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 classes: their members are all hyperarithmetic. A class with at least one non-hyperarithmetic member has continuum many members.
3.1 Σ¹₁ singletons
Recall that a class is if it is defined by a formula with 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 of pairs: if and only if is a path of for some .
- If is a class, then is hyperarithmetic.
- The class of hyperarithmetic sets is .
- Let . Then if and only if , a condition, and if and only if , a condition, since is the only with a witness . So is , hence hyperarithmetic by Kleene.
- This is the second exercise of The hyperarithmetic sets are the Δ¹₁ sets: is hyperarithmetic if and only if there are and with and, for every that is an H-sequence along , . By Lemma 2.2 of “The hyperarithmetic sets are the Δ¹₁ sets”, this expresses , and the formula is .
In particular, the class of non-hyperarithmetic sets is . By contrast, there are singletons that are not hyperarithmetic; 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 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 .
If a class has a member that is not hyperarithmetic, then contains a non-empty perfect closed class. In particular, has the cardinality of the continuum.
Let . It is a non-empty class, by Proposition 3.1, and the projection of the paths of a computable tree of pairs with . For such a pair, let be the class of sets such that is a path of extending for some ; it is a class, with the finite object as a parameter, included in . Call good if is non-empty. A good pair belongs to , and the empty pair is good.
Splitting. Let be good. The class is and contains only non-hyperarithmetic sets, so by Proposition 3.1 (1) it is not a singleton: it contains , with witnesses and . Let be such that , and . Then and are good, extend , and their first components are incompatible.
Construction. Define good pairs for by , and, given , let and be the two pairs given by the splitting step. For , the pairs are increasing, and their lengths increase strictly, so they converge to a pair . Every prefix of is a prefix of a good pair, hence belongs to the tree ; so is a path of , and .
The image is perfect. If , let be their longest common prefix; then and extend the first components of and , which are incompatible, so . The map is continuous, since only depends on , because the first component of has length at least . Its image is therefore compact, hence closed. It has no isolated point: for and , let differ from only at position ; then , and both extend the first component of , of length at least . So is a non-empty perfect closed subclass of , in bijection with .
- Every member of a countable class is hyperarithmetic.
- If a computable tree 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.
- This is the contrapositive of Theorem 3.2.
- The class of graphs of the paths of is arithmetic, hence , 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 property. It can be carried out with the oracle : the set of good pairs is , so its complement is many-one reducible to , and choosing at each step the first suitable pairs in a fixed enumeration makes the map computable in . Since classes are , the corollary applies to them: all members of a countable class are hyperarithmetic. This complements Corollary 2.5 of “Computable members”, which only gives a computable member.
3.3 Exercises
Show that a class is countable if and only if all its members are hyperarithmetic. Let be the computable tree of pairs with index , and the projection of its paths. Show that is .
Solution
The class is countable (Proposition 1.5 of “Iterating the jump along notations”), since every hyperarithmetic set is computable in some by some functional. With Corollary 3.3, a class is countable if and only if it is included in . So, for an index of a tree of pairs, is countable if and only if . Being an index of a computable tree of pairs and being a path are arithmetic, and is by Proposition 3.1, so the whole formula is .
Show that the class of sets that are not hyperarithmetic contains a perfect closed class, and deduce that there are continuum many sets such that is not hyperarithmetic.
Solution
By Proposition 3.1, the class is , and it is non-empty, since is countable. By Theorem 3.2, it contains a non-empty perfect closed class, which is in bijection with 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 classes, is due to Harrison (1967); Sacks and Kechris gave versions with the Gandy–Harrington topology, which also gives the stronger statement that a 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.