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  title = {{Arithmetic definability}},
  howpublished = {Lesson 4 of \emph{The arithmetic hierarchy}, Computability Theory course notes},
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Lesson 4 of 5

Arithmetic definability

The arithmetic sets are the sets definable in the language of arithmetic; Σ₁-definable means c.e.; truth in ℕ is not arithmetic, and the first incompleteness theorem.

40 min4 questions
Before this lesson:Post's theorem · Coding finite sequences (Models of computation)
The arithmetic hierarchy · lesson 4 of 5
  1. Σ⁰ₙ and Π⁰ₙ sets
  2. Post's theorem
  3. Classifying index sets
  4. Arithmetic definability
  5. Codes for sets

The name of the arithmetic hierarchy comes from logic: its sets are exactly the sets definable by a first-order formula in the language of arithmetic, with addition and multiplication, interpreted in the natural numbers. The number of quantifier alternations of the formula is the level in the hierarchy. The difficult direction is to express computations by formulas, which is done with Gödel’s β-function. Two classical results follow: truth in N\nat cannot be defined in arithmetic (Tarski), and no computably axiomatized theory proves all true sentences of arithmetic (Gödel).

4.1 The language of arithmetic

The language of arithmetic has a constant 00, a unary function symbol SS, binary function symbols ++ and ⋅\cdot, and a binary relation symbol <<, together with equality. Terms are built from variables and 00 with SS, ++ and ⋅\cdot; formulas from equations t1=t2t_1 = t_2 and inequalities t1<t2t_1 < t_2 between terms with ¬\neg, ∧\wedge, ∨\vee, →\to, ∃x\exists x and ∀x\forall x. Formulas are interpreted in the standard model N\nat, with the usual operations. For a formula φ(x1,…,xk)\varphi(x_1, \dots, x_k) and integers n⃗\vec n, we write N⊨φ(n⃗)\nat \models \varphi(\vec n) if φ\varphi holds in N\nat when xix_i is interpreted as nin_i. The numeral of nn is the term nˉ=S(S(⋯S(0)⋯ ))\bar n = S(S(\cdots S(0) \cdots)) with nn symbols SS.

Definition 4.1.#

A relation A⊆NkA \subseteq \nat^k is definable (in arithmetic) if there is a formula φ(x1,…,xk)\varphi(x_1, \dots, x_k) with n⃗∈A  ⟺  N⊨φ(n⃗)\vec n \in A \iff \nat \models \varphi(\vec n) for every n⃗\vec n.

Definition 4.2.#

A formula is bounded if every quantifier in it has the form ∃y (y<t∧⋯ )\exists y\, (y < t \wedge \cdots) or ∀y (y<t→⋯ )\forall y\, (y < t \to \cdots), written ∃y<t\exists y < t and ∀y<t\forall y < t, where tt is a term not containing yy. A Σ1\Sigma_1 formula is a formula ∃y1⋯∃ym θ\exists y_1 \cdots \exists y_m\ \theta with θ\theta bounded, and a relation is Σ1\Sigma_1-definable if it is defined by a Σ1\Sigma_1 formula.

Lemma 4.3.#

Every relation defined by a bounded formula is primitive recursive.

Proof of Lemma 4.3.

The value of a term is a primitive recursive function of its variables, by induction on the term, since successor, addition and multiplication are primitive recursive. The relations == and << are primitive recursive, and primitive recursive relations are closed under Boolean operations and bounded quantifiers whose bound is a primitive recursive function of the free variables (Corollary 5.10 of “Primitive recursive functions”). The result follows by induction on the formula.

Lemma 4.4 (Closure of Σ₁-definable relations).#

The Σ1\Sigma_1-definable relations are closed under conjunction, disjunction, existential quantification, bounded existential quantification, and bounded universal quantification ∀z<t\forall z < t.

Proof of Lemma 4.4.

For conjunction and disjunction, rename the bound variables apart and move the existential quantifiers to the front: ∃y⃗ θ∧∃z⃗ η\exists \vec y\ \theta \wedge \exists \vec z\ \eta is equivalent to ∃y⃗ ∃z⃗ (θ∧η)\exists \vec y\, \exists \vec z\, (\theta \wedge \eta). Existential quantification is immediate, and ∃z<t ∃y⃗ θ\exists z < t\ \exists \vec y\ \theta is equivalent to ∃z ∃y⃗ (z<t∧θ)\exists z\, \exists \vec y\, (z < t \wedge \theta). For bounded universal quantification, the collection principle holds in N\nat:

N⊨∀z<t ∃y⃗ θ  ⟺  N⊨∃b ∀z<t ∃y⃗<b θ,\nat \models \forall z < t\ \exists \vec y\ \theta \iff \nat \models \exists b\ \forall z < t\ \exists \vec y < b\ \theta,

where ∃y⃗<b\exists \vec y < b abbreviates ∃y1<b⋯∃ym<b\exists y_1 < b \cdots \exists y_m < b. From left to right, choose witnesses for each of the finitely many values of zz and let bb exceed all of them. The right-hand side is a Σ1\Sigma_1 formula.

The equivalences are equivalences in N\nat: the formulas are not syntactically Σ1\Sigma_1, but they define the same relations as Σ1\Sigma_1 formulas. This is all that matters for definability.

4.2 Computations are Σ₁-definable

Theorem 4.5.#

For every primitive recursive function f:Nk→Nf : \nat^k \to \nat, the graph {(x⃗,y):f(x⃗)=y}\{ (\vec x, y) : f(\vec x) = y \} is Σ1\Sigma_1-definable.

Proof of Theorem 4.5.

By induction on the definition of ff as a primitive recursive function. The basic functions have the bounded definitions y=0y = 0, y=S(x)y = S(x) and y=xiy = x_i.

Composition. If f(x⃗)=h(g1(x⃗),…,gm(x⃗))f(\vec x) = h(g_1(\vec x), \dots, g_m(\vec x)) and the graphs of hh and of the gig_i are defined by Σ1\Sigma_1 formulas ψh\psi_h and ψgi\psi_{g_i}, then

f(x⃗)=y  ⟺  ∃z1⋯∃zm (⋀iψgi(x⃗,zi)∧ψh(z⃗,y)),f(\vec x) = y \iff \exists z_1 \cdots \exists z_m\ \Big( \textstyle\bigwedge_i \psi_{g_i}(\vec x, z_i) \wedge \psi_h(\vec z, y) \Big),

which is Σ1\Sigma_1-definable by Lemma 4.4.

Primitive recursion. Let f(x⃗,0)=g(x⃗)f(\vec x, 0) = g(\vec x) and f(x⃗,n+1)=h(x⃗,n,f(x⃗,n))f(\vec x, n + 1) = h(\vec x, n, f(\vec x, n)). A computation of f(x⃗,n)f(\vec x, n) is the finite sequence of values f(x⃗,0),…,f(x⃗,n)f(\vec x, 0), \dots, f(\vec x, n), which by Gödel’s lemma (Gödel) is represented by two integers c,dc, d through the β-function β(c,d,i)=c mod (1+(i+1)d)\beta(c, d, i) = c \bmod (1 + (i + 1) d) (Definition 6.5 of “Coding finite sequences”). The graph of β\beta is defined by the bounded formula

β(c,d,i)=r  ⟺  ∃q<c+1  (c=q⋅(1+(i+1)d)+r ∧ r<1+(i+1)d).\beta(c, d, i) = r \iff \exists q < c + 1\ \ \big( c = q \cdot (1 + (i + 1) d) + r \ \wedge\ r < 1 + (i + 1) d \big).

Then f(x⃗,n)=yf(\vec x, n) = y if and only if there are cc and dd such that β(c,d,0)=g(x⃗)\beta(c, d, 0) = g(\vec x), such that β(c,d,i+1)=h(x⃗,i,β(c,d,i))\beta(c, d, i + 1) = h(\vec x, i, \beta(c, d, i)) for every i<ni < n, and such that β(c,d,n)=y\beta(c, d, n) = y. Indeed, if these conditions hold, the values β(c,d,i)\beta(c, d, i) are f(x⃗,i)f(\vec x, i) by induction on i≤ni \leq n; conversely, Gödel’s lemma provides cc and dd encoding the sequence f(x⃗,0),…,f(x⃗,n)f(\vec x, 0), \dots, f(\vec x, n). Written with the formulas for the graphs of gg, hh and β\beta, each condition is Σ1\Sigma_1-definable, the second one by bounded universal quantification over a Σ1\Sigma_1-definable relation. By Lemma 4.4, the graph of ff is Σ1\Sigma_1-definable.

Corollary 4.6.#

A relation is Σ1\Sigma_1-definable if and only if it is c.e. Every computable relation is defined both by a Σ1\Sigma_1 formula and by the negation of a Σ1\Sigma_1 formula.

Proof of Corollary 4.6.

A Σ1\Sigma_1-definable relation is the projection of a relation defined by a bounded formula, which is computable by Lemma 4.3; so it is c.e. Conversely, by Kleene's normal form, x∈Wex \in W_e if and only if ∃s T1(e,x,s)\exists s\ T_1(e, x, s), with T1T_1 primitive recursive. If χ\chi is the characteristic function of T1T_1, then T1(e,x,s)  ⟺  χ(e,x,s)=1T_1(e, x, s) \iff \chi(e, x, s) = 1, and the graph of χ\chi is Σ1\Sigma_1-definable by Theorem 4.5; so WeW_e is Σ1\Sigma_1-definable. For a c.e. relation of arity kk, the same argument applies with TkT_k, since a c.e. relation is the domain of a partial computable function of kk arguments. A computable relation and its complement are c.e., which gives the second statement.

4.3 Definable sets are arithmetic

Theorem 4.7.#

A relation is definable in arithmetic if and only if it is arithmetic. More precisely, for n≥1n \geq 1, a relation is Σn0\Sigma^0_n if and only if it is defined by a formula ∃y1 ∀y2⋯Qyn φ\exists y_1\, \forall y_2 \cdots Q y_n\ \varphi where φ\varphi is a Σ1\Sigma_1 formula or the negation of one, according to the parity of nn.

Proof of Theorem 4.7.

If AA is Σn0\Sigma^0_n, then x⃗∈A  ⟺  ∃y1 ∀y2⋯Qyn R(x⃗,y⃗)\vec x \in A \iff \exists y_1\, \forall y_2 \cdots Q y_n\ R(\vec x, \vec y) with RR computable, and RR is defined both by a Σ1\Sigma_1 formula and by the negation of one (Corollary 4.6); choosing the first when QQ is ∃\exists (nn odd) and the second when QQ is ∀\forall (nn even) gives a definition of the stated form. Conversely, in a formula of the stated form, φ\varphi defines a Σ10\Sigma^0_1 relation when nn is odd and a Π10\Pi^0_1 relation when nn is even (Corollary 4.6). Then Qyn φQ y_n\ \varphi defines a relation of the same class, by Proposition 1.4, and each of the n−1n - 1 remaining quantifiers, of the kind opposite to the one after it, raises the level by one: ∀y\forall y in front of a Σk0\Sigma^0_k relation gives a Πk+10\Pi^0_{k+1} relation, and ∃y\exists y in front of a Πk0\Pi^0_k relation a Σk+10\Sigma^0_{k+1} relation. The relation defined is therefore Σn0\Sigma^0_n.

For the first statement, it remains to show that every definable relation is arithmetic, by induction on formulas. Atomic formulas define computable relations. The arithmetic relations are closed under complement, since Σn0\Sigma^0_n and Πn0\Pi^0_n are complements of each other and Πn0⊆Σn+10\Pi^0_n \subseteq \Sigma^0_{n+1}; under finite unions and intersections, since a Σm0\Sigma^0_m and a Σn0\Sigma^0_n relation are both Σmax⁡(m,n)0\Sigma^0_{\max(m, n)}; and under quantification, since ∃y\exists y applied to a Σn0\Sigma^0_n relation gives a Σn0\Sigma^0_n relation, and ∀y\forall y applied to a Σn0\Sigma^0_n relation gives a Πn+10\Pi^0_{n+1} relation (Proposition 1.4).

4.4 Truth is not arithmetic

Formulas are finite strings over a finite alphabet, and we fix a computable coding φ↦⌜φ⌝\varphi \mapsto \ulcorner \varphi \urcorner of formulas by integers, under which the usual syntactic operations are computable. In particular, given ⌜φ(x)⌝\ulcorner \varphi(x) \urcorner and nn, the code of the sentence φ(nˉ)\varphi(\bar n) is computable.

Theorem 4.8 (Tarski).#

The set True={⌜φ⌝:φ is a sentence and N⊨φ}\mathrm{True} = \{ \ulcorner \varphi \urcorner : \varphi \text{ is a sentence and } \nat \models \varphi \} is not arithmetic. In particular, it is not definable in arithmetic.

Proof of Theorem 4.8.

Every arithmetic set AA is many-one reducible to True\mathrm{True}: by Theorem 4.7, some formula φ(x)\varphi(x) defines AA, and n∈A  ⟺  ⌜φ(nˉ)⌝∈Truen \in A \iff \ulcorner \varphi(\bar n) \urcorner \in \mathrm{True}, and n↦⌜φ(nˉ)⌝n \mapsto \ulcorner \varphi(\bar n) \urcorner is computable. Suppose True\mathrm{True} is Σn0\Sigma^0_n. The set ∅(n+1)\emptyset^{(n+1)} is arithmetic, so it reduces to True\mathrm{True}, and it would be Σn0\Sigma^0_n by Proposition 1.6. But Σn0⊆Πn+10\Sigma^0_n \subseteq \Pi^0_{n+1}, and ∅(n+1)\emptyset^{(n+1)} is not Πn+10\Pi^0_{n+1} (Corollary 2.3). The second statement follows by Theorem 4.7.

The set True\mathrm{True} is in fact Turing equivalent to ∅(ω)={⟨n,x⟩:x∈∅(n)}\emptyset^{(\omega)} = \{ \langle n, x \rangle : x \in \emptyset^{(n)} \}, the uniform join of all the finite jumps: the truth of a prenex sentence with nn blocks of quantifiers can be decided with the oracle ∅(n)\emptyset^{(n)}, uniformly in nn, and conversely ∅(n)\emptyset^{(n)} is reducible to True\mathrm{True}, uniformly in nn. We admit this refinement (see Rogers’ book); it is the starting point of the hyperarithmetic hierarchy, which continues the jump along computable ordinals.

Corollary 4.9 (First incompleteness theorem).#

Let TT be a set of sentences true in N\nat whose set of theorems is c.e. Then some true sentence is not a theorem of TT.

Proof of Corollary 4.9.

The set of theorems of TT is c.e., hence Σ10\Sigma^0_1, and it is contained in True\mathrm{True}, since the theorems of a set of true sentences are true. If it were equal to True\mathrm{True}, then True\mathrm{True} would be Σ10\Sigma^0_1, contradicting Theorem 4.8.

For a theory given by a computable set of axioms, the set of theorems is c.e., since proofs are finite objects whose correctness is decidable; we admit this, which belongs to a course on logic. Gödel’s original theorem is stronger in two respects: for theories that contain a weak fragment of arithmetic, it assumes only the ω\omega-consistency of TT, not its truth (Rosser (1936) weakened this hypothesis to consistency), and it produces an explicit unprovable sentence.

4.5 Exercises

Exercise 4.10 ★.

Show that the graph of exponentiation {(x,z,y):y=xz}\{ (x, z, y) : y = x^z \} is Σ1\Sigma_1-definable, by a direct use of the β-function.

Solution

y=xzy = x^z if and only if there are c,dc, d with β(c,d,0)=1\beta(c, d, 0) = 1, β(c,d,i+1)=β(c,d,i)⋅x\beta(c, d, i + 1) = \beta(c, d, i) \cdot x for all i<zi < z, and β(c,d,z)=y\beta(c, d, z) = y. Each condition is Σ1\Sigma_1-definable, using the bounded definition of the graph of β\beta; the second one by Lemma 4.4. The same proof as in Theorem 4.5 shows that this defines the graph.

Exercise 4.11 ★.

Show that a set is computable if and only if it is defined both by a Σ1\Sigma_1 formula and by the negation of a Σ1\Sigma_1 formula.

Solution

By Corollary 4.6, a set defined by a Σ1\Sigma_1 formula is c.e., and a set defined by the negation of a Σ1\Sigma_1 formula is co-c.e.; a set that is both is computable (Proposition 4.8 of “Computably enumerable sets”). The converse is the second statement of the corollary.

Exercise 4.12 ★★.

Show that the set of codes of true Σ1\Sigma_1 sentences is Σ10\Sigma^0_1-complete.

Solution

The truth of a bounded sentence is decidable, uniformly in its code, by evaluating it: the quantifiers range over finite sets, whose bounds are values of closed terms. A Σ1\Sigma_1 sentence ∃y⃗ θ\exists \vec y\ \theta is true if and only if some tuple m⃗\vec m makes θ(mˉ⃗)\theta(\vec{\bar m}) true, which is a c.e. condition on the code. For completeness, let ψ(e,x)\psi(e, x) be a Σ1\Sigma_1 formula defining the relation ∃s T(e,x,s)\exists s\ T(e, x, s), by Corollary 4.6. Then e∈∅′  ⟺  ⌜ψ(eˉ,eˉ)⌝e \in \emptyset' \iff \ulcorner \psi(\bar e, \bar e) \urcorner is a true Σ1\Sigma_1 sentence, and e↦⌜ψ(eˉ,eˉ)⌝e \mapsto \ulcorner \psi(\bar e, \bar e) \urcorner is computable.

4.6 Notes and references

The β-function and the representation of recursive functions in arithmetic are due to Gödel (1931). The undefinability of truth is due to Tarski (1933, published in German in 1936). The equivalence between definability and the arithmetic hierarchy is due to Kleene (1943) and Mostowski (1947). Smoryński’s book and Kaye’s book on models of Peano arithmetic give detailed treatments.

  • K. Gödel, Über formal unentscheidbare Sätze der Principia Mathematica und verwandter Systeme I, Monatshefte für Mathematik und Physik 38 (1931), 173–198.
  • A. Tarski, Der Wahrheitsbegriff in den formalisierten Sprachen, Studia Philosophica 1 (1936), 261–405.
  • R. Kaye, Models of Peano Arithmetic, Oxford University Press, 1991.
  • C. Smoryński, Logical Number Theory I, Springer, 1991.
  • J. B. Rosser, Extensions of some theorems of Gödel and Church, Journal of Symbolic Logic 1 (1936), 87–91.
  • H. Rogers, Theory of Recursive Functions and Effective Computability, McGraw-Hill, 1967.