C AHIERS DE
TOPOLOGIE ET GÉOMÉTRIE DIFFÉRENTIELLE CATÉGORIQUES
S AUNDERS M AC L ANE
The genesis of mathematical structures, as exemplified in the work of Charles Ehresmann
Cahiers de topologie et géométrie différentielle catégoriques, tome 21, n
o4 (1980), p. 353-365
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ET GEOMETRIE DIFFERENTIELLE DEDIE A CHARLES EHRESMANN Vol. XXI-4 (1980)
THE GENESIS OF MATHEMATICAL STRUCTURES, AS EXEMPLIFIED IN THE WORK OF CHARLES EHRESMANN
by Saunders MAC LANE
1. STRUCTURE.
Recently
I have become interested in the need to revive thestudy
of the
philosophy
of mathematics. Such a revival should avoid the well-worn andhackneyed standpoints - logicism,
formalism and intuitionism. It mustalso escape from the
inordinately
idealistic demands ofplatonism
and theprevalent
but mistaken view that sets are the measure and matter of all math- ematics. In arecently prepared
article[23]
I havepresented
apreliminary description
of an alternativeview,
that mathematics starts from avariety
of human activities and goes on to construct many
interlocking
formal mod- elssuggested by
various abstractions andgeneralizations
from these human activities. Thispoint
ofview,
to beeffective,
must rest on an extendedobservation of the actual process
by
which different mathematical struc- tures are discovered(or invented).
This is intended as asharp
break withthe
style
of mostwriting
on thephilosophy
ofmathematics,
whichusually
involves very little reference to any mathematics
beyond counting
and ele-mentary geometry.
Thus we
hope
to examine how mathematical structures arise - notprincipally
howthey actually happened
to arise in the historicaldevelop-
ment, but how
they logically
andgenetically
must arise. A structure may bealgebraic
orgeometric,
describedby axioms, definitions,
or construc-tions,
set-theoretic ortopos-theoretic.
Itsgenesis
starts with observations ofanalogies, parallels,
andsymmetries,
and of various needs forconceptual
or invariant
description.
From these observations various standard pro-cesses of abstraction or
generalization
will lead to the structures at issue.We will be interested not
just
in the standard forms ofabstraction,
but ina
variety
ofspecific
cases where the process ofgenesis
is more subtle.354
S. MAC LANE
Our
examples
will be drawnlargely
from geometry andalgebra,
but thereshould be many
striking
cases elsewhere in mathematics.The work of Charles Ehresmann
provides splendid examples
of thegenesis
of mathematical structures. From astarting point
in DifferentialGeometry
andTopology,
he took the initiative indisentangling
several de- cisivegeometrical
structures ;following
thelogic
of thesediscoveries,
hewent on to locate many more structures in and around
categories.
Here wecan mention
only
a few of his contributions to suchdiscovery
of structure.2. FiBRAT10N5.
First,
consider fiber spaces and fiber bundles. In1940, algebraic topology
wascoming
of age ; thetechniques
ofhomology, cohomology,
co-products,
andhomotopy
groups were athand,
so that geometers could turn their attention to the use of these tools inhandling
tangent and cotangent bundles onmanifolds, sphere bundles,
and similarobjects.
The notion of a fiber bundle for a group G wasready
fordevelopment.
One of the first form- al definitions was thatgiven by
Ehresmann and Feldbau in1941 [181.
Their definition involved four essentialobjects ( E, B , F, G ) ,
where E is a top-ological
space with aprojection
p : .’ E - B to the basespace B ,
the top-ological
space F is thetypical fiber,
while G is a group which acts(per- haps continuously)
on F - all such thatlocally,
over suitable open sets L’ inB , p-1 v
has the structure of aproduct
F X U with thegive n
G ac-tion on the first factor. This first paper
by
Ehresmann and Feldbau was fol- lowedby
two other brief notes on fiber spacesby
Ehresmann alone[7, 8~.
Together
these papers included the now familiar ideas of induced bundle(or
« associated »bundle ), principal bundle,
and the process ofreducing
thegroup G of a fibration to a
subgroup. Moreover,
the first paperclearly
stat-ed a form of the
covering homotopy
theorem and some of its consequences for the relations between thehomotopy
groups ofbase, fiber,
and total spa-ce. These ideas were in the air at the
time ;
as noted in the review[291 by
Weil of Ehresmann’s papers, his definition of a fiber space was intermediate in
generality
to definitions crafted at about the same timeby Whitney [33]
(who emphasized sphere-bundles )
andby
Hurewicz -Steenrod[21]
as well354
as
by
Eckmannr 61. They
too had seen theimportance
of thecovering
ho-motopy
theorem ;
since communications wereinterrupted by
the war, thesemust count as
independent
discoveries. Ehresmann’s own detailedproof
ofthe
covering homotopy
theorem waspublished subsequent
to the war[ 11 ] ,
as was his extension of his ideas to the consideration of differentiable fiber spaces
[ 10] .
The notion of a fiber space is a
striking example
of thegenesis
ofa
complex
mathematical structure. This structure involves severalobjects,
both spaces and groups.
Examples
of the intended structure aremanifest,
but it is
by
no means clear how to arrange all theseexamples
under any clear concept.Finding
theright
concepts must have been hard. I do notknow at first hand how it was in France or in
Strasbourg ( where
Ehresmannwas then a
professor).
I do recall that it was hard fortopologists
in theUnited States. In
1940
there was a well attended conference ontopology
at the
University
ofMichigan ;
thereWhitney
lectured onsphere
bundles.Most of the audience found his comments very hard to grasp. Even subse-
quently,
when Steenrod’s book on fiber bundles[26]
had served tocodify
and
clarify
theseideas,
it was hard for students to grasp -especially
atthe use of a maximal atlas
(avoided by Steenrod,
loc.cit.,
page9,
out of needlesslogical compunctions ).
The subtle notion of an atlas
( discussed by
Ehresmann in several of his papers, forexample
in[11~ )
was essential to theconceptual
defini-tion of a manifold in the
large.
This is anotherexample
of a non-obviousstructure. For years the intentions of differential geometry were
clearly global,
but thepractice
wasstrictly local ;
tensors and all othergeometric objects
were definedonly
in terms of one coordinate system,supplemented by
rules forchanges
of coordinates(as
in the1927
tractby
Veblen onQua-
dratic Differential forms(27~ ).
The firstexplicit global
definition of amanifold
appeared ( in
cumbersomeform )
in thesubsequent
tractby
Veblenand ~hitehead
[28],
while the present form of the definition of a manifold in thelarge
firstappeared
in the paperby Whitney [31]
onembeddings
ofmanifolds. One may doubt that this idea was much heeded until it was taken up and
exploited succintly by Chevalley
in his first book on Lie groups356 S. MAC LANE
[3].
Inshort,
manifolds were hard to defineconceptually,
and this is oneof the reasons for the
depth
of the derivative idea of a fiber space.Actually,
the idea of a fibration involved two different but related kinds of structures, which wereonly slowly disentangled.
On the onehand,
fiber bundles are
given complete
with the action of aspecific
group G onthe
fiber,
because this is what isreally
present inexamples
like the tangent bundles of differential geometry. These bundles were thesubject
of Ehres-mann’s work.
However,
Steenrod and others consideredpotentially
moregeneral
fibrations p : E - B with nospecified
group action but with suit- able local retractions into the fibers. This latter structure has avariety
ofdefinitions,
and wasdisentangled
from the notion of a bundle structureonly slowly,
so that theright
definition was foundonly gradually.
First camethe
recognition
of theimportance
of thecovering homotopy theorem,
and ofits
validity
both for bundles and in other cases such as the spaceE ( B ~
of all
paths ( from
a fixed basepoint)
in aspace B ,
with fiber theloop
space.
Only
then was thecovering homotopy
theorem raised to become adefinition : A Serre fibration p : E - B is
simply
any continuous map such that thecovering homotopy
theorem holds forpolyhedra ( or similarly,
aHurewicz fibration with the
covering homotopy
theore mholding
for more gen- eralspaces ).
This is one
typical
step in thegenesis
of a mathematical structure- a shift of attention from a
previous
definition to therecognition
that someone property
(here
thecovering homotopy theorem)
is central and so canand should be used to define the structure to be studied.
At this
point
one should also note that the concept of a Serre fibra- tion involves much more than thecovering homotopy theorem,
since the add- ed structuresgiven by
the various associatedspectral
sequences also enter.Probably,
aspectral
sequence should be viewed not as anindependent
kindof structure, but as an
(important) algebraic
constituent of the structurefiber space ». In many such cases, each
major
structure carries with it abattery
oftechniques,
devices and subordinate structures. Thus it is that fiber spaces are associated with thehalf-geometric operations
of transgres- sion andsuspension,
which in their turn arepieces
of the more elaborate---
structure of a
spectral
sequence( in homology
orcohomology).
This observation of associated structures can
apply
in many othercases. Thus the structure of a group is a
straightforward
one, describedby simple
axioms abstracted from the evidentexamples
of substitution groups.The
deeper investigation
of finite groups shows that there is a great deal of subordinate structure - for eachprime
p aSylow
structure, with much associated local structure, as described forexample by Alperin [ 1] .
Another
geometric
structure studiedby
Ehresmann[14]
is that ofan almost
complex
structure on a manifold - thisbeing
whatmight
be calleda subordinate structure to that of
complex
structure.Jointly
with Wu V’en-Tsun,
Ehresmann made several vital contributions to therecognition
andanalysis
of this structure and of related structures such as abstract hermi- tian structures.3. F 0 L I A T 1 0 N S .
A foliation of a n-dimensional
manifold
can be described as apartition
of that manifold in a smooth way, into k-dimensionalmanifolds,
the leaves » of that foliation. In
1944
Ehresmann and Reeb[20],
on con-sidering
theproperties
ofcompletely integrable
Pfaffian systems, came to the notion of such afoliation,
furtherdeveloped
in Reeb’s1948
thesis(at Strasbourg).
The need foranalysing
such structure wasclearly then
in the air ». In
simpler
cases the work ofWhitney [32]
and his studentKaplan [23]
dealt with families of curvesfilling
theplane.
The Ehresmann- Reebanalysis
of foliations isthoroughly developed ;
inparticular
Ehres-mann observed that a foliation of a
manifold M (or
a moregeneral space)
could be described
conceptually
in terms of twotopologies
on the set M- one the
topology
of themanifold itself ;
the othergiven by
the discrete union of thetopologies
of theleaves,
as describedsystematically
in Ehres-mann [17].
Hereagain
thepath
from theexamples
in differential systemsto the
resulting conceptual description
of the structure was along
one, andone idea stimulated another
by analogy.
Forexample,
as Ehresmannpointed
out in
1951 [12],
theprojections
of a foliated manifold upon its space of leaves( the quotient space )
is much like theprojection
of a fiber space.357
358 S. MAC LANE
4. JETS.
Tangents
arespecial
cases ofjets.
The concept of ak-jet
at apoint
in a manifold is an
important geometric
structure firstrecognized by
Ehres-mann in
1951.
As oneknows,
thek-jet
of a real-valuedfunction f
definedin the
neighborhood
of apoint
p of a manifold M is determinedby
the first k derivatives of thefunction f
at thepoint
p . Thestudy
ofjets
may well have led Ehresmann to theinvestigation
of categorytheory;
at any rate histypical categorical
notation of aand 0
for source and target of amorphism
appear in his work on
jets ( 131 .
More
generally,
thestudy
ofjets
can be seen as adevelopment
ofthe earlier
geometrical
idea ofstudying
theinfinitely nearby » points
onalgebraic
curves and manifolds.Presumably
it was Ehresmann’s initiative which stimulated the1953
paperby
Weil[29]
on«points proches~;
; in theirturn, these ideas
(Weil algebras )
enter into Dubuc’s models forsynthetic
differential geometry
[4]. Disentangling
structures fromgeometric pheno-
mena to their
categorical
formulation is along process !
Can we describehow it is done ?
5. ABSTRACTION AND GENERALIZATION.
Ordinarily,
thegenesis
of mathematical structure is notformally
described.
However,
there is anaccepted
standard >> view ofthe process.
The process starts with observation of
elementary
mathematicalphenomena (or premathematical phenomena), geometric, algebraic,
or otherwise. Onenotes
analogies -
that power series are like congruences modulo p and may suggestp-adic series,
or that theprojection
of a fiber bundle to the base B is like theprojection
of a foliated manifold onto the space of theleaves
of the foliation. One notices
phenomena
of invariance - this or that geom- etricobject
does notreally depend
on itsexpression
in any one coordinatesystem. One
analyses simple proofs
or even fallaciousproofs - just
as theanalysis
of thecovering homotopy
theorem led to adeeper understanding
of fiber bundles and
spectral
sequences.Again,
Kummer’sanalysis
of hisown failed
proof
of Fermat’s last theorem led him to ideal >>prime
factorsof
algebraic integers,
and these ideal factors weresubsequently
revealedto be « ideals) in the present structural sense.
After observation comes
generalization.
There areprobably
severaldifferent sorts of
generalization. First,
there is what Imight
callgeneral-
ization
by parallels .
Thusplane, solid,
and 4-dimensional geometry leadto n-dimensional geometry and on
beyond
to infinite dimensional spaces.The observation of the systems of real
numbers, complex numbers,
and qua- ternions suggests thestudy
of divisionalgebras
and linearalgebras
moregenerally. Quadratic
numberfields, cyclotomic
number fields(as
with Kum-mer)
and then abelian number fields are the source of the moregeneral
con-sideration of
algebraic
number fields. Thestudy
ofalgebraic
varieties aro-se from
sequential
consideration ofconics, cubics, quartics,
andgeneral plane
curves and theiralgebraic
surfaces.Generalization can also take
place by
what could be calledrraodi fi-
cation. A desirable
theorem,
true in some cases, breaks down in others. The mathematician searches for ways to restore itsoriginal
correctness. Thusprime
ideals ofalgebraic integers
restored theunique prime
factorization valid for rationalintegers.
TheJordan
curvetheorem, proved
with suchpain-
ful
displays
ofrigor,
fails for surfaces moregeneral
than thesphere -
butthe
right
ideas abouthomology
will restore the status quo.Abstractaon
is a somewhat differentgenetic
process ofgeneraliza-
tion. The vital elements of a
preceding theory
are notjust generalized
asthey stand,
but are altered toapply
toother,
more abstractentities,
whichmay have been there all
along -
hidden in somespecific presentation.
Suchobservations can take
place by analogy.
Forexample,
observations on themultiplicative
group ofintegers prime
to n , modulo n and of other struc- turesarising
in numbertheory
cametogether
to suggest the much more abs-tract notion of an abelian group and of the structure theorems for
finitely generated
such groups. Or theanalogy
between formal power series and p- adic numbers suggests the abstract notions of a field with a( discrete)
val- uation. Or theexamples
ofsmooth, C 1,
andanalytic
manifolds suggest moregeneral
concepts of manifolds and local structures. Or thesespecific
ex-amples
of local structures may, as with the work ofEhresmann ~ 15J
suggesta
general
notion of local structure, asexpressed
sayby
thegroupoid
ofallowable coordinate transformations.
359
360 S. MAC LANE
Another process we
might
call abstractionby « subtracting».
Onetakes a
given
situation - sayproofs
of agiven
type - and discovers thateverything
can be done(the proof remaining valid)
withonly
part of the data. The transition from groups of transformations to abstract groups and that fromalgebra
of sets to Booleanalgebra
areexamples
of such abstrac- tionby
subtraction. Such cases cangive
rise torepresentation
theoremswhich
«justify
» the process of subtractionby showing
that every one of the abstractobjects
can bepresented (perhaps
in more than oneway )
as anunabstracted
object.
Instances are theCayley
theoremrepresenting
every abstract group as apermutation
group of some set(not necessarily
all per-mutations of that
set)
and the Stone theoremrepresenting
every Booleanalgebra
as analgebra
of subsets of a universe(not necessarily
all sub-sets of that
universe ).
There can also be abstraction
by
«shift of attention ». On the basis of considerableexperience,
one discovers that theimportant
features of asituation may be
quite
different from those which appear on the surface.An
example
is thediscovery
of the notion of atopological
space.Initially,
mathematicians were concerned with
quite specific
spaces, where one seesnearness in terms of the distances between
points
or of smallneighborhoods
of
points -
and used distance orneighborhoods
todefine,
interalia,
the con-tinuity
of functions. Itrequires
a massive shift of attention to thinkprimar- ily
of thecontinuity
of functions and to observe the remarkable fact thatcontinuity
can be definedby using only
theknowledge
of those subsets of the space which are op en . The result of this is the appearance of an essen-tially
new mathematicalobject -
atopological
space. Recentstudies,
asyet to be
published,
of my studentJoel Fingerman,
haveemphasized
to mehow massive was the shift of attention in this case. It would be difficult
to describe in
general
the process of such ashift,
since it is hard to find manyreally
similar cases. Forexample, continuity requires only
open sets, but there appears to be no way to describe thedifferentiability
of a functionjust
in terms of selected subsets of its domain and codomain.6. MORE COMPLEX STRUCTURES.
This
completes
our list of thegenerally accepted
processes of ge-nerating
new mathematical structures ; one observesanalogies
and invar-iances. One then
generalizes by parallel
cases orby
modifications while abstraction takesplace by
processes ofanalogy, subtraction,
or shift ofattention. A mathematical structure so discovered consists of one or more sets with additional data. If the structure is
algebraic,
the additional data consists of unary,binary,
..., n-aryoperations, satisfying appropriate
iden-tities. In more
geometric
cases, the data may also involvebinary
ortertiary relations, «specified
elements >> of double power sets(the
open sets of aspace)
and thelike, again subject
to suitable conditions. Structures in thissense are the
subjects
ofstudy
in universalalgebra,
modeltheory,
Bourba-ki’s
early description
of structure[2]
or the«geometric
theories »currently
under examination in topos
theory.
Other
examples,
inparticular
many of thosearising
in the work of CharlesEhresmann,
indicate that actual mathematical structure can be muchmore
complex,
and that thegenetic
process of itsdiscovery
is much moreconvoluted. Thus the notion of a fiber bundle is not
really just
that of afew sets with some added structure, but it is built up in a
complex way
outof
previous
structural concepts(space,
group, and groupaction). Similarly,
the notion of a fiber space hides subordinate structures, now revealed
only
in part
by
the array of differentials of the associatedspectral
sequences.A foliation can be described as a
pair
oftopologies
on a set - but thesetwo
topologies
have veryspecific character, suggested by
the intended geo- metricexamples.
For grouptheory,
thealgebraic
structure needed to des-cribe a group is
simple
andstraightforward,
but theproperties flowing
fromthis
apparently simple
structure are subtle and manifold. I suggest that this is because the basic group structure carries with it many subordinate or associated structures - all the associatedspectral
sequences and their dif- ferentials for the group extensions involved and the local structure(Sylow
structures for each
prime p )
soheavily
used in the current work on finitesimple
groups(Alperin [11 ).
Another instance of a hidden structure is the presence of
«prime
361
362
S. MAC LANE
spots » in an
algebraic
number field.Originally, they
do not appear with the field.Only later,
with thediscovery
ofprime
ideals to restoreunique
factor-ization or valuations to understand the
analogy
withalgebraic function,
dothe
prime
spotsgradually
stand revealed - described then not as one struc- ture but in manyequivalent
ways(prime ideal, valuation,
a map into acomplete field ),
Mathematics is a network of hidden structures.7. CATEGQRIES AND STRUCTURE.
The
complexity
ofdescribing
analgebraic
or atopological
structurein terms of
things
attached to a set is one of the main reasons for the intro-duction of the notion of a category - where the
objects
with agiven
struc-ture are not described
by explicit
sets, as in Bourbaki( 2 ~ ,
but as abstractobjects equipped only
withmorphisms suitably composable.
Thisview,
and its
expansion,
must have motivated much of Ehresmann’s work.Study- ing
manifolds and their associated structures( connections, jets,
folia-tions )
he shifted attention to the coordinate transformations(on
the inter- section of allowableneighborhoods
in anatlas ),
noted thatthey
formed agroupoid,
and so came to usecategories
to formulate localstructures (15].
Not
stopping there,
he went on to discover doublecategories [18] (such
is
just
a category in the categoryCat )
andtopological categories [16]
( that is,
a category in the category oftopological spaces ). By
these twoexamples
hepaved
the way for thegeneral recognition
of the notion of anobject
with aspecified
structure in a category. He made vital contributionsto the
study
of such structuresby
means of sketches(where
the structure is describedby specified
local cones to bepreserved).
His most recentwork,
with MadameEhresmann,
onmultiple
functors[7]
and the existence of laxlimits, again
arises from suchstudy
of structure.The thesis of this paper is this :
Just
as categorytheory
was neededto
analyse flexibly
the notion of mathematical structure, so will there bea need for more
explicit
andprecise analysis
of thegenesis
of mathemati- cal structure,going beyond
the familiarsimple
stories aboutgeneralizations
and abstraction so as to get at the subtle
interplay
between different struc- ture s ,362
8.AFTERTHOUGHTS.
The
original
version of this paper was delivered on the firstday
ofColloquium
at Amiens. This allowed time for several of theparticipants
to tell me what I had omitted.
They
gave me manyexamples :
( a )
There should be moreemphasis
on thesubject
matter of mathema- tics so as todistinguish
what is mathematics moreclearly,
say, from what isphysics.
( b ) My emphasis
on structure does notsufficiently recognize
the im-portance of mathematical
problems ;
mathematics can better be describedas the attempt to solve a sequence of
specific problems,
with new struc-tures used as a means to get at such
problems.
( c )
Anadequate philosophy
of mathematics wouldsurely
need to ex-plain why particular
items in mathematics areinteresting,
while others areuninteresting.
( d ) Among existing philosophies
ofmathematics,
my list omitsempir-
icism and materialism.
( e) My negative
observation on Russell and Hilbert does not note thatthey
wereaddressing
the centralphilosophic problem facing
mathemati-cians : Now that mathematics has
considerably expanded beyond
the old andsimple
confines of number and geometry, how does oneexplain
anew thesecurity
andapplicability
of mathematics ?( f ) My
criticism ofexisting ph ilosophies
of mathematics should have observed that themajor
gap is a failure toadequately explain
how formalmathematical structures can be
applie d.
( g)
Lawvere’spenetrating analyses
of the nature of mathematics clear-ly
show that thestudy
of thephilosophy
of mathematics is not now dead.(h)
The idea ofusing « neighborhoods»
to define thetopology
of theplane
is due to Hilbert( 1902 [21]).
I look forward to future
meetings
when these and other omissionsmight
beexplored.
363
364 S. MAC LANE
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