Large countable ordinal

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Main article: Ordinal number

In the mathematical discipline of set theory, there are many ways of describing specific countable ordinals. The smallest ones can be usefully and non-circularly expressed in terms of their Cantor normal forms. Beyond that, many ordinals of relevance to proof theory still have computable ordinal notations. However, it is not possible to decide effectively whether a given putative ordinal notation is a notation or not (for reasons somewhat analogous to the unsolvability of the halting problem); various more-concrete ways of defining ordinals that definitely have notations are available.

Since there are only countably many notations, all ordinals with notations are exhausted well below the first uncountable ordinal ω₁; their supremum is called Church–Kleene ω₁ or ω₁^CK. Countable ordinals larger than this may still be defined, but do not have notations.

Due to the focus on countable ordinals, ordinal arithmetic is used throughout, except where otherwise noted. The ordinals described here are not as large as the ones described in large cardinals, but they are large among those which have constructive notations (descriptions). Larger and larger ordinals can be defined, but they become more and more difficult to describe.

1 Generalities on recursive ordinals
- 1.1 Ordinal notations
- 1.2 Relation to systems of arithmetic
2 Specific recursive ordinals
3 Beyond recursive ordinals
4 A pseudo-well-ordering
5 References

[edit] Generalities on recursive ordinals

[edit] Ordinal notations

Recursive ordinals (or computable ordinals) are certain countable ordinals: loosely speaking those which can be represented by a computable function. There are several equivalent definitions of this: the simplest is to say that a computable ordinal is the order-type of some recursive (i.e., computable) well-ordering of the natural numbers; so, essentially, an ordinal is recursive when we can present the set of smaller ordinals in such a way that a computer (Turing machine, say) can manipulate them (and, essentially, compare them).

A different definition uses Kleene's system of ordinal notations: briefly, an ordinal notation is either the name zero (describing the ordinal 0), or the successor of an ordinal notation (describing the successor of the ordinal described by that notation), or a Turing machine (computable function) which produces an increasing sequence or ordinal notations (describing the ordinal which is the limit of the sequence), and ordinal notations are (partially) ordered so as to make the successor of o greater than o and to make the limit greater than any term of the sequence (this order is computable; however, the set O of ordinal notations itself is highly non-recursive, owing to the impossibility of deciding whether a given Turing machine does indeed produce a sequence of notations); a recursive ordinal is then an ordinal which is described by some ordinal notation.

Any ordinal smaller than a recursive ordinal is itself recursive, so the set of all recursive ordinals forms a certain (countable) ordinal, the Church-Kleene ordinal (see below).

It is tempting to forget about ordinal notations and only speak of the recursive ordinals themselves: and some statements are made about recursive ordinals which, in fact, concern the notations for these ordinals. This can lead to difficulties, however, as even the smallest infinite ordinal, ω, has many notations, some of which cannot be proven to be equivalent to the obvious notation (the limit of the simplest program which enumerates all natural numbers).

[edit] Relation to systems of arithmetic

We briefly (and somewhat informally) mention an important relation between computable ordinals and certain formal systems (containing arithmetic, that is, at least a reasonable fragment of Peano arithmetic).

In a nutshell, the idea is that certain computable ordinals are so large that while they can be given by a certain ordinal notation o, a given formal system might not be sufficiently powerful to show that o is, indeed, an ordinal notation: the system does not show transfinite induction for such large ordinals.

For example, the usual first-order Peano axioms do not prove transfinite induction for (or beyond) ε₀: while the ordinal ε₀ can easily be arithmetically described (it is countable), the Peano axioms are not strong enough to show that it is indeed an ordinal; in fact, transfinite induction on ε₀ proves the consistency of Peano's axiom (a theorem by Gentzen), so by Gödel's incompleteness theorem, Peano's axiom cannot formalize that reasoning. (This is at the basis of the Kirby-Paris theorem on Goodstein sequences.) We say that ε₀ measures the proof-theoretic strength of Peano's axioms.

But we can do this for systems far beyond Peano's axioms. For example, the proof-theoretic strength of Kripke-Platek set theory is the Bachmann-Howard ordinal (see below), and, in fact, merely adding to Peano's axioms the axioms which state the well-ordering of all ordinals below the Bachmann-Howard ordinal is sufficient to obtain all arithmetical consequences of Kripke-Platek set theory.

[edit] Specific recursive ordinals

[edit] Predicative definitions and the Veblen hierarchy

We have already mentioned (see Cantor normal form) the ordinal ε₀, which is the smallest satisfying the equation $ω α = α$ , so it is the limit of the sequence 0, 1, $ω$ , $ω ω$ , $\omega^{\omega^\omega}$ , etc. The next ordinal satisfying this equation is called ε₁: it is the limit of the sequence

$\varepsilon_0+1$ , $\omega^{\varepsilon_0+1}=\varepsilon_0\cdot\omega$ , $\omega^{\omega^{\varepsilon_0+1}}=(\varepsilon_0)^\omega$ , etc.

More generally, the $ι$ -th ordinal such that $ω α = α$ is called $\varepsilon_\iota$ . We could define $η 0$ as the smallest ordinal such that $\varepsilon_\alpha=\alpha$ , but since the Greek alphabet does not have transfinitely many letters it is better to use a more robust notation: define ordinals $\varphi_\gamma(\beta)$ by transfinite induction as follows: let $\varphi_0(\beta) = \omega^\beta$ and let $\varphi_{\gamma+1}(\beta)$ be the $β$ -th fixed point of $\varphi_\gamma$ (i.e., the $β$ -th ordinal such that $\varphi_\gamma(\alpha)=\alpha$ ; so for example, $\varphi_1(\beta) = \varepsilon_\beta$ ), and when $δ$ is a limit ordinal, define $\varphi_\delta(\alpha)$ as the $α$ -th common fixed point of the $\varphi_\gamma$ for all $γ < δ$ . This family of functions is known as the Veblen hierarchy. (There are inessential variations in the definition, such as letting, for $δ$ a limit ordinal, $\varphi_\delta(\alpha)$ be the limit of the $\varphi_\gamma(\alpha)$ for $γ < δ$ : this essentially just shifts the indices by 1, which is harmless.)

Ordering: $\varphi_\alpha(\beta) < \varphi_\gamma(\delta)$ if and only if either ( $α = γ$ and $β < δ$ ) or ( $α < γ$ and $\beta < \varphi_\gamma(\delta)$ ) or ( $α > γ$ and $\varphi_\alpha(\beta) < \delta$ ).

[edit] Fundamental sequences for the Veblen hierarchy

The fundamental sequence of an ordinal with cofinality ω is a distinguished strictly increasing ω-sequence which has the ordinal as its limit. If one has fundamental sequences for α and all smaller limit ordinals, then one can create an explicit constructive bijection between ω and α, (i.e. one not using the axiom of choice). Here we will describe fundamental sequences for the Veblen hierarchy of ordinals.

A variation of Cantor normal form used in connection with the Veblen hierarchy is -- every ordinal number α can be uniquely written as $\varphi_{\beta_1}(\gamma_1) + \varphi_{\beta_2}(\gamma_2) + \cdots + \varphi_{\beta_k}(\gamma_k)$ , where k is a natural number and each term after the first is less than or equal to the previous term and each $γ j$ is not a fixed point of $\varphi_{\beta_j}$ . If a fundamental sequence can be provided for the last term, then that term can be replaced by such a sequence to get a fundamental sequence for α.

No such sequence can be provided for $\varphi_0(0)$ = ω⁰ = 1 because it does not have cofinality ω.

For $\varphi_0(\gamma+1) = \omega ^{\gamma+1} = \omega^ \gamma \cdot \omega$ , we choose the function which maps the natural number m to $\omega^\gamma \cdot m$ .

If γ is a limit which is not a fixed point of $\varphi_0$ , then for $\varphi_0(\gamma)$ , we replace γ by its fundamental sequence inside $\varphi_0$ .

For $\varphi_{\beta+1}(0)$ , we use 0, $\varphi_{\beta}(0)$ , $\varphi_{\beta}(\varphi_{\beta}(0))$ , $\varphi_{\beta}(\varphi_{\beta}(\varphi_{\beta}(0)))$ , etc..

For $\varphi_{\beta+1}(\gamma+1)$ , we use $\varphi_{\beta+1}(\gamma)+1$ , $\varphi_{\beta}(\varphi_{\beta+1}(\gamma)+1)$ , $\varphi_{\beta}(\varphi_{\beta}(\varphi_{\beta+1}(\gamma)+1))$ , etc..

If γ is a limit which is not a fixed point of $\varphi_{\beta+1}$ , then for $\varphi_{\beta+1}(\gamma)$ , we replace γ by its fundamental sequence inside $\varphi_{\beta+1}$ .

Now suppose that β is a limit: If $\beta < \varphi_{\beta}(0)$ , then for $\varphi_{\beta}(0)$ , we replace β by its fundamental sequence.

For $\varphi_{\beta}(\gamma+1)$ , use $\varphi_{\beta_m}(\varphi_{\beta}(\gamma)+1)$ where $β m$ is the fundamental sequence for β.

If γ is a limit which is not a fixed point of $\varphi_{\beta}$ , then for $\varphi_{\beta}(\gamma)$ , we replace γ by its fundamental sequence inside $\varphi_{\beta}$ .

Otherwise, the ordinal cannot be described in terms of smaller ordinals using $\varphi$ and this scheme does not apply to it.

[edit] The Feferman-Schütte ordinal and beyond

The smallest ordinal such that $\varphi_\alpha(0) = \alpha$ is known as the Feferman-Schütte ordinal and generally written $Γ 0$ . It can be described as the set of all ordinals which can be written as finite expressions, starting from zero, using only the Veblen hierarchy and addition. The Feferman-Schütte ordinal is important because, in a sense that is rather complicated to make precise, it is the smallest (infinite) ordinal which cannot be (“predicatively”) described using smaller ordinals. It measures the strength of such systems as “arithmetical transfinite recursion”.

More generally, Γ_α enumerates the ordinals that cannot be obtained from smaller ordinals using addition and the Veblen functions.

It is, of course, possible to describe ordinals beyond the Feferman-Schütte ordinal. One could continue to seek fixed points in more and more complicated manner: enumerate the fixed points of $\alpha\mapsto\Gamma_\alpha$ , then enumerate the fixed points of that, and so on, and then look for the first ordinal α such that α is obtained in α steps of this process, and continue diagonalizing in this ad hoc manner. This leads to the definition of the “small” and “large” Veblen ordinals ( $\psi(\Omega^{\Omega^\omega})$ and $\psi(\Omega^{\Omega^\Omega})$ with the notation introduced below), but one must run out of patience before one runs out of ordinals (even recursive - and therefore countable! - ones).

[edit] Impredicative ordinals

To go far beyond the Feferman-Schütte ordinal, one needs to introduce new methods. Unfortunately there is not yet any standard way to do this: every author in the subject seems to have invented their own system of notation, and it is quite hard to translate between the different systems. The first such system was introduced by Bachmann in 1950 (in an ad hoc manner), and different extensions and variations of it were described by Buchholz, Takeuti (ordinal diagrams), Feferman (θ systems), Aczel, Bridge, Schütte, and Pohlers. However most systems use the same basic idea, of constructing new countable ordinals by using the existence of certain uncountable ordinals. Here is perhaps the simplest way of doing this as an example:

ψ(α) is defined to be the smallest ordinal that cannot be constructed by starting with 0 and Ω, and repeatedly applying addition, the Veblen functions, and ψ to previously constructed ordinals (except that ψ can only be applied to arguments less than α, to ensure that it is well defined).

Here Ω = ω₁ is the first uncountable ordinal. It is put in because otherwise the function ψ gets "stuck" at the smallest ordinal σ such that Γ_σ=σ: in particular ψ(α)=σ for any ordinal α satisfying σ≤α≤Ω. However the fact that we included Ω allows us to get past this point: ψ(Ω+1) is greater than σ. The key property of Ω that we used is that it is greater than σ. This definition is impredicative, because it uses the uncountable ordinal Ω, which in some sense already uses all the countable ordinals we are trying to construct in its construction. Also, the least-fixed-point operator used in the Veblen hierarchy is not predicative. ^[1]

To construct still larger ordinals, we can extend the definition of ψ by throwing in more ways of constructing uncountable ordinals. There are several ways to do this:

We can add in more functions producing cardinals from ordinals such as the $ω$ function: whenever we have an ordinal α we add in the ordinal (in fact cardinal) $ω α$ .
We can add in some inaccessible cardinals, or functions producing inaccessible cardinals.
The function ψ defined above only constructs countable ordinals. We can modify it in various ways so that it also produces new uncountable ordinals (which can then be fed back into it to produce new countable ordinals). For example, instead of taking the smallest ordinal we have not yet produced as its value, we could take the smallest new ordinal of some given cardinality.

The Bachmann-Howard ordinal (ψ(ε_Ω+1) with the notation above) is an important one, because it describes the proof-theoretic strength of Kripke-Platek set theory. Indeed, the main importance of these large ordinals, and the reason to describe them, is their relation to certain formal systems as explained above. However, such powerful formal systems as full second-order arithmetic, let alone Zermelo-Fraenkel set theory, seem beyond reach for the moment.

By dropping the requirement of having a useful description, even larger recursive countable ordinals can be obtained as the ordinals measuring the strengths of various strong theories; roughly speaking, these ordinals are the smallest ordinals that the theories cannot prove are well ordered. By taking stronger and stronger theories such as second-order arithmetic, Zermelo set theory, Zermelo-Fraenkel set theory, or Zermelo-Fraenkel set theory with various large cardinal axioms, one gets some extremely large recursive ordinals. (Strictly speaking it is not known that all of these really are ordinals: by construction, the ordinal strength of a theory can only be proven to be an ordinal from an even stronger theory. So for the large cardinal axioms this becomes quite unclear.)

[edit] Beyond recursive ordinals

An even larger countable ordinal can be defined as the smallest countable ordinal which cannot be described in a recursive way (it is not the order type of any recursive well-ordering of the integers), and that ordinal is called the Church-Kleene ordinal, $\omega_1^{\mathrm{CK}}$ (despite the $ω 1$ in the name, this ordinal is countable). Thus, $\omega_1^{\mathrm{CK}}$ is the smallest non-recursive ordinal, and there is no hope of precisely “describing” any ordinals from this point on—we can only define them. But it is still far from the first uncountable ordinal $ω 1$ (although as its symbol suggests, it behaves in many ways rather like $ω 1$ ).

The Church-Kleene ordinal is again related to Kripke-Platek set theory, but now in a different way: whereas the Bachmann-Howard ordinal was the smallest ordinal for which KP does not prove transfinite induction, the Church-Kleene ordinal is the smallest α such that the construction of the Gödel universe, L, up to stage α, yields a model $L α$ of KP: such ordinals are called admissible, thus $\omega_1^{\mathrm{CK}}$ is the smallest admissible ordinal (beyond ω in case the axiom of infinity is not included in KP). By a theorem of Sacks, the countable admissible ordinals are exactly those which are constructed in a manner similar to the Church-Kleene ordinal but for Turing machines with oracles. One sometimes writes $\omega_\alpha^{\mathrm{CK}}$ for the $α$ -th ordinal which is either admissible or limit of admissible; an ordinal which is both is called recursively inaccessible: there exists a theory of large ordinals in this manner which is highly parallel to that of (small) large cardinals (we can define recursively Mahlo cardinals, for example). But note that we are still talking about countable ordinals here!

We can imagine even larger ordinals which are still countable: for example, if ZFC has a transitive model (a hypothesis stronger than the mere hypothesis of consistency, and which is implied by the existence of an inaccessible cardinal), then there exists a countable $α$ such that $L α$ is a model of ZFC. Even larger countable ordinals can be defined by indescribability conditions.

[edit] A pseudo-well-ordering

Within the scheme of notations of Kleene there are some which represent ordinals and some which do not. One can define a recursive total ordering which is a subset of the Kleene notations and has an initial segment which is well-ordered with order-type $\omega_1^{\mathrm{CK}}$ . Every recursively enumerable (or even hyperarithmetic) subset of this total ordering has a least element. So it resembles a well-ordering in some respects. For example, one can define the arithmetic operations on it. Yet it is not possible to effectively determine exactly where the initial well-ordered part ends and the part lacking a least element begins.

[edit] References

Most books describing large countable ordinals are on proof theory, and unfortunately tend to be out of print.

W. Pohlers, Proof theory, ISBN 0-387-51842-8 (for Veblen hierarchy and some impredicative ordinals). This is probably the most readable book on large countable ordinals (which is not saying much).
G. Takeuti, Proof theory, 2nd edition 1987 ISBN 0-444-10492-5 (for ordinal diagrams)
K. Schütte, Proof theory, Springer 1977 ISBN 0-387-07911-4 (for Veblen hierarchy and some impredicative ordinals)
Smorynski, C. The varieties of arboreal experience Math. Intelligencer 4 (1982), no. 4, 182-189; contains an informal description of the Veblen hierarchy.
Theory of Recursive Functions and Effective Computability by Hartley Rogers ISBN 0-262-68052-1 (describes recursive ordinals and the Church–Kleene ordinal)
Larry W. Miller,Normal Functions and Constructive Ordinal Notations,The Journal of Symbolic Logic,volume 41,number 2,June 1976,pages 439 to 459.
Hilbert Levitz, Transfinite Ordinals and Their Notations: For The Uninitiated, expository article (8 pages, in PostScript)

^ Predicativity beyond Gamma 0 [1]

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Categories: Ordinal numbers | Proof theory