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@misc{big-five-aca0,
  title = {{Arithmetic comprehension}},
  howpublished = {Lesson 1 of \emph{The Big Five}, Computability Theory course notes},
  url = {/courses/big-five/aca0},
  note = {Unreleased working version}
}

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Lesson 1 of 3

Arithmetic comprehension

The system ACA₀; it is equivalent to Σ⁰₁ comprehension, to the existence of Turing jumps, and to the existence of ranges of injections; its ω-models are the jump ideals; the monotone convergence theorem and König's lemma are equivalent to ACA₀.

40 min4 questions
Before this lesson:Mathematics in RCA₀ (Second-order arithmetic) · Finitely branching trees (Π⁰₁ classes)
The Big Five · lesson 1 of 3
  1. Arithmetic comprehension
  2. Weak König's lemma
  3. Transfinite recursion and Π¹₁ comprehension

The system ACA0\mathsf{ACA}_0 adds to RCA0\mathsf{RCA}_0 the existence of every set defined by an arithmetic formula. It is the system of the Turing jump: its ω-models are the classes of sets closed under relative computability, join and jump. Many classical theorems are equivalent to it: sequential compactness, the existence of limits of monotone sequences, König’s lemma for finitely branching trees, the existence of bases of vector spaces and of maximal ideals in countable rings. The proofs of the reversals share a pattern: the theorem, applied to a well-chosen computable instance, yields the range of an arbitrary injection.

1.1 The system and its equivalent forms

Definition 1.1.#

ACA0\mathsf{ACA}_0 consists of the axioms of RCA0\mathsf{RCA}_0 together with the comprehension scheme for arithmetic formulas.

By Proposition 1.3 of “The language and models of second-order arithmetic”, ACA0\mathsf{ACA}_0 proves the induction scheme for arithmetic formulas.

Theorem 1.2.#

The following are equivalent over RCA0\mathsf{RCA}_0:

  1. ACA0\mathsf{ACA}_0;
  2. Σ10\Sigma^0_1 comprehension;
  3. for every set XX, the jump X′={e:ΦeX(e) ⁣ ⁣↓}X' = \{ e : \Phi^X_e(e)\converge \} exists;
  4. for every injective function f:N→Nf : \nat \to \nat, the range of ff exists.
Proof of Theorem 1.2.

(1 ⇒ 2), (2 ⇒ 3) and (2 ⇒ 4) are instances of comprehension: the jump and the range {m:∃i f(i)=m}\{ m : \exists i\ f(i) = m \} are defined by Σ10\Sigma^0_1 formulas.

(4 ⇒ 2) Let φ(n)≡∃k θ(n,k)\varphi(n) \equiv \exists k\, \theta(n, k) with θ\theta bounded, possibly with parameters. Let f(⟨n,k⟩)=2n+1f(\langle n, k \rangle) = 2n + 1 if θ(n,k)\theta(n, k) holds and no k′<kk' < k satisfies θ(n,k′)\theta(n, k'), and f(⟨n,k⟩)=2⟨n,k⟩f(\langle n, k \rangle) = 2 \langle n, k \rangle otherwise. The function ff exists by Δ10\Delta^0_1 comprehension, and it is injective: an odd value 2n+12n+1 is taken at most once, at the least witness kk, and an even value 2⟨n,k⟩2\langle n, k \rangle at most once. Its range RR exists by (4), and {n:φ(n)}={n:2n+1∈R}\{ n : \varphi(n) \} = \{ n : 2n + 1 \in R \} exists by Δ10\Delta^0_1 comprehension.

(3 ⇒ 2) Let φ(n)\varphi(n) be Σ10\Sigma^0_1 with set parameters A1,…,AkA_1, \dots, A_k, and A=A1⊕⋯⊕AkA = A_1 \oplus \cdots \oplus A_k. By the formalized ss-mm-nn theorem, there is a primitive recursive hh such that Φh(n)A(h(n)) ⁣ ⁣↓\Phi^A_{h(n)}(h(n))\converge if and only if φ(n)\varphi(n); so {n:φ(n)}={n:h(n)∈A′}\{ n : \varphi(n) \} = \{ n : h(n) \in A' \}, which exists by Δ10\Delta^0_1 comprehension relative to A′A'.

(2 ⇒ 1) We show by induction on mm in the metatheory that Σ10\Sigma^0_1 comprehension proves Σm0\Sigma^0_m comprehension. Let φ(n)≡∃k ψ(n,k)\varphi(n) \equiv \exists k\, \psi(n, k) with ψ\psi a Πm0\Pi^0_{m} formula. By Σm0\Sigma^0_m comprehension applied to ¬ψ\neg \psi, which is equivalent to a Σm0\Sigma^0_m formula, the set Y={⟨n,k⟩:¬ψ(n,k)}Y = \{ \langle n, k \rangle : \neg \psi(n, k) \} exists. Then {n:φ(n)}={n:∃k ⟨n,k⟩∉Y}\{ n : \varphi(n) \} = \{ n : \exists k\, \langle n, k \rangle \notin Y \} exists by Σ10\Sigma^0_1 comprehension with parameter YY. Every arithmetic formula is equivalent to a Σm0\Sigma^0_m formula for some mm, by the prenex normal form.

The proof of (2 ⇒ 1) uses mm applications of Σ10\Sigma^0_1 comprehension for a Σm0\Sigma^0_m formula. Provability does not count applications: ACA0\mathsf{ACA}_0 does not distinguish the levels of the arithmetic hierarchy. Finer notions of reducibility between theorems, such as Weihrauch reducibility, do.

Definition 1.3.#

A jump ideal is a Turing ideal I\mathcal I such that X′∈IX' \in \mathcal I for every X∈IX \in \mathcal I.

Corollary 1.4.#

An ω-model satisfies ACA0\mathsf{ACA}_0 if and only if it is a jump ideal. The class ARITH\mathrm{ARITH} of arithmetic sets is the least ω-model of ACA0\mathsf{ACA}_0.

Proof of Corollary 1.4.

By Friedman and Theorem 1.2 (3), using absoluteness: YY is the jump of XX in the model if and only if Y=X′Y = X'. A jump ideal contains ∅(n)\emptyset^{(n)} for every nn, hence every arithmetic set, and ARITH\mathrm{ARITH} is a jump ideal by Post’s theorem (Post).

REC\mathrm{REC} is not a jump ideal, so RCA0\mathsf{RCA}_0 does not prove ACA0\mathsf{ACA}_0. The ω-jump ∅(ω)=⨁n∅(n)\emptyset^{(\omega)} = \bigoplus_n \emptyset^{(n)} is not arithmetic, so ACA0\mathsf{ACA}_0 does not prove that it exists: the system of the next level, ATR0\mathsf{ATR}_0, does.

1.2 Monotone convergence

Theorem 1.5.#

Over RCA0\mathsf{RCA}_0, ACA0\mathsf{ACA}_0 is equivalent to the monotone convergence theorem: every bounded non-decreasing sequence of reals has a limit.

Proof of Theorem 1.5.

(⇒\Rightarrow) Rescaling, we may assume 0≤xn≤10 \leq x_n \leq 1. By arithmetic comprehension, the set SS of rationals qq such that xn>qx_n > q for some nn exists. For each kk, let qkq_k be the largest number of the form j2−kj 2^{-k}, with −1≤j≤2k-1 \leq j \leq 2^k, that belongs to SS; it exists since −2−k<x0-2^{-k} < x_0, and the sequence (qk)(q_k) exists by Δ10\Delta^0_1 comprehension relative to SS. Some xnx_n exceeds qkq_k, and no xnx_n exceeds qk+2−kq_k + 2^{-k}: either qk+2−k∉Sq_k + 2^{-k} \notin S, or qk=1q_k = 1. For k≤lk \leq l, qk≤qlq_k \leq q_l, since qkq_k is also of the form j2−lj 2^{-l}, and ql<qk+2−kq_l < q_k + 2^{-k}, since some xnx_n exceeds qlq_l. So x=(qk)x = (q_k) is a real, with qk≤x≤qk+2−kq_k \leq x \leq q_k + 2^{-k}. It is the limit: every xnx_n satisfies xn≤qk+2−k≤x+2−kx_n \leq q_k + 2^{-k} \leq x + 2^{-k} for all kk, hence xn≤xx_n \leq x; and for each kk some xn>qk≥x−2−kx_n > q_k \geq x - 2^{-k}, so x−xm<2−kx - x_m < 2^{-k} for all m≥nm \geq n, since the sequence is non-decreasing.

(⇐\Leftarrow) We prove (4) of Theorem 1.2. Let ff be injective, and xn=∑i≤n2−f(i)−1x_n = \sum_{i \leq n} 2^{-f(i)-1}, as in Specker. It is non-decreasing and bounded by 11; let xx be its limit. For each mm, there is nn with x−xn<2−m−1x - x_n < 2^{-m-1}, and then mm is in the range of ff if and only if m=f(i)m = f(i) for some i≤ni \leq n: an i>ni > n with f(i)=mf(i) = m would give x−xn≥xi−xn≥2−m−1x - x_n \geq x_i - x_n \geq 2^{-m-1}. The condition x−xn<2−m−1x - x_n < 2^{-m-1} is Σ10\Sigma^0_1 in xx and (xn)(x_n). Hence

m∈ran(f)  ⟺  ∃n (x−xn<2−m−1∧∃i≤n f(i)=m),m∉ran(f)  ⟺  ∃n (x−xn<2−m−1∧∀i≤n f(i)≠m),\begin{aligned} m \in \mathrm{ran}(f) &\iff \exists n\, \big(x - x_n < 2^{-m-1} \wedge \exists i \leq n\ f(i) = m\big), \\ m \notin \mathrm{ran}(f) &\iff \exists n\, \big(x - x_n < 2^{-m-1} \wedge \forall i \leq n\ f(i) \neq m\big), \end{aligned}

two Σ10\Sigma^0_1 formulas. In both lines, the left-to-right direction holds with any nn such that x−xn<2−m−1x - x_n < 2^{-m-1}, by the observation above for the first line; the right-to-left direction is immediate for the first line and is the observation above for the second. So the range exists by Δ10\Delta^0_1 comprehension.

1.3 König’s lemma

A tree T⊆N<NT \subseteq \nat^{<\nat} is finitely branching if every node has finitely many immediate successors. König’s lemma states that every infinite finitely branching tree has an infinite path. Weak König’s lemma, the restriction to binary trees, is the subject of the next lesson. The computability-theoretic content of König’s lemma was established in Theorem 5.6 of “Finitely branching trees”; the reverse mathematics version is the following.

Theorem 1.6.#

Over RCA0\mathsf{RCA}_0, ACA0\mathsf{ACA}_0 is equivalent to König’s lemma.

Proof of Theorem 1.6.

(⇒\Rightarrow) Let TT be infinite and finitely branching. By arithmetic comprehension, the set EE of nodes of TT with infinitely many extensions in TT exists. The root belongs to EE. If σ∈E\sigma \in E, one of its finitely many immediate successors belongs to EE: otherwise each of them has finitely many extensions, and so would σ\sigma, by arithmetic induction on the number of successors. Define the path PP by P ⁣↾0=εP \uh 0 = \varepsilon and P ⁣↾(n+1)=P \uh (n+1) = the first immediate successor of P ⁣↾nP \uh n in EE, in the order of codes; this is a search relative to T⊕ET \oplus E that terminates, so PP exists by Δ10\Delta^0_1 comprehension.

(⇐\Leftarrow) We prove (4) of Theorem 1.2. Let ff be injective. Let TT be the set of sequences σ∈N<N\sigma \in \nat^{<\nat} such that, for every m<∣σ∣m < |\sigma|, either σ(m)=i+1\sigma(m) = i + 1 with f(i)=mf(i) = m, or σ(m)=0\sigma(m) = 0 and f(i)≠mf(i) \neq m for every i<∣σ∣i < |\sigma|. It is a tree, defined by a bounded formula, and each node has at most two immediate successors, since ff is injective. It is infinite: for each nn, the sequence σ\sigma of length nn with σ(m)=i+1\sigma(m) = i + 1 if f(i)=mf(i) = m for some i<ni < n, and σ(m)=0\sigma(m) = 0 otherwise, belongs to TT. Let PP be a path. If P(m)=i+1P(m) = i + 1, then f(i)=mf(i) = m. If P(m)=0P(m) = 0, then f(i)≠mf(i) \neq m for every ii, since P ⁣↾n∈TP \uh n \in T for every n>in > i. So ran(f)={m:P(m)≠0}\mathrm{ran}(f) = \{ m : P(m) \neq 0 \}, which exists by Δ10\Delta^0_1 comprehension.

The tree in the reversal has at most two immediate successors at each node, but their values are not bounded by a function computable from ff: the successors of a node σ\sigma of length mm are among σ0\sigma 0 and σ(i+1)\sigma (i + 1) with f(i)=mf(i) = m. For trees with a computable bound, or binary trees, the strength drops to weak König’s lemma.

1.4 Exercises

Exercise 1.7 ★.

Show that ACA0\mathsf{ACA}_0 does not prove that there is a set YY with Y[0]=∅Y^{[0]} = \emptyset and Y[n+1]=(Y[n])′Y^{[n+1]} = (Y^{[n]})' for every nn.

Solution

The condition on YY is expressed by the arithmetic formula ∀e (e∉Y[0])∧∀n ∀e (e∈Y[n+1]↔ΦeY[n](e) ⁣ ⁣↓)\forall e\, (e \notin Y^{[0]}) \wedge \forall n\, \forall e\, (e \in Y^{[n+1]} \leftrightarrow \Phi^{Y^{[n]}}_e(e)\converge). By absoluteness, a set YY satisfying it in an ω-model has Y[n]=∅(n)Y^{[n]} = \emptyset^{(n)} for every nn, so YY computes every ∅(n)\emptyset^{(n)} and is not arithmetic. So the statement fails in the ω-model ARITH\mathrm{ARITH} of ACA0\mathsf{ACA}_0 (Corollary 1.4).

Exercise 1.8 ★★.

The Bolzano–Weierstrass theorem states that every sequence of reals in [0,1][0, 1] has a subsequence converging to some real. Show that it is equivalent to ACA0\mathsf{ACA}_0 over RCA0\mathsf{RCA}_0.

Solution

(⇒\Rightarrow) With arithmetic comprehension relative to the sequence, define nested closed dyadic intervals J0=[0,1]⊇J1⊇⋯J_0 = [0, 1] \supseteq J_1 \supseteq \cdots, with JkJ_k of length 2−k2^{-k} containing xnx_n for infinitely many nn: take the left half of JkJ_k if it contains infinitely many terms, an arithmetic property, and the right half otherwise. By a search, choose n0<n1<⋯n_0 < n_1 < \cdots such that xnkx_{n_k} lies within 2−k2^{-k} of JkJ_k, a Σ10\Sigma^0_1 condition satisfied by infinitely many indices. The left endpoints of the JkJ_k form a real xx, which lies in every JkJ_k; since JkJ_k has length 2−k2^{-k}, ∣xnk−x∣<2−k+1|x_{n_k} - x| < 2^{-k+1}, so the subsequence converges to xx.

(⇐\Leftarrow) We prove the monotone convergence theorem and apply Theorem 1.5. Let (xn)(x_n) be non-decreasing, rescaled into [0,1][0, 1], and let (xnk)(x_{n_k}) converge to xx. Every xmx_m satisfies xm≤xx_m \leq x: otherwise, all terms xnkx_{n_k} with nk≥mn_k \geq m would be at least xm>xx_m > x, and could not converge to xx. Given ε>0\varepsilon > 0, choose kk with x−xnk<εx - x_{n_k} < \varepsilon; then 0≤x−xm<ε0 \leq x - x_m < \varepsilon for every m≥nkm \geq n_k. So xx is the limit of the whole sequence.

1.5 Notes and references

The equivalences of this lesson are in Simpson’s monograph, Chapter III, which also covers vector spaces, ideals in countable rings and the Bolzano–Weierstrass theorem. The arithmetic theorems of ACA0\mathsf{ACA}_0 are exactly those of Peano arithmetic: ACA0\mathsf{ACA}_0 is conservative over PA\mathsf{PA}, a result we admit (Simpson, Section IX.1).

  • S. G. Simpson, Subsystems of Second Order Arithmetic, 2nd edition, Cambridge University Press, 2009.
  • H. Friedman, Systems of second order arithmetic with restricted induction, abstracts, Journal of Symbolic Logic 41 (1976), 557–559.