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Towards a comprehensive theoretical model of human behavior
Towards a Comprehensive Theoretical Model of Human Behavior Raphael Steinitz and Shimona Goldman
.We explore the possibility of formulating a theoretical, comprehensive model of human behavior. The model is based on evolutionary theory and incorporates one basic principle (Human Survival Potential optimization) and four concepts (HSP, OPDA, Patterning, and OPDA Transgression). As a test case for the model, we investigate the non-trivial connection between art and evolution.
Introduction Has evolutionary theory stepped forward to such an extent that one may frame within it a generalized theory of human behavior? According to Alexander (1975), Goldsmith (1991), and Cosmides and Tooby (1992), this should be possible. It might be the answer to Slife and Williams (1997, p. 118) who claim that “there has never been a lack of theoretical activity in psychology. However, this activity is fragmented, because it addresses singly isolated subspecialities.” As long as there is no generalized model of human behavior, there are difficulties in explaining the evolutionary connection of certain activities, such as creating art or ethics. This is brought out in a recent discussion in Psychology Today between Lanier and Dawkins (1997). It is therefore of interest to explore the possibility of constructing a comprehensive model of human behavior, which could also deal with these difficulties. We develop a theoretical model that contains a basic principle and four concepts: HSP (Human Survival Potential), OPDA (OPportunity Seeking/DAnger Avoiding), Patterning, and OPDA Transgression. Within this framework, we try to understand behavior from the point of view of evolution. Specifically, we address culture and then try to understand activities connected to art.
Raphael Steinitz, Physics Department, Ben Gurion University, Beer Sheva, 84105 Israel; Shimona Student Counseling Service, Ben Gurion University, Beer Sheva, 84105 Israel. Journal ofSocial and Evolutionary Systems 20(2):185-189 ISSN: 1061-7361
Goldman,
Copyright 0 1997 by JAI Press, Inc. All rights of reproduction in any form reserved.
185
186 ~
RAPHAEL STEINITZ AND SHIMONA
GOLDMAN
HSP (Human Survival Potential) Thefirstconcept,HSP, wasintroducedbyus(Stein~tz&Goldman,(l99Z,l995).~umansu~iv~ potential (HSP) is composed of three elements: the descendants of an individual, and two kinds of resources (primary and secondary). Primary resources are: mate, food, shelter, and time. We explicitly mention time as a resource (see also Parsons, 195 1) because it is not an obvious one (it is not a tangible object), and, moreover, it is not easily interchangeable, whereas other primary resources are. These primary resources are the essential ones, without which descendants cannot survive. Secondary resources are: (a) attributes (such as intelligence, beauty, or physical power) (b) social recognition (status), (c) social support, (family, kin, coalitions). Secondary resources provide competitive ability. They are used in order to obtain primary as well as secondary resources. They are not essential elements for survival, although they can be very helpful. These three elements-descendants, primary and secondary resources-comprise the survival potential (SP) of most living organisms, but the specific contents differ among species. With the Human Survival Potential concept, we are now ready to formulate the basic principle which we hope can enable us to understand behavior.
From an evolutionary point of view, activity in the living world is geared to enlarge the survival potential of each individual. At the same time, the individual has to cope with competitors (be they of the same or of other species) who try to take away SP (Survival Potential). The individual will thus try to minimize the loss of SP. These two activities, enlarging or defending SP, we call Optimization. The basic optimization principle is: Behavior is geared to optimize survival potential (or HSP-human survival potential-in humans). OPDA (4)
(Opportunity~anger)
The optimization principle is formulated above, but we have not yet indicated how optimization is in fact achieved. Here it will be helpful to introduce a second basic concept: OPDAthe system that enables the living organism to deal with opportunities or dangers in order to adapt to the environment and optimize the use of resources. The system is composed of three elements: (1) sensing and screening (i.e., rejecting “noise”); (2) identifying oppo~unities or dangers ((+/-)); and (3) acting approp~ately. We note that while the system can function properly in various situations, it is also vulnerable to manipulation (such as advertising), deceit (such as trapping), or conditioning. We are not interested here in the details of the system, except for one important componentemotions. Emotions in human beings are one of the important factors in identifying the (if-) (Nesse, 1990; Marks & Nesse, 1994). Positive emotions are evoked when oppo~unities are identified. Here we note that an important opportunity is saving time. This saving can be achieved (among other means), for example, by obtaining information from other individuals, as discussed in the following.
A Theoretical Model of Human Behavior -
Information
Transferfrom
187
Generation to Generation
There are two info~ation channels that link parents to their descendants: (a) a genetic, closed, channel; (b) a non-genetic, open channel, which we shall call culture. Thus, culture is the totality of information carried on from one generation to the next one, non-genetically. Obviously, this open information is also available to other individuals. On the other hand, the specific information encapsuled in the genes is carried only from parents to their descendants. Therefore the genetic channel, a closed one, is inaccessible to other individu~s. Structuring and condensing the information will render the transfer process more efficient. This is done through the use of patterns.
Patterning This is the third basic concept we need. A pattern is a collection of elements which forms a new entity, different from each element it is composed of. The construction and/or identification of patterns (superpatterns) is patterning. The elements composing a pattern can themselves be patterns. In that case we talk about superpattems or patterns of second or higher order. The patterns we refer to here are used in communicating information between humans (such as verbal language). In passing, we suggest that the ability to construct or identify supe~attems was a crucial event in the evolution of humans, enabling the development of human culture. Some of the advantages of patterning are: (1) it enables the making of “order out of chaos” (de Bono, 1996); (2) it enables accumulation of an ever-growing amount of information; (3) it enables the efficient transfer of accumulated information, which helps twice, by (3a) contributing beyond what an individual acquires through self-experience, and (3b) saving time. Since communication via patterns and superpattems carries a vast amount of info~ation in a condensed form, the use of patterns is very efficient. The OPDA system thus recognizes the discovery and the construction of patterns, signalling positive emotions while patterning goes on. Culture as a Test Case for our Model The links between culture and evolution were aIready pointed out by Badcock (1991), Barkow (1992), Cosmides and Tooby (1992), Tooby and Cosmides (1992) Plotkin (1994), and many others. However, here we try to understand how cultural activity (i.e., the non-genetic transfer of information) contributes to the optimization of the HSP. Cultural activity renders efficiently the process of coping and adapting to the environment. This is achieved by ~ansfe~ing info~ation concerning the natural and social environment, and information about the monitoring of (+/-). This information is carried in the form of superpattems (usually through verbal language). The most useful superpattems are those enabling one to recognize the rules of the game of the environment-nature or other humans. Therefore, communicating via superpattems saves resources (including time) and thus enhances optimization of HSP. Thus, cultural activity seems to enhance HSP optimization. However, there are cultural components which are not directly related to HSP optimization, such as art or ethics. Barkow (1989) mentioned the existence of cultural elements that are partly independent of biological evolution. Thus the activity connected to art might
188 -
RAPHAEL STEINITZ AND SHIMONA GOLDMAN
appear as a waste of time and other resources. selves in such activities?
So we ask: Why do humans
involve
them-
OPDA Transgression Presumably, OPDA originally recognized patterning directly related to HSP optimization. Storr (1992) mentioned the satisfaction connected with the discovery of new patterns. However, here we try to get to the evolutionary roots of the positive emotions concerning patteming. Eventually, OPDA evolved into a system that signals positive emotions when patterning is going on, irrespective of being related to HSP optimization. We refer to this process of positive OPDA relating to patterns which do not contribute directly to HSP Optimization as OPDA Transgression. We can identify at least two kinds of “non-useful” patterns: Those that can be communicated verbally (in speech and writing) and those communicated non-verbally. Coming back to the question of why do humans invest in activities connected to art, we first clarify what we mean by art. Art is a non-verbal human creation, composed of superpatterns (i.e., is complex), and evoking emotions of identification. Thus art is a means of communicating emotions, through non-verbal superpattems. The time and effort invested in creating and enjoying art can be understood as an activity of discovering superpattems (i.e., patterning). As mentioned above, this process is recognized by the OPDA as positive. The activity leading to superpattern discovery is common to art and science. The difference between them is in the means of communicating and in the contents communicated. Superpatterns used in science are usually verbal answers (spoken or written) to queries and are not intended to evoke emotions. In art, there is a transfer of nonverbal superpattems, which are not answers to questions, but evoke emotions. Although language is used in literature and poetry, it is only an instrument to carry the non-verbal superpatterns. Therefore, rhythm, verse, and metaphor are often used in poetry and literature. In this way, the OPDA system lets us sense positive emotions while discovering superpattems-those communicated non-verbally (art), and those communicated verbally (science). Summary
and Conclusions
Our aim is to explore the possibility of constructing a comprehensive model of human behavior. Using the basic principle and concepts of Human Survival Potential, patterning, OPDA and OPDA transgression, we try to understand complex human activities such as the creation of culture, including art. So, while culture in general optimizes the HSP, the positive emotions connected to art are due to OPDA transgression. As an additional spin-off, we can clarify with the aid of the introduced model an often-discussed concept: intelligence. We do this using the Patterning concept. Thus, intelligence can be understood as the ability to discover and adopt new superpattems. By “adopt,” we refer to the ability to use these new superpatterns in solving new problems or creating more superpattems. Ethics is also a component of culture, and not trivially connected to HSP optimization. We intend further discussion of ethics in another article. Our final remark concerns two major human afflictions: schizophrenia and mania-depression. Are these, respectively, manifestations of patterning and OPDA malfunctioning?
A Theoretical Model of Human
Behavior -
189
References Alexander, R. D. (1975) “The Search for a General Theory of Behavior.” Behavioral Science 20, 77100. Badcock, C. R. (1991) Evolution and Individual Behavior. Oxford, UK: Basil Blackwell. Barkow, J. H. (1989) Biological Approaches to Mind and Culture. Toronto: University of Toronto Press. Barkow, J. H. (1992) “Beneath New Culture is Old Psychology: Gossip and Social Stratification,” in Barkow, J. H., Cosmides, L., & Tooby, J., eds. The Adapted Mind, Evolutionary Psychology and the Generation of Culture. New York: Oxford University Press. Cosmides, L., Tooby, J., & Barkow, J. H. (1992) “Introduction: Evolutionary Psychology and Conceptual Integration, ” in Barkow, J. H., Cosmides, L., & Tooby, J. eds. The Adapted Mind, Evolutionary Psychology and the Generation of Culture. New York: Oxford University Press. de Bono, E. (1996) de Bono’s Thinking Course. London: BBC Books, BBC Worldwide Ltd. Goldsmith, T. H. (1991) The Biological Roots of Human Nature: Forging Links Between Evolution and Behavior. New York: Oxford University Press. Lanier, J. 8~ Dawkins, R. (1997) “Evolution, the Dissent of Darwin.” Psychology Today, JanuaryIFebruary, pp. 58-63. Marks, I. M. & Nesse, R. M. (1994) “Fear and Fitness: An Evolutionary Analysis of Anxiety Disorders.” Ethology and Sociobiology, 15, 247-26 1. Nesse, R. M. (1990) “Evolutionary Explanations of Emotions.” Human Nature, I, 261-289.
Parsons, T. ( 195 1) The Social System. New York: Free Press. Plotkin, H. C. (1994) The Nature of Knowledge: Concerning Adaptations, Instinct and the Evolution of Intelligence. New York: Allen Lane/Viking Penguin. Slife, B. D. & Williams, R. N. (1997) “Toward Theoretical Psychology.” American Psychologist, 52, 117-129. Steinitz, R. & Goldman, S. (1992) “The Three Elements of Aggression: Human Survival Potential, Norms and Provocation.” Journal of Social and Evolutionary Systems, 15, 307-3 14. Steinitz, R. & Goldman, S. (1995) “Violence as a Strategy for Enlarging Human Survival Potential.” Journal
of Social and Evolutionary
Systems, 18, 413-419.
Starr, A. (1992) Music and the Mind. New York: Ballantine Books. Tooby, J. & Cosmides, L. (1992) “The Psychological Foundations of Culture,” in Barkow, J. H., Cosmides, L., & Tooby, J. eds. The Adapted Mind, Evolutionary Psychology and the Generation of Culture. New York: Oxford University Press.
About the Authors Raphael Steinitz studied physics at the Hebrew University, Jerusalem. He later did his Ph.D. at the Leiden University in Holland. Currently he is doing astrophysics and space research. His most recent article in the Journal was in vol. 18 no. 4, co-authored with Shimona Goldman. Shimona Goldman studied psychology at the Hebrew University. She is currently a counseling psychologist at Ben Gurion University. Her most recent article in the Journal was in vol. 18 no. 4, co-authored with Raphael Steinitz.
.We explore the possibility of formulating a theoretical, comprehensive model of human behavior. The model is based on evolutionary theory and incorporates one basic principle (Human Survival Potential optimization) and four concepts (HSP, OPDA, Patterning, and OPDA Transgression). As a test case for the model, we investigate the non-trivial connection between art and evolution.
Introduction Has evolutionary theory stepped forward to such an extent that one may frame within it a generalized theory of human behavior? According to Alexander (1975), Goldsmith (1991), and Cosmides and Tooby (1992), this should be possible. It might be the answer to Slife and Williams (1997, p. 118) who claim that “there has never been a lack of theoretical activity in psychology. However, this activity is fragmented, because it addresses singly isolated subspecialities.” As long as there is no generalized model of human behavior, there are difficulties in explaining the evolutionary connection of certain activities, such as creating art or ethics. This is brought out in a recent discussion in Psychology Today between Lanier and Dawkins (1997). It is therefore of interest to explore the possibility of constructing a comprehensive model of human behavior, which could also deal with these difficulties. We develop a theoretical model that contains a basic principle and four concepts: HSP (Human Survival Potential), OPDA (OPportunity Seeking/DAnger Avoiding), Patterning, and OPDA Transgression. Within this framework, we try to understand behavior from the point of view of evolution. Specifically, we address culture and then try to understand activities connected to art.
Raphael Steinitz, Physics Department, Ben Gurion University, Beer Sheva, 84105 Israel; Shimona Student Counseling Service, Ben Gurion University, Beer Sheva, 84105 Israel. Journal ofSocial and Evolutionary Systems 20(2):185-189 ISSN: 1061-7361
Goldman,
Copyright 0 1997 by JAI Press, Inc. All rights of reproduction in any form reserved.
185
186 ~
RAPHAEL STEINITZ AND SHIMONA
GOLDMAN
HSP (Human Survival Potential) Thefirstconcept,HSP, wasintroducedbyus(Stein~tz&Goldman,(l99Z,l995).~umansu~iv~ potential (HSP) is composed of three elements: the descendants of an individual, and two kinds of resources (primary and secondary). Primary resources are: mate, food, shelter, and time. We explicitly mention time as a resource (see also Parsons, 195 1) because it is not an obvious one (it is not a tangible object), and, moreover, it is not easily interchangeable, whereas other primary resources are. These primary resources are the essential ones, without which descendants cannot survive. Secondary resources are: (a) attributes (such as intelligence, beauty, or physical power) (b) social recognition (status), (c) social support, (family, kin, coalitions). Secondary resources provide competitive ability. They are used in order to obtain primary as well as secondary resources. They are not essential elements for survival, although they can be very helpful. These three elements-descendants, primary and secondary resources-comprise the survival potential (SP) of most living organisms, but the specific contents differ among species. With the Human Survival Potential concept, we are now ready to formulate the basic principle which we hope can enable us to understand behavior.
From an evolutionary point of view, activity in the living world is geared to enlarge the survival potential of each individual. At the same time, the individual has to cope with competitors (be they of the same or of other species) who try to take away SP (Survival Potential). The individual will thus try to minimize the loss of SP. These two activities, enlarging or defending SP, we call Optimization. The basic optimization principle is: Behavior is geared to optimize survival potential (or HSP-human survival potential-in humans). OPDA (4)
(Opportunity~anger)
The optimization principle is formulated above, but we have not yet indicated how optimization is in fact achieved. Here it will be helpful to introduce a second basic concept: OPDAthe system that enables the living organism to deal with opportunities or dangers in order to adapt to the environment and optimize the use of resources. The system is composed of three elements: (1) sensing and screening (i.e., rejecting “noise”); (2) identifying oppo~unities or dangers ((+/-)); and (3) acting approp~ately. We note that while the system can function properly in various situations, it is also vulnerable to manipulation (such as advertising), deceit (such as trapping), or conditioning. We are not interested here in the details of the system, except for one important componentemotions. Emotions in human beings are one of the important factors in identifying the (if-) (Nesse, 1990; Marks & Nesse, 1994). Positive emotions are evoked when oppo~unities are identified. Here we note that an important opportunity is saving time. This saving can be achieved (among other means), for example, by obtaining information from other individuals, as discussed in the following.
A Theoretical Model of Human Behavior -
Information
Transferfrom
187
Generation to Generation
There are two info~ation channels that link parents to their descendants: (a) a genetic, closed, channel; (b) a non-genetic, open channel, which we shall call culture. Thus, culture is the totality of information carried on from one generation to the next one, non-genetically. Obviously, this open information is also available to other individuals. On the other hand, the specific information encapsuled in the genes is carried only from parents to their descendants. Therefore the genetic channel, a closed one, is inaccessible to other individu~s. Structuring and condensing the information will render the transfer process more efficient. This is done through the use of patterns.
Patterning This is the third basic concept we need. A pattern is a collection of elements which forms a new entity, different from each element it is composed of. The construction and/or identification of patterns (superpatterns) is patterning. The elements composing a pattern can themselves be patterns. In that case we talk about superpattems or patterns of second or higher order. The patterns we refer to here are used in communicating information between humans (such as verbal language). In passing, we suggest that the ability to construct or identify supe~attems was a crucial event in the evolution of humans, enabling the development of human culture. Some of the advantages of patterning are: (1) it enables the making of “order out of chaos” (de Bono, 1996); (2) it enables accumulation of an ever-growing amount of information; (3) it enables the efficient transfer of accumulated information, which helps twice, by (3a) contributing beyond what an individual acquires through self-experience, and (3b) saving time. Since communication via patterns and superpattems carries a vast amount of info~ation in a condensed form, the use of patterns is very efficient. The OPDA system thus recognizes the discovery and the construction of patterns, signalling positive emotions while patterning goes on. Culture as a Test Case for our Model The links between culture and evolution were aIready pointed out by Badcock (1991), Barkow (1992), Cosmides and Tooby (1992), Tooby and Cosmides (1992) Plotkin (1994), and many others. However, here we try to understand how cultural activity (i.e., the non-genetic transfer of information) contributes to the optimization of the HSP. Cultural activity renders efficiently the process of coping and adapting to the environment. This is achieved by ~ansfe~ing info~ation concerning the natural and social environment, and information about the monitoring of (+/-). This information is carried in the form of superpattems (usually through verbal language). The most useful superpattems are those enabling one to recognize the rules of the game of the environment-nature or other humans. Therefore, communicating via superpattems saves resources (including time) and thus enhances optimization of HSP. Thus, cultural activity seems to enhance HSP optimization. However, there are cultural components which are not directly related to HSP optimization, such as art or ethics. Barkow (1989) mentioned the existence of cultural elements that are partly independent of biological evolution. Thus the activity connected to art might
188 -
RAPHAEL STEINITZ AND SHIMONA GOLDMAN
appear as a waste of time and other resources. selves in such activities?
So we ask: Why do humans
involve
them-
OPDA Transgression Presumably, OPDA originally recognized patterning directly related to HSP optimization. Storr (1992) mentioned the satisfaction connected with the discovery of new patterns. However, here we try to get to the evolutionary roots of the positive emotions concerning patteming. Eventually, OPDA evolved into a system that signals positive emotions when patterning is going on, irrespective of being related to HSP optimization. We refer to this process of positive OPDA relating to patterns which do not contribute directly to HSP Optimization as OPDA Transgression. We can identify at least two kinds of “non-useful” patterns: Those that can be communicated verbally (in speech and writing) and those communicated non-verbally. Coming back to the question of why do humans invest in activities connected to art, we first clarify what we mean by art. Art is a non-verbal human creation, composed of superpatterns (i.e., is complex), and evoking emotions of identification. Thus art is a means of communicating emotions, through non-verbal superpattems. The time and effort invested in creating and enjoying art can be understood as an activity of discovering superpattems (i.e., patterning). As mentioned above, this process is recognized by the OPDA as positive. The activity leading to superpattern discovery is common to art and science. The difference between them is in the means of communicating and in the contents communicated. Superpatterns used in science are usually verbal answers (spoken or written) to queries and are not intended to evoke emotions. In art, there is a transfer of nonverbal superpattems, which are not answers to questions, but evoke emotions. Although language is used in literature and poetry, it is only an instrument to carry the non-verbal superpatterns. Therefore, rhythm, verse, and metaphor are often used in poetry and literature. In this way, the OPDA system lets us sense positive emotions while discovering superpattems-those communicated non-verbally (art), and those communicated verbally (science). Summary
and Conclusions
Our aim is to explore the possibility of constructing a comprehensive model of human behavior. Using the basic principle and concepts of Human Survival Potential, patterning, OPDA and OPDA transgression, we try to understand complex human activities such as the creation of culture, including art. So, while culture in general optimizes the HSP, the positive emotions connected to art are due to OPDA transgression. As an additional spin-off, we can clarify with the aid of the introduced model an often-discussed concept: intelligence. We do this using the Patterning concept. Thus, intelligence can be understood as the ability to discover and adopt new superpattems. By “adopt,” we refer to the ability to use these new superpatterns in solving new problems or creating more superpattems. Ethics is also a component of culture, and not trivially connected to HSP optimization. We intend further discussion of ethics in another article. Our final remark concerns two major human afflictions: schizophrenia and mania-depression. Are these, respectively, manifestations of patterning and OPDA malfunctioning?
A Theoretical Model of Human
Behavior -
189
References Alexander, R. D. (1975) “The Search for a General Theory of Behavior.” Behavioral Science 20, 77100. Badcock, C. R. (1991) Evolution and Individual Behavior. Oxford, UK: Basil Blackwell. Barkow, J. H. (1989) Biological Approaches to Mind and Culture. Toronto: University of Toronto Press. Barkow, J. H. (1992) “Beneath New Culture is Old Psychology: Gossip and Social Stratification,” in Barkow, J. H., Cosmides, L., & Tooby, J., eds. The Adapted Mind, Evolutionary Psychology and the Generation of Culture. New York: Oxford University Press. Cosmides, L., Tooby, J., & Barkow, J. H. (1992) “Introduction: Evolutionary Psychology and Conceptual Integration, ” in Barkow, J. H., Cosmides, L., & Tooby, J. eds. The Adapted Mind, Evolutionary Psychology and the Generation of Culture. New York: Oxford University Press. de Bono, E. (1996) de Bono’s Thinking Course. London: BBC Books, BBC Worldwide Ltd. Goldsmith, T. H. (1991) The Biological Roots of Human Nature: Forging Links Between Evolution and Behavior. New York: Oxford University Press. Lanier, J. 8~ Dawkins, R. (1997) “Evolution, the Dissent of Darwin.” Psychology Today, JanuaryIFebruary, pp. 58-63. Marks, I. M. & Nesse, R. M. (1994) “Fear and Fitness: An Evolutionary Analysis of Anxiety Disorders.” Ethology and Sociobiology, 15, 247-26 1. Nesse, R. M. (1990) “Evolutionary Explanations of Emotions.” Human Nature, I, 261-289.
Parsons, T. ( 195 1) The Social System. New York: Free Press. Plotkin, H. C. (1994) The Nature of Knowledge: Concerning Adaptations, Instinct and the Evolution of Intelligence. New York: Allen Lane/Viking Penguin. Slife, B. D. & Williams, R. N. (1997) “Toward Theoretical Psychology.” American Psychologist, 52, 117-129. Steinitz, R. & Goldman, S. (1992) “The Three Elements of Aggression: Human Survival Potential, Norms and Provocation.” Journal of Social and Evolutionary Systems, 15, 307-3 14. Steinitz, R. & Goldman, S. (1995) “Violence as a Strategy for Enlarging Human Survival Potential.” Journal
of Social and Evolutionary
Systems, 18, 413-419.
Starr, A. (1992) Music and the Mind. New York: Ballantine Books. Tooby, J. & Cosmides, L. (1992) “The Psychological Foundations of Culture,” in Barkow, J. H., Cosmides, L., & Tooby, J. eds. The Adapted Mind, Evolutionary Psychology and the Generation of Culture. New York: Oxford University Press.
About the Authors Raphael Steinitz studied physics at the Hebrew University, Jerusalem. He later did his Ph.D. at the Leiden University in Holland. Currently he is doing astrophysics and space research. His most recent article in the Journal was in vol. 18 no. 4, co-authored with Shimona Goldman. Shimona Goldman studied psychology at the Hebrew University. She is currently a counseling psychologist at Ben Gurion University. Her most recent article in the Journal was in vol. 18 no. 4, co-authored with Raphael Steinitz.