使用良好的记法

Terence Tao 2007-05-06

使用良好的记法

通过减轻大脑所有不必要的工作,良好的记法使其能够专注于更高级的问题,实际上增加了人类的智力力量。

— 阿尔弗雷德·诺斯·怀特海,《数学导论》

良好的记法可以决定一篇论文是可读的还是不可读的。

理想情况下,记法应该强调数学表达式或陈述中最重要的参数和特征,同时淡化常规或无趣的参数和特征。例如,如果人们不太关心估计中常数的精确值,那么隐藏这些常数的记法(如 O()O()\ll\lesssim)是有用的;相反,如果这些常数的精确值对论文很重要,则应避免使用这些记法。

全局使用的记法应在论文前部或引言部分的记法节中定义;仅局部使用的记法(例如,在单个章节内,或在单个引理的证明内)应在使用处附近定义(可能附带提醒该记法在论文其他地方不使用);这在有许多章节且每个章节都有自己广泛记法的情况下很有帮助。

注意,在引理证明中引入的记法或陈述已被理解为仅限于该引理;在该引理之外重新引用该记法或陈述是不好的形式,除非可能作为备注或动机)。在某些情况下,值得在论文开头定义一次记法,然后在需要时重新引用。

应努力使记法选择与文献中已有的记法兼容一致,以便已经熟悉先前记法的读者能够轻松适应你的论文而不会感到困惑。如果你计划引用先前文献的结果,这一点尤其重要,如果你想要声称先前论文的论证可以”仅通过常规修改”来适应当前论文所需的稍有不同的结果,则更是如此。如果引用工作和当前论文之间的记法不同,至少应将该论文的关键结果或陈述以当前论文的记法重新表述,以免读者自行进行翻译。

尽量避免过于”可爱”或”聪明”的记法。这可能分散注意力或显得不专业。特别是,记法不应比论文的实际内容更聪明。

绝对应避免以自己(或家人、宠物等)的名字命名新术语,原因显而易见。如果其他作者以你的名字命名你引入的概念,并且该称呼成为常用用法,那么你也可以使用该术语,但在所有其他情况下,这会给人一种相当明显的虚荣或自恋印象。

存在一个在太少记法和太多记法之间找到平衡点的问题。一个好的经验法则是,任何使用三次或以上的表达式或概念可能会受益于引入一些记法来捕捉该表达式或概念;相反,仅使用一次的表达式可能不需要自己的特殊记法。(一个例外是论文中特别关键的定理或命题;这里可能值得投入一些记法以使这些定理的陈述简洁可读。相反,如果一个表达式仅因为无意义的巧合出现在论文的多个位置,那么最好避免引入给人这些出现之间存在联系的错误印象的记法。)

如果需要命名某个属性或对象类,通常应使用非常平淡的名称(例如”好”、“坏”、“类型 I”、“类型 II”等)来命名外围或技术术语;应谨慎使用丰富多彩的术语,并且仅用于那些对论文非常核心的概念,以免分散论文主要观点的注意力。(这类似于在电影和文学中,主要角色通常比次要角色有更令人难忘的名字。)

有时不确定对特定概念使用什么记法,因为可能与论文其他(尚未编写的)部分的其他记法存在潜在冲突。这里的一个解决方案是为该记法引入一个 TeX 宏,并强制自己在使用该记法时专门使用该宏。(例如,如果你有一个暂时命名为 G 的群,你可以定义一个设置为 G 的宏 \grp,并在整篇论文中使用 \grp 而不是 G。)这样,如果你后来发现记法冲突(例如,如果你发现确实需要 G 来表示图),那么你只需要更改 TeX 文件中的一行——定义宏的那行——来解决记法冲突,而不是进行繁琐(且容易出错)的搜索和替换。

对于论文的任何严格组成部分,记法应精确且无歧义(对于非严格组成部分,应使用”引号”或其他警示短语如”粗略地说”或”本质上”指出歧义记法)。不过,允许一定程度的记法滥用,只要适当指出。

为了说明记法中一些歧义问题,让我们使用除法的常见例子。表达式 a/bc 可以表示 (a/b) c 或 a/(bc)。在这种情况下,我建议要么使用如上括号来消除歧义,要么使用 \frac 结构(即 abc\frac{a}{b}cabc\frac{a}{bc})。选择使用哪一个取决于你,但应尽量保持局部一致(例如,如果某个分数 a/b 出现在十个连续方程中,我会对所有这些方程使用 a/b,或对所有方程使用 ab\frac{a}{b})。此外,由于 \frac 结构往往更大从而吸引读者更多注意力,我会用于”重要”分数,保留更不显眼的”/“记法用于更”次要”的分数。应尽量避免使用符号 ÷\div(它与诸如 +、-×\times 等符号的相似性暗示交换性或至少结合性),除非由于某种原因 / 被用于与除法或商无关的其他目的。

有机会时,悄悄强化自己的记法约定也是值得的。例如,假设在论证中有一个向量空间,你决定称之为 V。当引用回这个对象时,你可以说”该向量空间”,或”V”,但如果读者不记得正在讨论哪个向量空间,或 V 是什么,读者将需要花一分钟左右的时间翻回去弄清楚。但如果你始终一致地将该对象称为”向量空间 V”,那么记法约定得到强化,读者可以继续阅读而不打断节奏。(你也可以在此调整使用的术语选择以强调所引用对象的不同方面。例如,如果当前相关的是 V 的加法结构,你可以改为说”加法群 V”;如果后来拓扑结构最重要,可以说”拓扑向量空间 V”,依此类推。这允许你微妙地引导注意力到所考虑对象的最重要特征,而不分散读者对论证主体的注意力。)

我在这个 MathOverflow 回答中进一步阐述了数学记法的理想属性。

Use good notation

By relieving the brain of all unnecessary work, a good notation sets it free to concentrate on more advanced problems, and, in effect, increases the mental power of the race.

— Alfred North Whitehead, “An Introduction to Mathematics”

Good notation can make the difference between a readable paper and an unreadable one.

Ideally, notation should emphasize the most important parameters and features of a mathematical expression or statement, while downplaying the routine or uninteresting parameters and features. For instance, if one does not care much about the exact values of constants in estimates, then notation which conceals these constants (such as O()O(), \ll, or \lesssim) are useful; conversely, these notations should be avoided if the precise values of these constants are of importance to the paper.

Notation which is used globally should be defined in a notation section near the front of the paper, or in the introduction; notation which is only used locally (e.g. within a single section, or within a proof of a single lemma) should be defined close to where it is used (possibly with a reminder that this notation is not used elsewhere in the paper); this is helpful when there are many sections, each with their own extensive notation.

Note that notation or statements which are introduced within a proof of a lemma are already understood to be localised to that lemma; it is bad form to then recall that notation or statement outside of that lemma, except perhaps as a remark or as motivation). In some cases it is worthwhile to define the notation once near the start of the paper, and then recall it whenever necessary.

One should strive to make one’s choices of notation compatible and consistent with notation already in the literature, so that the readers who are already familiar with prior notation will adapt easily to your paper and will not be confused. This is particularly important if you plan to cite results from prior literature, and even more so if you want to claim that an argument from a prior paper can be adapted “with only routine changes” to give a slightly different result that you need for the current paper. If the notations are different between the cited work and the current paper, one should at minimum reproduce the key results or statements from that paper, translated into the notation of the current paper, to spare the reader from performing the translation themselves.

Try to avoid notation which is overly “cute” or “clever”. This can be distracting or appear unprofessional. In particular, the notation should not be cleverer than the actual substance of the paper.

One should definitely avoid naming new terms after yourself (or after your family members, your pets, etc.), for the obvious reasons. If other authors name the concepts you introduce after yourself, and that appellation becomes common usage, then you may use that term as well, but in all other cases it gives the rather blatant impression of vanity or narcissism.

There is an issue of where to strike the balance between too little notation and too much notation. A good rule of thumb is that any expression or concept which is used three or more times will probably benefit from introducing some notation to capture that expression or concept; conversely, an expression which is only used once probably does not need its own special notation. (An exception would be for particularly crucial theorems or propositions in the paper; here it might be worthwhile to invest in some notation in order to make the statement of those theorems clean and readable. Conversely, if an expression only appears in multiple locations of the paper because of coincidences of no significance, then it may be better to avoid introducing notation that gives the false impression of a connection between these appearances.)

If one needs to name a certain property or class of objects, one should generally use very bland names (e.g. “good”, “bad”, “Type I”, “Type II”, etc.) for peripheral or technical terms; colorful terms should be used sparingly, and only for those concepts that are quite central to the paper, lest they distract from the main points of that paper. (This is analogous to how, in film and literature, the main characters generally tend to have more memorable names than the secondary ones.)

Sometimes one is unsure what notation to use for a particular concept, because of potential conflicts with other notation in other (as yet unwritten) parts of a paper. One solution here is to introduce a TeX macro for that notation, and force yourself to use that macro exclusively whenever that notation is used. (For instance, if you have a group which you are tentatively naming G, you could define a macro \grp that is set to G, and use \grp instead of G throughout the paper.) That way, if you find a notational conflict later on (e.g. if you discover that you really need G to denote a graph instead), then you only need to change one line in your TeX file – the line that defines the macro – to resolve the notational conflict, rather than to do a tedious (and error-prone) search-and-replace.

For any rigorous component of the paper, the notation should be precise and unambiguous (and for non-rigorous components, ambiguous notation should be pointed out with “scare quotes” or other cautionary phrases such as “roughly speaking” or “essentially”). A certain amount of abuse of notation is permitted, though, as long as this is properly pointed out.

To illustrate some of the ambiguity issues in notation let us use the common example of division. The expression a/bc can mean either (a/b) c or a/(bc). In such situations I would recommend either using parentheses as above to disambiguate, or else use the \frac construction (i.e. abc\frac{a}{b}c or abc\frac{a}{bc}). The choice of which one to use is up to you, though one should try to be locally consistent (e.g. if a certain fraction a/b appears in ten consecutive equations, I would use either a/b for all of these equations, or ab\frac{a}{b} for all of these equations). Also, as the \frac construction tends to be larger and thus draw more of the attention of the reader, I would use for “important” fractions, reserving the more inconspicuous ”/” notation for more “minor” fractions. The symbol ÷\div should largely be avoided (its resemblance to symbols such as +, - and ×\times suggest commutativity, or at least associativity), unless for some reason / is being used for some other purpose unrelated to division or quotienting.

It is also worthwhile to quietly reinforce one’s notational conventions when given the opportunity. For instance, suppose in one’s argument one has a vector space, which one has decided to call V. When referring back to this object, one could say “the vector space”, or “V”, but if the reader does not remember what vector space is being discussed, or what V is, the reader will have to take a minute or so to flip back and figure this out. But if instead you refer to this object consistently as “the vector space V”, then the notational convention is reinforced, and the reader can continue reading without breaking rhythm. (One can also modulate the choice of terminology used here to emphasise different aspects of the object being referred to. If for instance it is the additive structure of V which is currently relevant, you can instead say “the additive group V”; if, later, it is the topological structure which is the most important, one can say “the topological vector space V”, and so forth. This allows one to subtly draw attention to the most important features of the object under consideration, without distracting the reader from the main body of the argument.)

I give some further thoughts on the desirable properties of mathematical notation in this MathOverflow answer.