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Graduate Texts in Mathematics

Konrad Schmüdgen

An Invitation
to Unbounded
Representations
of ∗-Algebras
on Hilbert Space
Graduate Texts in Mathematics 285
Graduate Texts in Mathematics

Series Editors

Sheldon Axler, San Francisco State University

Kenneth Ribet, University of California, Berkeley

Advisory Board

Alejandro Adem, University of British Columbia

David Eisenbud, University of California, Berkeley & MSRI
Brian C. Hall, University of Notre Dame
Patricia Hersh, University of Oregon
J. F. Jardine, University of Western Ontario
Jeffrey C. Lagarias, University of Michigan
Eugenia Malinnikova, Stanford University
Ken Ono, University of Virginia
Jeremy Quastel, University of Toronto
Barry Simon, California Institute of Technology
Ravi Vakil, Stanford University
Steven H. Weintraub, Lehigh University
Melanie Matchett Wood, University of California, Berkeley

Graduate Texts in Mathematics bridge the gap between passive study and
creative understanding, offering graduate-level introductions to advanced topics in
mathematics. The volumes are carefully written as teaching aids and highlight
characteristic features of the theory. Although these books are frequently used as
textbooks in graduate courses, they are also suitable for individual study.

More information about this series at http://www.springer.com/series/136

Konrad Schmüdgen

An Invitation to Unbounded
Representations of

-Algebras on Hilbert Space

123
Konrad Schmüdgen
Fakultät für Mathematik und Informatik
Universität Leipzig
Leipzig, Germany

ISSN 0072-5285 ISSN 2197-5612 (electronic)

Graduate Texts in Mathematics
ISBN 978-3-030-46365-6 ISBN 978-3-030-46366-3 (eBook)
https://doi.org/10.1007/978-3-030-46366-3

Mathematics Subject Classification: 47L60, 16G99, 16W10, 81S05

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Preface and Overview

Everything Should Be Made as Simple as Possible, But Not

Simpler1

The purpose of this book is to give an introduction to the unbounded representation

theory of
-algebras on Hilbert space. As the title indicates, the book should be
considered as an invitation to this subject rather than a monograph or a compre-
hensive presentation.
Let us briefly explain the two main concepts explored in this book.
A complex
-algebra A is a complex algebra with an involution, denoted by
a 7! a þ . An involution is an antilinear mapping of A into itself which is
antimultiplicative (that is, ðabÞ þ ¼ b þ a þ ) and involutive (that is, ða þ Þ þ ¼ a).
The complex conjugation of functions and the Hilbert space adjoint of operators are
standard examples of involutions.
Just as rings are studied in terms of their modules in algebra, it is natural to
investigate
-representations of
-algebras. Let D be a complex inner product space,
that is, D is a complex vector space equipped with an inner product h; i, and let H
be the corresponding Hilbert space completion. A
-representation of a
-algebra A
on D is an algebra homomorphism … of A into the algebra of linear operators on D
such that

h…ðaÞu; wi ¼ hu; …ða þ Þwi; u; w 2 D; ð1Þ

for all a 2 A. In general, the operators …ðaÞ are unbounded. Equation (1) is crucial,
because it translates algebraic properties of elements of A into operator-theoretic
properties of their images under …. For instance, if a 2 A is hermitian (that is,
a þ ¼ a), then the operator …ðaÞ is symmetric, or if a is normal (that is,
a þ a ¼ aa þ ), then …ðaÞ is formally normal (that is, k…ðaÞuk ¼ k…ða þ Þuk;
u 2 D). Since the closure of the symmetric operator …ðaÞ for a ¼ a þ on the Hilbert
space H is not necessarily self-adjoint, we are confronted with all the difficulties of
unbounded operator theory.

1
Attributed to Albert Einstein.

v
vi Preface and Overview

In quantum mechanics the canonical commutation relation

PQ  QP ¼ i
hI ð2Þ

plays a fundamental role. Here P is the momentum operator, Q is the position

operator, and
h ¼ 2…
h
is the reduced Planck’s constant. Historically, relation (2) is
attributed to Max Born (1925)2. It implies Werner Heisenberg’s uncertainty prin-
ciple [Hg27]. Born and Jordan [BJ26] found a representation of (2) by infinite
matrices. Schrödinger [Schr26] discovered that the commutation relation (2) can be
represented by the unbounded operators P and Q, given by

du
ðQuÞðxÞ ¼ xuðxÞ and ðPuÞðxÞ ¼ i

h ; ð3Þ
dx

acting on the Hilbert space L2 ðRÞ. It was shown later by Wielandt [Wie49] and
Wintner [Wi47] that (2) cannot be realized by bounded operators. For the mathe-
matical treatment of the canonical commutation relation (2), there is no loss of
h1 P.
generality in setting
h ¼ 1, upon replacing P by

The unital
-algebra W with hermitian generators p and q satisfying the relation
pq  qp ¼ i  1 is called the Weyl algebra. Since relation (2) cannot hold for
bounded operators, W has no
-representation by bounded operators, but it has
many unbounded
-representations. Among them there is one distinguished
“well-behaved” representation, the Schrödinger representation …S , or its unitarily
equivalent version, the Bargmann–Fock representation. The
-representation …S
acts on the Schwartz space SðRÞ, considered as a subspace of the Hilbert space
L2 ðRÞ, by

…S ðpÞu ¼ Pu and …S ðqÞu ¼ Qu; u 2 SðRÞ;

where P and Q are given by (3) with
h ¼ 1. The Weyl algebra has a rich algebraic
structure and an interesting representation theory. This
-algebra will be our main
guiding example through the whole book; it is treated in detail in Chap. 8.

Aims of the Book

For decades, operator theory on Hilbert space and operator algebras have provided
powerful methods for quantum theory and mathematical physics. Among the many
books on these topics, two can be recognized as standard textbooks for graduate
students and researchers. These are the four volumes [RS72]–[RS78] by

2
In a letter to Pauli [Pa79, pp. 236–241], dated September 18, 1925, Heisenberg called the
commutation relation (2) “eine sehr gescheite Idee von Born” (“a very clever idea of Born”). In the
literature the relation (2) was first formulated by Born and Jordan [BJ26] and by Dirac [D25].
Preface and Overview vii

Reed–Simon covering operator theory and the two volumes [BR87]–[BR97] by

Bratteli-Robinson for C
- and W
-algebras. The present book might be considered a
supplement covering unbounded representations of general
-algebras.
The aims and features of this book are the following:
• The main aim is to provide a careful and rigorous treatment of the basic
concepts and results of unbounded representation theory on Hilbert space.
Our emphasis is on representations of important nonnormed
-algebras. In
general, representations of
-algebras on Hilbert space act by unbounded operators.
It is well known that algebraic operations involving unbounded operators are del-
icate matters, so it is not surprising that unbounded representations lead to new and
unexpected difficulties and pathologies. Some of these are collected in Sect 4.7. In
fact, these phenomena already occur for very simple algebras such as the Weyl
algebra or polynomial algebras.
Compared to bounded Hilbert space representations, many results and devel-
opments require additional assumptions, concepts, and technical arguments. We
point out possible pathologies and propose concepts to circumvent them.
• In the exposition and presentation we try to minimize the use of technicalities
and generalities.
So we treat the representation theory of the Weyl algebra only in dimension one;
positivity only for functionals rather than complete positivity of mappings;
decomposition theory only for functionals and not for representations; and we avoid
details from the theory of quantum groups. Some results with long and technically
involved proofs, such as the trace representation Theorem 3.26 and the integrability
Theorems 9.49 and 9.50 for Lie algebra representations, are stated without proofs.
(The reader can find these topics and complete proofs in the author’s monograph
[Sch90].) We hope to fulfill Einstein’s motto stated above in this manner, at least to
some extent.
• The choice of topics illustrates the broad scope and the usefulness of unbounded
representations.
There are various fields in mathematics and mathematical physics where repre-
sentations of general
-algebras on Hilbert space appear. The canonical commutation
relation of quantum mechanics was already mentioned and is only one example.
Quantum algebras and noncompact quantum groups can be represented by
unbounded operators. Unitary representations of Lie groups lead to in general
unbounded representations of enveloping algebras. Representations of polynomial
algebras play a crucial role in the operator approach to the classical multi-dimensional
moment problem. Noncommutative moment problems are closely related to Hilbert
space representations. Properties of states on general
-algebras are important in
noncommutative probability theory. Dynamical systems appear in the representation
theory of operator relations. Noncomutative real algebraic geometry asks when ele-
ments, which are positive operators in certain representations, are sums of hermitian
viii Preface and Overview

squares, possibly with denominators. These topics will appear in this book; for most
of them we provide introductions to these subjects. Some of them are treated in great
detail, while others are only touched upon.
• Our aim is to present fundamental general concepts and their applications and
basic methods for constructing representations.
The GNS construction is a powerful tool that is useful to reformulate or to solve
problems by means of Hilbert space operators. We carry out this construction in
detail and apply it to the study of positive functionals on
-algebras. Further, we
develop general methods for the construction of classes of representations such as
induced representations, operator relations, and well-behaved representations.
Representations on rigged modules or Hilbert C
-modules is a new topic which
belongs to this list as well. Throughout, our main focus is on basic ideas, concepts,
examples, and results.
• For some selected topics self-contained and deeper presentations are given.
This concerns the representation theory of the Weyl algebra and the theory of
infinitesimal representations of enveloping algebras. Both topics are extensively
developed including a number of advanced and deep results. Also, Archimedean
quadratic modules and the corresponding C
-algebras are explored in detail.

Brief Description of the Contents

Chapter 1 should be considered as a prologue to this book. We give a brief and

informal introduction into the algebraic approach to quantum theories thereby
provided some physical motivation for the study of general
-representations and
states of
-algebras.
Chapter 2 deals with the algebraic structure of general involutive algebras. Basic
constructions (tensor products, crossed products, matrix algebras), examples
(semigroup
-algebras,
-algebras defined by relations), and concepts (characters,
positive functionals, quadratic modules) are introduced and investigated.
Chapter 3 gives a short digression into O
-algebras. These are
-algebras of
linear operators on an invariant dense domain of a Hilbert space. The involution is
the restriction of the Hilbert space adjoint to the domain. We treat three special
topics (graph topology, bounded commutants, and trace functionals) that are used
later in the study of representations.
With Chap. 4 we enter the main topic of this book:
-representations on Hilbert
space. We develop basic concepts (closed, biclosed, self-adjoint, essentially
self-adjoint representations), in analogy to single operator theory, and standard
notions on representations (invariant subspaces, irreducible representations). The
heart of this chapter is the GNS construction which associates a
-representation
with each positive functional. It is probably the most important and useful technical
tool in Hilbert space representation theory.
Preface and Overview ix

Chapter 5 is devoted to a detailed study of positive linear functionals on
-

algebras. The GNS representation allows one to explore the interplay between
properties of Hilbert space representations and positive functionals. Ordering,
orthogonality, transition probability, and a Radon–Nikodym theorem for positive
functionals are treated in this manner. Choquet’s theory is applied to obtain
extremal decompositions of states. Quadratic modules defined by representations
are introduced.
Chapters 6–9 are devoted to the representation theories of some important
special classes of
-algebras.
Chapter 6 deals with tensor algebras and free
-algebras. Positive functionals are
approximated by vector functionals of finite-dimensional representations and
faithful representations are constructed. We define topological tensor algebras such
as the field algebra of quantum field theory and develop continuous representations.
Chapter 7 is about “well-behaved” representations and states of commutative
-
algebras. We characterize these representations by a number of conditions and
express well-behaved representations of finitely generated
-algebras in terms of
spectral measures.
Chapters 8 and 9 are two core chapters that stand almost entirely by themselves.
Chapter 8 gives an extensive treatment of Hilbert space representations of the
canonical commutation relation (2) and the Weyl algebra. After collecting algebraic
properties of this algebra we treat the Bargmann–Fock representation and the
corresponding uniqueness theorem. Then the Schrödinger representation is studied
and the Stone–von Neumann uniqueness theorem is proved. The Bargmann
transform establishes the unitary equivalence of both representations. Kato’s the-
orem on the characterization of Schrödinger pairs in terms of resolvents is derived.
Further, the Heisenberg uncertainty principle and the Groenewold-van Hove
“no-go” theorem for quantization are developed in detail.
Chapter 9 is about infinitesimal representations of universal enveloping algebras
of finite-dimensional Lie algebras. Each unitary representation of a Lie group yields
a
-representation of the corresponding enveloping algebra. Basic properties
of these representations (C 1 -vectors, Gårding domains, graph topologies, essential
self-adjointness of symmetric elements) are studied in detail and elliptic regularity
theory is used to prove a number of advanced results.
Analytic vectors, first for single operators and then for representations, are
investigated. They play a crucial role for the integrability theorems of Lie algebra
representations due to Nelson and to Flato, Simon, Snellman, and Sternheimer.
These results are presented without proof, but with references. Finally, we discuss
K-finite vectors for unitary representations of SLð2; RÞ and the oscillator
representation.
Chapter 10 is concerned with Archimedean quadratic modules and the associ-
ated
-algebras of bounded elements. Two abstract Stellensätze give a glimpse into
noncommutative real algebraic geometry. As an application we derive a strict
Positivstellensatz for the Weyl algebra. Finally, a theorem about the closedness
of the cone of finite sums of hermitian squares in certain
-algebras is proved and
some applications are obtained.
x Preface and Overview

Chapter 11 examines the operator relation XX
¼ FðX
XÞ, where F is Borel

function on ½0; þ 1Þ and X is a densely defined closed operator on a Hilbert space.
The representation theory of this relation is closely linked to properties of the
dynamical system defined by the function F. For instance, finite-dimensional
irreducible representations correspond to cycles of the dynamical system. The
hermitian q-plane and the q-oscillator algebra are treated as important examples.
Chapter 12 presents an introduction to unbounded induced representations of

-algebras. For group graded
-algebras there exists a canonical conditional
expectation which allows one to define induced representations. We develop this
theory for representations which are induced from characters of commutative
subalgebras. The Bargmann–Fock representation of the Weyl algebra is obtained in
this manner.
An important topic of advanced Hilbert space representation theory is to describe
classes of “well-behaved” representations of general
-algebras. In Chap. 13 we
propose some general methods (group graded
-algebras, fraction algebras, com-
patible pairs) and apply them to the Weyl algebra and to enveloping algebras.
Chapter 14 provides a brief introduction to
-representations on rigged modules
and Hilbert C
-modules. This is a new subject of theoretical importance. A rigged
space is a right or left module equipped with an algebra-valued sesquilinear map-
ping which is compatible with the module action. First we explore
-representations
of
-algebras on rigged modules purely algebraically. If the riggings are positive
semi-definite (in particular, in the case of Hilbert C
-modules), induced represen-
tations on “ordinary” Hilbert spaces can be defined and imprimitivity bimodules
yield equivalences between
-representations of the corresponding
-algebras.

Guide to Instructors and Readers

Various courses and advanced seminars can be built on this book. All of them
should probably start with some basics on
-algebras (Sects. 2.1 and 2.2), positive
functionals and states (Sect. 2.4), and
-representations (Sect. 4.1).
One possibility is a graduate course on unbounded representation theory. The
basics should be followed with important notions and tools such as irreducibility
(Sect. 4.3), GNS representations (Sect. 4.4), and bounded commutants (Sects. 3.2
and 5.1). Then there are many ways to continue. One way is to treat representations
of special classes of
-algebras such as tensor algebras (Chap. 6), commutative
algebras (Chap. 7), or the Weyl algebra (Chap. 8). One may also continue with a
detailed study of states (with material taken from Chap. 5) or by developing general
methods such as induced representations (Chap. 12), operator relations (Chap. 11),
and fraction algebras (Sects. 13.2 and 13.3).
Another possible course for graduate students of mathematics and theoretical
physics is on representations of the canonical commutation relation and the Weyl
algebra. Such a course could be based entirely on Chap. 8. Here, after considering
some basics and algebraic properties of the Weyl algebra, the Bargmann–Fock and
Preface and Overview xi

Schrödinger representations, the Fock space, the Bargmann–Segal transform, the

Stone–von Neumann uniqueness theorem should be developed and continued until
the sections on the Heisenberg uncertainty principle and the Groenewald–von Hove
“no-go” theorem.
Chapter 9, which treats integrable representations of enveloping algebras, could
be used in general or advanced courses or as a reference for researchers. Material
from this chapter, for example, the “elementary” parts from Sect. 9.2 on
infinitesimal representations, C1 -vectors and Garding domains, can be integrated
into any general course on infinite-dimensional unitary representation theory of Lie
groups. More complex material such as elliptic elements or analytic vectors (see
e.g. Sects. 9.4 and 9.6) would suit an advanced course. Because Chap. 9 contains a
number of strong results on infinitesimal representations, their domains, and
commutation properties, it might be also useful as a reference for researchers.
Apart from basic concepts and facts, most chapters are more or less
self-contained and could be studied independently of each other. Special topics can
be easily included into courses, treated in seminars or read on their own. Examples
are the noncommutative Positivstellensätze (Chap. 10) or operator relations and
dynamical systems (Chap. 11).
Each chapter is followed by a number of exercises. They vary in difficulty and
serve for different purposes. Most of them are examples or counter-examples
illustrating the theory. Some are slight variations of results stated in the text, while
others contain additional new results or facts that are of interest in themselves.

Prerequisites

The main prerequisite for this book is a good working knowledge of unbounded
Hilbert space operators such as adjoint operators, symmetric operators, self-adjoint
operators, and the spectral theorem. The corresponding chapters of the author’s
Graduate Text [Sch12] contain more material than really needed. The reader should
be also familiar with elementary techniques of algebra, analysis, and bounded
operator algebras. Chapter 9 assumes a familiarity with the theory of Lie groups and
Lie algebras. In three appendices, we have collected some basics on unbounded
operators, C
-algebras and their representations, and locally convex spaces and
separation of convex sets. In addition, we have often restated facts and notions at
the places where they are most relevant.
For parts of the book or for single results, additional facts from other mathe-
matical fields are required, which emphasize the interplay with these fields. There
we have given links to the corresponding literature. In most cases these results are
not needed elsewhere in the book, so the unfamiliar reader may skip these places.

Leipzig, Germany Konrad Schmüdgen

March 2020
xii Preface and Overview

Acknowledgements I am grateful to Prof. J. Cimprič and Prof. V. L. Ostrovskyi for careful

reading of some chapters and for many useful comments. Also, I would like to thank Dr. R. Lodh
from Springer-Verlag for his indispensable help getting this book published.
Contents

1 Prologue: The Algebraic Approach to Quantum

Theories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
2
-Algebras . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
2.1
-Algebras: Definitions and Examples . . . . . . . . . . . . . . . . . . 7
2.2 Constructions with
-Algebras . . . . . . . . . . . . . . . . . . . . . . . . 12
2.3 Quadratic Modules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
2.4 Positive Functionals and States on Complex
-Algebras . . . . . 20
2.5 Positive Functionals on Real
-Algebras . . . . . . . . . . . . . . . . . 23
2.6 Characters of Unital Algebras . . . . . . . . . . . . . . . . . . . . . . . . 25
2.7 Hermitian Characters of Unital
-Algebras . . . . . . . . . . . . . . . 28
2.8 Hermitian and Symmetric
-Algebras . . . . . . . . . . . . . . . . . . . 33
2.9 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
2.10 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
3 O
-Algebras . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
3.1 O
-Algebras and Their Graph Topologies . . . . . . . . . . . . . . . . 39
3.2 Bounded Commutants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
3.3 Trace Functionals on O
-Algebras . . . . . . . . . . . . . . . . . . . . . 49
3.4 The Mittag-Leffler Lemma . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
3.5 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
3.6 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
4
-Representations . . . . . . . . . . . . . . . . . . . . . . . . . ............. 59
4.1 Basic Concepts on
-Representations . . . . . . ............. 59
4.2 Domains of Representations in Terms of
Generators . . . . . . . . . . . . . . . . . . . . . . . . . ............. 67
4.3 Invariant Subspaces and Reducing Subspaces ............. 73

xiii
xiv Contents

4.4 The GNS Construction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77

4.5 Examples of GNS Representations . . . . . . . . . . . . . . . . . . . . . 82
4.6 Positive Semi-definite Functions on Groups . . . . . . . . . . . . . . 85
4.7 Pathologies with Unbounded Representations . . . . . . . . . . . . . 88
4.8 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
4.9 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
5 Positive Linear Functionals . . . . . . . . . . . . . . . . . . . . . .......... 93
5.1 Ordering of Positive Functionals . . . . . . . . . . . . .......... 93
5.2 Orthogonal Positive Functionals . . . . . . . . . . . . . .......... 97
5.3 The Transition Probability of Positive
Functionals . . . . . . . . . . . . . . . . . . . . . . . . . . . . .......... 99
5.4 Examples of Transition Probabilities . . . . . . . . . . . . . . . . . . . 104
5.5 A Radon–Nikodym Theorem for Positive
Functionals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
5.6 Extremal Decomposition of Positive Functionals . . . . . . . . . . . 113
5.7 Quadratic Modules and
-Representations . . . . . . . . . . . . . . . . 117
5.8 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
5.9 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
6 Representations of Tensor Algebras . . . . . . . . . . . . . . . . . . . . . . . . 121
6.1 Tensor Algebras . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121
6.2 Positive Functionals on Tensor Algebras . . . . . . . . . . . . . . . . 123
6.3 Operations with Positive Functionals . . . . . . . . . . . . . . . . . . . 125
6.4 Representations of Free Field Type . . . . . . . . . . . . . . . . . . . . 127
6.5 Topological Tensor Algebras . . . . . . . . . . . . . . . . . . . . . . . . . 129
6.6 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
6.7 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
7 Integrable Representations of Commutative
-Algebras . . . . . . . . . 137
7.1 Some Auxiliary Operator-Theoretic Results . . . . . . . . . . . . . . 137
7.2 “Bad” Representations of the Polynomial Algebra C½x1 ; x2  . . . 139
7.3 Integrable Representations of Commutative
-Algebras . . . . . . 142
7.4 Spectral Measures of Integrable Representations . . . . . . . . . . . 148
7.5 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151
7.6 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152
8 The Weyl Algebra and the Canonical Commutation Relation . . . . . 153
8.1 The Weyl Algebra . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154
8.2 The Operator Equation AA
¼ A
A þ I . . . . . . . . . . . . . . . . . . 157
8.3 The Bargmann–Fock Representation of the Weyl
Algebra . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162
8.4 The Schrödinger Representation of the Weyl
Algebra . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164
Contents xv

8.5 The Stone–von Neumann Theorem . . . . . . . . . . . . . . . . . . . . 169

8.6 A Resolvent Approach to Schrödinger Pairs . . . . . . . . . . . . . . 173
8.7 The Uncertainty Principle . . . . . . . . . . . . . . . . . . . . . . . . . . . 176
8.8 The Groenewold–van Hove Theorem . . . . . . . . . . . . . . . . . . . 178
8.9 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183
8.10 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 184
9 Integrable Representations of Enveloping Algebras . . . . . . . . . . . . 187
9.1 Preliminaries on Lie Groups and Enveloping Algebras . . . . . . 188
9.2 Infinitesimal Representations of Unitary Representations . . . . . 189
9.3 The Graph Topology of the Infinitesimal Representation . . . . . 196
9.4 Elliptic Elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
9.4.1 Preliminaries on Elliptic Operators . . . . . . . . . . . . . . . 199
9.4.2 Main Results on Elliptic Elements . . . . . . . . . . . . . . . . 204
9.4.3 Applications of Elliptic Elements . . . . . . . . . . . . . . . . 205
9.5 Two Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210
9.6 Analytic Vectors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212
9.6.1 Analytic Vectors for Single Operators . . . . . . . . . . . . . 213
9.6.2 Analytic Vectors for Unitary Representations . . . . . . . . 215
9.6.3 Exponentiation of Representations of Enveloping
Algebras . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 216
9.7 Analytic Vectors and Unitary Representations of SLð2; RÞ . . . . 217
9.8 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221
9.9 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 222
10 Archimedean Quadratic Modules and Positivstellensätze . . . . . . . . 225
10.1 Archimedean Quadratic Modules and Bounded Elements . . . . 225
10.2 Representations of
-Algebras with Archimedean
Quadratic Modules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 231
. .
10.3 Stellensätze for Archimedean Quadratic Modules . . . . . . . . 233
. .
10.4 Application to Matrix Algebras of Polynomials . . . . . . . . . . 235
. .
10.5 A Bounded
-Algebra Related to the Weyl Algebra . . . . . . 237
. .
10.6 A Positivstellensatz for the Weyl Algebra . . . . . . . . . . . . . . 241
. .
P 2
10.7 A Theorem About the Closedness of the Cone A ... . . . . 244
10.8 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248
10.9 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249
11 The Operator Relation XX
¼ FðX
XÞ . . . .......... . . . . . . . . . 251
11.1 A Prelude: Power Partial Isometries . .......... . . . . . . . . . 252
11.2 The Operator Relation AB ¼ BFðAÞ . .......... . . . . . . . . . 254
11.3 Strong Solutions of the Relation XX
¼ FðX
XÞ . . . . . . . . . . . 258
xvi Contents

11.4 Finite-Dimensional Representations . . . . . . . . . . . . . . . . . . . . 261

11.5 Infinite-Dimensional Representations . . . . . . . . . . . . . . . . . . . 265
11.6 The Hermitian Quantum Plane . . . . . . . . . . . . . . . . . . . . . . . . 270
11.7 The q-Oscillator Algebra . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273
11.8 The Real Quantum Plane . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276
11.9 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280
11.10 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 281
12 Induced
-Representations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283
12.1 Conditional Expectations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283
12.2 Induced
-Representations . . . . . . . . . . . . . . . . . . . . . . . . . . . 288
12.3 Induced Representations of Group Graded
-Algebras
from Hermitian Characters . . . . . . . . . . . . . . . . . . . . . . . . . . . 292
12.4 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297
12.5 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299
13 Well-Behaved Representations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301
13.1 Well-Behaved Representations of Some Group
Graded
-Algebras . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302
13.2 Representations Associated with
-Algebras of Fractions . . . . . 304
13.3 Application to the Weyl Algebra . . . . . . . . . . . . . . . . . . . . . . 310
13.4 Compatible Pairs of
-Algebras . . . . . . . . . . . . . . . . . . . . . . . 312
13.5 Application to Enveloping Algebras . . . . . . . . . . . . . . . . . . . . 314
13.6 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 316
13.7 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 317
14 Representations on Rigged Spaces and Hilbert C
-Modules . . . . . . 319
14.1 Rigged Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319
14.2 Weak Imprimitivity Bimodules . . . . . . . . . . . . . . . . . . . . . . . 324
14.3 Positive Semi-definite Riggings . . . . . . . . . . . . . . . . . . . . . . . 328
14.4 Imprimitivity Bimodules . . . . . . . . . . . . . . . . . . . . . . . . . . . . 331
14.5 Hilbert C
-modules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 334
14.6 Representations on Hilbert C
-modules . . . . . . . . . . . . . . . . . 338
14.7 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 344
14.8 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 344

Appendix A: Unbounded Operators on Hilbert Space . . . . . . . . . . . . . . . 347

Appendix B: C*-Algebras and Representations . . . . . . . . . . . . . . . . . . . . 353
Appendix C: Locally Convex Spaces and Separation
of Convex Sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 357
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 363
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373
Symbol Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 379
General Notation

Throughout the book, we use the following notational conventions:

The involution of an abstract
-algebra is denoted by a 7! a þ .
The symbol a
is only used for the adjoint of a Hilbert space operator a.
The symbol K denotes either the real field R or the complex field C.
All algebras or vector spaces are either over R or C.
All inner products of complex inner product spaces or Hilbert spaces are linear
in the first and conjugate linear in the second variables.
Unless stated explicitly otherwise, all inner products and Hilbert spaces are over
the complex field.
We denote
– abstract
-algebras by sanserif letters such as A, B, F, M, W, X,
– unit elements of a unital K-algebras by 1 and write a  1 by a for a 2 K,
– O
-algebras by script letters such as A, B,
– Hilbert spaces by H, H0 , G, K,
– inner products by angle brackets h; i, h; i1
– dense domains or inner product spaces by D, DðTÞ,
– representations by …, …f , q,
– Hilbert space vectors by u, w, g, n.

N0 Set of nonnegative integers,

N Set of positive integers,
Z Set of integers,
R Set of real numbers,
Rþ Set of nonnegative real numbers,
C Set of complex numbers,
T Set of complex numbers of modulus one.
Cd ½x :¼ C½x1 ; . . .; xd , Rd ½x :¼ R½x1 ; . . .; xd .

xvii
xviii General Notation

For a Hilbert space H, we denote by

– BðHÞ the bounded operators on H,
– B1 ðHÞ the trace class operators on H,
– Tr t the trace of a trace class operator t,
– B1 ðHÞ þ the positive trace class operators on H,
– B2 ðHÞ the Hilbert-Schmidt operators on H.
For a
-algebra A we denote by
– A1 the unitization of A,
– Aher the hermitian part of A,
– P(A)* the positive linear functionals on A,
– P e (A)* the extendable positive linear functionals on A,
– S(A) the states of A,
– ^ the hermitian characters of A, if A is commutative and unital,
A
– 1 its unit element, if A is unital.

Cc ðX Þ Compactly supported continuous functions on a topological space X .

C0 ðX Þ Continuous functions on a locally compact space X that vanish at infinity.
L2 ðMÞ L2 -space with respect to the Lebesgue measure if M is a Borel set of Rd .
R
F Fourier transform F ðf ÞðxÞ ¼ ð2…Þd=2 Rd eiðx;yÞ f ðyÞdy.
Chapter 1
Prologue: The Algebraic Approach
to Quantum Theories

Let us begin by recalling some well-known concepts from quantum mechanics.

For details, the reader can consult one of the standard textbooks such as [SN17] or
[Ha13].
The mathematical formulation of quantum mechanics is based on a complex
Hilbert space H, which is called the state space. The two fundamental objects of a
quantum theory, observables and states, are described by the following postulates.
(QM1) Each observable is a self-adjoint operator on the Hilbert space H.
(QM2) Each pure state is given by the unit ray [ϕ] := {λϕ : λ ∈ T} of a unit vector
ϕ ∈ H.
In general, not all self-adjoint operators on H are physical observables and not all
unit vectors of H correspond to physical states. In the subsequent informal discussion
we will ignore this distinction and consider all unit rays as states and all bounded
self-adjoint operators on H as observables.
That each observable A is a self-adjoint operator by axiom (QM1) has impor-
tant consequences. Then the spectral theorem applies, and there exists a unique
projection-valued measure E A (·), called the spectral measure of A, on the Borel
σ-algebra of R such that

A= λ d E A (λ).
R

This spectral measure E A is a fundamental mathematical object in operator theory

and in quantum mechanics as well. All properties of the self-adjoint operator and
the observable A are encoded in E A . First we note that the support of the spectral
measure E A coincides with the spectrum of the operator A.

© The Editor(s) (if applicable) and The Author(s), under exclusive license 1
to Springer Nature Switzerland AG 2020
K. Schmüdgen, An Invitation to Unbounded Representations of *-Algebras
on Hilbert Space, Graduate Texts in Mathematics 285,
https://doi.org/10.1007/978-3-030-46366-3_1
2 1 Prologue: The Algebraic Approach to Quantum Theories

The probabilistic interpretation of quantum mechanics and the measurement the-

ory of observables are essentially based on spectral measures. To explain this, we
consider a unit vector ϕ ∈ H. It is clear that

μ[ϕ] (·) := E A (·)ϕ, ϕ

defines a probability measure μ[ϕ] on R which depends only on the unit ray [ϕ]. The
probabilistic interpretation says that μ[ϕ] (M) is the probability that the measurement
outcome of the observable A in the state [ϕ] lies in the Borel set M of R. Two
observables A1 and A2 are simultaneously measurable if and only if their spectral
measures E A1 and E A2 commute.
Now let ϕ be a unit vector of the domain of A. Then the number
 
Aϕ, ϕ = λ dμ[ϕ] (λ) = λ dE A (λ)ϕ, ϕ
R R

is interpreted as the expectation value and (Δ[ϕ] A)2 := Aϕ2 − Aϕ, ϕ2 as the
variance of the observable A in the state [ϕ]. Finally, the spectral
 measure allows
one to define a function F(A) of an observable A by F(A) = F(λ)d E A (λ) for
any Borel function F on the spectrum of A.
Let [ϕ] and [ψ] be states of H. Then the number

P([ϕ], [ψ]) := |ϕ, ψ|2

depends only on the unit rays, and it is called the transition probability between the
states [ϕ] and [ψ].
A symmetry of the quantum system is a bijection of the set of states [ϕ] which
preserves the transition probabilities between states. By Wigner’s theorem (see, e.g.,
[Em72]), each symmetry θ is implemented by a unitary or an antiunitary operator
U of the Hilbert space H, that is, θ([ϕ]) = U [ϕ]U −1 for all states [ϕ]. (An anti-
unitary operator is an operator U on H such that U (αϕ + βψ) = α U ϕ + β U ψ and
U ϕ, U ψ = ϕ, ψ for ϕ, ψ ∈ H and α, β ∈ C.)
Let U be a unitary or an antiunitary operator on H. If A is an observable, then
the operator θ(A) := U AU −1 is self-adjoint and hence an observable. For arbitrary
A ∈ B(H), we set θ0 (A) = U AU −1 if U is unitary and θ1 (A) = U A∗ U −1 if U is
antiunitary. For self-adjoint operators A, both θ0 (A) and θ1 (A) coincide with θ(A).
Then, θ0 is a ∗-automorphism and θ1 is a ∗-antiautomorphism of the C ∗ -algebra
B(H) of bounded operators on H.
There are also mixed states and states given by density matrices. Assume for a
moment that the observables are bounded operators. Then each positive trace class
operator t on H of trace one defines also a state. The corresponding probability
measure is μt (·) := Tr t E A (·), and the expectation value is Tr t A.
That was the classic approach to quantum mechanics. Let us explain now the
algebraic approach, in which the main objects of study of this book appear.
1 Prologue: The Algebraic Approach to Quantum Theories 3

Here the observable algebra is the central object of the theory. This is an abstract
complex unital algebra A equipped with an algebra involution a → a + , that is, A is
a complex unital ∗-algebra. The key postulates in this approach are the following:
(A1) Each observable is a hermitian element a = a + of the ∗-algebra A.
(A2) Each state is a linear functional f on A such that f (a + a) ≥ 0 for a ∈ A and
f (1) = 1.
If f is a state and a is an observable of A, then the real number f (a) is considered
as the expectation value and the nonnegative number Δ f (a)2 := f (a 2 ) − f (a)2 as
the variance of a in the state f .
Let us motivate this definition of a state. Elements of the form a + a are always
hermitian, and they should be positive, because Hilbert space operators of the form
A∗ A are positive. Then the condition f (a + a) ≥ 0 says that the expectation value of
the “positive” observable a + a is nonnegative. A functional f with this property is
called positive. The requirement f (1) = 1 is a normalization condition for the trivial
observable 1 ∈ A.
Since A is a ∗-algebra, one can form algebraic operations (linear combinations,
products, adjoints) of elements of A. It is easily verified that the product of two
hermitian elements is hermitian if and only if the elements commute. Hence the
product of two observables can be only an observable if they commute in the
algebra A.
To remedy this failure it is convenient to consider the Jordan product

1
a ◦ b := (ab + ba)
2

of elements a, b ∈ A. Obviously, if the elements a and b are hermitian, so is a ◦ b.

Clearly, a ◦ b = 21 ((a + b)2 − a 2 − b2 ). Therefore, if we agree that real linear com-
binations and squares of observables are also observables, then the Jordan product
a ◦ b of observables a, b ∈ A is again an observable. Note that the Jordan product
“◦” is distributive and commutative, but it is not associative in general.
Before we continue our discussion we introduce a few more mathematical notions.
Let θ be a linear map of A into another ∗-algebra B such that θ(a + ) = θ(a)+ for
a ∈ A. Then θ is called a ∗-antihomomorphism if θ(ab) = θ(b)θ(a) for a, b ∈ A
and a Jordan homomorphism if θ(a ◦ b) = θ(a) ◦ θ(b) for a, b ∈ A. In this case, if
A = B and θ is bijective, then θ is said to be a ∗-antiautomorphism and a Jordan auto-
morphism of A, respectively. Clearly, ∗-homomorphisms and ∗-antihomomorphisms
are Jordan homomorphisms.
Roughly speaking, a symmetry of a physical system should be a bijection that
preserves the main structures of the system. In the case of pure states on a Hilbert
space, the transition probability of states was chosen as the relevant concept. In
the algebraic approach, it is natural to require that symmetries preserve the Jordan
product. Thus, we define a symmetry to be a Jordan automorphism of the ∗-algebra
A. Then any symmetry θ preserves observables, and the map f → f ◦ θ preserves
4 1 Prologue: The Algebraic Approach to Quantum Theories

states. Various symmetry concepts for C ∗ -algebras are treated and discussed in [Ln17,
Chap. 5], [Em72, Sect. 2.2.a], [Mo13, Sect. 12.1], and [K65].
In particular, ∗-automorphisms and ∗-antiautomorphisms of A are symmetries.
We say that a group G acts as a symmetry group on the observable algebra A if we
have a homomorphism g → θg of G into the group of ∗-automorphisms of A.
We collect the main concepts introduced so far in the following table:

Quantum mechanics Algebraic approach

State Hilbert space H Observable algebra A
Observable Self-adjoint operator on H Hermitian element of A
State Unit ray [ϕ] of ϕ ∈ H, ϕ = 1 Positive functional f with f (1) = 1
Symmetry Unitary or antiunitary operator on H Jordan automorphism of A

It should be emphasized that for the study of quantum theories usually specific
sets of further axioms and topics are added. Important examples are the Gårding–
Wightman axioms and the Haag–Kastler axioms in algebraic quantum field theory
[Hg55] and the KMS states in quantum statistical mechanics [BR97].
Next we discuss the role of representations of the observable algebra. To avoid
technical difficulties, let us assume throughout the following discussion that the
observable algebra A is a unital C ∗ -algebra. Recall that a ∗-representation of A is
a ∗-homomorphism ρ of A into the ∗-algebra B(H) of bounded operators of some
Hilbert space H. Then the image of each abstract observable a ∈ A is a bounded
self-adjoint operator ρ(a), hence an observable on the Hilbert space H, and each unit
vector ϕ ∈ H defines a state f ρ,ϕ (·) := ρ(·)ϕ, ϕ on A. These states f ρ,ϕ are called
the vector states of the representation ρ. Conversely, if f is a state on A, then the
GNS construction provides a ∗-representation ρ f of A on a Hilbert space H such
that f (·) = ρ f (·)ϕ f , ϕ f  for some unit vector ϕ f ∈ H. Thus, the abstract state f
on A gives a concrete state [ϕ f ] on the Hilbert space H.
Further, two ∗-representations of A are physically equivalent if and only if each
vector state of one is a weak limit of convex combinations of vector states of the
other, or equivalently, if the kernels of both representations coincide [Em72, The-
orem II.1.7]. It is obvious that unitarily equivalent representations are physically
equivalent, but the converse is not true.
Let us turn to symmetries. Suppose ρ is a ∗-representation of A on a Hilbert space
H. A ∗-automorphism θ of A is called unitarily implemented in the representation ρ
if there exists a unitary operator U on H such that ρ(θ(a)) = U ρ(a)U −1 for a ∈ A.
Likewise, an action g → θg of a group G on A is said to be unitarily implemented
in the representation ρ if there is a homomorphism g → U (g) of G into the group
of unitaries on H, called then a unitary representation of G on H, such that

ρ(θg (a)) = U (g)ρ(a)U (g −1 ) for a ∈ A, g ∈ G. (1.1)

It can be shown that (1.1) holds, for instance, for the GNS representation associated
with any state which is invariant under θg . In important cases, G is a Lie group; then
appropriate continuity assumptions on θg and U (g) have to be added.
1 Prologue: The Algebraic Approach to Quantum Theories 5

According to a result of Kadison [K65], [BR97, Proposition 3.2.2], any Jordan

homomorphism into B(H) can be decomposed into a sum of a ∗-homomorphism and
a ∗-antihomomorphism. More precisely, if ρ : A → B is a Jordan homomorphism of
A on a C ∗ -subalgebra B of B(H), then there is a projection P ∈ B ∩ B such that
a → ρ(a)P is a ∗-homomorphism and a → ρ(a)(I − P) is a ∗-antihomomorphism
of A into B(H). Here B and B denote the commutant and bicommutant of B,
respectively. In particular, if the von Neumann algebra B is a factor, then P = 0 or
P = I , so ρ is a ∗-homomorphism or a ∗-antihomomorphism.
Any ∗-representation ρ of the observable algebra allows one to pass from the fixed
abstract observable algebra A to the observable algebra ρ(A) of operators acting on
a Hilbert space. There the power of operator theory on Hilbert spaces can be used
to study the quantum system. The flexibility of choosing the ∗-representation has a
number of advantages. First, various realizations of unitarily equivalent representa-
tions may provide new methods and structural insight. For instance, the Schrödinger
representation and the Bargmann–Fock representation of the Weyl algebra are unitar-
ily equivalent, but their realizations on L 2 (Rd ) and on the Fock space, respectively,
lead to different approaches for the study of the canonical commutation relations.
Second, unitarily or physically inequivalent realizations of quantum systems can be
treated by means of the same abstract observable algebra. Here the canonical commu-
tation relations for infinitely many degrees of freedom form an interesting example.
There exist unitarily inequivalent irreducible representations which are physically
equivalent [BR97, Em72]. Third, let g → θg be an action of a Lie group G as ∗-
automorphisms of A. In “good” cases there exists a ∗-representation ρ of A such that
this action is implemented by a unitary representation g → U (g) of G, as in formula
(1.1). Then the representation theory of Lie groups on Hilbert space can be used to
study the ∗-automorphism group.
The preceding was a brief sketch of some basic general concepts and ideas of
quantum mechanics and the algebraic approach to quantum theories.
In the case of general ∗-algebras a number of additional technical problems appear
in the study of ∗-representations and states. For instance, it may happen that the image
of a hermitian element under a ∗-representation has no self-adjoint extension, so it
cannot be considered as an observable on the representation Hilbert space. An aim
of this book is to lay down a rigorous mathematical foundation of the theory of
representations and states of general ∗-algebras.
The pioneering work for the algebraic approach goes back to Neumann [vN32], Segal [Se47a],
and others. Modern treatments of this approach and various sets of axioms can be found in the
books of Emch [Em72], Moretti [Mo13] and Landsman [Ln17]; see also [K65]. Standard references
are [Hg92, Ak09] for algebraic quantum field theory and [BR87, BR97] for quantum statistical
mechanics.
Chapter 2
∗-Algebras

The aim of this chapter is to develop algebraic properties and structures of ∗-algebras
and of positive functionals and states. Also, we introduce a number of basic concepts,
notations, and facts that will be used later in this book.
Section 2.1 contains basic definitions and examples of ∗-algebras. In Sect. 2.2,
we treat some general constructions of ∗-algebras (tensor products, matrix algebras,
crossed products, group graded algebras). Positivity in ∗-algebras is expressed in
terms of quadratic modules; they are introduced in Sect. 2.3 and studied later in
Sect. 5.7 and Chap. 10.
Sections 2.4–2.8 deal with positive linear functionals. In Sect. 2.4, we develop
basic facts on positive functionals and states on complex ∗-algebras. Positive func-
tionals on real ∗-algebras are briefly considered in Sect. 2.5. In Sect. 2.6 we study
characters of general algebras and prove the Gleason–Kahane–Zelazko characteri-
zation of characters (Theorem 2.56). Section 2.7 is about hermitian characters and
pure states of commutative ∗-algebras (Theorem 2.63). In Sect. 2.8, we give a short
digression into hermitian and symmetric ∗-algebras.
Throughout this chapter, A is an algebra over the field K, where K is R or C.

2.1 ∗-Algebras: Definitions and Examples

The following definitions introduce the first main notions which this book is about.

Definition 2.1 An algebra over K is a vector space A over K, equipped with a

mapping (a, b) → ab of A × A into A, such that for a, b, c ∈ A and α ∈ K:

a(bc) = (ab)c, (αa)b = α(ab) = a(αb), a(b + c) = ab + ac, (b + c)a = ba + ca.

© The Editor(s) (if applicable) and The Author(s), under exclusive license 7
to Springer Nature Switzerland AG 2020
K. Schmüdgen, An Invitation to Unbounded Representations of *-Algebras
on Hilbert Space, Graduate Texts in Mathematics 285,
https://doi.org/10.1007/978-3-030-46366-3_2
8 2 ∗-Algebras

The element ab is called the product of a and b; we also write a · b for ab.
An algebra A is called unital if it has a unit element 1 ∈ A, that is, 1a = a1 = a
for all a ∈ A. An algebra A is commutative if ab = ba for a, b ∈ A.
Definition 2.2 An algebra involution, briefly an involution, of an algebra A over K
is a mapping a → a + from A into A such that for a, b ∈ A and α, β ∈ K:

(αa + βb)+ = α a + + β b+ , (ab)+ = b+ a + , (a + )+ = a. (2.1)

An algebra (over K) equipped with an involution is called a ∗-algebra (over K).

Example 2.3 Let d ∈ N. The polynomial algebra Kd [x] := K[x1 , . . . , xd ] is a unital
∗-algebra with involution defined by
 
f + (x) := a α x α for f (x) = aα x α ∈ Kd [x],
α α

where we set x α := x1α1 · · · xdαd for α = (α1 , . . . , αd ) ∈ Nd0 and x 0j := 1. Note that
the involution on Rd [x] is just the identity mapping. 
Let A be a ∗-algebra over K. It is easily verified that if A has a unit element 1 and
a ∈ A is invertible in A, then 1+ = 1 and (a −1 )+ = (a + )−1 .
Definition 2.4 An element a ∈ A is called hermitian if a = a + and skew-hermitian
if a + = −a.
The hermitian part Aher and the skew-hermitian part Asher of A are

Aher := {a ∈ A : a + = a}, Asher := {a ∈ A : a + = −a}. (2.2)

Clearly, both parts are real vector spaces, Aher is invariant under the Jordan product
a ◦ b := 21 (ab + ba), and Asher is invariant under the commutator [a, b] := ab − ba.
Further, A = Aher + Asher and each a ∈ A can be uniquely written as

a = ah + ash , where ah ∈ Aher , ash ∈ Asher . (2.3)

Indeed, for ah := 21 (a + + a) and ash := 21 (a − a + ) we have (2.3). Conversely, if

ãh ∈ Aher and ãsh ∈ Asher satisfy a = ãh + ãsh , then a + = ãh − ãsh and hence ãh = ah
and ãsh = ash .
Now suppose K = C. Then, obviously, Asher = i Aher , so that A = Aher + iAher .
Therefore, by (2.3), each element a ∈ A can be uniquely represented in the form

a = a1 + ia2 , where a1 , a2 ∈ Aher , (2.4)

and we have a1 = Re a := 21 (a + + a) and a2 = Im a := 2i (a + − a).

If A is a commutative real algebra, the identity map is obviously an involution.
There exist algebras A which admit no algebra involution and others which have
infinitely many involutions making A into a ∗-algebra; see, e.g., [CV59].
2.1 ∗-Algebras: Definitions and Examples 9

Example 2.5 (An algebra which has no involution)

Let A be the K-algebra of 2 × 2 matrices (akl )2k,l=1 , with akl ∈ K, a21 = a22 = 0.
Clearly, the algebra A is isomorphic to the vector space K2 with multiplication

(x1 , x2 )(y1 , y2 ) = (x1 y1 , x1 y2 ). (2.5)

The algebra A has no involution such that A becomes a ∗-algebra.

Indeed, assume to the contrary that a → a + is an algebra involution of A. Set
x := (1, 0) and y := (0, 1). We have x 2 = x, y 2 = 0, x y = y, yx = 0 by (2.5).
Then (x + )2 = x + and (y + )2 = 0. By (2.5), these equations imply x + = (1, x2 ) and
y + = (0, y2 ). Then 0 = (yx)+ = x + y + = (1, x2 )(0, y2 ) = (0, y2 ) = y + and hence
0 = (y + )+ = y, a contradiction. 
We develop different involutions in Example 2.15 below using the next lemma.
Lemma 2.6 Suppose A is an algebra. If ϕ : a → a + is an algebra involution and
θ is an algebra automorphism of A such that

(θ ◦ ϕ) ◦ (θ ◦ ϕ) = Id, that is, θ(θ(a + )+ ) = a for a ∈ A, (2.6)

then ψ := θ ◦ ϕ is also an algebra involution of A.

Conversely, if ϕ and ψ are algebra involutions of A, then θ := ψ ◦ ϕ is an auto-
morphism of the algebra A such that ψ = θ ◦ ϕ and condition (2.6) holds.
The proof of this lemma is given by simple algebraic manipulations based on
(2.1). Equation (2.6) is equivalent to the last condition in (2.1). We omit the details;
see Exercise 1.
Next let us introduce some standard notions.
A map θ of a ∗-algebra A into another ∗-algebra B is called a ∗-homomorphism if θ
is an algebra homomorphism such that θ(a + ) = θ(a)+ for a ∈ A. A ∗-isomorphism
is a bijective ∗-homomorphism of A and B; in this case, A and B are said to be
∗-isomorphic. A ∗-automorphism of A is a ∗-isomorphism of A on itself. A ∗-ideal
of A is a two-sided ideal of A which is invariant under the involution.
Next we consider two useful general constructions.
Unitization of a ∗-algebra
For many considerations it is necessary that the ∗-algebra possesses a unit element.
If a ∗-algebra has no unit, it can be embedded into a unital ∗-algebra by adjoining a
unit. Let A be a ∗-algebra. It is easy to check that the K-vector space B := A ⊕ K is
a unital ∗-algebra with multiplication and involution defined by

(a, α)(b, β) := (ab + αb + βa, αβ) and (a, α)+ := (a + , α) (2.7)

for a, b ∈ A and α, β ∈ K. Obviously, 1 := (0, 1) is the unit element of B. By iden-

tifying a and (a, 0), the ∗-algebra A becomes a ∗-subalgebra of B. For notational
simplicity we write a + α instead of (a, α). Note that if A has a unit element, this
element is no longer a unit element of the larger ∗-algebra B.
10 2 ∗-Algebras

If A is not unital, we denote the unital ∗-algebra B = A ⊕ K by A1 . If A is unital,

we set A1 := A.
Definition 2.7 The unital ∗-algebra A1 is called the unitization of the ∗-algebra A.
For real ∗-algebras we may have Lin Aher = A, as the following example shows.
Example 2.8 On the vector space A := R we define a product by x · y := 0 and an
involution by x + := −x . Then A is a real ∗-algebra and Aher = {0} = A. For the
unitization A1 we have (A1 )her = {(0, α) : α ∈ R} by (2.7). Hence the linear span of
(A1 )her is different from A1 . 
Complexification of a real ∗-algebra

Suppose A is a real ∗-algebra. Let AC be the Cartesian product A × A. It is not

difficult to verify that AC becomes a complex ∗-algebra with addition, multiplication
by complex scalars, multiplication, and involution defined by

(a, b) + (c, d) = (a + c, b + d), (α + iβ)(a, b) = (αa − βb, αb + βa),

(a, b)(c, d) = (ac − bd, bc + ad), (a, b)+ := (a + , −b+ ),

where a, b, c, d ∈ A and α, β ∈ R. The map a → (a, 0) is a ∗-isomorphism of A on

a real ∗-subalgebra of AC . We identify a ∈ A with (a, 0) ∈ AC . Then A becomes a
real ∗-subalgebra of AC , and we have (a, b) = a + ib for a, b ∈ A.
Definition 2.9 The complex ∗-algebra AC is called the complexification of the real
∗-algebra A.
We define θ(a + ib) = a − ib for a, b ∈ A. Then we have

θ(α a + β b) = α θ(a) + β θ(b), θ(x + ) = θ(x)+ , (2.8)

θ(x y) = θ(x)θ(y), (θ ◦ θ)(x) = x (2.9)

for α, β ∈ C, a, b ∈ A, x, y ∈ AC , and A = {x ∈ AC : θ(x) = x}. Conversely, if B

is a complex ∗-algebra and θ : B → B is a map satisfying (2.8) and (2.9), then
A := {x ∈ B : θ(x) = x} is a real ∗-algebra and B is the complexification of A.
Now let A be a commutative real algebra. Then A is a real ∗-algebra with the
identity map as involution and we have (a + ib)+ = a − ib in AC , where a, b ∈ A.
Hence A is the hermitian part (AC )her of its complexification AC . For instance, if
A = R[x1 , . . . , xd ], we obtain AC = C[x1 , . . . , xd ].
Now we turn to examples of ∗-algebras. Large classes of examples of ∗-algebras
are defined by means of generators and defining relations.
1. ∗-Algebras defined by relations
Let K x1 , . . . , xm denote the free unital K-algebra with generators x1 , . . . , xm . The
elements of this algebra can be considered as noncommutative polynomials f in
x1 , . . . , xm ; for instance, f (x1 , x2 ) = 5x1 x27 x13 − 3x1 x2 + x2 x1 + 1.
2.1 ∗-Algebras: Definitions and Examples 11

Let n + k ∈ N, where k, n ∈ N0 . The algebra K x1 , . . . , xn , y1 , . . . , y2k has an

involution determined by (x j )+ = x j for j = 1, . . . , n and (yl )+ = yl+k for l =
1, . . . , k; the corresponding ∗-algebra is denoted by

K x1 , . . . , xn , y1 , . . . , y2k | (x j )+ = x j , j = 1, . . . , n; (yl )+ = yl+k , l = 1, . . . , k .

(2.10)

(If n = 0 or k = 0, we interpret (2.10) by omitting the corresponding variables.)

Now let f 1 , g1 . . . , fr , gr be elements of the ∗-algebra (2.10) and let J be the
∗-ideal of this ∗-algebra generated by the elements f 1 − g1 , . . . , fr − gr . We write

K x1 , . . . , xn , y1 , . . . , y2k | (x j )+ = x j , j = 1, . . . , n; (yl )+ = yl+k , l = 1, . . . , k;

f 1 = g1 , . . . , fr = gr (2.11)

for the quotient ∗-algebra of (2.10) by the ∗-ideal J. Thus, (2.11) is the unital ∗-algebra
with generators (x1 )+ = x1 , . . . , (xn )+ = xn , (y1 )+ = yk+1 , . . . , (yk )+ = y2k and
defining relations f 1 = g1 , . . . , fr = gr .

Example 2.10 (Weyl algebra W(d))

For d ∈ N, the d-dimensional Weyl algebra W(d) is the complex unital ∗-algebra

W(d) := C p1 , . . . , pd , q1 , . . . , qd | ( pk )+ = pk , (qk )+ = qk , pk qk − qk pk = −i;

p j pl = pl p j , q j ql = ql q j , p j ql = ql p j , k, j, l = 1, . . . , d, j = l ,

where i is the complex unit. The one-dimensional Weyl algebra or CCR-algebra is

W := C p, q | p + = p, q + = q, pq − qp = −i . (2.12)

For elements p, q of a complex unital algebra, a := √1 (q

2
+ i p),
+ + +
a := √1 (q
2
− i p) satisfy aa − a a = 1 if and only if pq − qp = −i. From this
fact it follows that the map √12 (q + i p) → a extends to a ∗-isomorphism of W on
the ∗-algebra C a, b | a + = b, ab − ba = 1 . We shall write this ∗-algebra as

C a, a + | aa + − a + a = 1 . (2.13)

Thus, (2.12) and (2.13) are ∗-isomorphic versions of the Weyl algebra; see Sect. 8.1.
Chapter 8 is devoted to the study of representations of the Weyl algebra. 

As angle brackets · denote free algebras, squared brackets [ · ] always refer

to commutative polynomial algebras. In particular, Cd [x] := C[x1 , . . . , xd ] and
Rd [x] := R[x1 , . . . , xd ] are commutative ∗-algebras of polynomials with involu-
tion (x j )+ = x j , j = 1, . . . , d. Commutative algebras with relations are defined
similarly as above and are self-explanatory. For instance, C[x, y | x + x + y + y = 1]
denotes the commutative ∗-algebra of polynomials in x, x + , y, y + satisfying the
equation x + x + y + y = 1 of the unit sphere in C2 .
Another Random Scribd Document
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world of great deeds. Perhaps literature that can be paled by war will
not be missed. We may feel vastly relieved at our salvation from so
many feeble novels and graceful verses that khaki-clad authors
might have given us. But this nobly-sounding sense of the futility of
art in a world of war may easily infect conscientious minds. And it is
against this infection that we must fight.

VIII
The conservation of American promise is the present task for this
generation of malcontents and aloof men and women. If America has
lost its political isolation, it is all the more obligated to retain its
spiritual integrity. This does not mean any smug retreat from the
world, with a belief that the truth is in us and can only be
contaminated by contact. It means that the promise of American life
is not yet achieved, perhaps not even seen, and that, until it is, there
is nothing for us but stern and intensive cultivation of our garden.
Our insulation will not be against any great creative ideas or forms
that Europe brings. It will be a turning within in order that we may
have something to give without. The old American ideas which are
still expected to bring life to the world seem stale and archaic. It is
grotesque to try to carry democracy to Russia. It is absurd to try to
contribute to the world’s store of great moving ideas until we have a
culture to give. It is absurd for us to think of ourselves as blessing
the world with anything unless we hold it much more self-consciously
and significantly than we hold anything now. Mere negative freedom
will not do as a twentieth-century principle. American ideas must be
dynamic or we are presumptuous in offering them to the world.

IX
The war—or American promise: one must choose. One cannot be
interested in both. For the effect of the war will be to impoverish
American promise. It cannot advance it, however liberals may
choose to identify American promise with a league of nations to
enforce peace. Americans who desire to cultivate the promises of
American life need not lift a finger to obstruct the war, but they
cannot conscientiously accept it. However intimately a part of their
country they may feel in its creative enterprises toward a better life,
they cannot feel themselves a part of it in its futile and self-mutilating
enterprise of war. We can be apathetic with a good conscience, for
we have other values and ideals for America. Our country will not
suffer for our lack of patriotism as long as it has that of our industrial
masters. Meanwhile, those who have turned their thinking into war-
channels have abdicated their leadership for this younger
generation. They have put themselves in a limbo of interests that are
not the concerns which worry us about American life and make us
feverish and discontented.
Let us compel the war to break in on us, if it must, not go hospitably
to meet it. Let us force it perceptibly to batter in our spiritual walls.
This attitude need not be a fatuous hiding in the sand, denying
realities. When we are broken in on, we can yield to the inexorable.
Those who are conscripted will have been broken in on. If they do
not want to be martyrs, they will have to be victims. They are entitled
to whatever alleviations are possible in an inexorable world. But the
others can certainly resist the attitude that blackens the whole
conscious sky with war. They can resist the poison which makes art
and all the desires for more impassioned living seem idle and even
shameful. For many of us, resentment against the war has meant a
vivider consciousness of what we are seeking in American life.
This search has been threatened by two classes who have wanted
to deflect idealism to the war,—the patriots and the realists. The
patriots have challenged us by identifying apathy with disloyalty. The
reply is that war-technique in this situation is a matter of national
mechanics rather than national ardor. The realists have challenged
us by insisting that the war is an instrument in the working-out of
beneficent national policy. Our skepticism points out to them how
soon their “mastery” becomes “drift,” tangled in the fatal drive toward
victory as its own end, how soon they become mere agents and
expositors of forces as they are. Patriots and realists disposed of, we
can pursue creative skepticism with honesty, and at least a hope that
in the recoil from war we may find the treasures we are looking for.
 VI
TWILIGHT OF IDOLS
(October, 1917)

I
Where are the seeds of American promise? Man cannot live by
politics alone, and it is small cheer that our best intellects are caught
in the political current and see only the hope that America will find
her soul in the remaking of the world. If William James were alive
would he be accepting the war-situation so easily and complacently?
Would he be chiding the over-stimulated intelligence of peace-loving
idealists, and excommunicating from the ranks of liberal progress the
pitiful remnant of those who struggle “above the battle”? I like to think
that his gallant spirit would have called for a war to be gallantly
played, with insistent care for democratic values at home, and
unequivocal alliance with democratic elements abroad for a peace
that should promise more than a mere union of benevolent
imperialisms. I think of James now because the recent articles of
John Dewey’s on the war suggest a slackening in his thought for our
guidance and stir, and the inadequacy of his pragmatism as a
philosophy of life in this emergency. Whether James would have
given us just that note of spiritual adventure which would make the
national enterprise seem creative for an American future,—this we
can never know. But surely that philosophy of Dewey’s which we had
been following so uncritically for so long, breaks down almost noisily
when it is used to grind out interpretation for the present crisis.
These articles on “Conscience and Compulsion,” “The Future of
Pacifism,” “What America Will Fight For,” “Conscription of Thought,”
which The New Republic has been printing, seem to me to be a little
off-color. A philosopher who senses so little the sinister forces of war,
who is so much more concerned over the excesses of the pacifists
than over the excesses of military policy, who can feel only
amusement at the idea that any one should try to conscript thought,
who assumes that the war-technique can be used without trailing
along with it the mob-fanaticisms, the injustices and hatreds, that are
organically bound up with it, is speaking to another element of the
younger intelligentsia than that to which I belong. Evidently the
attitudes which war calls out are fiercer and more incalculable than
Professor Dewey is accustomed to take into his hopeful and
intelligent imagination, and the pragmatist mind, in trying to adjust
itself to them, gives the air of grappling, like the pioneer who
challenges the arid plains, with a power too big for it. It is not an
arena of creative intelligence our country’s mind is now, but of mob-
psychology. The soldiers who tried to lynch Max Eastman showed
that current patriotism is not a product of the will to remake the
world. The luxuriant releases of explosive hatred for which peace
apparently gives far too little scope cannot be wooed by sweet
reasonableness, nor can they be the raw material for the creation of
rare liberal political structures. All that can be done is to try to keep
your country out of situations where such expressive releases occur.
If you have willed the situation, however, or accepted it as inevitable,
it is fatuous to protest against the gay debauch of hatred and fear
and swagger that must mount and mount, until the heady and
virulent poison of war shall have created its own anti-toxin of ruin
and disillusionment. To talk as if war were anything else than such a
poison is to show that your philosophy has never been confronted
with the pathless and the inexorable, and that, only dimly feeling the
change, it goes ahead acting as if it had not got out of its depth. Only
a lack of practice with a world of human nature so raw-nerved,
irrational, uncreative, as an America at war was bound to show itself
to be, can account for the singular unsatisfactoriness of these later
utterances of Dewey. He did have one moment of hesitation just
before the war began, when the war and its external purposes and
unifying power seemed the small thing beside that internal adventure
which should find our American promise. But that perspective has
now disappeared, and one finds Dewey now untainted by skepticism
as to our being about a business to which all our idealism should
rally. That failure to get guaranties that this country’s effort would
obligate the Allies to a democratic world-order Dewey blames on the
defection of the pacifists, and then somehow manages to get himself
into a “we” who “romantically,” as he says, forewent this crucial link
of our strategy. Does this easy identification of himself with
undemocratically controlled foreign policy mean that a country is
democratic when it accepts what its government does, or that war
has a narcotic effect on the pragmatic mind? For Dewey somehow
retains his sense of being in the controlling class, and ignores those
anxious questions of democrats who have been his disciples but are
now resenters of the war.
What I come to is a sense of suddenly being left in the lurch, of
suddenly finding that a philosophy upon which I had relied to carry
us through no longer works. I find the contrast between the idea that
creative intelligence has free functioning in wartime, and the facts of
the inexorable situation, too glaring. The contrast between what
liberals ought to be doing and saying if democratic values are to be
conserved, and what the real forces are imposing upon them, strikes
too sternly on my intellectual senses. I should prefer some
philosophy of War as the grim and terrible cleanser to this optimism-
haunted mood that continues unweariedly to suggest that all can yet
be made to work for good in a mad and half-destroyed world. I
wonder if James, in the face of such disaster, would not have
abandoned his “moral equivalent of war” for an “immoral equivalent”
which, in swift and periodic saturnalia, would have acted as
vaccination against the sure pestilence of war.

II
Dewey’s philosophy is inspiring enough for a society at peace,
prosperous and with a fund of progressive good-will. It is a
philosophy of hope, of clear-sighted comprehension of materials and
means. Where institutions are at all malleable, it is the only clew for
improvement. It is scientific method applied to “uplift.” But this careful
adaptation of means to desired ends, this experimental working-out
of control over brute forces and dead matter in the interests of
communal life, depends on a store of rationality, and is effective only
where there is strong desire for progress. It is precisely the school,
the institution to which Dewey’s philosophy was first applied, that is
of all our institutions the most malleable. And it is the will to educate
that has seemed, in these days, among all our social attitudes the
most rationally motivated. It was education, and almost education
alone, that seemed susceptible to the steady pressure of an
“instrumental” philosophy. Intelligence really seemed about to come
into conscious control of an institution, and that one the most potent
in molding the attitudes needed for a civilized society and the
aptitudes needed for the happiness of the individual.
For both our revolutionary conceptions of what education means,
and for the intellectual strategy of its approach, this country is
immeasurably indebted to the influence of Professor Dewey’s
philosophy. With these ideas sincerely felt, a rational nation would
have chosen education as its national enterprise. Into this it would
have thrown its energy though the heavens fell and the earth rocked
around it. But the nation did not use its isolation from the conflict to
educate itself. It fretted for three years and then let war, not
education, be chosen, at the almost unanimous behest of our
intellectual class, from motives alien to our cultural needs, and for
political ends alien to the happiness of the individual. But nations, of
course, are not rational entities, and they act within their most
irrational rights when they accept war as the most important thing the
nation can do in the face of metaphysical menaces of imperial
prestige. What concerns us here is the relative ease with which the
pragmatist intellectuals, with Professor Dewey at the head, have
moved out their philosophy, bag and baggage, from education to
war. So abrupt a change in the direction of the national enterprise,
one would have expected to cause more emotion, to demand more
apologetics. His optimism may have told Professor Dewey that war
would not materially demoralize our growth—would, perhaps, after
all, be but an incident in the nation’s life—but it is not easy to see
how, as we skate toward the bankruptcy of war-billions, there will be
resources available for educational enterprise that does not
contribute directly to the war-technique. Neither is any passion for
growth, for creative mastery, going to flourish among the host of
militaristic values and new tastes for power that are springing up like
poisonous mushrooms on every hand.
How could the pragmatist mind accept war without more violent
protest, without a greater wrench? Either Professor Dewey and his
friends felt that the forces were too strong for them, that the war had
to be, and it was better to take it up intelligently than to drift blindly in;
or else they really expected a gallant war, conducted with jealous
regard for democratic values at home and a captivating vision of
international democracy as the end of all the toil and pain. If their
motive was the first, they would seem to have reduced the scope of
possible control of events to the vanishing point. If the war is too
strong for you to prevent, how is it going to be weak enough for you
to control and mold to your liberal purposes? And if their motive was
to shape the war firmly for good, they seem to have seriously
miscalculated the fierce urgencies of it. Are they to be content, as
the materialization of their hopes, with a doubtful League of Nations
and the suppression of the I. W. W.? Yet the numbing power of the
war-situation seems to have kept them from realizing what has
happened to their philosophy. The betrayal of their first hopes has
certainly not discouraged them. But neither has it roused them to a
more energetic expression of the forces through which they intend to
realize them. I search Professor Dewey’s articles in vain for clews as
to the specific working-out of our democratic desires, either
nationally or internationally, either in the present or in the
reconstruction after the war. No programme is suggested, nor is
there feeling for present vague popular movements and revolts.
Rather are the latter chided, for their own vagueness and
impracticalities. Similarly, with the other prophets of instrumentalism
who accompany Dewey into the war, democracy remains an
unanalyzed term, useful as a call to battle, but not an intellectual
tool, turning up fresh sod for the changing future. Is it the political
democracy of a plutocratic America that we are fighting for, or is it
the social democracy of the new Russia? Which do our rulers really
fear more, the menace of Imperial Germany, or the liberating
influence of a socialist Russia. In the application of their philosophy
to politics, our pragmatists are sliding over this crucial question of
ends. Dewey says our ends must be intelligently international rather
than chauvinistic. But this gets us little distance along our way.
In this difficult time the light that has been in liberals and radicals has
become darkness. If radicals spend their time holding conventions to
attest their loyalty and stamp out the “enemies within,” they do not
spend it in breaking intellectual paths, or giving us shining ideas to
which we can attach our faith and conscience. The spiritual apathy
from which the more naïve of us suffer, and which the others are so
busy fighting, arises largely from sheer default of a clear vision that
would melt it away. Let the motley crew of ex-socialists, and labor
radicals, and liberals and pragmatist philosophers, who have united
for the prosecution of the war, present a coherent and convincing
democratic programme, and they will no longer be confronted with
the skepticism of the conscientious and the impossibilist. But when
the emphasis is on technical organization, rather than organization of
ideas, on strategy rather than desires, one begins to suspect that no
programme is presented because they have none to present. This
burrowing into war-technique hides the void where a democratic
philosophy should be. Our intellectuals consort with war-boards in
order to keep their minds off the question what the slow masses of
the people are really desiring, or toward what the best hope of the
country really drives. Similarly the blaze of patriotism on the part of
the radicals serves the purpose of concealing the feebleness of their
intellectual light.
Is the answer that clear formulation of democratic ends must be
postponed until victory in the war is attained? But to make this
answer is to surrender the entire case. For the support of the war by
radicals, realists, pragmatists, is due—or so they say—to the fact
that the war is not only saving the cause of democracy, but is
immensely accelerating its progress. Well, what are those gains?
How are they to be conserved? What do they lead to? How can we
further them? Into what large idea of society do they group? To
ignore these questions, and think only of the war-technique and its
accompanying devotions, is to undermine the foundations of these
people’s own faith.
A policy of “win the war first” must be, for the radical, a policy of
intellectual suicide. Their support of the war throws upon them the
responsibility of showing inch by inch the democratic gains, and of
laying out a charter of specific hopes. Otherwise they confess that
they are impotent and that the war is submerging their expectations,
or that they are not genuinely imaginative and offer little promise for
future leadership.

III
It may seem unfair to group Professor Dewey with Mr. Spargo and
Mr. Gompers, Mr. A. M. Simons, and the Vigilantes. I do so only
because in their acceptance of the war, they are all living out that
popular American “instrumental” philosophy which Professor Dewey
has formulated in such convincing and fascinating terms. On an
infinitely more intelligent plane, he is yet one with them in his
confidence that the war is motivated by democratic ends and is
being made to serve them. A high mood of confidence and self-
righteousness moves them all, a keen sense of control over events
that makes them eligible to discipleship under Professor Dewey’s
philosophy. They are all hostile to impossibilism, to apathy, to any
attitude that is not a cheerful and brisk setting to work to use the
emergency to consolidate the gains of democracy. Not, Is it being
used? but, Let us make a flutter about using it! This unanimity of
mood puts the resenter of war out of the arena. But he can still seek
to explain why this philosophy which has no place for the inexorable
should have adjusted itself so easily to the inexorable of war, and
why, although a philosophy of the creative intelligence in using
means toward ends, it should show itself so singularly impoverished
in its present supply of democratic values.
What is the matter with the philosophy? One has a sense of having
come to a sudden, short stop at the end of an intellectual era. In the
crisis, this philosophy of intelligent control just does not measure up
to our needs. What is the root of this inadequacy that is felt so keenly
by our restless minds? Van Wyck Brooks has pointed out
searchingly the lack of poetic vision in our pragmatist “awakeners.” Is
there something in these realistic attitudes that works actually
against poetic vision, against concern for the quality of life as above
machinery of life? Apparently there is. The war has revealed a
younger intelligentsia, trained up in the pragmatic dispensation,
immensely ready for the executive ordering of events, pitifully
unprepared for the intellectual interpretation or the idealistic focusing
of ends. The young men in Belgium, the officers’ training corps, the
young men being sucked into the councils at Washington and into
war-organization everywhere, have among them a definite element,
upon whom Dewey, as veteran philosopher, might well bestow a
papal blessing. They have absorbed the secret of scientific method
as applied to political administration. They are liberal, enlightened,
aware. They are touched with creative intelligence toward the
solution of political and industrial problems. They are a wholly new
force in American life, the product of the swing in the colleges from a
training that emphasized classical studies to one that emphasized
political and economic values. Practically all this element, one would
say, is lined up in service of the war-technique. There seems to have
been a peculiar congeniality between the war and these men. It is as
if the war and they had been waiting for each other. One wonders
what scope they would have had for their intelligence without it.
Probably most of them would have gone into industry and devoted
themselves to sane reorganization schemes. What is significant is
that it is the technical side of the war that appeals to them, not the
interpretative or political side. The formulation of values and ideals,
the production of articulate and suggestive thinking, had not, in their
education, kept pace, to any extent whatever, with their technical
aptitude. The result is that the field of intellectual formulation is very
poorly manned by this younger intelligentsia. While they organize the
war, formulation of opinion is left largely in the hands of professional
patriots, sensational editors, archaic radicals. The intellectual work of
this younger intelligentsia is done by the sedition-hunting Vigilantes,
and by the saving remnant of older liberals. It is true, Dewey calls for
a more attentive formulation of war-purposes and ideas, but he calls
largely to deaf ears. His disciples have learned all too literally the
instrumental attitude toward life, and, being immensely intelligent
and energetic, they are making themselves efficient instruments of
the war-technique, accepting with little question the ends as
announced from above. That those ends are largely negative does
not concern them, because they have never learned not to
subordinate idea to technique. Their education has not given them a
coherent system of large ideas, or a feeling for democratic goals.
They have, in short, no clear philosophy of life except that of
intelligent service, the admirable adaptation of means to ends. They
are vague as to what kind of a society they want, or what kind of
society America needs, but they are equipped with all the
administrative attitudes and talents necessary to attain it.
To those of us who have taken Dewey’s philosophy almost as our
American religion, it never occurred that values could be
subordinated to technique. We were instrumentalists, but we had our
private utopias so clearly before our minds that the means fell
always into its place as contributory. And Dewey, of course, always
meant his philosophy, when taken as a philosophy of life, to start
with values. But there was always that unhappy ambiguity in his
doctrine as to just how values were created, and it became easier
and easier to assume that just any growth was justified and almost
any activity valuable so long as it achieved ends. The American, in
living out this philosophy, has habitually confused results with
product, and been content with getting somewhere without asking
too closely whether it was the desirable place to get. It is now
becoming plain that unless you start with the vividest kind of poetic
vision, your instrumentalism is likely to land you just where it has
landed this younger intelligentsia which is so happily and busily
engaged in the national enterprise of war. You must have your vision
and you must have your technique. The practical effect of Dewey’s
philosophy has evidently been to develop the sense of the latter at
the expense of the former. Though he himself would develop them
together, even in him there seems to be a flagging of values, under
the influence of war. The New Republic honorably clamors for the
Allies to subordinate military strategy to political ends, technique to
democratic values. But war always undermines values. It is the
outstanding lesson of the whole war that statesmen cannot be
trusted to get this perspective right, that their only motto is, first to
win and then grab what they can. The struggle against this
statesmanlike animus must be a losing one as long as we have not
very clear and very determined and very revolutionary democratic
ideas and programmes to challenge them with. The trouble with our
situation is not only that values have been generally ignored in favor
of technique, but that those who have struggled to keep values
foremost, have been too bloodless and too near-sighted in their
vision. The defect of any philosophy of “adaptation” or “adjustment,”
even when it means adjustment to changing, living experience, is
that there is no provision for thought or experience getting beyond
itself. If your ideal is to be adjustment to your situation, in radiant
coöperation with reality, then your success is likely to be just that and
no more. You never transcend anything. You grow, but your spirit
never jumps out of your skin to go on wild adventures. If your policy
as a publicist reformer is to take what you can get, you are likely to
find that you get something less than you should be willing to take.
Italy in the settlement is said to be demanding one hundred in order
to get twenty, and this Machiavellian principle might well be adopted
by the radical. Vision must constantly outshoot technique,
opportunist efforts usually achieve less even than what seemed
obviously possible. An impossibilist élan that appeals to desire will
often carry further. A philosophy of adjustment will not even make for
adjustment. If you try merely to “meet” situations as they come, you
will not even meet them. Instead you will only pile up behind you
deficits and arrears that will some day bankrupt you.
We are in the war because an American Government practiced a
philosophy of adjustment, and an instrumentalism for minor ends,
instead of creating new values and setting at once a large standard
to which the nations might repair. An intellectual attitude of mere
adjustment, of mere use of the creative intelligence to make your
progress, must end in caution, regression, and a virtual failure to
effect even that change which you so clear-sightedly and desirously
see. This is the root of our dissatisfaction with much of the current
political and social realism that is preached to us. It has everything
good and wise except the obstreperous vision that would drive and
draw all men into it.
 IV
The working-out of this American philosophy in our intellectual life
then has meant an exaggerated emphasis on the mechanics of life
at the expense of the quality of living. We suffer from a real shortage
of spiritual values. A philosophy that worked when we were trying to
get that material foundation for American life in which more
impassioned living could flourish no longer works when we are faced
with inexorable disaster and the hysterias of the mob. The note of
complacency which we detect in the current expressions of this
philosophy has a bad taste. The congruous note for the situation
would seem to be, on the contrary, that of robust desperation,—a
desperation that shall rage and struggle until new values come out of
the travail, and we see some glimmering of our democratic way. In
the creation of these new values, we may expect the old philosophy,
the old radicalism, to be helpless. It has found a perfectly definite
level, and there is no reason to think that it will not remain there. Its
flowering appears in the technical organization of the war by an
earnest group of young liberals, who direct their course by an
opportunist programme of State-socialism at home and a league of
benevolently imperialistic nations abroad. At their best they can give
us a government by prudent, enlightened college men instead of by
politicians. At their best, they can abolish war by making everybody a
partner in the booty of exploitation. That is all, and it is technically
admirable. Only there is nothing in the outlook that touches in any
way the happiness of the individual, the vivifying of the personality,
the comprehension of social forces, the flair of art,—in other words,
the quality of life. Our intellectuals have failed us as value-creators,
even as value-emphasizers. The allure of the martial in war has
passed only to be succeeded by the allure of the technical. The
allure of fresh and true ideas, of free speculation, of artistic vigor, of
cultural styles, of intelligence suffused by feeling, and feeling given
fiber and outline by intelligence, has not come, and can hardly come,
we see now, while our reigning philosophy is an instrumental one.
Whence can come this allure? Only from those who are thorough
malcontents. Irritation at things as they are, disgust at the continual
frustrations and aridities of American life, deep dissatisfaction with
self and with the groups that give themselves forth as hopeful,—out
of such moods there might be hammered new values. The
malcontents would be men and women who could not stomach the
war, or the reactionary idealism that has followed in its train. They
are quite through with the professional critics and classicists who
have let cultural values die through their own personal ineptitude. Yet
these malcontents have no intention of being cultural vandals, only
to slay. They are not barbarians, but seek the vital and the sincere
everywhere. All they want is a new orientation of the spirit that shall
be modern, an orientation to accompany that technical orientation
which is fast coming, and which the war accelerates. They will be
harsh and often bad-tempered, and they will feel that the break-up of
things is no time for mellowness. They will have a taste for spiritual
adventure, and for sinister imaginative excursions. It will not be
Puritanism so much as complacency that they will fight. A tang, a
bitterness, an intellectual fiber, a verve, they will look for in literature,
and their most virulent enemies will be those unaccountable radicals
who are still morally servile, and are now trying to suppress all free
speculation in the interests of nationalism. Something more mocking,
more irreverent, they will constantly want. They will take institutions
very lightly, indeed will never fail to be surprised at the seriousness
with which good radicals take the stated offices and systems. Their
own contempt will be scarcely veiled, and they will be glad if they
can tease, provoke, irritate thought on any subject. These
malcontents will be more or less of the American tribe of talent who
used either to go immediately to Europe, or starved submissively at
home. But these people will neither go to Europe, nor starve
submissively. They are too much entangled emotionally in the
possibilities of American life to leave it, and they have no desire
whatever to starve. So they are likely to go ahead beating their
heads at the wall until they are either bloody or light appears. They
will give offense to their elders who cannot see what all the concern
is about, and they will hurt the more middle-aged sense of adventure
upon which the better integrated minds of the younger generation
will have compromised. Optimism is often compensatory, and the
optimistic mood in American thought may mean merely that
American life is too terrible to face. A more skeptical, malicious,
desperate, ironical mood may actually be the sign of more vivid and
more stirring life fermenting in America to-day. It may be a sign of
hope. That thirst for more of the intellectual “war and laughter” that
we find Nietzsche calling us to may bring us satisfactions that
optimism-haunted philosophies could never bring. Malcontentedness
may be the beginning of promise. That is why I evoked the spirit of
William James, with its gay passion for ideas, and its freedom of
speculation, when I felt the slightly pedestrian gait into which the war
had brought pragmatism. It is the creative desire more than the
creative intelligence that we shall need if we are ever to fly.
 VII
UNFINISHED FRAGMENT ON THE
STATE
(Winter, 1918)
Government is synonymous with neither State nor Nation. It is the
machinery by which the nation, organized as a State, carries out its
State functions. Government is a framework of the administration of
laws, and the carrying out of the public force. Government is the idea
of the State put into practical operation in the hands of definite,
concrete, fallible men. It is the visible sign of the invisible grace. It is
the word made flesh. And it has necessarily the limitations inherent
in all practicality. Government is the only form in which we can
envisage the State, but it is by no means identical with it. That the
State is a mystical conception is something that must never be
forgotten. Its glamor and its significance linger behind the framework
of Government and direct its activities.
Wartime brings the ideal of the State out into very clear relief, and
reveals attitudes and tendencies that were hidden. In times of peace
the sense of the State flags in a republic that is not militarized. For
war is essentially the health of the State. The ideal of the State is
that within its territory its power and influence should be universal.
As the Church is the medium for the spiritual salvation of men, so the
State is thought of as the medium for his political salvation. Its
idealism is a rich blood flowing to all the members of the body politic.
And it is precisely in war that the urgency for union seems greatest,
and the necessity for universality seems most unquestioned. The
State is the organization of the herd to act offensively or defensively
against another herd similarly organized. The more terrifying the
occasion for defense, the closer will become the organization and
the more coercive the influence upon each member of the herd. War
sends the current of purpose and activity flowing down to the lowest
level of the herd, and to its most remote branches. All the activities of
society are linked together as fast as possible to this central purpose
of making a military offensive or a military defense, and the State
becomes what in peace times it has vainly struggled to become—the
inexorable arbiter and determinant of men’s businesses and
attitudes and opinions. The slack is taken up, the cross-currents fade
out, and the nation moves lumberingly and slowly, but with ever
accelerated speed and integration, towards the great end, towards
that “peacefulness of being at war,” of which L. P. Jacks has so
unforgettably spoken.
The classes which are able to play an active and not merely a
passive rôle in the organization for war get a tremendous liberation
of activity and energy. Individuals are jolted out of their old routine,
many of them are given new positions of responsibility, new
techniques must be learnt. Wearing home ties are broken and
women who would have remained attached with infantile bonds are
liberated for service overseas. A vast sense of rejuvenescence
pervades the significant classes, a sense of new importance in the
world. Old national ideals are taken out, re-adapted to the purpose
and used as universal touchstones, or molds into which all thought is
poured. Every individual citizen who in peace times had no function
to perform by which he could imagine himself an expression or living
fragment of the State becomes an active amateur agent of the
Government in reporting spies and disloyalists, in raising
Government funds, or in propagating such measures as are
considered necessary by officialdom. Minority opinion, which in times
of peace, was only irritating and could not be dealt with by law
unless it was conjoined with actual crime, becomes, with the
outbreak of war, a case for outlawry. Criticism of the State,
objections to war, lukewarm opinions concerning the necessity or the
beauty of conscription, are made subject to ferocious penalties, far
exceeding in severity those affixed to actual pragmatic crimes. Public
opinion, as expressed in the newspapers, and the pulpits and the
schools, becomes one solid block. “Loyalty,” or rather war orthodoxy,
becomes the sole test for all professions, techniques, occupations.
Particularly is this true in the sphere of the intellectual life. There the
smallest taint is held to spread over the whole soul, so that a
professor of physics is ipso facto disqualified to teach physics or to
hold honorable place in a university—the republic of learning—if he
is at all unsound on the war. Even mere association with persons
thus tainted is considered to disqualify a teacher. Anything pertaining
to the enemy becomes taboo. His books are suppressed wherever
possible, his language is forbidden. His artistic products are
considered to convey in the subtlest spiritual way taints of vast
poison to the soul that permits itself to enjoy them. So enemy music
is suppressed, and energetic measures of opprobrium taken against
those whose artistic consciences are not ready to perform such an
act of self-sacrifice. The rage for loyal conformity works impartially,
and often in diametric opposition to other orthodoxies and traditional
conformities, or even ideals. The triumphant orthodoxy of the State is
shown at its apex perhaps when Christian preachers lose their
pulpits for taking more or less literal terms the Sermon on the Mount,
and Christian zealots are sent to prison for twenty years for
distributing tracts which argue that war is unscriptural.
War is the health of the State. It automatically sets in motion
throughout society those irresistible forces for uniformity, for
passionate coöperation with the Government in coercing into
obedience the minority groups and individuals which lack the larger
herd sense. The machinery of government sets and enforces the
drastic penalties, the minorities are either intimidated into silence, or
brought slowly around by a subtle process of persuasion which may
seem to them really to be converting them. Of course the ideal of
perfect loyalty, perfect uniformity is never really attained. The classes
upon whom the amateur work of coercion falls are unwearied in their
zeal, but often their agitation instead of converting, merely serves to
stiffen their resistance. Minorities are rendered sullen, and some
intellectual opinion bitter and satirical. But in general, the nation in
wartime attains a uniformity of feeling, a hierarchy of values
culminating at the undisputed apex of the State ideal, which could
not possibly be produced through any other agency than war. Other
values such as artistic creation, knowledge, reason, beauty, the
enhancement of life, are instantly and almost unanimously sacrificed,
and the significant classes who have constituted themselves the
amateur agents of the State, are engaged not only in sacrificing
these values for themselves but in coercing all other persons into
sacrificing them.
War—or at least modern war waged by a democratic republic
against a powerful enemy—seems to achieve for a nation almost all
that the most inflamed political idealist could desire. Citizens are no
longer indifferent to their Government, but each cell of the body
politic is brimming with life and activity. We are at last on the way to
full realization of that collective community in which each individual
somehow contains the virtue of the whole. In a nation at war, every
citizen identifies himself with the whole, and feels immensely
strengthened in that identification. The purpose and desire of the
collective community live in each person who throws himself whole-
heartedly into the cause of war. The impeding distinction between
society and the individual is almost blotted out. At war, the individual
becomes almost identical with his society. He achieves a superb
self-assurance, an intuition of the rightness of all his ideas and
emotions, so that in the suppression of opponents or heretics he is
invincibly strong; he feels behind him all the power of the collective
community. The individual as social being in war seems to have
achieved almost his apotheosis. Not for any religious impulse could
the American nation have been expected to show such devotion en
masse, such sacrifice and labor. Certainly not for any secular good,
such as universal education or the subjugation of nature, would it
have poured forth its treasure and its life, or would it have permitted
such stern coercive measures to be taken against it, such as
conscripting its money and its men. But for the sake of a war of
offensive self-defense, undertaken to support a difficult cause to the
slogan of “democracy,” it would reach the highest level ever known
of collective effort.
For these secular goods, connected with the enhancement of life,
the education of man and the use of the intelligence to realize
reason and beauty in the nation’s communal living, are alien to our
traditional ideal of the State. The State is intimately connected with
war, for it is the organization of the collective community when it acts
in a political manner, and to act in a political manner towards a rival
group has meant, throughout all history—war.
There is nothing invidious in the use of the term, “herd,” in
connection with the State. It is merely an attempt to reduce closer to
first principles the nature of this institution in the shadow of which we
all live, move and have our being. Ethnologists are generally agreed
that human society made its first appearance as the human pack
and not as a collection of individuals or of couples. The herd is in fact
the original unit, and only as it was differentiated did personal
individuality develop. All the most primitive surviving tribes of men
are shown to live in a very complex but very rigid social organization
where opportunity for individuation is scarcely given. These tribes
remain strictly organized herds, and the difference between them
and the modern State is one of degree of sophistication and variety
of organization, and not of kind.
Psychologists recognize the gregarious impulse as one of the
strongest primitive pulls which keeps together the herds of the
different species of higher animals. Mankind is no exception. Our
pugnacious evolutionary history has prevented the impulse from ever
dying out. This gregarious impulse is the tendency to imitate, to
conform, to coalesce together, and is most powerful when the herd
believes itself threatened with attack. Animals crowd together for
protection, and men become most conscious of their collectivity at
the threat of war. Consciousness of collectivity brings confidence and
a feeling of massed strength, which in turn arouses pugnacity and
the battle is on. In civilized man, the gregarious impulse acts not only
to produce concerted action for defense, but also to produce identity
of opinion. Since thought is a form of behavior, the gregarious
impulse floods up into its realms and demands that sense of uniform
thought which wartime produces so successfully. And it is in this
flooding of the conscious life of society that gregariousness works its
havoc.
For just as in modern societies the sex-instinct is enormously over-
supplied for the requirements of human propagation, so the
gregarious impulse is enormously over-supplied for the work of
protection which it is called upon to perform. It would be quite
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