C OMPOSITIO M ATHEMATICA
D ANA S COTT
Extending the topological interpretation to intuitionistic analysis
Compositio Mathematica, tome 20 (1968), p. 194-210
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http://www.numdam.org/
194
to
intuitionistic analysis
Dedicated to A. Heyting on the occasion of his 70th birthday by
Dana Scott
The well-known Stone-Tarski
interpretation
of the intuitionisticpropositional logic
was extendedby
Mostowski to thequantifier logic
in a natural way. For details and references the reader may consult the work Rasiowa-Sikorski[5],
where intuitionistic theories are discussed ingeneral,
but where noparticular theory
is
analysed
from thispoint
of view. The purpose of this paper is topresent
someclassically interesting
models for the intuition- istictheory
of the continuum. These models will beapplied
tosome
simple independence questions.
The idea of the model canalso be used for models of second-order intuitionistic arithmetic
(cf.
thesystem
of[6]),
but lack of time and space force us topostpone
this discussion to another paper.Also,
the author has encountered somedifficulty
inverifying
certain of thecontinuity assumptions (Axiom
F4 of[6]
forVoc3fJ
to beprécise)
andhopes
to
try
to understand the motivation behind theseprinciples
betterbefore
presenting
the details of the model. It is notimpossible
that there are several distinct intuitionistic notions of free-choice sequence
(real number)
with variouscontinuity properties.
The paper has four sections In Section 1 the
properties
of orderare discussed in a way that motivates the construction of the model in Section 2. In Section 3 the model is used to contrast classical and intuitionistic
properties
of order. In Section 4 the model is extended to include otherrelations, operations
andhigher-order notions,
and thecontinuity question
is touched onbriefly.
The author
hopes
that the reader will be convinced that the model merits furtherstudy.
Thequestion
is often raised whether thetopological interpretation
has any relevance at all to intuition- isticthought (e.g. [4],
p.189).
Of course, the intended intuition- isticinterpretation
has to do with some abstract notion of"proof",
but it seems fair to say that a formalization of this idea has not been carried far
enough
to treatanalysis (again
cf.[4]
pp.125 ff. ).
However,
thetopological interpretation
is not unrelated to thisprogram, even
though
it is not the desiredtheory.
One may viewa
neighborhood
of atopological
space as a kind of"proof" :
a
proof
that apoint belongs
to a morecomplicated
set becausethe
neighborhood
of thepoint
is included in the set. With this inmind,
the usualtopological
facts follow thegenerally accepted
intuitionistic
prescriptions
ratherwell,
as follows:Let X and Y be open subsets of a
topological
spaceT ;
lett E T be a
point;
and let t E U Ç T begiven
so that U is an openneighborhood
of t. Then U is a"proof"
that t E(X
nY)
if andonly
if U C X nY;
which means that U is a"proof"
that t e Xand that t E Y.
Similarly
U is a"proof "
that t E(X
uY)
if andonly
if U contains aneighborhood
U’ of t which is either a"proof"
that t E X or a
"proof"
that t E Y.Finally
U is a"proof"
thatt E
(X ~ Y )
= In((T ~ X) ~ Y )
if andonly
if U is a "method"whereby, given
a"proof "
U’ that t E X( i. e., t
EU’ Ç X),
a"proof"
that t E Y is
produced (viz.
U nU’ ).
Even if these remarks are not a
philosophical justification
ofthe
topological interpretation (which
indeedthey
arenot),
we atleast see
why
it is that the"logic"
of open setsproved
to beformally
an intuitionisticsystem.
What mayactually
turn outto be the main interest of this
study
is theapplication
of thereasonings
of intuitionisticanalysis
to a verysimple
and well-known classical structure.
1. The
properties
of order in the continuumThe author must first admit to never
having
read a paper of Brouwer: he has takennearly
all of his information about the continuum fromHeyting [2]
andKleene-Vesley [3].
Since theproperties
needed for this paper arequite elementary,
these tworeferences seem sufficient. In
particular
the relation , the"measurable natural
ordering" (written
o in[3]),
is very basic.It
enjoys
these two fundamentalproperties:
These
are justified
in[2,
p.25]
and in[3,
p.143].
Note thattransitivity
follows at once from the above:Next the
"apartness relation",
for which we shall write=1=,
can be defined in terms of :
Both in
[2]
and[3]
therelation ~
is written as #. We havechanged
the notation for the sake of the model that will bepresented
below. Ingeneral,
relations denotedby single symbols
in the intuitionistic
theory
will have a very close connection with thecorresponding
classical relations.In
order tokeep
theseconnections
clearly
inmind,
it was found to be easier not to abbreviate anintuitionistically negated
relationby drawing
astroke
through
thesymbol
for the relation to benegated. However,
the
negated
relations are also of basicimportance,
and we usespecial symbols
for them:We may also
employ
>and >
with the obviousmeanings.
In both
[2]
and[3]
the above useof ~
is avoided because it is notintuitionistically
valid that:We shall see,
nevertheless,
that the model makes our usage naturaleven in the face of the above failure.
Note,
on the otherhand,
thevalidity
of these twoprinciples:
The deductions of
(1.7)
and(1.8)
from(1.1-(1.6)
arequite straight forward,
as are theproofs
of thefollowing:
From these it
easily
follows that = is indeed anequality
relation:where A is any first-order formula
involving only
, ~, =, and.
Note that theproofs
of(1.10)-(1.12)
make essential use of(1.3),
which is the intuitionisticreplacement
for the invalidprinciple :
The intuitionistic and classical theories are very close. One may show in
general
that an open sentence of the formwhere the
A i
andBj
are atomic formulae of the form xy
or x ~ y(maybe
with othervariables),
is eitherprovable
from(1.1)-(1.4) (in
intuitionisticlogic!)
or has acounterexample
inthe
integers.
Theproof
is effective. Incase x
y and x = y are allowed(especially
in theconclusion),
one must take m = 1.Surely
it must bepossible
togive
asimple
decision method for all open consequences of(1.1)-(1.6). Maybe
our model below will aid inseeing
how theargument
could be constructed. Thequantified
formulae should also beinvestigated,
but the situationlooks to be more involved.
We now extend our
language by adding
variables q, r, s(with
orwithout various super- or
subscripts) ranging
over the rational numbers. We shall also use the usual rational constants,if necessary.
In view of the constructive character of the rationals we can assume:
The
(open)
theories of rationals in intuitionistic andclassical logic
coincide.
(Instead
ofspecial
variables wecould,
of course, have introduced aspecial predicate x
EQ,
but the formulas become toocumbersome.) Passing
now for the first time to formulaeinvolving
existentialquantifiers,
we assume that the rationals aredense in the continuum in the
following
sense:These
principles
arejustified
in[3,
p. 149,*R9.19].
Even
though
in the intuitionistictheory
the order relations ofan
arbitrary
real to the rationals are notnecessarily decided,
a real does in some sense determine a cut in the rationals.
Indeed,
we can prove at once from
(1.17):
(1.18)
Thefollowing
areequivalent:
A similar result
(1.18’)
holds withand replaced by
> and>, respectively.
In theseformulae,
the boundedquantifiers should,
of course, beinterpreted
as:We also have:
(1.19)
Thefollowing
areequivalent:
By
the way ofproof,
it is obvious that(i)
-(ii)
-(iii).
Assume(iii)
and recall that(i)
means -1 r x. So assume r x.By (1.18’)
we know there is an s with r s and s x.
By (iii), x s follows,
whichgives
a contradiction. We call(1.19’)
the result ofreplacing
all the relationsby
their converses.2. The
topological interpretation
The idea of this
interpretation (which
is carried out in classicalmathematics )
is to use the lattice of open subsets of agiven topo- logical
space T as "truth values" for formulae. Thus to each formula A we associate an open subset[[A]]
of the space T satis-fying
somesimple
rules:where In denotes the interior
operator
on subsets of T. Inaddition,
the individual variables are
interpreted
asranging
over the ele-ments e in some
given
domain R(we
use "e" here because we arethinking
of models for the realnumbers.)
Thus forquantified
formulae we have :
(Note
that wereally should
writeA(03BE)
wherer$1
is the nameof the
object 03BE
in the formallanguage. )
As is
proved
in[5],
all formulas Aprovable
inHeyting’s predi-
cate
logic
are valid in thisinterpretation
in the sense that[[A]]
= T.Let us assume further that all of
(1.1)-(1.6)
are valid in fhisparticular interpretation
as well as(1.16)-(1.17)
where R isassumed to include the set
Q
of rational numbers. We wish toinvestigate
moreclosely
the behavior of theelements e
e .9.To start out note that for each t e T an
element e
e .9 deter- mines a cut inQ
where the upperpart
of the eut is the setThis
suggests associating with e
c- 9 afunction ; : T ~ R (where
R
is the set of classicalreals,
and where we areusing "03BE" again
to denote the
function)
defined as:In
case e
= q eQ,
note thate(t)
is the constants function with value q. Ingeneral
we have:(2.7)
e :T - R is
continuousfor all e
E .9.PROOF: We note first that
Because if
03BE(t)
q, thenby
definition t e[e rl
where r q.But then
obviously, t
e[[03BE q]]. Conversely,
assume t e[[03BE q].
By (1.18)
and(2.5),
t e[[03BE r]]
for some r q. Thus03BE(t)
r q.Next we show that
Assume first
that q e(t). Then, by definition,
there exists an r > q such thatt 0 [[03BE sl
for all s r. Take any s withq s r. By (1.3) we see
hence,
t e[[q el.
Assume for the converse that t e[[q el.
Inview of
(1.18’)
we have t e[[r el
for some r > q.Thus,
for alls r we have
t 0 [[03BE s]];
this meansr e(t)
and so qe(t).
From these two
equations
we see that the inverseimage under e
of any open interval
(q, q’ )
is the open set[[q el n [[03BE q’]],
which proves that the
funetion e : T ~ R
is indeed continuous.Now that we know that the functions are
continuous,
the open"truth" values of some other formulas are clear:
In fact
(2.8)
follows from(1.17)
and the formulas used for theproof
of(2.7) above;
and the others followby (1.4)-(1.6).
Notethat
by (2.11)
wehave 03BE = ~
valid(that is, [[03BE
=q]
=T)
ifand
only
if03BE(t)
=q(t)
for all t e T. Hence it is safesimply
toidentily e
with the continuous function it determines.These
simple
factssuggest
that the obvious classical model for the intuitionistic continuum is to take R to be the collection of all continuousfunetions e: T ~ R
and to use the rules(2.1 )- (2.6), (2.8)-(2.11)
forevaluating
formulae. The reason forusing
all thecontinuous functions is that R should be
complete.
No doubt this statement could bejustified
moreformally
with reference to somesuitable model of a
higher-order
intuitionistictheory
ofspecies.
Since the author does not want to say at this moment what this
theory
islike,
he must leave this matter somewhat vague.3. Some
independence
resultsConsider,
for the sake ofillustration,
an open formula in two variables x and y. In view of(1.4)-(1.6),
we needemploy as
atomic formulae
only x
y and y x.Thus, corresponding
tothe
given formula,
there is a formulaA ( P, Q)
ofpropositional
calculus such that the
given
formula isequivalent
toWe shall show that the universal statement
is
provable (intuitionistically)
from(1.1)-(1.2) if
andonly if
thepropositional
formulais
provable
inHeyting’s
calculus. Thisgives
a decision method for open formulae in two variables. No doubt the method can be extended to morevariables,
but the proper formulation of the result seems to becombinatorially
rathercomplicated.
We willdiscuss the case of three variables below.
Note first that the
provability
of thepropositional
formula issufficient: because one can substitute x y for P and y x for
Q
and invoke(1.1). Suppose
then that the formula is notprovable.
By
the results stated in[5,
pp.385-396],
there is a metrictopological
space T and there areassignments
of open subsets[P]
and[[Q]]
to Pand Q
such that:Since we could relativize to a
subspace,
we can assume without loss ofgenerality
thatwhich means that
[[P]]
and[[Q]]
aredisjoint
open sets.We are now
going
to use our model for the intuitionistic con-tinuum based on the metric space T. Let np :
T - R
be definedby
the formulawhere à is the metric in
T ; similarly
for nQ. These two non-negative
functions are continuous andsimilarly
for 03C0Q. Define continuousfunctions 03BE, ~ :
T -R by:
Since
[[P]]
and[[Q]]
aredisjoint,
we haveand
which
implies
thatThus the universal formula is not valid in the model.
There are several remarks to be made here. In the first
place
the choice of the model was made to
dépend
on the formula. Ifwe set T = NN
(the
Baire space, which ishomeomorphic
to thespace
irrationals,
a zero-dimensionalcomplete space),
thenby
virtue of Theorem 4.1 in
[5,
pp.130-131]
this space can be used for all thecounterexamples
thusfixing
the mode].Secondly,
now that the space isfixed,
we notethat e
= 0. Ife’
is any other continuousfunction,
wereplace e by e’ and iî by 7y’
=03BE’+~. Obviously
and so
But note that if
f :
T ~ T is anautohomeomorphism
of T ontoitself,
thenInasmuch as the
autohomeomorphism
group is transitive on T =NN,
we conclude thatThis means that
and in view of the remarks above
Among
the moreinteresting
of the formulae that fall within the scope of this discussion we may mention:and,
of course, many more, all of which are valid in the model.The above formulae are
closely
related to those discussed inChapter
IV of[3].
Kleene shows that certain of them areprovable
in his
system,
which is astronger theory
than any we have con-sidered so far in this paper. Now under suitable definitions our models
ought
tosatisfy
Kleene’s axioms and more. Thus it wouldseem that we have somewhat
stronger consistency
results than those obtainedby
Kleene’s method.However, judgement
shouldbe
suspended
until a betterunderstanding
of the model is ob- tained. We shall discuss the matter further in Section 4.Passing
now to threevariables,
the situation is morecompli-
cated.
Suppose
xo, xl,and x2
are the variables. Let theproposi-
tional letter
P ii correspond
to the atomicformula xi
xj. Let A be thegiven
openformula,
and letA(P)
be thepropositional
formula that results from
replacing xi xj by Pu- Let B(P)
bethe
conjunction
of all formulae of the forms:and
for i, j,
k 3. We wish to show thatis
provable
if andonly
if thepropositional
formulais
provable.
In case ofunprovability,
we will find thatis valid in the model.
As in the
previous argument, sufficiency
is obvious.Suppose
then the
propositional
formula isunprovable.
We evaluate thePo
with open sets[[Pij]]
so thatwhile
We define
non-negative
continuous functions 03C3ijkl :T - R
so thatWe then introduce
(by
a formula which cost the author several hours todiscover)
functions nu :T - R
whereThis
equation
for the continuous function 03C0ijis,
of course, under- stood as a functionalequation.
In view of the inclusionwe see that
The main reason for
making
the formula for 03C0ij socomplicated
was to assure:
for
all i, j,
k 3. This means that we can solve the(over- determined) system
ofequations
for functions
03BE0. 03BE1, 03BE2 : T ~ R.
Indeed leteo
= 0and el
= noi ande2
= n02. We then haveso that
where
A(03BE)
is the result ofsubstituting
thee’s
for the x’s. Justas before we can show
for all
03BE’0,
and the desired conclusion follows. The author wasunable to come up with the proper 03C0-formula for cases with more
variables, though
it would seem that the method should gener- alize.4.
Enlarging
the modelUp
to thispoint
we have discussed theproperties
ofonly
, ~,
,
and =.Suppose $
is any relation between(classical)
real numbers. We may extend
$
to the model R in thespirit
of(2.8)-(2.11) by
the formula:In
case $ represents
an open relation(open
subset ofR X R),
we can
drop
the In on theright-hand
side. This we did in thecases of and ~. In case
$
is a closed relation and$’
is thecomplementary (open) relation,
thenThis is what we did in the cases
of ~
and =. Theuniformity
ofthese connections was the main motivation for the author’s choice of notation. He feels that it makes
comparison
with the classicaltheory
much easier andhopes
others will agree with him. The author notes with satisfaction thatBishop
in[1] (which
is thedeepest
and mostthorough
mathematicaldevelopment
of in-tuitionistic
analysis available) adopts
the same notation for in-equalities,
of course based on an intuitive motivation.By
the way ofexample,
let us consider the notions of closed and open intervals as defined in[3, *R8.1,
p. 147 and*RI3.1,
p.
161].
After suitablelogical simplifications,
these twoconcepts
can be defined as follows:
In the above we have abbreviated a
conjunction
of successiverelationships
in the usual way. The exact reasonwhy
thedoubly negated relationship
is considered more basic than that without the escapes the author.In view of the
topological equation
we see that if
A o , A1, ···, An-1, Bo
are atomic formula of the kindjust
considered with the new relationalsymbols,
then ifis valid
classically,
it is also valid in our model. In caseBo , B1, ···, Bn-1
all havesymbols
for openrelations,
then thesame holds for
By
the way, it may turn out that theonly interesting
relations$
that
ought
to be considered in the model are those that are either open or closed. But this remains to be seen.Quantified
formulae are as usual more difficult to understand.Suppose
is valid
classically
because there is a continuous functionf : R - R
such that
is true. Then
obviously
will
be
valid in our model. The same remark can be made about formulae withimplications
of the kind considered above.Actually
it is
enough
to have af amily {fi : i ~ I}
of continuous functions such thatis
classically
valid forto be valid in the model in case
$ happens
to be open.Besides
relations,
there are also someinteresting
functions onthe elements of the model. For
example,
supposef : R
XR - R
is continuous. We
interpret
theequation
for
03BE, ~
Ee,
to mean thatfor all t E T.
Then 03B6
alsobelongs
to R. We canapply
this method to the arithmeticoperations
+, ., - and to such functions assin,
cos, ex, etc. Note that any(universal) (conditional) equation
satisfied
by
functionson R
is also valid on R. Thusis valid in the
model;
whileis not.
In fact,
is valid.
This last remark
points
up the fact that if a sentence A hasonly
constants
(say,
rationalconstants)
andoperations
and relations like +, =, etc., then its value is invariant under all autohomeo-morphisms
of T. Now if T = NN(our
favorite choice forT),
then the
only
open sets so invariant are0
andT ;
thus if the sentence A is notvalid,
then -i A is valid. Inparticular,
the lawof excluded middle holds for such sentences in the model.
Many
people
mayregard
this feature asundesirable;
it is a consequence of our classical construction of the model. It does not seem tooserious, however,
when we realize that the mostinteresting
sentences have
parameters
and then this conclusion does not hold.We can weaken the
unnegated (4.5)
to make itvalid;
thus:One should not
conclude, however,
that adisjunctive
conclusionwith closed relations is
always
invalid. Forexample,
we have:This can
easily
be checked in themodel,
or we can prove it from otherprinciples. Suppose X
= x2.By
the obviousequations
ofalgebra
this can be written asNow
by (1.2)
we have[0 x ~ x I]. In
the first case we deriveby (4.6)
theequation
1-x = 0, and so x = 1. In the second case1-x ~ 0
follows,
so x = 0. We see that(1.2)
in intuitionisticanalysis replaces
the invalidprinciple
by
the valid and almost as usefulprinciple
where e can be any
(very small) positive
rational number.The use of certain continuous functions and of some of their obvious
properties
sometimesgives
us results about the puretheory
of order which no doubt cannot be derivedsimply
from(1.1)-(1.8).
Forexample,
the average(x+y)12 clearly
satisfiesFrom this and some other obvious arithmetic
principles
wederive
easily:
We can
adjoin
doublenegations
and write the result as:which seems to be
slightly stronger (and
moreeasily proved)
than*R13.8 in
[3,
p.161].
Other
properties
of order seem torequire
rathercomplicated
proofs.
Inparticular,
the author could not see a moreelementary
proof
of *R14.11 in[3,
p.168].
He canonly
remark that afterthe définitions are unwound the
principle
boils down to:That seems
interesting,
but the author finds thehypothesis
veryhard to work with. All in
all,
thequantified theory
of order in the intuitionistic continuum may prove to befairly
difficult.Partial functions are very
annoying.
In[2,
p.21] Heyting
states that x-1 is defined
only for x ~
0. It seems rather difficult to make thisprocedure rigorous
in a formal intuitionistictheory
that allows the free formation of terms x-1 and not
just
the relation y = x-1(which
isequivalent
to x · y =1.)
We can,however,
show that
is valid in our model. For
let e
E f!4 and suppose t e[[03BE
~0]].
Thenthere is an
integer n E N, n
> 0, such that|03BE(t)|
>1/n.
Letf
beany continuous function such that
f(u)
= u-1 forlul
~1/n.
Wesee that
Hence,
which shows that
(4.10)
is valid. Thereought
to be ageneral principle
to cover thissituation,
but the author is notquite
surewhat its proper formulation should be.
Instead of restricted variables such as the rational variables q, r, s, we could introduce
predicates
such as 03BE EQ
into our formallanguage. By
definition:where on the
right-hand
side we haveused q
for the rational and for the constant function with value q. The reader should note thatif and
only
if the sets[[03BE
=q]]
are both open and closed in T. Thismeans that T is
partitional
into such sets on each of which thefunetion e
has a constant value. Eventhough
such functions arenot
strictly constant,
we can show:and
This means that the use of the
predicates
has the same effect asthe use of restricted variables.
Another
interesting predicate
is definedby
where
again a
is used to denote a constant function. We can thinkof e
E D asmeaning e
isdefinite.
It isjust
thepoint
of the intui- tionistictheory
that it allows for "indefinite" numbers. That iswhy
a statementis so
strong
because the y must exist notonly
for the definite but also for the indefinite numbers x.It is seen that our model allows
only
for continuous functions onR to
beautomatically
extended to f!4. This limitation may indeed be essential. In view of Brouwer’s Theorem onContinuity (cf.
[2,
p.46]
and[3,
pp.151ff.])
it may be reasonable toconjecture
that if
~x!yA(x, y)
is valid in themodel,
then there exists acontinuous function
f : R ~ R
such that ~xA(x, f(x))
is also valid(at
least ifA (x, y )
has no additionalparameters).
It is clear thatwe cannot weaken 3 ! to 3 for this
model,
becauseis
valid,
but there is no continuous function that can be used toobtain y
even for all x where x E D is valid. The aboveconjecture
about 3 ! may be too
optimistic:
it willprobably
turn out that thereare more functions F : 9 - éP that are
appropriate
for the model than there areordinary
continuous functionsf : R ~ R,
eventhough
the F maysatisfy
the formal statement ofcontinuity
inthe model.
The
predicates
introduced in(4.13 )
and(4.16)
are whatmight
be called
"non-standard"-predicates
todistinguish
them from the kind ofpredicates $
discussed at thebeginning
of this section.The non-standard notions are somehow
peculiar
to the model and have nocounterpart
in the classicaltheory. (This
remark issomewhat
misleading
in connection withQ;
but note that theequation
is not in
general
correct forall e
ER.)
Thissuggests
that we shouldhave a
theory
ofpredicates (sets, species).
Ageneral predicate
isrepresented by
a function .5’ defined on Qtaking arbitrary
open subsets of T as values. We write:We may use variables
X, Y, Z,
etc., to range over thesepredicates.
We note that the
general comprehension principle
is valid:where
A (r)
is anarbitrary
formula. We arebeing
careful not toassume that these
species
are extensional in the sense of thevalidity
of:
because remarks in
[4]
and elsewhere seem to indicate that non-extensional
predicates
may be of interest and even ofimportance.
In
[3],
free(i.e., universally quantified) species
variables areused at several
places;
inparticular,
theobviously
fundamental*R14.14
[3,
p.171] expressing
a kind of Dedekindcompleteness (called being "freely connected")
usesthem,
andthey
enter atmany other
points.
Note that there is no reason tostop
at second-order
species:
we caneasily
continueupward
tohigher-order species
and even to a kind of transfinite intuitionistic settheory.
That last sounds almost like a contradiction in terms, but the model
certainly
can be defined in classical settheory.
BIBLIOGRAPHY E. BISHOP
[1] Foundations of Constructive Analysis, New York, 1967.
A. HEYTING
[2] Intuitionism. An Introduction, Amsterdam, 1956.
S. C. KLEENE and R. E. VESLEY
[3] Foundations of Intuitionistic Mathematics, Amsterdam, 1965.
G. KREISEL
[4] Mathematical Logic, in Lectures on Mathematics, vol. III, (ed. T. L. Saaty),
New York, 1965, pp. 95-195.
H. RASIOWA and R. SIKORSKI
[5] The Mathematics of Metamathematics, Warsaw, 1963.
A. S. TROELSTRA
[6] The Theory of Choice Sequences, to appear.
(Oblatum 3-1-’68) Stanford University