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@misc{descriptive-set-theory-perfect-sets,
  title = {{Countable Σ¹₁ classes}},
  howpublished = {Lesson 3 of \emph{Effective descriptive set theory}, Computability Theory course notes},
  url = {/courses/descriptive-set-theory/perfect-sets},
  note = {Unreleased working version}
}

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Lesson 3 of 3

Countable Σ¹₁ classes

Σ¹₁ singletons are hyperarithmetic; the class of hyperarithmetic sets is Π¹₁; by the effective perfect set theorem, a Σ¹₁ class with a non-hyperarithmetic member contains a perfect closed subclass, so countable Σ¹₁ classes consist of hyperarithmetic sets.

30 min2 questions
Effective descriptive set theory · lesson 3 of 3
  1. Π¹₁ norms and the reduction property
  2. Uniformization and stages
  3. Countable Σ¹₁ classes

Classical descriptive set theory proves that an analytic subset of the reals is either countable or contains a perfect closed subset, hence has the cardinality of the continuum: analytic sets satisfy the continuum hypothesis. The effective version, due to Harrison, identifies the countable Σ11\Sigma^1_1 classes: their members are all hyperarithmetic. A Σ11\Sigma^1_1 class with at least one non-hyperarithmetic member has continuum many members.

3.1 Σ¹₁ singletons

Recall that a class A⊆2N\mathcal A \subseteq \cs is Σ11\Sigma^1_1 if it is defined by a formula ∃Y φ(X,Y)\exists Y\, \varphi(X, Y) with φ\varphi arithmetic, possibly with number parameters (Definition 3.1 of “Σ¹₁ classes and pseudo-well-orderings”), and that it is then the projection of the set of paths of a computable tree SS of pairs: X∈AX \in \mathcal A if and only if (X,f)(X, f) is a path of SS for some f∈NNf \in \nat^\nat.

Proposition 3.1.#
  1. If {X}\{ X \} is a Σ11\Sigma^1_1 class, then XX is hyperarithmetic.
  2. The class HYP\mathrm{HYP} of hyperarithmetic sets is Π11\Pi^1_1.
Proof of Proposition 3.1.
  1. Let {X}={Z:∃Y φ(Z,Y)}\{ X \} = \{ Z : \exists Y\, \varphi(Z, Y) \}. Then n∈Xn \in X if and only if ∃Z ∃Y (φ(Z,Y)∧n∈Z)\exists Z\, \exists Y\, (\varphi(Z, Y) \wedge n \in Z), a Σ11\Sigma^1_1 condition, and if and only if ∀Z ∀Y (φ(Z,Y)→n∈Z)\forall Z\, \forall Y\, (\varphi(Z, Y) \rightarrow n \in Z), a Π11\Pi^1_1 condition, since XX is the only ZZ with a witness YY. So XX is Δ11\Delta^1_1, hence hyperarithmetic by Kleene.
  2. This is the second exercise of The hyperarithmetic sets are the Δ¹₁ sets: XX is hyperarithmetic if and only if there are aa and ee with a∈Oa \in \mathcal O and, for every YY that is an H-sequence along aa, X=ΦeY[a]X = \Phi^{Y^{[a]}}_e. By Lemma 2.2 of “The hyperarithmetic sets are the Δ¹₁ sets”, this expresses X≤THaX \leq_T H_a, and the formula is Π11\Pi^1_1.

In particular, the class of non-hyperarithmetic sets is Σ11\Sigma^1_1. By contrast, there are Π11\Pi^1_1 singletons that are not hyperarithmetic; O\mathcal O is one of them. We admit this fact (Sacks, Higher Recursion Theory, Section I.1).

3.2 The effective perfect set theorem

Recall that a class P⊆2N\mathcal P \subseteq \cs is perfect if it is non-empty, closed and has no isolated member (Definition 2.2 of “Computable members”). A perfect class has the cardinality of the continuum (Theorem 2.4 of “Computable members”); in the proof below, this is seen directly, since the perfect class is the image of an injective continuous map from 2N\cs.

Theorem 3.2 (Harrison).#

If a Σ11\Sigma^1_1 class A\mathcal A has a member that is not hyperarithmetic, then A\mathcal A contains a non-empty perfect closed class. In particular, A\mathcal A has the cardinality of the continuum.

Proof of Theorem 3.2.

Let B=A∖HYP\mathcal B = \mathcal A \setminus \mathrm{HYP}. It is a non-empty Σ11\Sigma^1_1 class, by Proposition 3.1, and the projection of the paths of a computable tree SS of pairs u=(σ,τ)∈2<N×N<Nu = (\sigma, \tau) \in 2^{<\nat} \times \nat^{<\nat} with ∣σ∣=∣τ∣|\sigma| = |\tau|. For such a pair, let Bu\mathcal B_u be the class of sets XX such that (X,f)(X, f) is a path of SS extending uu for some ff; it is a Σ11\Sigma^1_1 class, with the finite object uu as a parameter, included in B\mathcal B. Call uu good if Bu\mathcal B_u is non-empty. A good pair belongs to SS, and the empty pair is good.

Splitting. Let uu be good. The class Bu\mathcal B_u is Σ11\Sigma^1_1 and contains only non-hyperarithmetic sets, so by Proposition 3.1 (1) it is not a singleton: it contains X≠X′X \neq X', with witnesses ff and f′f'. Let kk be such that X(k)≠X′(k)X(k) \neq X'(k), and m>max⁡(k,∣u∣)m > \max(k, |u|). Then u0=(X ⁣↾m,f ⁣↾m)u_0 = (X \uh m, f \uh m) and u1=(X′ ⁣↾m,f′ ⁣↾m)u_1 = (X' \uh m, f' \uh m) are good, extend uu, and their first components are incompatible.

Construction. Define good pairs usu_s for s∈2<Ns \in 2^{<\nat} by u∅=(∅,∅)u_\emptyset = (\emptyset, \emptyset), and, given usu_s, let us0u_{s0} and us1u_{s1} be the two pairs given by the splitting step. For Z∈2NZ \in \cs, the pairs uZ ⁣↾nu_{Z \uh n} are increasing, and their lengths increase strictly, so they converge to a pair (XZ,fZ)(X_Z, f_Z). Every prefix of (XZ,fZ)(X_Z, f_Z) is a prefix of a good pair, hence belongs to the tree SS; so (XZ,fZ)(X_Z, f_Z) is a path of SS, and XZ∈B⊆AX_Z \in \mathcal B \subseteq \mathcal A.

The image is perfect. If Z≠Z′Z \neq Z', let ss be their longest common prefix; then XZX_Z and XZ′X_{Z'} extend the first components of us0u_{s0} and us1u_{s1}, which are incompatible, so XZ≠XZ′X_Z \neq X_{Z'}. The map Z↦XZZ \mapsto X_Z is continuous, since XZ ⁣↾nX_Z \uh n only depends on Z ⁣↾nZ \uh n, because the first component of uZ ⁣↾nu_{Z \uh n} has length at least nn. Its image P\mathcal P is therefore compact, hence closed. It has no isolated point: for Z∈2NZ \in \cs and n∈Nn \in \nat, let Z′Z' differ from ZZ only at position nn; then XZ′≠XZX_{Z'} \neq X_Z, and both extend the first component of uZ ⁣↾nu_{Z \uh n}, of length at least nn. So P\mathcal P is a non-empty perfect closed subclass of A\mathcal A, in bijection with 2N\cs.

Corollary 3.3.#
  1. Every member of a countable Σ11\Sigma^1_1 class is hyperarithmetic.
  2. If a computable tree T⊆N<NT \subseteq \nat^{<\nat} has countably many paths, they are all hyperarithmetic. A computable tree with a path but no hyperarithmetic path, as in Kleene, has continuum many paths.
Proof of Corollary 3.3.
  1. This is the contrapositive of Theorem 3.2.
  2. The class of graphs of the paths of TT is arithmetic, hence Σ11\Sigma^1_1, and in bijection with the set of paths; a path is hyperarithmetic if and only if its graph is. Item 1 gives the first statement. For the second, the class of graphs has a non-hyperarithmetic member, so it has the cardinality of the continuum by Theorem 3.2.

The construction is not effective: choosing good pairs requires deciding a Σ11\Sigma^1_1 property. It can be carried out with the oracle O\mathcal O: the set of good pairs is Σ11\Sigma^1_1, so its complement is many-one reducible to O\mathcal O, and choosing at each step the first suitable pairs us0,us1u_{s0}, u_{s1} in a fixed enumeration makes the map Z↦XZZ \mapsto X_Z computable in O\mathcal O. Since Π10\Pi^0_1 classes are Σ11\Sigma^1_1, the corollary applies to them: all members of a countable Π10\Pi^0_1 class are hyperarithmetic. This complements Corollary 2.5 of “Computable members”, which only gives a computable member.

3.3 Exercises

Exercise 3.4 ★.

Show that a Σ11\Sigma^1_1 class is countable if and only if all its members are hyperarithmetic. Let SeS_e be the computable tree of pairs with index ee, and Ae\mathcal A_e the projection of its paths. Show that {e:Ae is countable}\{ e : \mathcal A_e \text{ is countable} \} is Π11\Pi^1_1.

Solution

The class HYP\mathrm{HYP} is countable (Proposition 1.5 of “Iterating the jump along notations”), since every hyperarithmetic set is computable in some HaH_a by some functional. With Corollary 3.3, a Σ11\Sigma^1_1 class is countable if and only if it is included in HYP\mathrm{HYP}. So, for an index ee of a tree of pairs, Ae\mathcal A_e is countable if and only if ∀X ∀f ((X,f) is a path of Se→X∈HYP)\forall X\, \forall f\, ((X, f) \text{ is a path of } S_e \rightarrow X \in \mathrm{HYP}). Being an index of a computable tree of pairs and being a path are arithmetic, and X∈HYPX \in \mathrm{HYP} is Π11\Pi^1_1 by Proposition 3.1, so the whole formula is Π11\Pi^1_1.

Exercise 3.5 ★★.

Show that the class of sets that are not hyperarithmetic contains a perfect closed class, and deduce that there are continuum many sets XX such that XX is not hyperarithmetic.

Solution

By Proposition 3.1, the class 2N∖HYP\cs \setminus \mathrm{HYP} is Σ11\Sigma^1_1, and it is non-empty, since HYP\mathrm{HYP} is countable. By Theorem 3.2, it contains a non-empty perfect closed class, which is in bijection with 2N\cs by the proof of the theorem.

3.4 Notes and references

The perfect set theorem for analytic sets is due to Suslin (1917). Its effective form, with the characterization of the countable Σ11\Sigma^1_1 classes, is due to Harrison (1967); Sacks and Kechris gave versions with the Gandy–Harrington topology, which also gives the stronger statement that a Σ11\Sigma^1_1 class with a non-hyperarithmetic member has a perfect subclass of sets that are hyperarithmetically incomparable.

  • J. Harrison, Some applications of recursive pseudo-well-orderings, PhD thesis, Stanford University, 1967.
  • G. E. Sacks, Higher Recursion Theory, Springer, 1990, Chapter III.
  • A. S. Kechris, Classical Descriptive Set Theory, Springer, 1995, Section 29.