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@misc{turing-degrees-finite-extensions,
  title = {{The finite extension method}},
  howpublished = {Lesson 5 of \emph{Oracles and Turing degrees}, Computability Theory course notes},
  url = {/courses/turing-degrees/finite-extensions},
  note = {Unreleased working version}
}

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Lesson 5 of 6

The finite extension method

Constructions by finite extensions; the Kleene–Post theorem on incomparable degrees below 0′; avoiding the cone above a non-computable set; 1-generic sets.

45 min5 questions
Before this lesson:The Turing jump · Diagonalization and computation (Countability and diagonalization)
Oracles and Turing degrees · lesson 5 of 6
  1. Computation relative to an oracle
  2. Turing reducibility and degrees
  3. The Turing jump
  4. Limit computability
  5. The finite extension method
  6. Low and high sets

Many questions about the Turing degrees ask for a set that is neither too strong nor too weak: a set that does not compute some given set, but that is not computable either. Such sets are built by finite extensions: the set is determined by an increasing sequence of strings, and each requirement it must satisfy is secured by a finite piece of information. This method appeared in the course on countability (Finite extension); here it is applied to requirements about oracle computations, where the use principle makes it work. The constructions answer the first questions about the structure of the degrees: the order is not linear, and there are degrees strictly between 0\obf and 0′\obf'.

5.1 Dense sets of strings

Requirements are expressed through sets of strings.

Definition 5.1.#

A set D⊆2<ND \subseteq \bstr is dense if every string has an extension in DD: for every σ\sigma there is τ⪰σ\tau \succeq \sigma with τ∈D\tau \in D. A set X∈2NX \in \cs meets DD if some prefix of XX belongs to DD.

The idea is that DD is the set of strings that force a requirement: every XX extending a string of DD satisfies it. Density says that the requirement can always be forced, whatever finite part of XX has already been fixed.

Lemma 5.2.#

Let (Dn)n∈N(D_n)_{n \in \nat} be a sequence of dense sets. Then some XX meets every DnD_n. Moreover, if there is a ZZ-computable function hh such that h(n,σ)⪰σh(n, \sigma) \succeq \sigma and h(n,σ)∈Dnh(n, \sigma) \in D_n for all nn and σ\sigma, then such an XX can be taken ZZ-computable.

Proof of Lemma 5.2.

Let hh be any function with h(n,σ)⪰σh(n, \sigma) \succeq \sigma and h(n,σ)∈Dnh(n, \sigma) \in D_n for all nn and σ\sigma; for the first statement, take h(n,σ)h(n, \sigma) to be the first extension of σ\sigma in DnD_n, in a fixed computable enumeration of 2<N\bstr. Define σ0=ε\sigma_0 = \varepsilon and σn+1=h(n,σn) 0\sigma_{n+1} = h(n, \sigma_n)\, 0. The strings σ0≺σ1≺⋯\sigma_0 \prec \sigma_1 \prec \cdots have strictly increasing lengths, and determine a unique XX with σn≺X\sigma_n \prec X for every nn. Since h(n,σn)≺Xh(n, \sigma_n) \prec X belongs to DnD_n, XX meets DnD_n. If hh is ZZ-computable, so is the sequence (σn)(\sigma_n), and X(k)X(k) is the bit at position kk of σk+1\sigma_{k+1}, whose length exceeds kk; so X≤TZX \leq_T Z.

The appended bit 00 ensures that the lengths increase; it does no harm, since a string extending a member of DnD_n still forces what that member forces.

5.2 Incomparable degrees

Theorem 5.3 (Kleene–Post).#

There are sets AA and BB, both computable in ∅′\emptyset', such that A̸≤TBA \not\leq_T B and B̸≤TAB \not\leq_T A.

Proof of Theorem 5.3.

We build AA and BB together, by finite extensions of a pair of strings. The requirements are, for every ee:

Re:ΦeA≠B,Se:ΦeB≠A.\mathcal R_e : \Phi^A_e \neq B, \qquad \mathcal S_e : \Phi^B_e \neq A.

If all are satisfied, then A̸≤TBA \not\leq_T B and B̸≤TAB \not\leq_T A. Here ΦeA≠B\Phi^A_e \neq B means that for some xx, either ΦeA(x) ⁣ ⁣↑\Phi^A_e(x)\diverge or ΦeA(x) ⁣ ⁣↓≠B(x)\Phi^A_e(x)\converge \neq B(x).

We define pairs of strings (σn,τn)(\sigma_n, \tau_n) with σn⪯σn+1\sigma_n \preceq \sigma_{n+1} and τn⪯τn+1\tau_n \preceq \tau_{n+1}, starting from (ε,ε)(\varepsilon, \varepsilon), and let AA and BB be the limits. At step n=2en = 2e we satisfy Re\mathcal R_e, at step n=2e+1n = 2e + 1 we satisfy Se\mathcal S_e, and at the end of each step we append the bit 00 to both strings, so that the lengths tend to infinity.

Satisfying Re\mathcal R_e. Let x=∣τn∣x = |\tau_n|, the first position at which BB is not yet determined.

  • If there is a string σ⪰σn\sigma \succeq \sigma_n with Φeσ(x) ⁣ ⁣↓\Phi^\sigma_e(x)\converge, take the string σ\sigma of the first pair (σ,s)(\sigma, s), in a fixed computable enumeration of pairs, such that σ⪰σn\sigma \succeq \sigma_n and Φeσ(x)[s] ⁣ ⁣↓\Phi^\sigma_e(x)[s]\converge; let i=Φeσ(x)i = \Phi^\sigma_e(x), and set σn+1=σ\sigma_{n+1} = \sigma and τn+1=τn j\tau_{n+1} = \tau_n\, j with j=1−ij = 1 - i if i∈{0,1}i \in \{0, 1\} and j=0j = 0 otherwise. For every A≻σA \succ \sigma, the use principle gives ΦeA(x)=i≠B(x)\Phi^A_e(x) = i \neq B(x).
  • Otherwise, set σn+1=σn\sigma_{n+1} = \sigma_n and τn+1=τn\tau_{n+1} = \tau_n. For every A≻σnA \succ \sigma_n, ΦeA(x) ⁣ ⁣↑\Phi^A_e(x)\diverge: a convergent computation would converge already with a prefix of AA extending σn\sigma_n (Proposition 1.5).

In both cases, Re\mathcal R_e holds for every pair of sets extending (σn+1,τn+1)(\sigma_{n+1}, \tau_{n+1}), and therefore for (A,B)(A, B). The requirements Se\mathcal S_e are satisfied symmetrically.

Effectivity. The only non-computable step is the case distinction, the question “is there σ⪰σn\sigma \succeq \sigma_n with Φeσ(x) ⁣ ⁣↓\Phi^\sigma_e(x)\converge?”. It is a c.e. question about (e,x,σn)(e, x, \sigma_n), so ∅′\emptyset' answers it; and in the first case, the string σ\sigma is then found by a computable search. So the whole sequence of pairs is computable in ∅′\emptyset', and so are AA and BB.

Corollary 5.4.#

The Turing degrees are not linearly ordered, and there is a degree a\abf with 0<a<0′\obf < \abf < \obf'.

Proof of Corollary 5.4.

The first statement is the theorem. For the second, take a=deg⁡T(A)\abf = \deg_T(A). If AA were computable, then A≤TBA \leq_T B. If A≡T∅′A \equiv_T \emptyset', then B≤T∅′≤TAB \leq_T \emptyset' \leq_T A. Both are excluded, so 0<a<0′\obf < \abf < \obf'.

5.3 Avoiding a cone

In the Kleene–Post theorem both sets are built. The following result fixes one of them in advance: every non-computable set has a set incomparable with it. The upper cone {X:C≤TX}\{ X : C \leq_T X \} of a non-computable set CC is avoided by satisfying the requirements ΦeX≠C\Phi^X_e \neq C, and the hypothesis that CC is not computable is exactly what makes them dense.

Theorem 5.5 (Cone avoidance).#

Let CC be a non-computable set. For every ee, the set

De={τ:∃x Φeτ(x) ⁣ ⁣↓≠C(x)}∪{τ:∃x ∀ρ⪰τ  Φeρ(x) ⁣ ⁣↑}D_e = \{ \tau : \exists x\ \Phi^\tau_e(x)\converge \neq C(x) \} \cup \{ \tau : \exists x\ \forall \rho \succeq \tau\ \ \Phi^\rho_e(x)\diverge \}

is dense. Consequently, for every set AA, there is a set BB with C̸≤TBC \not\leq_T B and B̸≤TAB \not\leq_T A.

Proof of Theorem 5.5.

Every XX meeting DeD_e satisfies ΦeX≠C\Phi^X_e \neq C: in the first case, ΦeX(x) ⁣ ⁣↓≠C(x)\Phi^X_e(x)\converge \neq C(x) by the use principle; in the second, ΦeX(x) ⁣ ⁣↑\Phi^X_e(x)\diverge by Proposition 1.5.

Let σ\sigma be a string, and suppose that no extension of σ\sigma belongs to DeD_e. Then for every xx there is ρ⪰σ\rho \succeq \sigma with Φeρ(x) ⁣ ⁣↓\Phi^\rho_e(x)\converge, since otherwise σ\sigma itself would be in the second part of DeD_e; and for every such ρ\rho, Φeρ(x)=C(x)\Phi^\rho_e(x) = C(x), since otherwise ρ\rho would be in the first part. Then CC is computable: to compute C(x)C(x), search for a string ρ⪰σ\rho \succeq \sigma and a stage ss with Φeρ(x)[s] ⁣ ⁣↓\Phi^\rho_e(x)[s]\converge, and output its value. This contradicts the hypothesis on CC. So DeD_e is dense.

By Lemma 5.2, some BB meets every DeD_e, and then C̸≤TBC \not\leq_T B. To ensure also B̸≤TAB \not\leq_T A, add the dense sets Ee={τ:∃x<∣τ∣  ΦeA(x) ⁣ ⁣↓≠τ(x)}∪{τ:∃x<∣τ∣  ΦeA(x) ⁣ ⁣↑}E_e = \{ \tau : \exists x < |\tau|\ \ \Phi^A_e(x)\converge \neq \tau(x) \} \cup \{ \tau : \exists x < |\tau|\ \ \Phi^A_e(x)\diverge \}: given σ\sigma, let x=∣σ∣x = |\sigma|; if ΦeA(x) ⁣ ⁣↓=i\Phi^A_e(x)\converge = i, the string σ (1−i)\sigma\, (1 - i) belongs to EeE_e (with 1−i1 - i replaced by 00 if i∉{0,1}i \notin \{0, 1\}), and otherwise σ0\sigma 0 does. A set meeting every EeE_e is not computable in AA.

Taking A=CA = C gives a set BB incomparable with CC. So every non-computable degree is incomparable with some degree; in particular no degree other than 0\obf is comparable with all degrees.

5.4 1-generic sets

The sets built by the most general finite extension arguments share a common property, genericity, which can be defined once and for all.

Definition 5.6.#

A set GG is 1-generic if for every c.e. set of strings WW, there is a prefix σ≺G\sigma \prec G such that either σ∈W\sigma \in W, or no extension of σ\sigma belongs to WW.

In words: for every c.e. property of strings, GG either meets it, or has a prefix beyond which it can never be met. Equivalently, GG meets the dense set W∪{σ:no extension of σ is in W}W \cup \{ \sigma : \text{no extension of } \sigma \text{ is in } W \} for every c.e. WW.

Proposition 5.7.#
  1. There is a 1-generic set computable in ∅′\emptyset'.
  2. Every 1-generic set is non-computable; in fact it is neither c.e. nor co-c.e.
Proof of Proposition 5.7.
  1. Fix a computable enumeration (Wn′)(W'_n) of the c.e. sets of strings, say Wn′={τ:the code of τ is in Wn}W'_n = \{ \tau : \text{the code of } \tau \text{ is in } W_n \}. The sets Dn=Wn′∪{σ:∀τ⪰σ τ∉Wn′}D_n = W'_n \cup \{ \sigma : \forall \tau \succeq \sigma\ \tau \notin W'_n \} are dense: a string either has an extension in Wn′W'_n, or belongs to the second part. The function h(n,σ)h(n, \sigma) which asks ∅′\emptyset' whether some τ⪰σ\tau \succeq \sigma belongs to Wn′W'_n — a c.e. question — and returns the first such τ\tau found by enumerating Wn′W'_n if so, and σ\sigma otherwise, is computable in ∅′\emptyset'. Apply Lemma 5.2.
  2. Let GG be 1-generic. First, GG is infinite: for each mm, every string has an extension in the c.e. set Vm={σ:∃x≥m σ(x)=1}V_m = \{ \sigma : \exists x \geq m\ \sigma(x) = 1 \}, so GG cannot have a prefix without extension in VmV_m, and therefore meets VmV_m; that is, GG has an element x≥mx \geq m. Symmetrically, N∖G\nat \setminus G is infinite. Now suppose GG is c.e. The set W={σ:∃x<∣σ∣ (σ(x)=0∧x∈G)}W = \{ \sigma : \exists x < |\sigma|\ (\sigma(x) = 0 \wedge x \in G) \} is c.e., and no prefix of GG belongs to it, since a prefix of GG has the bit 11 at every element of GG. So some σ≺G\sigma \prec G has no extension in WW. But if x≥∣σ∣x \geq |\sigma| belongs to GG, the string obtained by extending σ\sigma with 00s up to position xx included is in WW. Hence GG has no element x≥∣σ∣x \geq |\sigma|, contradicting its infiniteness. If N∖G\nat \setminus G is c.e., the same argument applies to W={σ:∃x<∣σ∣ (σ(x)=1∧x∉G)}W = \{ \sigma : \exists x < |\sigma|\ (\sigma(x) = 1 \wedge x \notin G) \}, and shows that N∖G\nat \setminus G is finite. In particular GG is not computable.

In the lesson on low and high sets, 1-generic sets computable in ∅′\emptyset' provide non-computable sets whose jump is as small as possible.

5.5 Exercises

Exercise 5.8 ★.

Show that every sequence (dn)n∈N(\dbf_n)_{n \in \nat} of degrees has an upper bound.

Solution

Choose representatives Xn∈dnX_n \in \dbf_n, and let Z=⨁nXnZ = \bigoplus_n X_n, defined by Z(⟨n,m⟩)=Xn(m)Z(\langle n, m \rangle) = X_n(m) (Definition 5.3 of “The cardinality of the continuum”). Each XnX_n is computable from ZZ, by Xn(m)=Z(⟨n,m⟩)X_n(m) = Z(\langle n, m \rangle), so deg⁡T(Z)\deg_T(Z) is an upper bound.

Exercise 5.9 ★★.

Show that there is a sequence (An)n∈N(A_n)_{n \in \nat} of sets, uniformly computable in ∅′\emptyset', such that An̸≤TAmA_n \not\leq_T A_m for all n≠mn \neq m.

Solution

Build all the sets at once by finite extensions of finite tuples of strings: at step tt, strings σ0,t,…,σt,t\sigma_{0,t}, \dots, \sigma_{t,t} approximate A0,…,AtA_0, \dots, A_t. Requirements: ΦeAm≠An\Phi^{A_m}_e \neq A_n for all ee and n≠mn \neq m; at step tt, treat the requirement with ⟨e,n,m⟩=t\langle e, n, m \rangle = t, if n≠mn \neq m (otherwise do nothing), which only involves sets already started, since n,m≤⟨e,n,m⟩n, m \leq \langle e, n, m \rangle. To satisfy ΦeAm≠An\Phi^{A_m}_e \neq A_n, let x=∣σn,t∣x = |\sigma_{n,t}|; if some ρ⪰σm,t\rho \succeq \sigma_{m,t} has Φeρ(x) ⁣ ⁣↓=i\Phi^\rho_e(x)\converge = i, extend σm,t\sigma_{m,t} to ρ\rho and σn,t\sigma_{n,t} by the bit 1−i1 - i (or 00); otherwise do nothing. Then extend every string by one bit and start a new string for At+1A_{t+1}. As in Theorem 5.3, the case distinction is a c.e. question and each step is computable in ∅′\emptyset'. Since every string grows at each step after it is started, An(k)A_n(k) is computed with oracle ∅′\emptyset' by running the construction until the string for AnA_n has length greater than kk, uniformly in nn and kk.

Exercise 5.10 ★★.

Show that if GG is 1-generic, then N∖G\nat \setminus G is 1-generic.

Solution

Let σˉ\bar\sigma be the string obtained from σ\sigma by flipping all its bits; σ↦σˉ\sigma \mapsto \bar\sigma is a computable bijection of 2<N\bstr that preserves prefixes, and the prefixes of N∖G\nat \setminus G are the strings σˉ\bar\sigma for σ≺G\sigma \prec G. If WW is a c.e. set of strings, so is Wˉ={σˉ:σ∈W}\bar W = \{ \bar\sigma : \sigma \in W \}. Some σ≺G\sigma \prec G is in Wˉ\bar W or has no extension in Wˉ\bar W; then σˉ≺N∖G\bar\sigma \prec \nat \setminus G is in WW or has no extension in WW.

5.6 Notes and references

The incomparable degrees below 0′\obf' are due to Kleene and Post (1954), who introduced the finite extension method. The cone avoidance theorem is folklore; it also follows from results of Sacks on the measure and category of upper cones. 1-generic sets were introduced by Jockusch (1980), following Feferman’s adaptation of Cohen’s forcing to arithmetic (1965); they are studied in the course on Cohen genericity.

  • S. C. Kleene and E. L. Post, The upper semi-lattice of degrees of recursive unsolvability, Annals of Mathematics 59 (1954), 379–407.
  • C. G. Jockusch, Degrees of generic sets, in Recursion Theory: its Generalisations and Applications, London Mathematical Society Lecture Note Series 45, Cambridge University Press, 1980, 110–139.
  • S. Feferman, Some applications of the notions of forcing and generic sets, Fundamenta Mathematicae 56 (1965), 325–345.