Ordinal analysis explained
In proof theory, ordinal analysis assigns ordinals (often large countable ordinals) to mathematical theories as a measure of their strength. If theories have the same proof-theoretic ordinal they are often equiconsistent, and if one theory has a larger proof-theoretic ordinal than another it can often prove the consistency of the second theory.
In addition to obtaining the proof-theoretic ordinal of a theory, in practice ordinal analysis usually also yields various other pieces of information about the theory being analyzed, for example characterizations of the classes of provably recursive, hyperarithmetical, or
functions of the theory.
[1] History
The field of ordinal analysis was formed when Gerhard Gentzen in 1934 used cut elimination to prove, in modern terms, that the proof-theoretic ordinal of Peano arithmetic is ε0. See Gentzen's consistency proof.
Definition
Ordinal analysis concerns true, effective (recursive) theories that can interpret a sufficient portion of arithmetic to make statements about ordinal notations.
The proof-theoretic ordinal of such a theory
is the supremum of the
order types of all
ordinal notations (necessarily
recursive, see next section) that the theory can prove are
well founded - the supremum of all ordinals
for which there exists a
notation
in Kleene's sense such that
proves that
is an ordinal notation. Equivalently, it is the supremum of all ordinals
such that there exists a
recursive relation
on
(the set of natural numbers) that
well-orders it with ordinal
and such that
proves
transfinite induction of arithmetical statements for
.
Ordinal notations
Some theories, such as subsystems of second-order arithmetic, have no conceptualization or way to make arguments about transfinite ordinals. For example, to formalize what it means for a subsystem of Z2
to "prove
well-ordered", we instead construct an
ordinal notation
with order type
.
can now work with various transfinite induction principles along
, which substitute for reasoning about set-theoretic ordinals.
However, some pathological notation systems exist that are unexpectedly difficult to work with. For example, Rathjen gives a primitive recursive notation system
that is well-founded iff PA is consistent,
[2] p. 3 despite having order type
- including such a notation in the ordinal analysis of PA would result in the false equality
.
Upper bound
. In particular, the proof-theoretic ordinal of an
inconsistent theory is equal to
, because an inconsistent theory trivially proves that all ordinal notations are well-founded.
For any theory that's both
-axiomatizable and
-sound, the existence of a recursive ordering that the theory fails to prove is well-ordered follows from the
bounding theorem, and said provably well-founded ordinal notations are in fact well-founded by
-soundness. Thus the proof-theoretic ordinal of a
-sound theory that has a
axiomatization will always be a (countable)
recursive ordinal, that is, strictly less than
.
Theorem 2.21Examples
Theories with proof-theoretic ordinal ω
- Q, Robinson arithmetic (although the definition of the proof-theoretic ordinal for such weak theories has to be tweaked).
- PA - , the first-order theory of the nonnegative part of a discretely ordered ring.
Theories with proof-theoretic ordinal ω2
- RFA, rudimentary function arithmetic.[3]
- IΔ0, arithmetic with induction on Δ0-predicates without any axiom asserting that exponentiation is total.
Theories with proof-theoretic ordinal ω3
Friedman's grand conjecture suggests that much "ordinary" mathematics can be proved in weak systems having this as their proof-theoretic ordinal.
Theories with proof-theoretic ordinal ωn (for n = 2, 3, ... ω)
- IΔ0 or EFA augmented by an axiom ensuring that each element of the n-th level
of the
Grzegorczyk hierarchy is total.
Theories with proof-theoretic ordinal ωω
Theories with proof-theoretic ordinal ε0
Theories with proof-theoretic ordinal the Feferman–Schütte ordinal Γ0
This ordinal is sometimes considered to be the upper limit for "predicative" theories.
The Kripke-Platek or CZF set theories are weak set theories without axioms for the full powerset given as set of all subsets. Instead, they tend to either have axioms of restricted separation and formation of new sets, or they grant existence of certain function spaces (exponentiation) instead of carving them out from bigger relations.
Theories with larger proof-theoretic ordinals
,
Π11 comprehension has a rather large proof-theoretic ordinal, which was described by Takeuti in terms of "ordinal diagrams",
p. 13 and which is bounded by
ψ0(Ωω) in Buchholz's notation. It is also the ordinal of
, the theory of finitely iterated inductive definitions. And also the ordinal of MLW, Martin-Löf type theory with indexed W-Types .
.
described in a 1983 paper of Jäger and Pohlers, where I is the smallest inaccessible.
[4] This ordinal is also the proof-theoretic ordinal of
.
- KPM, an extension of Kripke–Platek set theory based on a recursively Mahlo ordinal, has a very large proof-theoretic ordinal θ, which was described by .
- TTM, an extension of Martin-Löf type theory by one Mahlo-universe, has an even larger proof-theoretic ordinal ψΩ1(ΩM + ω).
has a proof-theoretic ordinal equal to
, where
refers to the first weakly compact, due to (Rathjen 1993)
has a proof-theoretic ordinal equal to
, where
refers to the first
-indescribable and
X=(\omega+;P0;\epsilon,\epsilon,0)
, due to (Stegert 2010).
has a proof-theoretic ordinal equal to
| \varepsilon\Upsilon+1 |
\Psi | |
| X |
where
is a cardinal analogue of the least ordinal
which is
-stable for all
and
X=(\omega+;P0;\epsilon,\epsilon,0)
, due to (Stegert 2010).
Most theories capable of describing the power set of the natural numbers have proof-theoretic ordinals that are so large that no explicit combinatorial description has yet been given. This includes
, full
second-order arithmetic (
) and set theories with powersets including
ZF and ZFC. The strength of
intuitionistic ZF (IZF) equals that of ZF.
Table of ordinal analyses
Table of proof-theoretic ordinals!Ordinal!First-order arithmetic!Second-order arithmetic!Kripke-Platek set theory!Type theory!Constructive set theory!Explicit mathematics
|
,
| | | | | |
|
,
| | | | | |
|
,
|
,
| | | | |
|
,
| | | | | |
|
,
[5] p. 13 |
p. 13,
p. 13 | |
| | |
|
[6] p. 13 |
[7] | | | | |
|
p. 13 |
p. 13,
,
p. 13, R-\widehat{E\boldsymbol{\Omega}}
[8] p. 8 |
p. 869 | | |
|
| |
,[9] RCA0+\forallY\foralln\existsX(rm{TJ}(n,X,Y))
| | | | |
| |
[10] p. 959 | | | | |
| | ACA0+\forallX\existsY(rm{TJ}(\omega,X,Y))
,[11] [12]
,
p. 17,
p. 5 | | | | |
| |
, ACA+\forallX\existsY(rm{TJ}(\omega,X,Y))
p. 52 | | | | |
|
|
,
[13] | | | |
|
|
}_1,
p. 17,
p. 17 |
[14] p. 140,
p. 140,
p. 140, W-\widehat{E\boldsymbol{\Omega}}
p. 8 |
p. 870 |
| |
|
\varphi(\varepsilon | | | \varepsilon0 |
,0)
| | \widehat{E\boldsymbol{\Omega}}
p. 27,
}_p. 27 | | | | |
\varphi(\varphi(\omega,0),0)
|
[15] p.9 | | | | | |
|
| | | | | |
|
}_,[16]
,
[17] p. 22,
p. 22,
[18] |
,
,
,[19]
[20] p. 26 |
[21] p. 878,
p. 878 |
,
| | | - Doesn't seem to have a source |
| | |
| | |
| | |
[22] p.13 | | | |
|
}_ |
[23] |
| | | |
|
}_ |
|
| | | |
\varphi(1,\varepsilon0,0)
|
}_ |
|
| | | |
|
}_ | | |
| | |
|
,
[24] |
[25] p.1167,
p.1167 |
|
| | |
\varphi(2,0,\varepsilon0)
|
|
p.1167,
p.1167 | | | | |
\varphi(2,\varepsilon0,0)
| | |
| | | |
| |
[26] p.233,
p.233 |
[27] p.276 |
p.276 | | |
\varphi(\varepsilon0,0,0)
| |
p.233,
[28] |
p.277 |
p.277 | | |
| |
| | | | |
| |
,[29]
| | | | |
| |
| | | | |
\psi0(\varepsilon\Omega+1)
|
| W-\widetilde{E\boldsymbol{\Omega}}
p. 8 |
,
,
p. 869 |
|
|
|
\psi(\varepsilon | | | \Omega+\varepsilon0 |
)
| | \widetilde{E\boldsymbol{\Omega}}
p. 31,
}_p. 31,
p. 31 | | | | |
\psi(\varepsilon\Omega+\Omega)
| |
[30] | | | | |
\psi(\varepsilon | | | \varepsilon\Omega+1 |
)
| |
p. 33,
}p. 33,
p. 33 | | | | |
|
,
}^\bullet_p. 26,
p. 26,
p. 26,
p. 26,
p. 26 |
p. 26,
p. 26 | | | | |
\psi0(\varphi(<\Omega,0,\Omega+1))
|
| | | | | |
|
p. 28 |
p. 28,
| |
| | |
|
[31] | | | | | |
\psi0(\Omega\omega\varepsilon0)
|
|
[32] p. 14 |
| | | |
\psi0(\Omega\omega\Omega)
| |
[33] | | | | |
| |
| | | | |
| |
| | | | |
|
|
|
| | | |
|
|
p. 28 | | | | |
|
|
p. 28,
|
| | | |
|
| | | | | |
(\varepsilon | | | \Omega\Omega+1 |
)
|
,
,
[34] | |
,
| | | |
| |
,
,
,
,
,
| KPiw+FOUNDR(impl-)\Sigma)
,
|
,
| | |
\psi0(\Phi1(0)\varepsilon0)
| |
,
,
|
| | | |
| |
,
,
|
| | | |
\psi0(\Phi1(\varepsilon0))
| |
,
,
| | | | |
| |
,
,
|
,
| | | |
| |
,
,
|
,
| | | |
| |
p. 28,
|
| |
|
|
| | | |
[35] | | |
| | |
|
| | |
| | | |
| | |
| |
|
| |
| |
| | |
[36] |
| | |
| | |
[37] | | | |
| \varepsilon\Xi+1 | \Psi | | | (\omega+;P0,\epsilon,\epsilon,0) |
| | |
[38] | | | |
| \varepsilon\Upsilon+1 | \Psi | | | (\omega+;P0,\epsilon,\epsilon,0) |
| | |
| | | |
[39] | | |
,
[40] | | | | |
| |
,
| KP\omega+\Pi1-Collection+(V=L)
| | | | |
[41] | |
,
| KP\omega+\PiN-Collection+(V=L)
| | | | |
? |
|
,
|
|
[42] | | | |
Key
This is a list of symbols used in this table:
- ψ represents various ordinal collapsing functions as defined in their respective citations.
- Ψ represents either Rathjen's or Stegert's Psi.
- φ represents Veblen's function.
- ω represents the first transfinite ordinal.
- εα represents the epsilon numbers.
- Γα represents the gamma numbers (Γ0 is the Feferman–Schütte ordinal)
- Ωα represent the uncountable ordinals (Ω1, abbreviated Ω, is ω1). Countability is considered necessary for an ordinal to be regarded as proof theoretic.
is an ordinal term denoting a stable ordinal, and
the least admissible ordinal above
.
is an ordinal term denoting an ordinal such that
\modelsKP\omega+\PiN-Collection+(V=L)
.
N is a variable that defines a series of ordinal analyses of the results of
forall
. when N=1,
This is a list of the abbreviations used in this table:
is
Robinson arithmetic
is the first-order theory of the nonnegative part of a discretely ordered ring.
is
rudimentary function arithmetic.
is arithmetic with induction restricted to Δ
0-predicates without any axiom asserting that exponentiation is total.
is
elementary function arithmetic.
is arithmetic with induction restricted to Δ
0-predicates augmented by an axiom asserting that exponentiation is total.
is elementary function arithmetic augmented by an axiom ensuring that each element of the
n-th level
of the
Grzegorczyk hierarchy is total.
is
augmented by an axiom ensuring that each element of the
n-th level
of the
Grzegorczyk hierarchy is total.
is
primitive recursive arithmetic.
is arithmetic with induction restricted to Σ
1-predicates.
is
Peano arithmetic.
is
}_\nu but with induction only for positive formulas.
}_\nu extends PA by ν iterated fixed points of monotone operators.
is not exactly a first-order arithmetic system, but captures what one can get by predicative reasoning based on the natural numbers.
is an
automorphism on
}_\nu.
extends PA by ν iterated
least fixed points of monotone operators.
is not exactly a first-order arithmetic system, but captures what one can get by predicative reasoning based on ν-times iterated generalized inductive definitions.
is an automorphism on
.
is a weakened version of
based on W-types.
is a transfinite induction of length α no more than
-formulas. It happens to be the representation of the ordinal notation when used in first-order arithmetic.
is a second order form of
sometimes used in
reverse mathematics.
is a second order form of
sometimes used in reverse mathematics.
is recursive comprehension.
is weak Kőnig's lemma.
is arithmetical comprehension.
is
plus the full second-order induction scheme.
is arithmetical transfinite recursion.
is
plus the full second-order induction scheme.
is
plus the assertion
"every true
-sentence with parameters holds in a (countable coded)
-model of
".
is
Kripke-Platek set theory with the axiom of infinity.
is Kripke-Platek set theory, whose universe is an admissible set containing
.
is a weakened version of
based on W-types.
asserts that the universe is a limit of admissible sets.
is a weakened version of
based on W-types.
asserts that the universe is inaccessible sets.
asserts that the universe is hyperinaccessible: an inaccessible set and a limit of inaccessible sets.
asserts that the universe is a Mahlo set.
is
augmented by a certain first-order reflection scheme.
is KPi augmented by the axiom
\forall\alpha\exists\kappa\geq\alpha(L\kappa\preceq1L\kappa)
.
is KPI augmented by the assertion
"at least one recursively Mahlo ordinal exists".
is
with an axiom stating that 'there exists an non-empty and transitive set M such that
'.
A superscript zero indicates that
-induction is removed (making the theory significantly weaker).
is the Herbelin-Patey Calculus of Primitive Recursive Constructions.
is type theory without W-types and with
universes.
is type theory without W-types and with finitely many universes.
is type theory with a next universe operator.
is type theory without W-types and with a superuniverse.
is an automorphism on type theory without W-types.
is type theory with one universe and Aczel's type of iterative sets.
is type theory with indexed W-Types.
is type theory with W-types and one universe.
is type theory with W-types and finitely many universes.
is an automorphism on type theory with W-types.
is type theory with a Mahlo universe.
is
System F, also polymorphic lambda calculus or second-order lambda calculus.
is Aczel's constructive set theory.
is
plus the regular extension axiom.
is
plus the full-second order induction scheme.
is
with a Mahlo universe.
is basic explicit mathematics plus elementary comprehension
is
plus join rule
is
plus join axioms
is a weak variant of the
Feferman's
.
is
, where
is inductive generation.
is
, where
is the full second-order induction scheme.
See also
Notes
1.For
2.The Veblen function
with countably infinitely iterated least fixed points.
3.Can also be commonly written as
\psi(\varepsilon\Omega+1)
in Madore's ψ.
4.Uses Madore's ψ rather than Buchholz's ψ.
5.Can also be commonly written as
\psi(\varepsilon | |
| \Omega\omega+1 |
)
in Madore's ψ.
6.
represents the first recursively weakly compact ordinal. Uses Arai's ψ rather than Buchholz's ψ.
7.Also the proof-theoretic ordinal of
, as the amount of weakening given by the W-types is not enough.
8.
represents the first inaccessible cardinal. Uses Jäger's ψ rather than Buchholz's ψ.
9.
represents the limit of the
-inaccessible cardinals. Uses (presumably) Jäger's ψ.
10.
represents the limit of the
-inaccessible cardinals. Uses (presumably) Jäger's ψ.
11.
represents the first Mahlo cardinal. Uses Rathjen's ψ rather than Buchholz's ψ.
12.
represents the first weakly compact cardinal. Uses Rathjen's Ψ rather than Buchholz's ψ.
13.
represents the first
-indescribable cardinal. Uses Stegert's Ψ rather than Buchholz's ψ.
14.
is the smallest
such that
\forall\theta<Y\exists\kappa<Y(
'
is
-indescribable') and
\forall\theta<Y\forall\kappa<Y(
'
is
-indescribable
'). Uses Stegert's Ψ rather than Buchholz's ψ.
15.
represents the first Mahlo cardinal. Uses (presumably) Rathjen's ψ.
Notes and References
- M. Rathjen, "Admissible Proof Theory and Beyond". In Studies in Logic and the Foundations of Mathematics vol. 134 (1995), pp.123--147.
- Rathjen, The Realm of Ordinal Analysis. Accessed 2021 September 29.
- Book: Krajicek, Jan. Bounded Arithmetic, Propositional Logic and Complexity Theory. 1995. Cambridge University Press. 9780521452052. 18–20. defines the rudimentary sets and rudimentary functions, and proves them equivalent to the Δ0-predicates on the naturals. An ordinal analysis of the system can be found in Book: Rose, H. E.. Subrecursion: functions and hierarchies. 1984. Clarendon Press. University of Michigan. 9780198531890.
- D. Madore, A Zoo of Ordinals (2017, p.2). Accessed 12 August 2022.
- J. Avigad, R. Sommer, "A Model-Theoretic Approach to Ordinal Analysis" (1997).
- M. Rathjen, W. Carnielli, "Hydrae and subsystems of arithmetic" (1991)
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- M. Heissenbüttel, "Theories of ordinal strength
and
" (2001)
- 0910.5442 . 10.2178/jsl/1305810765 . The Veblen functions for computability theorists . 2011 . Marcone . Alberto . Montalbán . Antonio . The Journal of Symbolic Logic . 76 . 2 . 575–602 . 675632 .
- A. Cantini, "On the relation between choice and comprehension principles in second order arithmetic", Journal of Symbolic Logic vol. 51 (1986), pp. 360--373.
- S. G. Simpson, "Friedman's Research on Subsystems of Second Order Arithmetic". In Harvey Friedman's Research on the Foundations of Mathematics, Studies in Logic and the Foundations of Mathematics vol. 117 (1985), ed. L. Harrington, M. Morley, A. Šcedrov, S. G. Simpson, pub. North-Holland.
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- U. Buchholtz, G. Jäger, T. Strahm, "Theories of proof-theoretic strength
". In Concepts of Proof in Mathematics, Philosophy, and Computer Science (2016), ed. D. Probst, P. Schuster. DOI 10.1515/9781501502620-007.
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- T. Strahm, "Autonomous fixed point progressions and fixed point transfinite recursion" (2000)
- C. Rüede, "Transfinite dependent choice and ω-model reflection". Journal of Symbolic Logic vol. 67, no. 3 (2002).
- C. Rüede, "The proof-theoretic analysis of Σ11 transfinite dependent choice". Annals of Pure and Applied Logic vol. 122 (2003).
- T. Strahm, "Wellordering Proofs for Metapredicative Mahlo". Journal of Symbolic Logic vol. 67, no. 1 (2002)
- D. Probst, "A modular ordinal analysis of metapredicative subsystems of second-order arithmetic" (2017)
- F. Ranzi, T. Strahm, "A flexible type system for the small Veblen ordinal" (2019). Archive for Mathematical Logic 58: 711–751.
- K. Fujimoto, "Notes on some second-order systems of iterated inductive definitions and
-comprehensions and relevant subsystems of set theory". Annals of Pure and Applied Logic, vol. 166 (2015), pp. 409--463.
- 1907.00412 . Krombholz . Martin . Rathjen . Michael . Upper bounds on the graph minor theorem . 2019 . math.LO .
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- W. Buchholz, Proof Theory of Impredicative Subsystems of Analysis (Studies in Proof Theory, Monographs, Vol 2 (1988)
- M. Rathjen, "Investigations of Subsystems of Second Order Arithmetic and Set Theory in Strength between
and
: Part I". Accessed 21 September 2023.
- M. Rathjen, "The Strength of Some Martin-Löf Type Theories"
- A. Setzer, "A Model for a type theory with Mahlo universe" (1996).
- M. Rathjen, "Proof Theory of Reflection". Annals of Pure and Applied Logic vol. 68, iss. 2 (1994), pp.181--224.
- Stegert, Jan-Carl, "Ordinal Proof Theory of Kripke-Platek Set Theory Augmented by Strong Reflection Principles" (2010).
- Arai. Toshiyasu. 2023-04-01. Lectures on Ordinal Analysis. math.LO . 2304.00246.
- Arai. Toshiyasu. 2023-04-07. Well-foundedness proof for
-reflection. math.LO . 2304.03851.
- Arai. Toshiyasu. 2024-02-12. An ordinal analysis of
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- Valentin Blot. "A direct computational interpretation of second-order arithmetic via update recursion" (2022).