design of such excellent fit into the pendentives (15).
The second criterion of comparative anatomy also indicates that the
form and number of pendentives originated as a nonadaptive byproduct.
Thousands of Western buildings feature domes atop rounded arches
and
every single one of them generates tapering triangular spaces at the
intersections. These pendentives are ornamented in a wide variety of
ways, each appropriate to the local circumstance, whereas many are not
ornamented at all (indicating that pendentives must be generated but
need not bear "adaptive" designs). I have seen various religious
foursomes in the pendentives of other churches
the four major Old
Testament prophets, Isaiah, Jeremiah, Ezekiel, and Daniel; or, in San
Ignazio in Rome (and "politically correct" by current standards of
gender equality), four Old Testament heroes and their weapons: David
with his sling, Judith with her sword (to behead Holofernes), Samson
with his jawbone, and Jael with her tentpost (to transfix Sisera
through the head). I also have noted secular themes in civic or
scientific building
the four continents of Africa, Europe, Asia, and
America under the main dome of the Victor Emanuel arcade in Milan; four
classical lawmakers (Justinian, Pericles, Solon, and Cicero) under the
glass dome in the Victorian courtroom of the Landmark Center, St. Paul,
MN; four mainstays of civilization (peace, justice, industry, and agriculture) in the County Arcade of Leeds, England, built in 1900; or
the four Greek elements in the pendentives under the main dome at the
headquarters of the National Academy of Sciences in Washington, DC, the
publishers of this journal! St. Paul's Cathedral in London mounts the
central dome on eight arches, and the eight resulting pendentives
feature the four evangelists at the eastern end, contrasting with the
four great Old Testament prophets to the west.
Even more persuasively, the chosen foursomes for ornamentation
sometimes seem rather forced or even ill-fitting, thus indicating that
the fixed number of spaces (and their form) precede any decision about
embellishment. In the 16th century church of San Fedele in Milan, for
example, four concepts, personified as women, decorate the spandrels
under the central dome
the famous biblical trio of faith, hope, and
charity (1 Corinthians, chapter 13), with the remaining fourth spandrel
occupied by religion. Three spandrels might have carried the intended
design better, but architectural constraint dictated a quartet, so the
designers had to draft a fourth participant, however unsanctioned by a
very famous quotation.
Thus, after noting such diversity of fitting design, or often no design
at all, we can scarcely conclude that such a range of disparate reasons
(or no evident reason at all) invariably engenders the same structural
decision
that a building should be made with pendentives to secure a
substrate for a chosen decoration. The pendentives must therefore
originate as geometrically constrained byproducts of a decision to
mount domes on arches
and must acquire, only later and
consequentially, their utility as a fitting space for a meaningful
design.
The prototype example of San Marco's pendentives provides clear refutation for two standard denigrations of the importance of spandrels (the fallback position of opponents, following an admission that spandrels exist and can be identified from comparative and historical data).
The Argument of "Nooks and Crannies."Spandrels may
undeniably arise as unintended consequences of any adaptation, but if
such sequelae only include truly tiny and meaningless bits and pieces
lying in the nooks and crannies of a primary structure
as in the mold
marks on a bottle, for example
then spandrels exist but do not matter.
To rebut this claim, we must recognize that consequential does not mean
small or unimportant. Spandrels can be as prominent as primary
adaptations. The area covered by the four pendentives under any dome in
San Marco does not differ much from the area of the dome itself
so the
two major substrates available for mosaic design are both substantial.
The failure to
separate reasons for historical origin from realities of current
utility underlies many fallacies in evolutionary thought about
adaptation (10, 16). (Indeed, the chief mistake about spandrels
the
false inference of adaptive initiation from observation of current
fitness, as in assuming that San Marco's pendentives were built to
house the evangelists
arises from this erroneous argument.) This
second invalid denigration of spandrels invokes the same error, as
critics argue that spandrels, because they arise secondarily as
consequences, can never be important components of a structural design.
But manner of origin bears no necessary relationship to the extent or
vitality of a later coopted role.
The pendentives of San Marco expose this fallacy particularly well
a
major reason for my initial choice of this example. Extensive feedback
from the pendentives to the mosaics of the dome proves that secondary
features can exert pervasive influence upon the basic design of a
totality. The domes of San Marco are radically symmetrical and
therefore induce, in se and considered alone, no reason for
favoring a quadripartite mosaic design. Yet all but one of San Marco's
five domes contain mosaics arranged in four-part symmetry
clearly, in
each case, to harmonize with the iconography in the four triangular
spandrels below. Lewontin and I began our 1979 paper with this
observation (ref. l, p. 339):
The great central dome of St. Mark's Cathedral in Venice presents in its mosaic design a detailed iconography expressing the mainstays of Christian faith. Three circles of figures radiate out from a central image of Christ: angels, disciples, and virtues. Each circle is divided into quadrants, even though the dome itself is radially symmetrical in structure. Each quadrant meets one of the four spandrels in the arches below the dome.
Another dome contains angels in the pendentives and the twelve apostles in the dome, arranged in four groups of three, with each group clearly centered on one of the four pendentives below. Yet another dome presents four male saints in the dome and four female saints in the spandrels, with each male perfectly centered between two of the females. Thus, an ineluctable architectural byproduct can, nonetheless, determine the fundamental design of a totality that ordained its consequential origin. The natural world abounds in recursions and feedbacks of this sort. Mustn't the ever cascading spandrels of the human brain be more weighty than the putative primary adaptations of ancient African hunter-gatherer ancestors in setting the outlines of what we now call "human nature"?
The Centrality of the Principle of Spandrels in Evolutionary Thought
The logical and empirical separation of current utility from
historical origin has been a mainstay of proper and subtle
adaptationist argument from Darwin's time to our own
whereas a
failure to recognize this necessary division, and to make conjectural
inferences about initial reasons from information about contemporary
fitness alone has been, and continues to be, the bugbear and defining
error of naive or simplistically fundamentalist ultra-Darwinism (17, 18), a dubious approach that features the invention of what Lewontin
and I have called (1), following Kipling's lead, "just-so" stories
about ultimate reasons for the origin of odd structures and behaviors.
In the classic example of proper separation, Darwin (19) invoked the principle of functional shift to rebut Mivart's famous argument (20) that continuous evolution could not account for "the incipient stages of useful structures." If the earliest stages in the evolution of a wing, for example, offer no conceivable benefit in flight, then these incipient structures must have performed some other primary function and been coopted later (and at more elaborate form) for aerodynamic benefit. Darwin (ref. 19, p. 138) speaks of "the highly important fact that an organ originally constructed for one purpose ... may be converted into one for a widely different purpose."
This principle of quirky and unpredictable functional shift underlies
much of evolution's contingency (21) but does not alter or broaden the
adaptationist paradigm because structures still arise by selection, and
for utility
albeit for a different function than homologs in modern
descendants now perform. The principle of spandrels provides a more
radical version of cooptation "for a widely different purpose"
because the exapted structure originated as a byproduct and not as an
explicit adaptation at all. Therefore, structures that may later become
crucial to the fitness of large and successful clades may arise
nonadaptively (whatever their subsequent, coopted utility)
and the
principle of adaptation cannot therefore enjoy the near ubiquity that
strict Darwinians wish to impute.
Because multicellular organisms are structurally complex and built of many integrated parts, any primary adaptation must generate a set of architecturally enjoined side consequences, or spandrels. The number and complexity of these spandrels should increase with the intricacy of the organism under consideration. In some region within a spectrum of rising complexity, the number and importance of usable and significant spandrels will probably exceed the evolutionary import of the primary adaptation.
Some spandrels arise as simple geometric consequences, expressed in
basic dimensions of size and shape. These features may become important
to the life of descendant organisms, but their range of cooptable
utility may be small. The simple cylindrical tube of a snail's
umbilicus may encompass few potential uses beyond protection of a
brood. Similarly, the broadly raised area at the withers of the giant
Irish deer (Megaloceros giganteus)
a spandrel produced by
necessary elongation of the neural spines of the vertebrae for
insertion of a strong ligamentum nuchae to hold up the
massive head of this maximally horned deer (22, 23)
may become
enlarged, altered in shape to a more prominent and localized hump, and
festooned with distinctive colors, all (presumably) for coopted
function in mating display. But the potential of such bumps and spaces may be limited and may never exceed the primary adaptation (which originally engendered the feature in question as a spandrel) in evolutionary importance. (This case is particularly interesting because
we only know about the unfossilizable hump, not to mention its
coloration, from the cave paintings of our Cro-Magnon ancestors.)
A more diverse, and more widely cooptable, set of spandrels may emerge
from extensive developmental consequences of adaptive changes,
particularly in animals with complex embryologies. The masculinized
genitalia of the female spotted hyena, as discussed previously, provide
a classical example and a subject of much recent literature (12-14).
Many puzzles of human form and behavior
often subjects of intense
debate, or even sources of much anguish and psychic pain (including
Freud's anatomically impossible argument that women, to avoid
frigidity, must switch from a clitoral to a vaginal site for
orgasm)
can be resolved by recognizing that the adaptations of one sex
(female breasts or the penile site of male orgasm) may be expressed as
nonadaptive spandrels in the other, thanks to common pathways of
development [the nonfunctional nipples of males or the clitoral site
of female orgasm, perfectly satisfactory for sexual pleasure but
divorced from the Darwinian summum bonum of enhanced
reproductive success, (refs. 24-26)].
In a third domain of maximal expression for spandrels vs. primary
adaptations, organs of extreme complexity must include capacities for
cooptation that can exceed, or even overwhelm, the primary adaptation.
The chief example in biology may be a unique feature of only one
species, but we obviously (and properly) care for legitimate reasons of
parochial concern. The human brain may have reached its current size by
ordinary adaptive processes keyed to specific benefits of more complex
mentalities for our hunter-gatherer ancestors on the African savannahs.
But the implicit spandrels in an organ of such complexity must exceed
the overt functional reasons for its origin. (Just consider the obvious
analogy to much less powerful computers. I may buy my home computer
only for word processing and keeping the family spread sheet, but the machine, by virtue of its requisite internal complexity, can also perform computational tasks exceeding by orders of magnitude the items
of my original intentions
the primary adaptations, if you will
in
purchasing the device).
Thus, in analyzing the evolutionary basis of features now crucial to
the functional success of organisms, we must learn to appreciate the
range of potential reasons for the origin of such traits. The biases of
strict Darwinism often narrow our focus to adaptive bases for all
aspects of a feature's evolutionary history
so that the primary
mechanism of natural selection may be viewed as a direct causal basis
for the entire sequence, whatever shifts of function may occur.
However, and perhaps ironically, we must recognize that complexities of
structure and development clearly impose a set of attendant sequelae
upon any adaptive change. These sequelae
spandrels in the terminology
of this paper
arise nonadaptively as architectural byproducts but may
regulate, and even dominate, the later history of a lineage as a result
of their capacity for cooptation to subsequent (and evolutionarily
crucial) utility. (Or they may continue as nonadaptive spandrels and
still remain important as features central to our understanding and analysis of organic form in evolution.)
A failure to appreciate the central role of spandrels, and the general
importance of nonadaptation in the origin of evolutionary novelties,
has been the principal impediment in efforts to construct a proper
evolutionary theory for the biological basis of universal traits in
Homo sapiens
or what our vernacular language calls "human nature." Promoters of the importance of spandrels, and of
nonadaptation in general, are not trying to derail the effort to
establish a true "evolutionary psychology" on genuine Darwinian
principles (rather than the limited hyperadaptationist doctrine that
currently uses this label; see refs. 27-29 for exposition and ref. 17
for a critique), or even to overthrow the centrality of adaptation in
evolutionary theory. We wish, rather, to enrich evolutionary theory by
a proper appreciation of the interaction between structural channeling
(including the nonadaptive origin of spandrels as a central theme) and
functional adaptation (as conventionally analyzed in studies of natural
selection) for generating the totality and historically contingent
complexity of organic form and behavior.
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