Structural Stability, Catastrophe Theory, and Applied Mathematics: The John von Neumann Lecture, 1976 Author(s): Rene

Thom Source: SIAM Review, Vol. 19, No. 2 (Apr., 1977), pp. 189-201 Published by: Society for Industrial and Applied Mathematics Stable URL: http://www.jstor.org/stable/2029499 . Accessed: 30/01/2014 00:52
Your use of the JSTOR archive indicates your acceptance of the Terms & Conditions of Use, available at . http://www.jstor.org/page/info/about/policies/terms.jsp

.
JSTOR is a not-for-profit service that helps scholars, researchers, and students discover, use, and build upon a wide range of content in a trusted digital archive. We use information technology and tools to increase productivity and facilitate new forms of scholarship. For more information about JSTOR, please contact support@jstor.org.

Society for Industrial and Applied Mathematics is collaborating with JSTOR to digitize, preserve and extend access to SIAM Review.

http://www.jstor.org

This content downloaded from 128.122.149.154 on Thu, 30 Jan 2014 00:52:26 AM All use subject to JSTOR Terms and Conditions

SIAM REVIEW Vol. 19, No. 2, April 1977

STRUCTURAL STABILITY, CATASTROPHE AND APPLIED MATHEMATICS* TheJohn 1976 vonNeumannLecture,

RENE THOMt

THEORY,

andofitsapplications; tomy ofcatastrophe it Wegive a brief Abstract. description theory, view, it has no ability to predict. is a fundamentally qualitative, interpretative theory, and, by itself, ofsingularities aregiven ofinterpretations instatistics andingeophysics Examples (plate tectonics).

It is perhapsironical thatI am nowassessing theimportance ofsuchideas and theoriesas structural and catastrophe in front of an audience of stability theory applied mathematicians. Why? Because in its veryintention catastrophe theory emphasizes the qualitative aspect of empirical situations,whereas applied mathematics is fundamentally devoted to computation. cannot exclude qualitativethinking, Of course, applied mathematics as its problemsare originally given in ordinary language-in a qualitativeway. But most applied mathematicians would say-(I believe)-that "modelization" is buttranslating thisqualitativeproblemintoa quantitative nothing model,which thenhas to be confronted withexperiment. On the contrary, catastrophe theory wouldsay thatquantitative studies-inasmuchas theyare possibleand reliablelocal morphological elements(singularities), may help in defining fromwhicha global qualitativeconstruction maybe built. is thatI do not have myself a veryclear pictureof the Moreover,the truth of a professional activity Hence it is quite possible that applied mathematician. some of theideas I expresshere mayseem to you a bitout of the field, as I never had theopportunity ofworking on a veryquantitative basis-even in pure myself mathematics. But as manypeople-especially in popularizationarticles-have expressed tremendoushopes about the pragmaticpossibilitiesof catastrophe I think itis timeto come back to a moresoberappreciation theory, ofitsimpact. cause of the ambiguity, Perhaps a veryimportant when dealingwithcatasis itsradically novelepistomological status.You read frequently, trophe theory, in these popular articlesabout catastrophetheory(here abbreviatedC.T.), that is thatC.T. is not a "Catastrophetheoryis a mathematical theory".The truth mathematical but a "body ofideas", I daresaya "stateofmind".As soon theory, as theideas developed byC.T. have reacheda veryrigorous mathematical status, in specificbranchesof mathematics: then these ideas have been incorporated of smooth mappings,stratified of differential singularities spaces, singularities bifurcation etc.Hence, strictly C.T. forms, theory, qualitative dynamics, speaking, and it has is nota mathematical Of course,C.T. arose from theory. mathematics, led to important progressin mathematics itself; and we may hope that this
* Thefifteenth delivered atthe1976National Meeting oftheSociety John vonNeumann Lecture bythe Illinois, June 16-18,1976.Received for Industrial andApplied Mathematics, heldatChicago, editors June 1, 1976. desHautesEtudesScientifiques, Bures-Sur-Yvette, France. t Institut
189

This content downloaded from 128.122.149.154 on Thu, 30 Jan 2014 00:52:26 AM All use subject to JSTOR Terms and Conditions

190

RENE

THOM

contribution is notfinished. On thecontrary, the"practical"results ofC.T. are,up to now, not very striking;evaluated by the strict-positivist-criterion of the of "new phenomena",theyreduceto a few(nottoo surprising) discovery factsin geometric opticselaboratedby M. Berryat Bristolin his workon caustics. In the minds of most people, C.T. reduces to what I call "elementary catastrophe the(too) celebratedsevencatastrophes theory"(E.C.T.) involving on R4. For the sake of completeness, let me perhapsrecall the basic schema of an "elementary catastrophe".Suppose we have a system (S), thestatesofwhichare parametrized by a point6 in a (smooth)manifold M. Suppose thatwe mayact on thissystem a pointu in a space U of control byvarying parameters. Suppose this determination is defined by a map (system of equations) (E) or
Fi (4j, Uk) = 0?

F(e, u) = 0,

i= 1,29,...,n

j=1,2,--,n,

k=1,

m.. M

In practically all cases considered in control theory, one admitsthatthissystem of equations may be solved-through the implicitfunctiontheorem,with the
= (u), through ofsolvingj2) withrespectto 1,***, possibility -p anvpointof thegraphof themap F in theproductspace M x U R'. This amountsto saying to the fibersof the projectingmap (cf. n _ m) that this graph is transversal (D: Mx U-> U (Condition7). Controltheory thentriesto define functions ui(t) in o = such a way as to have the corresponding functions 'p u some (t)) satisfy (6(t) condition. optimality Let us suppose firstthat n = 1; then (E) reduces to only one equation F(x, ui) = 0. If aF/ax $ 0 we are in the standardsituation (T). withsituations where Elementary catastrophe theory deals, on thecontrary, the transversality condition(r) fails;thatsuch situations cannotbe avoided-in general-is shownbythefollowing picture(Fig. 1) whereforn = m = 1 thegraph ofF willhavepoints of(E) is a compactcurve.Anysmalldeformation with vertical to a, /8).Of course,from a "control"pointof view,we tangents (a, b, projecting will do all thatwe can in orderto avoid (in our space U) the "bad" pointsa, /, wherethevariation ofour system is no longersmoothly controllable. Catastrophe to study suchsituations. Here enters theidea thatthere theory-in contrast-tries are two typesof lack of transversality: the "finitecodimensiontype", and the codimension"type. The finite "infinite type is exemplified by the case where aF/ax = 0, but thereexistsa higherorder derivativeakF/laxk whichis not zero (witha'F/3x (O) = 0, fori < k). Then usingthe Weierstrass-Malgrange preparaF maybe locallyreplaced by a distinguished tiontheorem, in x: polynomial assumption that the Jacobian D(F1 ...
FJI)/D(61

,... **

) is not zero; hence the

A . F(x, u) =

x +al(u)nk+

+ ak (u),

and thislocal situationis now well understood,as we have forit a polynomial

This content downloaded from 128.122.149.154 on Thu, 30 Jan 2014 00:52:26 AM All use subject to JSTOR Terms and Conditions

STRUCTURAL
T

STABILITY,

CATASTROPHE

THEORY

191

F(x, u) = 0

(3

~~~~~~~~~~U

FIG. 1

model. Moreover, if the set of coordinatesu is such that the mapping u -* v u -* ai (u) into the space v of coefficients of the genericequation of degree k - - + v,n is surjective v1beingannihilated xk/k +V2Xk-2+ (the (k -1) coefficient will be "unavoidable", i.e., throughtranslationon x), then the singularity of the equation F(6, u) = 0. stable underany small Ck deformation structurally of the distinguished as polynomial This is a consequenceof the global continuity F, a factexpressedin the Weierstrassdefinedby the local germof functions Malgrangetheorem. case is exemplified codimension by F(x, u) = u - exp (-1/x2), a The infinite order). No embedding of F into a finite curve with a flat contact (infinite are avoidable parameterfamilyF(x, v) can make it stable. Such singularities ofthetheory of ofF. It is theresult unstable)bya smalldeformation (structurally (n, m), thereexistsonlya finite maps (J.Mather)thatfora givenset of integers of local equivalalthoughthe definition numberof "unavoidable" singularities, (at least, ence has to be purely topologicaland no longera local C' isomorphism in general). situations, Hence thisgeneralidea thatthereare "unavoidable" catastrophe to know all of them;whereas control and thatit is of fundamental importance knows theory up to now triesto avoid them(not always,as in factcontroltheory It seems clear thatifwe wantto discontinuously). the need of shifting strategies understandbiological phenomena, we have to understandthese catastrophic in dealingwiththesephenomena,as shows a greatmastery forlifeitself effects: and by morshown by physiologicalevents such as heart beat, nerve influx, in embryology. phologicalevents,such as gastrulation,

This content downloaded from 128.122.149.154 on Thu, 30 Jan 2014 00:52:26 AM All use subject to JSTOR Terms and Conditions

192

RENE

THOM

Now in E.C.T. we suppose thatthelocal state6 in F(6, u) is itself givenbyan of typeG(f, u): thatis, (;) reducesto: e minimizes optimality principle G(e, u) fora givenu E U, hence to system (X) of type

adi
whichdefinesthe criticalpoints of G(e, u) when e varies. Caution should be applied to distinguish between situations whichare describedby an optimality principleand those governedby an "extremality" principle. Althoughformally theyare directed by thesame mathematics, theyexhibita fairly different character. One could say thatsituations governedby an optimality principle exhibita fundamentally irreversible character, whereasthose governedby an extremality principledepend on a reversible dynamics.Typical of this last situationis the Hamilton-Jacobi theorywhichdescribesthe propagationof a wave front, and whichleads to an extremality on thespace (p) of normalized principle covectors. (The G function itself is defined in terms of theinitialdata.) The global theory of of functions, singularities whicharises out of E.C.T., is now fully grown.It has on manypointsofwave optics(Saddle-method:theidea ofunfolding shed light is veryusefulhere),and the theory has now reached a stage (due to theworkof V. Arnoldand theMoskow school) whereitscapabilities exceed theneed forit.(The of codim< 16 are now known,and it has developed into a very singularities beautiful theory,which touches many branches of mathematics:algebraic Platonicsolid classification, ,geometry, simpleLie grouptheory, etc.). For mostpeople, C.T. is identified withE.C.T. The reasonforthisis obvious: the table of the seven elementary catastrophes appears as an immediate way of natural situations,and beyond that classification, classifying little is known. Nevertheless, theobjectionthatvery fewnatural dynamics are gradient dynamics remainsvalid. To that objection it may of course be answered that near any attractor A of anydynamical thereis a local Lyapunovfunction. system Hence in some sense any asymptotic regimeis definedby a Lyapunovfunction aroundits In fact,ifone allows some Ck -noise,thenonlythe Lyapunovfunction attractor. maybe said to have a meaning, as theflowremainsentering intothelevelvariety ofsucha Lyapunovfunction. But thenthequestionariseswhether suchLyapunov functions do exhibitthe bifurcation phenomena exhibitedby the E.C.T. The answeris obviouslyno, as the simplest of all possible bifurcations, the so-called whichtransforms Hopf bifurcation, a sourceintoa repeller, creates-in generalan attracting cycle around the repeller. Then the corresponding Lyapunov function exhibits(on a straight line section) a behavior of typeX4/4 +X2 /2 to x4/4 -X2/2, bifurcation among all even functions. Hence, in such a case, the cyclic, nongradient-like character of the bifurcation is expressedby the factthat the corresponding Lyapunov functionundergoes a catastrophewhich is not but is definedonly among functions elementary, which are equivariantwith to some actionofa symmetry respect group.Thissimpleexampleshowsthatthere is no chancethatE.C.T. alone mayprovidea sufficient setofpossiblebifurcations in nature (an objection already made by J. Guckenheimer, who showed that bifurcations among gradient-like fieldsis not the same as the bifurcation of

This content downloaded from 128.122.149.154 on Thu, 30 Jan 2014 00:52:26 AM All use subject to JSTOR Terms and Conditions

STRUCTURAL

STABILITY,

CATASTROPHE

THEORY

193

gradientfields). It is quite obvious that other types of bifurcations, such as symmetry equivariant,composed map bifurcations, etc., have to be taken into consideration. Moreover we stillknow verylittleabout the global problemof catastrophe whichis theproblemof dynamic theory, synthesis, i.e., how to relate intoa singlesystem a fieldof local dynamics. Perhaps the mostcompletestudieswhichdeal withthisproblemare those concernedwith the modelizingof embryological processes. Here perhaps the most novel idea is that when we model such processes, there is no point in in a fixedphase looking-as forordinary dynamical systems-fora flowvarying one shouldlook fora fixed on a successionof defined space, but,instead, dynamics phase spaces: a degreeofliberty and at some other beingat some timestriggered, But ofcoursetheseideas have notyetreached times, dampedout and nonexistent. thestageofa possibleexperimental and henceare stillin an infancy confirmation, stage. From myviewpoint, C.T. is fundamentally and has as itsfundaqualitative, mentalaimtheexplanation ofan empirical Itsepistomological morphology. status is theone of an interpretative-hermeneutic Hence itis notobviousthatit theory. willnecessarily develop intonew pragmatic developments. in applied mathematics, stability, althoughproposed originally by technicians Andronov and Pontryagin, does not seem to have elicited a tremendous enthusiasm among specialistsin computing techniques.I believe thatthereis a fundamental oppositionbetweenthestructural stability approachand the"comis structurally puting viewpoint".When a situation stable (and verystrongly so), thismeansthatthissituation maybe reachedregardless of theinitial data,or with a verypoor approximation on these data. Hence computing is in thatcase not necessary,and the situationmightbe easier to describe throughgeometrical or in generalwithordinary description, language. In contrast, whenwe deal with an unstable, threshold-like situation wherewe have the choice between several outcomes (success or failure),then it is of fundamental to determine theprecisepositionofthethreshold importance which separates the initialdata whichlead to successfromthosewhichlead to failure. a highlyaccurate description Hence, in such circumstances, of the underlying dynamicsis necessary. Such a precise descriptionin general involves using physical laws,whichare theonlypossibletools to getsuchprecisedynamics. This shows whythe structural stability requirement actuallymeans verylittleforthe technician who has to give a reliableanswerto a technical problem. There is also the philosophicalproblem pointed out by D. Berlinskiin "Synthese": Whyis it thatphysicallaws do not themselves obey the structural Classical mechanics, forinstance, stability requirement? has to do withHamiltonian systems, whichare veryfarfrombeing structurally stable. This is a huge whichI would like to discussrelatively problem, as a completetreatment briefly, would requirelengthy developments. I wouldclaim-as a principle-thatanyphenomenon is associatedwith some kind of irreversibility: for a phenomenonhas to appear, hence it has to emit whichcan be seen (or detected through some apparatus amplifying something

The importance of C.T. in appliedmathematics. The idea of structural

This content downloaded from 128.122.149.154 on Thu, 30 Jan 2014 00:52:26 AM All use subject to JSTOR Terms and Conditions

194

RENE

THOM

Thentheapparent human vision). time reversibility ofphysical lawsonly shows that theselawsdo notdescribe phenomena bythemselves, butmoreaccurately offrames between change observers. Theydescribe, so to speak,howthesame local irreversible phenomenon maybe perceived by different observers. For instance Newtonian dynamics, which givesriseto Kepler'slawsand planetary doesnotinitself motions, describe a phenomenology. Forthemotion ofcelestial bodiesis a phenomenon inasmuch only as these bodiesarelighted bythesun-a typically irreversible phenomenon due to theirreversible transfer from gravitatoradiative tional energy energy. evena planet Moreover, which turns around an obscure sundoes notlead to a phenomenon: in Keplerian for, terms, there is a canonical transformation always ofphasespacewhich maps a planet attime tto thesame planetat timet'> t. This canonical transformation, it is true, is not with theprojection compatible space.But (qi,pi)-* (qi) on theusualconfiguration suchincompatibility may leadonly tophenomenology ifone is abletofix the(qi) thatis, to localizethe planet.Such a localization coordinate, operation (an idempotent projection) alwaysrequires coupling witha sourceof energy (the emission ofwhich is irreversible). I would thetime of daretosaythat more Putting things abruptly, reversibility ofa sociological theexpression nomore than physical lawsisprobably constraint, Forthis is nothing observers. constraint several between communication namely of the same linguistic members constraint between morethanthe linguistic share thesamesemantic when community: peoplespeakthesamelanguage, they havetoputthesamemeaning tothesamesentence, universe: because, they (orat with has to communicate thesame).In fact, least,approximately anyobserver ofcomparing hisownpast.Hencehe needstohavethepossibility himself-with thelookhe had at time < t1. at time at theuniverse t1with hiswayoflooking to a permanent a common ofdescription, standard Thisrequires wayofparametrizofthedynamics. Hencereversibility oftheworld. ingthestates inanother wehavea dynamical Thesamefact canbe expressed way:Suppose X on a smooth manifold M. What doesitmeanto system (S) described bya flow an asymptotic-regime of thisdynamic? speak of a stationary-or This basic hasnosatisfactory this problem answer. Butletusdefine A regime bytheattractor which thegiven is tending with of thedynamic towards t tending to trajectory infinity. Then the asymptotic dynamics on the attractor A has to be timefor thelimit for theoperation oftaking reversible, t-e +oo admits only stationary as solutions. Henceifwewant todescribe stable orsituations" dynamics "objects inourirreversible those which a time-reversible are universe, only carry dynamics that Itisalsopossible this isnotsmooth, that possible candidates. itowes dynamics itsreversibility twoantagonistic tocompensation between irreversible dynamics. This suggests thatthe motivation forHamiltonian be dynamics mayperhaps inquantum that theharmonic found observe oscillator mechanics; namely flow, with theHamiltonian H = p2+ q2 is also thegradient ofthefunction associated tothehyperbolic metric V = pq with dS2= dq2_ dp2.Thiscanbe viewed respect as theresult ofa conflict twoantagonistic between onthe dynamics supported p,q axesrespectively Ifsucha view between two is (oras ina zero-sum game players). few Hamiltonian ofthepossible couldbe "quantized", correct, only very systems H is thesquare for ofthemodulus those which ofa holomorphic function namely

This content downloaded from 128.122.149.154 on Thu, 30 Jan 2014 00:52:26 AM All use subject to JSTOR Terms and Conditions

STRUCTURAL

STABILITY,

CATASTROPHE

THEORY

195

ofthecomplex variables those couldbe considered as "natural". zj = qi + ip,.Only In somesense,thelackof structural exhibited lawsis stability bythephysical ofconstraints, nothing buttheexpression those associated with theglobal namely ofspace-time, conservation theceaselesschanges in spacedue to local despite interactions. The quantitative of aspectsof catastrophe Becauseof therelation theory. E.C.T. to Hamilton-Jacobi is it obvious theory, that somephysical phenomena are amenableto the catastrophic schema.I quoted earlierthe causticsof geometric optics.Some partial differential equations lead directly to thesame E.C.T. scheme; Riemann's equation given bytheE.C.T. u,=f(u), hassolutions schemaas shownby PeterLax muchbeforecatastrophe existed. But theory of suchresults generalizations caution. As soon as theunderlying require substrate haslocalsymmetry then thetheory has to be changed properties, accordin orderto take accountof the constraints ingly due to thissymmetry. The ofphase(andphasetransitions) phenomena are notamenable to catasdirectly One couldsaythat trophe theory. E.C.T. describes thebehavior ofa sort ofether, a materia without prima For that on anymedium anyspecific property. reason, E.C.T. still ofglobal, keepssomevalidity Butthe (ata sort qualitative viewpoint). precise quantitative lawswill ingeneral notexist. ofthat arethe Typical examples critical where E.C.T. is nothing buttheclassical phenomena, Landau(or mean which leadstoincorrect field) theory, theory Hereagain, characteristic exponents. ofE.C.T. is due tothefact this failure that thethermodynamic functions haveto because of theirstatistical satisfy-precisely definition-subtle requirements whenthey are considered as functions defined on spatial coordinates. Theyare as theyhave to damp their alwaysverynear harmonic functions, variations diffusion. through In fact, thephysical applications of C.T. are notvery important, because precisely on a physical substrate, the evolution of whichis veryaccurately described by physical laws,thepresence of catastrophes maybe immediately deduced from theequations. HenceC.T. itself is dispensable. It is important to know nowto whatextent thelocalpolynomial of models E.C.T. maybe fit intoempirical data. It is very tempting to do so on a precise quantitative basis.Ofcourse sucha fit maybe done;ithas already beendonein biochemistry (protein denaturation, Kozak), and also for some sociological phenomena ofprison (modeling riots) byE. C. Zeemanandhiscoworkers. I must confess thatsuchattempts of applying quantitatively E.C.T. (particularly on a "soft" substrate very suchas sociology) do notseemto mevery reliable. I have some"a priori" objections towards an explicit giving quantitative expression for theunfolding parameters ofa catastrophe. Myobjection stems from thefact that the homogeneity requirement is in generalnot satisfied for the modeled henceitwillbe preposterous phenomenon; to expect for theu functions explicit homogenous expressions, neededifthephenomenon is invariant with respect to spacedilatations. Andifwedo nothavesucha homogeneity property, then theu functions havead hocexpressions which willdepend in an arbitrary wayon the units usedto measure themagnitudes in theformula. entering Now it willprobably be excessive to denythe possibility of applying a fit ofa catastrophe quantitative scheme to empirical data.Butsucha procedure

This content downloaded from 128.122.149.154 on Thu, 30 Jan 2014 00:52:26 AM All use subject to JSTOR Terms and Conditions

196

RENE

THOM

maynot be more(norless) trusted thananyotherapproximation procedure in numerical applied ofa continuous analysis (suchas theinterpolation function anditsvalidity bya polynomial should bytheleast square be confirmed in method) wecannot eachspecific such case;andobviously, devices to expect approximating on themechanisms throw thestudied anylight The ad underlying phenomena. of suchtechnics hoc-and probably is particularly illusory-character obvious when theunderlying coordinates describe suchas aggrespsychological feelings noobvious orfrustration, for which siveness ofmeasurement canbefound. way we cannotdismiss Nevertheless, the possibility thata finequantitative "hard"substrate, close to physics-may study-ona relatively helpto decide models. is no uniqueness between several there of catastrophe Very frequently, thegenerating is known ofsucha catastrophe, although up to nowno example A precise of sucha case mayhelpto makea choice study. quantitative study anddecidefor a further between Thismay be true models, qualitative modeling. also for statistical below. interpreting data,as explained It is myconviction to quantitative thatthedomainamenable has analysis ofthecomputer been-in recent indusyears-grossly exaggerated (theinterests notentirely ofaffairs). areperhaps tothis state Evenfor a problem try of foreign thephysical lawsgiveyouconstraints physical which nature, havetobe satisfied, in general to determine theevolution ofthesystem. butdo notsuffice Forifwe ina domain submit medium D toboundary itwill any physical then be conditions, that itsfurther evolution willeverywhere falsein general a globalpartial satisfy will differential there be anopen equation (E). What happens-ingeneral-isthat theequation(E) is satisfied, densesubdomain theremaining com(DO) where set(D - DO) willbe a setof "catastrophe" plementary otherwise points, stated, ofthestructure; this setwillcontain "defects" an open "regular" points forming setD1, where somesystem ofP.D.E.'s (E1) associated with (E) willhaveto be andthen satisfied; onD-1 - D1, defects ofthedefects, someother system (E2) will havetobe satisfied, etc.Up tonow, noalgorithm exists todetermine this sequence ofdefects, northeassociated ofP.D.E.'s. Thisiswhy (this stratification) sequence we cansensibly believe that a complete classification of"defects" will qualitative havetobe found before a satisfactory be realized. quantitative approach may (Of itis always in concrete on a statistical casesto rely course, possible but analysis, then we can never be absolutely surethata globalfailure ofour (catastrophe!) willnothappen.) given system The qualitative analysis. Catastrophe theory is nota mathematical theory; it isalsonota "scientific theory", as wehaveseenthat byitself itcannot provide any clue to external reality. it claims Nevertheless, to havesomething to sayabout Thestatements phenomena. that C.T. allows one toproduce areofthefollowing nature: "If,intheinterval oftime exhibited somemorphology (to,t1),thesystem morphology (M2)."9 Sucha statement cannever be considered as anabsolutely certain prediction, suchas theonesderived from physical laws.Thefuture morphology (Mi2)derives from (Ml) byanhypothesis about thesimplicity oftheunderlying dynamics. Ifthe isrealized, prediction then isnothing there tobe surprised about. Iftheprediction
thenone has to expectthatin a further interval (t1,t2)it willexhibitsome (Mot),

This content downloaded from 128.122.149.154 on Thu, 30 Jan 2014 00:52:26 AM All use subject to JSTOR Terms and Conditions

STRUCTURAL

STABILITY,

CATASTROPHE

THEORY

197

anda morphology from M2 doesappear, fails (that may happen) this M12different weretoosimple, and itshows that ouroriginal isinteresting, because assumptions into thepicture. ofcomplication hastobe introduced Paradoxsomenewelement whenit failsthanwhenit is ically, one couldsaythatC.T. is moreinteresting of"qualitative" which allows one to reconstruct Thistype successful. reasoning, an "interpretative" of a system is basically the underlying piecewise dynamic To myview,thisis the most theory (an hermeneutic theory, pedantically). in by C.T. Whether suchan approach-which interesting element brought by ormerely scientific be termed itself doesnotleadtoprediction-may "philosophiIt is certainly scientific used-if ofdefinition. cal", is a matter bythetechniques notbyitspractical results. ofthis is known no clear-cut Although example procedure up to now,one in For it is fair to useful statistics. statistics that be C.T. may very may hope saythat Ifwe from What is statistics about? isvery far a complete presently theory. finally a cloudofpoints with ofexperiments, weendfinally in submit a system toa series is nothing Statistics buttheinterpretation theEuclidean space U ofobservables. tointerpret sucha cloudin U ofclouds ofpoints. Nowthemost obvious approach and thenin theproduct willbe to construct a space M of hidden parameters, F such thatthe M x U, to forma deterministic (ergodic)dynamical system on r c M x U may on U of an invariant distribution projection equiprobable in U. Strangely itdoesnotseem ofpoints thegiven distribution generate enough, statistics oscillates between itstaskthat that statistics didconceive way.Usually two viewpoints: either the givencloud shouldbe concentrated along a submanifold of U, thusdescribing a system of quantitative laws governing the or thecloudshouldbe concentrated observables, in a central point, and noise onlyexplains the deviation from thiscenter. But whathappensif the cloud exhibits someclear-cut morphology, suchas boundary lines,corners, or triple points? Statistics is completely hopelessin front of thesesituations, and the has to devise"ad hoc" explanations specialist forthesesingularities ofshapeof thedistribution. Catastrophe theory which knows howtheprojection ofcritical values looks generically, may interpret these accidents as singularities of a projection from Mx U - U, and maydevisethesimplest possiblemodel(M) accounting for these singularities. Forinstance, ifina planeR2 a cloudofpoints exhibit a sharp border line:with increase ofthedensity towards theborder (Fig.2) ofa diffuse instead pattern on bothsides(Fig.3), then itwillbe morenatural to define thecloudofcase 1 as coming from theprojection ofa "fold", whereas such an interpretation wouldbe irrelevant in case 2. Moreover, theinterpretation of dataina high dimensional spaceU may be madedifficult bythe fact that points are given bytheir coordinates as a table ofrealnumbers; hence themorphology ofthe cloudmaywellbe very difficult to recognize. statistician-in front ofthese data-is fundamentally same Theroleofthe the as theroleofthediviner intheprimitive for societies. He hasto find thereasons such andsuch Hencehis"interpretative", "hermeneutic" surprising phenomena. function. Now sucha taskmayalways be considered also in a gametheoretic framework. In anygame, itisoffundamental for a player toguess the importance of hispartner. The hermeneutic as an strategy interpretation maybe regarded toplayagainst a malevolent devil whowants to hidefrom attempt youhistrump

This content downloaded from 128.122.149.154 on Thu, 30 Jan 2014 00:52:26 AM All use subject to JSTOR Terms and Conditions

198

RENE

THOM

FIG. 2A.

with FIG 2B. Foldassociated Fig.2

FIG. 3

ofbehavior. Nowtheusualprobabilistic andhisrules hisstrategy, cards, approach with on standard that hisemphasis distributions (Gauss,Poisson laws),assumes such as thedrunkard's behavior thedevil which hasa very only rudimentary brain, will Brownian A complete statistical callfor motion. generates theory necessarily a strict anda completely incoherintermediate situations between determinism, with its entbehavior. Catastrophe theory, fundamentally morphological approach in trying to cope with suchsituations, ourdevilhas a useful where maybe very a globalfinality forinstance, mixedwith morecoherent behavior, eventually
noise.

ofC.T. isitsindifference Butperhaps oneofthemost with interesting aspects oftheunderlying to theproperties It maygivequitea lotof substrate. respect without theneedofa specific information onthesubstrate itself. insight involving

This content downloaded from 128.122.149.154 on Thu, 30 Jan 2014 00:52:26 AM All use subject to JSTOR Terms and Conditions

STRUCTURAL

STABILITY,

CATASTROPHE

THEORY

199

to specialists, arrogant who In thatrespect, catastrophe theory mayseemvery on this substrate a rich anddetailed information havetaken great pains toacquire progress among itself. This is perhapsa reasonwhyC.T. did makeso little itsprospects look amongthemostpromising. wherenevertheless I biologists, from borrowed to givehereanother want geology. example, ofmorphological ofthis letmedescribe As anexample here analysis, the type the catastrophe from of plates" in geology theory pointof view. "tectonics a velocity S2 oftheearth, there exists flow on thesurfaces which Supposethat each determination sometimes beingassociated witha maybe multivalued; V (x; u) as intheE.C.T. scheme. function Let us admit minimum ofa potential rule:ineachpoint ofa Maxwell's (hence the first thevalidity u,thelocalminimum x which theabsolute minimum of V(x,u). Then, is thevector localvelocity) gives where two thesetofcatastrophe flows collide will velocity be "generically", points free endpoints as only lines a graph (Fig.5), having singularities (Fig.4),boundary willbe basically twotypes ofboundary there andtriple points (Fig.6). Moreover wegeteither oftheaverage after subtraction lines lines: converging (Fig. velocity, lines (Fig. 8). The first one givesrise to orogenesis, as the 7), or diverging in thethird to be lifted material tends dimension (height). compressed upwards

FIG. 4

FIG. 5

FIG. 6

FIG. 7

FIG.8

intheearth's Thisvery rise to"rifts", crust. Thesecond simple gives deepfurrows inparticular, morphology; interpretation already explains quitea lotoftheearth it settles thetricky debatedamong specialistsbythenegative question-still a rift as "solid".As soonas onegets havetobe considered ending whether plates

This content downloaded from 128.122.149.154 on Thu, 30 Jan 2014 00:52:26 AM All use subject to JSTOR Terms and Conditions

200

RENE

THOM

oftheAfrican there isnopoint in rift), end(likethesouthern extremity ontoa free that platesmaybe undeformable. believing we willfind more outthat a situation like closely, Ifwe lookat thesituation to the compression (or thatin Fig. 9 wherethe shockline is not orthogonal unstable. Theonly isobviously is toget direction waytomakeitstable dilatation)

FIG. 9

FIG. 10

to thecompression set of segments to a broken (or dilatation) perpendicular thetwoflows linesalongwhich direction slipalongeach other. joinedbyfault Oceanridge. is found structure Sucha stepwise precisely alongtheMid-Atlantic in fluid and they are found Suchslipdiscontinuities (Machreflexion), dynamics Thisexample a fundamental roleinthelocalstate. eachtime occur plays velocity E.C.T.). from theuseofC.T. (andinparticular what canbe expected shows clearly to localrefinements A globalunderstanding of themorphology, taking subject A recent result of V. of the medium. intoaccount the precise particularities the and G. Toulouse(twoOrsay Kl6eman physicists) maygo a longwaytowards If a medium has local symmetries of structurally stabledefects. classification itsminimum thefunction V(x,u) reaches (G)), then (described bya pseudogroup Hence theG isotropy inx alongan orbit group. space)H under (homogeneous K W ofcodim defects aresubmanifolds butthestable E.C.T. is no longer valid, is mappedon thelocal is a (K -i) sphere, suchthatthe linkcrof W,which a to zero(ingeneral is nothomotopic H which H bya mapo---> orbit minimum in stable a very defects Thisprinciple fibration). powerful waytoclassify provides etc. It showstheprofound ordered helium, superfluid media-liquidcrystals, andtransversality. between stability relAition

This content downloaded from 128.122.149.154 on Thu, 30 Jan 2014 00:52:26 AM All use subject to JSTOR Terms and Conditions

STRUCTURAL

STABILITY,

CATASTROPHE

THEORY

201

of C.T. is its ability feature to Perhapsthe mostinteresting Conclusion. by ofanalogies; Insomesense, C.T. couldbe calledthetheory analogies. describe an itprovides a singularity ofthelocaldynamics, with a localsituation associating Eventhe ofanalogous situations. notion theintuitive way offormalizing algebraic may be to some extentput into a purelygeometric notionof "program" it deals onlywith"actions" incomplete, is admittedly Thistheory framework. with nounsare farmore dealing by verbs.Analogies grammatically described for ofregulation systems: to analyze: wouldimply a general theory they difficult to them.Of course,the problem of referring external objectsand concepts very far out isstill Cybernetics, aimofN. Wiener's wasthemain which regulation, approachdoes not excludethe theoretical of sight.But as the catastrophe (and of its of a structure of considering the temporal evolution possibility offormalizing theproblem a better waytoapproach itself), itprovides regulation doesnotallow ofcybernetics for thepurely approach technological life dynamics: At leastcatastrophe a machine hasno embryology. considerations: suchgenetic didnotprogress ofanalogy The study suchan attempt. doesnotpreclude theory Boolean its extensional way as the with purely Aristotelian approach, since logics, a its to true allowing the logic has turned back synthetic of defining logic, that I on see It is this ground of very philosophical there, consideration meaning. of the 17th at If the end of century, theory. the maininterest catastrophe andsaying theorem, wouldhavecome,exhibiting Taylor's expansion somebody a claim such new in science a would phenomena, theorem finding that such help is formula Butnevertheless, ridiculous. expansion haveappeared Taylor's would it neverdid lead to any specific even if,in itself, a highly usefultheorem, ofC.T. is ofthe thestatus to believethat I am inclined discovery. experimental samenature (ifnotofthesameimportance).

This content downloaded from 128.122.149.154 on Thu, 30 Jan 2014 00:52:26 AM All use subject to JSTOR Terms and Conditions