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Ordinal number

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Representation of the ordinal numbers up to ωω. One turn of the spiral corresponds to the mapping . Since has as the least fixed point, larger ordinal numbers cannot be represented on this diagram.

In set theory, an ordinal number, or ordinal, is a generalization of ordinal numerals (first, second, nth, etc.) aimed to extend enumeration to infinite sets.[1]

A finite set can be enumerated by successively labeling each element with the least natural number that has not been previously used. To extend this process to various infinite sets, ordinal numbers are defined more generally using linearly ordered greek letter variables that include the natural numbers and have the property that every set of ordinals has a least or "smallest" element (this is needed for giving a meaning to "the least unused element"). This more general definition allows us to define an ordinal number (omega) to be the least element that is greater than every natural number, along with ordinal numbers , , etc., which are even greater than .

A linear order such that every non-empty subset has a least element is called a well-order. The axiom of choice implies that every set can be well-ordered, and given two well-ordered sets, one is isomorphic to an initial segment of the other. So ordinal numbers exist and are essentially unique.

Ordinal numbers are distinct from cardinal numbers, which measure the size of sets. Although the distinction between ordinals and cardinals is not this apparent on finite sets (one can go from one to the other just by counting labels), they are very different in the infinite case, where different infinite ordinals can correspond to sets having the same cardinal. Like other kinds of numbers, ordinals can be added, multiplied, and exponentiated, although none of these operations are commutative.

Ordinals were introduced by Georg Cantor in 1883[2] to accommodate infinite sequences and classify derived sets, which he had previously introduced in 1872 while studying the uniqueness of trigonometric series.[3]

Ordinals extend the natural numbers

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A natural number (which, in this context, includes the number 0) can be used for two purposes: to describe the size of a set, or to describe the position of an element in a sequence. When restricted to finite sets, these two concepts coincide, since all linear orders of a finite set are isomorphic.

However, for infinite sets, one has to distinguish between the notion of size, which leads to cardinal numbers, and the notion of position, which leads to the ordinal numbers described here. This is because while any set has only one size (its cardinality), there are many nonisomorphic well-orderings of any infinite set, as explained below.

Whereas the notion of cardinal number is associated with a set with no particular structure on it, the ordinals are intimately linked with the special kind of sets that are called well-ordered. A well-ordered set is a totally ordered set (an ordered set such that, given two distinct elements, one is less than the other) in which every non-empty subset has a least element. Equivalently, assuming the axiom of dependent choice, it is a totally ordered set without any infinite decreasing sequence — though there may be infinite increasing sequences. Ordinals may be used to label the elements of any given well-ordered set (the smallest element being labelled 0, the one after that 1, the next one 2, "and so on"), and to measure the "length" of the whole set by the least ordinal that is not a label for an element of the set. This "length" is called the order type of the set.

Every ordinal is defined by the set of ordinals that precede it. The most common definition of ordinals identifies each ordinal as the set of ordinals that precede it. For example, the ordinal 42 is generally identified as the set {0, 1, 2, ..., 41}. Conversely, any set S of ordinals that is downward closed — meaning that for every ordinal α in S and every ordinal β < α, β is also in S — is (or can be identified with) an ordinal.

This definition of ordinals in terms of sets allows for infinite ordinals. The smallest infinite ordinal is , which can be identified with the set of natural numbers (so that the ordinal associated with any natural number precedes ). Indeed, the set of natural numbers is well-ordered—as is any set of ordinals—and since it is downward closed, it can be identified with the ordinal associated with it.

A graphical "matchstick" representation of the ordinal ω2. Each stick corresponds to an ordinal of the form ω·m+n where m and n are natural numbers.

Perhaps a clearer intuition of ordinals can be formed by examining a first few of them: as mentioned above, they start with the natural numbers, 0, 1, 2, 3, 4, 5, ... After all natural numbers comes the first infinite ordinal, ω, and after that come ω+1, ω+2, ω+3, and so on. (Exactly what addition means will be defined later on: just consider them as names.) After all of these come ω·2 (which is ω+ω), ω·2+1, ω·2+2, and so on, then ω·3, and then later on ω·4. Now the set of ordinals formed in this way (the ω·m+n, where m and n are natural numbers) must itself have an ordinal associated with it, and that is ω2. Further on, there will be ω3, then ω4, and so on, and ωω, then ωωω, then later ωωωω, and even later ε0 (epsilon nought) (to give a few examples of relatively small—countable—ordinals). This can be continued indefinitely (as every time one says "and so on" when enumerating ordinals, it defines a larger ordinal). The smallest uncountable ordinal is the set of all countable ordinals, expressed as ω1 or .[4]

Definitions

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Well-ordered sets

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In a well-ordered set, every non-empty subset contains a distinct smallest element. Given the axiom of dependent choice, this is equivalent to saying that the set is totally ordered and there is no infinite decreasing sequence (the latter being easier to visualize). In practice, the importance of well-ordering is justified by the possibility of applying transfinite induction, which says, essentially, that any property that passes on from the predecessors of an element to that element itself must be true of all elements (of the given well-ordered set). If the states of a computation (computer program or game) can be well-ordered—in such a way that each step is followed by a "lower" step—then the computation will terminate.

It is inappropriate to distinguish between two well-ordered sets if they only differ in the "labeling of their elements", or more formally: if the elements of the first set can be paired off with the elements of the second set such that if one element is smaller than another in the first set, then the partner of the first element is smaller than the partner of the second element in the second set, and vice versa. Such a one-to-one correspondence is called an order isomorphism, and the two well-ordered sets are said to be order-isomorphic or similar (with the understanding that this is an equivalence relation).

Formally, if a partial order ≤ is defined on the set S, and a partial order ≤' is defined on the set S' , then the posets (S,≤) and (S' ,≤') are order isomorphic if there is a bijection f that preserves the ordering. That is, f(a) ≤' f(b) if and only if ab. Provided there exists an order isomorphism between two well-ordered sets, the order isomorphism is unique: this makes it quite justifiable to consider the two sets as essentially identical, and to seek a "canonical" representative of the isomorphism type (class). This is exactly what the ordinals provide, and it also provides a canonical labeling of the elements of any well-ordered set. Every well-ordered set (S,<) is order-isomorphic to the set of ordinals less than one specific ordinal number under their natural ordering. This canonical set is the order type of (S,<).

Essentially, an ordinal is intended to be defined as an isomorphism class of well-ordered sets: that is, as an equivalence class for the equivalence relation of "being order-isomorphic". There is a technical difficulty involved, however, in the fact that the equivalence class is too large to be a set in the usual Zermelo–Fraenkel (ZF) formalization of set theory. But this is not a serious difficulty. The ordinal can be said to be the order type of any set in the class.

Definition of an ordinal as an equivalence class

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The original definition of ordinal numbers, found for example in the Principia Mathematica, defines the order type of a well-ordering as the set of all well-orderings similar (order-isomorphic) to that well-ordering: in other words, an ordinal number is genuinely an equivalence class of well-ordered sets. This definition must be abandoned in ZF and related systems of axiomatic set theory because these equivalence classes are too large to form a set. However, this definition still can be used in type theory and in Quine's axiomatic set theory New Foundations and related systems (where it affords a rather surprising alternative solution to the Burali-Forti paradox of the largest ordinal).

Von Neumann definition of ordinals

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First several von Neumann ordinals
0 = {} =
1 = {0} = {∅}
2 = {0,1} = {∅,{∅}}
3 = {0,1,2} = {∅,{∅},{∅,{∅}}}
4 = {0,1,2,3} = {∅,{∅},{∅,{∅}},{∅,{∅},{∅,{∅}}}}

Rather than defining an ordinal as an equivalence class of well-ordered sets, it will be defined as a particular well-ordered set that (canonically) represents the class. Thus, an ordinal number will be a well-ordered set; and every well-ordered set will be order-isomorphic to exactly one ordinal number.

For each well-ordered set T, defines an order isomorphism between T and the set of all subsets of T having the form ordered by inclusion. This motivates the standard definition, suggested by John von Neumann at the age of 19, now called definition of von Neumann ordinals: "each ordinal is the well-ordered set of all smaller ordinals". In symbols, .[5][6] Formally:

A set S is an ordinal if and only if S is strictly well-ordered with respect to set membership and every element of S is also a subset of S.

The natural numbers are thus ordinals by this definition. For instance, 2 is an element of 4 = {0, 1, 2, 3}, and 2 is equal to {0, 1} and so it is a subset of {0, 1, 2, 3}.

It can be shown by transfinite induction that every well-ordered set is order-isomorphic to exactly one of these ordinals, that is, there is an order preserving bijective function between them.

Furthermore, the elements of every ordinal are ordinals themselves. Given two ordinals S and T, S is an element of T if and only if S is a proper subset of T. Moreover, either S is an element of T, or T is an element of S, or they are equal. So every set of ordinals is totally ordered. Further, every set of ordinals is well-ordered. This generalizes the fact that every set of natural numbers is well-ordered.

Consequently, every ordinal S is a set having as elements precisely the ordinals smaller than S. For example, every set of ordinals has a supremum, the ordinal obtained by taking the union of all the ordinals in the set. This union exists regardless of the set's size, by the axiom of union.

The class of all ordinals is not a set. If it were a set, one could show that it was an ordinal and thus a member of itself, which would contradict its strict ordering by membership. This is the Burali-Forti paradox. The class of all ordinals is variously called "Ord", "ON", or "".[citation needed]

An ordinal is finite if and only if the opposite order is also well-ordered, which is the case if and only if each of its non-empty subsets has a greatest element.

Other definitions

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There are other modern formulations of the definition of ordinal. For example, assuming the axiom of regularity, the following are equivalent for a set x:

These definitions cannot be used in non-well-founded set theories. In set theories with urelements, one has to further make sure that the definition excludes urelements from appearing in ordinals.

Transfinite sequence

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If α is any ordinal and X is a set, an α-indexed sequence of elements of X is a function from α to X. This concept, a transfinite sequence (if α is infinite) or ordinal-indexed sequence, is a generalization of the concept of a sequence. An ordinary sequence corresponds to the case α = ω, while a finite α corresponds to a tuple, a.k.a. string.

Transfinite induction

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Transfinite induction holds in any well-ordered set, but it is so important in relation to ordinals that it is worth restating here.

Any property that passes from the set of ordinals smaller than a given ordinal α to α itself, is true of all ordinals.

That is, if P(α) is true whenever P(β) is true for all β < α, then P(α) is true for all α. Or, more practically: in order to prove a property P for all ordinals α, one can assume that it is already known for all smaller β < α.

Transfinite recursion

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Transfinite induction can be used not only to prove things, but also to define them. Such a definition is normally said to be by transfinite recursion – the proof that the result is well-defined uses transfinite induction. Let F denote a (class) function F to be defined on the ordinals. The idea now is that, in defining F(α) for an unspecified ordinal α, one may assume that F(β) is already defined for all β < α and thus give a formula for F(α) in terms of these F(β). It then follows by transfinite induction that there is one and only one function satisfying the recursion formula up to and including α.

Here is an example of definition by transfinite recursion on the ordinals (more will be given later): define function F by letting F(α) be the smallest ordinal not in the set {F(β) | β < α}, that is, the set consisting of all F(β) for β < α. This definition assumes the F(β) known in the very process of defining F; this apparent vicious circle is exactly what definition by transfinite recursion permits. In fact, F(0) makes sense since there is no ordinal β < 0, and the set {F(β) | β < 0} is empty. So F(0) is equal to 0 (the smallest ordinal of all). Now that F(0) is known, the definition applied to F(1) makes sense (it is the smallest ordinal not in the singleton set {F(0)} = {0}), and so on (the and so on is exactly transfinite induction). It turns out that this example is not very exciting, since provably F(α) = α for all ordinals α, which can be shown, precisely, by transfinite induction.

Successor and limit ordinals

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Any nonzero ordinal has the minimum element, zero. It may or may not have a maximum element. For example, 42 has maximum 41 and ω+6 has maximum ω+5. On the other hand, ω does not have a maximum since there is no largest natural number. If an ordinal has a maximum α, then it is the next ordinal after α, and it is called a successor ordinal, namely the successor of α, written α+1. In the von Neumann definition of ordinals, the successor of α is since its elements are those of α and α itself.[5]

A nonzero ordinal that is not a successor is called a limit ordinal. One justification for this term is that a limit ordinal is the limit in a topological sense of all smaller ordinals (under the order topology).

When is an ordinal-indexed sequence, indexed by a limit and the sequence is increasing, i.e. whenever its limit is defined as the least upper bound of the set that is, the smallest ordinal (it always exists) greater than any term of the sequence. In this sense, a limit ordinal is the limit of all smaller ordinals (indexed by itself). Put more directly, it is the supremum of the set of smaller ordinals.

Another way of defining a limit ordinal is to say that α is a limit ordinal if and only if:

There is an ordinal less than α and whenever ζ is an ordinal less than α, then there exists an ordinal ξ such that ζ < ξ < α.

So in the following sequence:

0, 1, 2, ..., ω, ω+1

ω is a limit ordinal because for any smaller ordinal (in this example, a natural number) there is another ordinal (natural number) larger than it, but still less than ω.

Thus, every ordinal is either zero, or a successor (of a well-defined predecessor), or a limit. This distinction is important, because many definitions by transfinite recursion rely upon it. Very often, when defining a function F by transfinite recursion on all ordinals, one defines F(0), and F(α+1) assuming F(α) is defined, and then, for limit ordinals δ one defines F(δ) as the limit of the F(β) for all β<δ (either in the sense of ordinal limits, as previously explained, or for some other notion of limit if F does not take ordinal values). Thus, the interesting step in the definition is the successor step, not the limit ordinals. Such functions (especially for F nondecreasing and taking ordinal values) are called continuous. Ordinal addition, multiplication and exponentiation are continuous as functions of their second argument (but can be defined non-recursively).

Indexing classes of ordinals

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Any well-ordered set is similar (order-isomorphic) to a unique ordinal number ; in other words, its elements can be indexed in increasing fashion by the ordinals less than . This applies, in particular, to any set of ordinals: any set of ordinals is naturally indexed by the ordinals less than some . The same holds, with a slight modification, for classes of ordinals (a collection of ordinals, possibly too large to form a set, defined by some property): any class of ordinals can be indexed by ordinals (and, when the class is unbounded in the class of all ordinals, this puts it in class-bijection with the class of all ordinals). So the -th element in the class (with the convention that the "0-th" is the smallest, the "1-st" is the next smallest, and so on) can be freely spoken of. Formally, the definition is by transfinite induction: the -th element of the class is defined (provided it has already been defined for all ), as the smallest element greater than the -th element for all .

This could be applied, for example, to the class of limit ordinals: the -th ordinal, which is either a limit or zero is (see ordinal arithmetic for the definition of multiplication of ordinals). Similarly, one can consider additively indecomposable ordinals (meaning a nonzero ordinal that is not the sum of two strictly smaller ordinals): the -th additively indecomposable ordinal is indexed as . The technique of indexing classes of ordinals is often useful in the context of fixed points: for example, the -th ordinal such that is written . These are called the "epsilon numbers".

Closed unbounded sets and classes

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A class of ordinals is said to be unbounded, or cofinal, when given any ordinal , there is a in such that (then the class must be a proper class, i.e., it cannot be a set). It is said to be closed when the limit of a sequence of ordinals in the class is again in the class: or, equivalently, when the indexing (class-)function is continuous in the sense that, for a limit ordinal, (the -th ordinal in the class) is the limit of all for ; this is also the same as being closed, in the topological sense, for the order topology (to avoid talking of topology on proper classes, one can demand that the intersection of the class with any given ordinal is closed for the order topology on that ordinal, this is again equivalent).

Of particular importance are those classes of ordinals that are closed and unbounded, sometimes called clubs. For example, the class of all limit ordinals is closed and unbounded: this translates the fact that there is always a limit ordinal greater than a given ordinal, and that a limit of limit ordinals is a limit ordinal (a fortunate fact if the terminology is to make any sense at all!). The class of additively indecomposable ordinals, or the class of ordinals, or the class of cardinals, are all closed unbounded; the set of regular cardinals, however, is unbounded but not closed, and any finite set of ordinals is closed but not unbounded.

A class is stationary if it has a nonempty intersection with every closed unbounded class. All superclasses of closed unbounded classes are stationary, and stationary classes are unbounded, but there are stationary classes that are not closed and stationary classes that have no closed unbounded subclass (such as the class of all limit ordinals with countable cofinality). Since the intersection of two closed unbounded classes is closed and unbounded, the intersection of a stationary class and a closed unbounded class is stationary. But the intersection of two stationary classes may be empty, e.g. the class of ordinals with cofinality ω with the class of ordinals with uncountable cofinality.

Rather than formulating these definitions for (proper) classes of ordinals, one can formulate them for sets of ordinals below a given ordinal : A subset of a limit ordinal is said to be unbounded (or cofinal) under provided any ordinal less than is less than some ordinal in the set. More generally, one can call a subset of any ordinal cofinal in provided every ordinal less than is less than or equal to some ordinal in the set. The subset is said to be closed under provided it is closed for the order topology in , i.e. a limit of ordinals in the set is either in the set or equal to itself.

Arithmetic of ordinals

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There are three usual operations on ordinals: addition, multiplication, and exponentiation. Each can be defined in essentially two different ways: either by constructing an explicit well-ordered set that represents the operation or by using transfinite recursion. The Cantor normal form provides a standardized way of writing ordinals. It uniquely represents each ordinal as a finite sum of ordinal powers of ω. However, this cannot form the basis of a universal ordinal notation due to such self-referential representations as ε0 = ωε0.

Ordinals are a subclass of the class of surreal numbers, and the so-called "natural" arithmetical operations for surreal numbers are an alternative way to combine ordinals arithmetically. They retain commutativity at the expense of continuity.

Interpreted as nimbers, a game-theoretic variant of numbers, ordinals can also be combined via nimber arithmetic operations. These operations are commutative but the restriction to natural numbers is generally not the same as ordinary addition of natural numbers.

Ordinals and cardinals

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Initial ordinal of a cardinal

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Each ordinal associates with one cardinal, its cardinality. If there is a bijection between two ordinals (e.g. ω = 1 + ω and ω + 1 > ω), then they associate with the same cardinal. Any well-ordered set having an ordinal as its order-type has the same cardinality as that ordinal. The least ordinal associated with a given cardinal is called the initial ordinal of that cardinal. Every finite ordinal (natural number) is initial, and no other ordinal associates with its cardinal. But most infinite ordinals are not initial, as many infinite ordinals associate with the same cardinal. The axiom of choice is equivalent to the statement that every set can be well-ordered, i.e. that every cardinal has an initial ordinal. In theories with the axiom of choice, the cardinal number of any set has an initial ordinal, and one may employ the Von Neumann cardinal assignment as the cardinal's representation. (However, we must then be careful to distinguish between cardinal arithmetic and ordinal arithmetic.) In set theories without the axiom of choice, a cardinal may be represented by the set of sets with that cardinality having minimal rank (see Scott's trick).

One issue with Scott's trick is that it identifies the cardinal number with , which in some formulations is the ordinal number . It may be clearer to apply Von Neumann cardinal assignment to finite cases and to use Scott's trick for sets which are infinite or do not admit well orderings. Note that cardinal and ordinal arithmetic agree for finite numbers.

The α-th infinite initial ordinal is written , it is always a limit ordinal. Its cardinality is written . For example, the cardinality of ω0 = ω is , which is also the cardinality of ω2 or ε0 (all are countable ordinals). So ω can be identified with , except that the notation is used when writing cardinals, and ω when writing ordinals (this is important since, for example, = whereas ). Also, is the smallest uncountable ordinal (to see that it exists, consider the set of equivalence classes of well-orderings of the natural numbers: each such well-ordering defines a countable ordinal, and is the order type of that set), is the smallest ordinal whose cardinality is greater than , and so on, and is the limit of the for natural numbers n (any limit of cardinals is a cardinal, so this limit is indeed the first cardinal after all the ).

Cofinality

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The cofinality of an ordinal is the smallest ordinal that is the order type of a cofinal subset of . Notice that a number of authors define cofinality or use it only for limit ordinals. The cofinality of a set of ordinals or any other well-ordered set is the cofinality of the order type of that set.

Thus for a limit ordinal, there exists a -indexed strictly increasing sequence with limit . For example, the cofinality of ω2 is ω, because the sequence ω·m (where m ranges over the natural numbers) tends to ω2; but, more generally, any countable limit ordinal has cofinality ω. An uncountable limit ordinal may have either cofinality ω as does or an uncountable cofinality.

The cofinality of 0 is 0. And the cofinality of any successor ordinal is 1. The cofinality of any limit ordinal is at least .

An ordinal that is equal to its cofinality is called regular and it is always an initial ordinal. Any limit of regular ordinals is a limit of initial ordinals and thus is also initial even if it is not regular, which it usually is not. If the Axiom of Choice, then is regular for each α. In this case, the ordinals 0, 1, , , and are regular, whereas 2, 3, , and ωω·2 are initial ordinals that are not regular.

The cofinality of any ordinal α is a regular ordinal, i.e. the cofinality of the cofinality of α is the same as the cofinality of α. So the cofinality operation is idempotent.

Some "large" countable ordinals

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As mentioned above (see Cantor normal form), the ordinal ε0 is the smallest satisfying the equation , so it is the limit of the sequence 0, 1, , , , etc. Many ordinals can be defined in such a manner as fixed points of certain ordinal functions (the -th ordinal such that is called , then one could go on trying to find the -th ordinal such that , "and so on", but all the subtlety lies in the "and so on"). One could try to do this systematically, but no matter what system is used to define and construct ordinals, there is always an ordinal that lies just above all the ordinals constructed by the system. Perhaps the most important ordinal that limits a system of construction in this manner is the Church–Kleene ordinal, (despite the in the name, this ordinal is countable), which is the smallest ordinal that cannot in any way be represented by a computable function (this can be made rigorous, of course). Considerably large ordinals can be defined below , however, which measure the "proof-theoretic strength" of certain formal systems (for example, measures the strength of Peano arithmetic). Large countable ordinals such as countable admissible ordinals can also be defined above the Church-Kleene ordinal, which are of interest in various parts of logic.[citation needed]

Topology and ordinals

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Any ordinal number can be made into a topological space by endowing it with the order topology; this topology is discrete if and only if it is less than or equal to ω. A subset of ω + 1 is open in the order topology if and only if either it is cofinite or it does not contain ω as an element.

See the Topology and ordinals section of the "Order topology" article.

History

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The transfinite ordinal numbers, which first appeared in 1883,[7] originated in Cantor's work with derived sets. If P is a set of real numbers, the derived set P is the set of limit points of P. In 1872, Cantor generated the sets P(n) by applying the derived set operation n times to P. In 1880, he pointed out that these sets form the sequence P' ⊇ ··· ⊇ P(n)P(n + 1) ⊇ ···, and he continued the derivation process by defining P(∞) as the intersection of these sets. Then he iterated the derived set operation and intersections to extend his sequence of sets into the infinite: P(∞)P(∞ + 1)P(∞ + 2) ⊇ ··· ⊇ P(2∞) ⊇ ··· ⊇ P(∞2) ⊇ ···.[8] The superscripts containing ∞ are just indices defined by the derivation process.[9]

Cantor used these sets in the theorems:

  1. If P(α) = ∅ for some index α, then P is countable;
  2. Conversely, if P is countable, then there is an index α such that P(α) = ∅.

These theorems are proved by partitioning P into pairwise disjoint sets: P = (P\ P(2)) ∪ (P(2) \ P(3)) ∪ ··· ∪ (P(∞) \ P(∞ + 1)) ∪ ··· ∪ P(α). For β < α: since P(β + 1) contains the limit points of P(β), the sets P(β) \ P(β + 1) have no limit points. Hence, they are discrete sets, so they are countable. Proof of first theorem: If P(α) = ∅ for some index α, then P is the countable union of countable sets. Therefore, P is countable.[10]

The second theorem requires proving the existence of an α such that P(α) = ∅. To prove this, Cantor considered the set of all α having countably many predecessors. To define this set, he defined the transfinite ordinal numbers and transformed the infinite indices into ordinals by replacing ∞ with ω, the first transfinite ordinal number. Cantor called the set of finite ordinals the first number class. The second number class is the set of ordinals whose predecessors form a countably infinite set. The set of all α having countably many predecessors—that is, the set of countable ordinals—is the union of these two number classes. Cantor proved that the cardinality of the second number class is the first uncountable cardinality.[11]

Cantor's second theorem becomes: If P is countable, then there is a countable ordinal α such that P(α) = ∅. Its proof uses proof by contradiction. Let P be countable, and assume there is no such α. This assumption produces two cases.

  • Case 1: P(β) \ P(β + 1) is non-empty for all countable β. Since there are uncountably many of these pairwise disjoint sets, their union is uncountable. This union is a subset of P, so P' is uncountable.
  • Case 2: P(β) \ P(β + 1) is empty for some countable β. Since P(β + 1)P(β), this implies P(β + 1) = P(β). Thus, P(β) is a perfect set, so it is uncountable.[12] Since P(β)P, the set P is uncountable.

In both cases, P is uncountable, which contradicts P being countable. Therefore, there is a countable ordinal α such that P(α) = ∅. Cantor's work with derived sets and ordinal numbers led to the Cantor-Bendixson theorem.[13]

Using successors, limits, and cardinality, Cantor generated an unbounded sequence of ordinal numbers and number classes.[14] The (α + 1)-th number class is the set of ordinals whose predecessors form a set of the same cardinality as the α-th number class. The cardinality of the (α + 1)-th number class is the cardinality immediately following that of the α-th number class.[15] For a limit ordinal α, the α-th number class is the union of the β-th number classes for β < α.[16] Its cardinality is the limit of the cardinalities of these number classes.

If n is finite, the n-th number class has cardinality . If αω, the α-th number class has cardinality .[17] Therefore, the cardinalities of the number classes correspond one-to-one with the aleph numbers. Also, the α-th number class consists of ordinals different from those in the preceding number classes if and only if α is a non-limit ordinal. Therefore, the non-limit number classes partition the ordinals into pairwise disjoint sets.

See also

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Notes

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References

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from Grokipedia
In mathematics, an ordinal number is a type of number that describes the order type of a well-ordered set, generalizing the concept of position or rank from finite sequences to potentially infinite ones.[1] Unlike cardinal numbers, which measure the size or quantity of sets, ordinals capture the structure and sequence of elements in a linear order without repetition.[1] They form the foundation for transfinite arithmetic and are essential in set theory for defining hierarchies and iterations beyond the natural numbers.[1] Finite ordinals correspond directly to the natural numbers, representing positions like 0 (the empty set), 1 (first), 2 (second), and so forth, where each ordinal is the set of all preceding ordinals in the von Neumann construction.[1] For example, the ordinal 3 is the set {0, 1, 2}. Transfinite ordinals extend this to infinite well-orderings, beginning with ω (pronounced "omega"), the first transfinite ordinal, the smallest ordinal greater than all finite ordinals, the order type of the natural numbers under their usual order; it is also the first admissible ordinal and the first transfinite regular ordinal.[1] This is followed by successors like ω+1 and limit ordinals such as ω·2.[1] Introduced by Georg Cantor in 1884, ordinals enable the precise description of infinite processes, such as the ordering of countable infinities.[1] Ordinal arithmetic differs from cardinal arithmetic due to its sensitivity to order; for instance, 1 + ω = ω, but ω + 1 > ω, highlighting that addition is not commutative.[1] Multiplication and exponentiation follow similar non-commutative rules, with operations defined recursively on the well-ordering. The class of all ordinals is well-ordered but proper (not a set), as shown by the Burali-Forti paradox, preventing a largest ordinal.[1] These properties underpin advanced applications in logic, topology, and the study of large infinities.[1]

Basic Concepts

Extending the natural numbers

The finite ordinal numbers coincide with the natural numbers, beginning with 0, 1, 2, and continuing indefinitely, where each finite ordinal denotes the order type of a well-ordered finite set with that many elements.[1][2] This correspondence arises naturally in set theory, where the ordinal 0 is the empty set, 1 is a singleton, 2 consists of those two, and so on, mirroring the structure of counting in everyday arithmetic.[2] Georg Cantor developed the theory of ordinal numbers in the 1880s as part of his broader investigation into infinite sets, driven by the realization that finite counting methods inadequately describe the ordered structures of infinities.[3] In particular, Cantor's analysis of infinite sequences, such as the unending progression 1, 2, 3, ..., revealed the conceptual necessity for a position that follows all finite numbers, enabling a systematic way to order and compare infinite well-orderings.[3][1] The smallest infinite ordinal, denoted ω (the lowercase Greek letter omega), represents the order type of the natural numbers under their usual ordering, serving as the immediate successor to the entire class of finite ordinals.[1][2] This notation extends intuitively: ω + 1 denotes the ordinal obtained by placing a single element after the infinite sequence of naturals, ω + 2 adds another, and so on, evoking a number line that stretches beyond finite bounds into transfinite territory without end.[1] Such extensions presuppose basic familiarity with set-theoretic notions like well-ordering, in which every nonempty subset possesses a least element.[2]

Well-ordered sets

A well-ordered set is a totally ordered set in which every non-empty subset has a least element under the given ordering.[4] This property ensures that there are no infinite descending chains in the order, providing a foundational structure for extending finite orderings to infinite cases. Every well-ordering is a total order, meaning that for any two distinct elements aa and bb in the set, exactly one of a<ba < b or b<ab < a holds, satisfying the trichotomy law.[5][6] However, not every total order is a well-order; for example, the rational numbers Q\mathbb{Q} under the standard less-than relation form a total order but lack the well-ordering property, as the subset of positive rationals has no least element.[7] The natural numbers N\mathbb{N} (including 0) under the usual ordering provide a canonical example of a well-ordered set, as every non-empty subset has a least element, which underpins mathematical induction.[4] Finite ordinals, which correspond to initial segments of the natural numbers, are also well-ordered in the same way.[4] In contrast, the integers Z\mathbb{Z} under the standard ordering are totally ordered but not well-ordered, since the subset of negative integers has no least element.[7] Assuming the axiom of choice, every non-empty set admits a well-ordering, though constructing such an ordering explicitly is often impossible for uncountable sets.[8] Ordinals serve to classify the isomorphism types of well-ordered sets, extending the order types of the natural numbers to transfinite lengths.[4]

Formal Definitions

Ordinals as equivalence classes

In set theory, ordinal numbers can be formally defined as equivalence classes of well-ordered sets under the relation of order-isomorphism. Specifically, two well-ordered sets are equivalent if there exists a bijection between them that preserves the order relation, meaning it maps each element to another such that the order between elements is maintained. This equivalence relation partitions the collection of all well-ordered sets into classes, each of which is called an ordinal number.[9][10] Each ordinal represents the order type of the well-ordered sets in its equivalence class, capturing the abstract "shape" or structure of the well-ordering without regard to the specific elements involved. For instance, the equivalence class consisting of all finite well-ordered sets of natural numbers corresponds to the finite ordinals, such as the order type of {0}\{0\}, {0,1}\{0,1\}, or {0,1,2}\{0,1,2\}, which are isomorphic regardless of the labels used. This approach generalizes the notion of natural numbers as order types of finite sequences, extending it to transfinite structures.[9][11] The ordinals form a strictly totally ordered class, where for distinct ordinals α\alpha and β\beta, one is less than the other: α<β\alpha < \beta if there exists an order-embedding (an injective order-preserving map) from a representative set of α\alpha into a representative set of β\beta, but no order-isomorphism between them. This embedding ensures that α\alpha can be "placed inside" β\beta while preserving order, but the structures are not identical, reflecting the proper extension of the ordering. To compare ordinals intuitively, especially in cases involving sums of order types, the Hessenberg sum provides a commutative operation that yields the least upper bound of all possible sums of initial segments, allowing assessment of relative sizes without full arithmetic development.[11][9] A fundamental theorem states that every well-ordered set is order-isomorphic to exactly one ordinal, ensuring that the equivalence classes uniquely classify all possible well-orderings. This uniqueness theorem, originally due to Cantor, guarantees that ordinals serve as canonical representatives for order types in set theory. As an alternative concrete realization, ordinals can be implemented using sets via the von Neumann construction.[11][9]

Von Neumann ordinals

In set theory, particularly within the framework of Zermelo–Fraenkel set theory with the axiom of choice (ZFC), Von Neumann ordinals offer a canonical construction of ordinal numbers as specific sets that encode their order type via the membership relation. Formally, a set α\alpha is a Von Neumann ordinal if it is transitive—meaning that every element of α\alpha is a subset of α\alpha—and linearly well-ordered by the restriction of the membership relation \in to α\alpha.[12][13] This definition ensures that α\alpha has no infinite descending \in-chains, as the well-ordering implies every non-empty subset of α\alpha has an \in-minimal element.[12] The construction begins with the zero ordinal, defined as the empty set: 0=0 = \emptyset.[12][13] Successor ordinals are formed by adjoining the predecessor to itself: for any ordinal α\alpha, the successor α+1=α{α}\alpha + 1 = \alpha \cup \{\alpha\}.[12][13] Limit ordinals, which are neither zero nor successors, arise as the union of an increasing sequence of smaller ordinals, such as the first infinite ordinal ω=n<ωn\omega = \bigcup_{n < \omega} n, where the finite ordinals are nested. In the von Neumann definition, ω\omega is equal to the set of all finite ordinals, which is the set of nonnegative integers N\mathbb{N}.[12][13][1][2] Under this construction, each Von Neumann ordinal α\alpha is precisely the set of all ordinals strictly less than α\alpha, establishing a unique identification: 0=0 = \emptyset, 1={0}={}1 = \{0\} = \{\emptyset\}, 2={0,1}={,{}}2 = \{0, 1\} = \{\emptyset, \{\emptyset\}\}, 3={0,1,2}3 = \{0, 1, 2\}, and in general, the finite ordinals correspond to these nested sets, while ω\omega collects all finite ordinals.[12][13] This representation highlights that if β<α\beta < \alpha, then βα\beta \in \alpha and βα\beta \subset \alpha, reinforcing the order via set inclusion.[13] Key properties follow directly from the definition. Transitivity ensures that the membership relation on α\alpha captures the ordinal order without external elements, and every member of α\alpha is itself an ordinal, making the structure hereditary.[12] Well-foundedness is inherent, as the well-ordering by \in precludes cycles or infinite descents, aligning with the foundation axiom of set theory.[12] These ordinals form a proper class, as assuming they form a set leads to Russell's paradox via the Burali-Forti paradox.[12] The Von Neumann construction realizes the abstract notion of ordinals as equivalence classes of well-ordered sets (under order-isomorphism) through a bijection, where each class maps to its unique isomorphic copy as an initial segment of the ordinals ordered by \in.[13] This equivalence provides a concrete, implementable foundation in ZFC, originally introduced by John von Neumann in 1923.[13]

Alternative definitions

In domain theory, developed by Dana Scott for modeling computability and denotational semantics, ordinals can be represented as certain Scott domains—algebraic, bounded-complete directed complete partial orders (dcpos) where the order topology aligns with the Scott topology, allowing ordinals to structure approximations of recursive computations.[14] These domains embed ordinal structures to capture the "information flow" in continuous functions between domains, facilitating the analysis of fixed points and higher-type computability, though they prioritize effective approximations over the full set-theoretic transfinite sequence.[15] An older, less common approach for defining finite ordinals employs ordered pairs recursively, building on Kazimierz Kuratowski's construction of ordered pairs as sets to encode linear orders via initial segments without relying on transitive membership hierarchies.[16] For instance, the finite ordinal n is represented as the set of all proper initial segments of a well-ordering up to n elements, using Kuratowski pairs to tag and order them, which was useful in early axiomatic set theory for avoiding circularity in primitive recursive definitions but has been largely superseded by simpler transitive set constructions for its added complexity in handling transfinite extensions. John Horton Conway's surreal numbers generalize ordinals by embedding them into a real-closed field that includes all ordinals as a proper subclass, extending the structure to "ordinal-like" elements with signs, infinitesimals, and infinite magnitudes through a birthday hierarchy and normal forms analogous to Cantor normal form but with real coefficients. This allows operations like addition and multiplication to produce signed or mixed forms, such as negative ordinals or infinitesimal increments to ω, providing a unified arithmetic for games and analysis beyond pure well-orderings.[17] In Martin-Löf intuitionistic type theory, ordinals are formalized as inductive types, particularly W-types (well-founded trees) that encode well-orderings constructively, with the natural numbers as the base inductive type Nat and higher ordinals built via indexed W-types over previous ordinals to represent successor and limit constructions without classical choice principles.[18] This approach emphasizes proof-relevant well-foundedness, enabling recursion and induction in a computational setting. These alternative definitions adapt ordinals to specific logical or algebraic contexts—domain theory for semantics, surreals for extended arithmetic, and type theory for constructive proofs—but often fail to replicate the full transfinite hierarchy of classical set theory in weaker systems lacking the axiom of choice, where not all well-orderings may be comparable or embeddable without additional assumptions.[19]

Induction and Recursion

Transfinite induction

Transfinite induction serves as the extension of mathematical induction to the transfinite realm, enabling the proof that a property P(α)P(\alpha) holds for all ordinals α<β\alpha < \beta, where β\beta is a fixed ordinal. The principle requires verifying three components: the base case P(0)P(0), the successor case where P(γ)P(\gamma) implies P(γ+1)P(\gamma + 1) for every γ<β\gamma < \beta, and the limit case where, for every limit ordinal λ<β\lambda < \beta, the assumption that P(δ)P(\delta) holds for all δ<λ\delta < \lambda implies P(λ)P(\lambda). This structured approach accounts for the hierarchical nature of ordinals, distinguishing them from finite induction by incorporating limit ordinals as points of convergence.[20] The proof of transfinite induction proceeds by contradiction, leveraging the well-ordering of the ordinals. Suppose, for the sake of contradiction, that there exists some β\beta such that P(α)P(\alpha) fails for at least one α<β\alpha < \beta. Let CC be the nonempty class of ordinals less than β\beta where PP does not hold; by the well-ordering principle, CC possesses a least element ξ\xi. However, ξ\xi cannot be 0, as the base case ensures P(0)P(0). If ξ=γ+1\xi = \gamma + 1 is a successor, then P(γ)P(\gamma) holds by the minimality of ξ\xi, contradicting the successor case. If ξ\xi is a limit ordinal, then P(δ)P(\delta) holds for all δ<ξ\delta < \xi, again contradicting the limit case. Thus, no such ξ\xi exists, and P(α)P(\alpha) holds for all α<β\alpha < \beta.[21] A fundamental example of transfinite induction classifies every ordinal as either 0, a successor ordinal, or a limit ordinal. Define P(α)P(\alpha) to mean "α=0\alpha = 0 or α\alpha is a successor or α\alpha is a limit." The base case holds since P(0)P(0) is true by definition. For the successor case, if P(γ)P(\gamma) holds, then γ+1\gamma + 1 is explicitly a successor ordinal. For the limit case, if λ\lambda is a limit ordinal and P(δ)P(\delta) holds for all δ<λ\delta < \lambda, then λ\lambda has no maximum predecessor and thus cannot be a successor, confirming it is a limit. By transfinite induction, every ordinal satisfies this classification.[20] The efficacy of transfinite induction stems directly from the well-foundedness of the ordinal ordering, which guarantees that every nonempty subclass of ordinals has a least element, preventing infinite descending chains and ensuring the contradiction argument applies universally. This property underscores why induction functions seamlessly across the entire class of ordinals.[20] The principle can be schematized formally as follows:
P(0)γ(P(γ)P(γ+1))λ limit((δ<λP(δ))P(λ))    α<βP(α). P(0) \land \forall \gamma \left( P(\gamma) \to P(\gamma + 1) \right) \land \forall \lambda \text{ limit} \left( \left( \forall \delta < \lambda \, P(\delta) \right) \to P(\lambda) \right) \implies \forall \alpha < \beta \, P(\alpha).
This schema encapsulates the inductive step for arbitrary β\beta.[21]

Transfinite recursion

Transfinite recursion is a fundamental technique in set theory for defining functions or classes indexed by ordinals, extending the notion of recursion from natural numbers to transfinite sequences. It allows the construction of objects by specifying their values at the zero ordinal, at successor ordinals, and at limit ordinals, based on the values at preceding ordinals. Formally, given a class XX, a base element bXb \in X, a successor operation gg that assigns to each partial function f:αXf: \alpha \to X (for α\alpha an ordinal) an element g(f)Xg(f) \in X, and a limit operation hh that assigns to each set of elements from XX (arising as the range of such partial functions below a limit ordinal λ\lambda) an element h({f(β)β<λ})Xh(\{f(\beta) \mid \beta < \lambda\}) \in X, there exists a unique class function F:OnXF: \mathrm{On} \to X such that:
  • F(0)=bF(0) = b,
  • for each successor ordinal α+1\alpha + 1, F(α+1)=g(Fα)F(\alpha + 1) = g(F \upharpoonright \alpha), where FαF \upharpoonright \alpha denotes the restriction of FF to α\alpha,
  • for each limit ordinal λ\lambda, F(λ)=h({F(β)β<λ})F(\lambda) = h(\{F(\beta) \mid \beta < \lambda\}).[22]
The uniqueness of such a function FF is established via transfinite induction on the ordinals in its domain, ensuring that the recursive definition is well-defined at every stage without ambiguity.[22] In ZFC set theory, transfinite recursion is justified by the axiom schema of replacement, which guarantees the existence of the image of any set under a definable class function; this enables the recursive construction to yield actual sets when the domain is a set of ordinals, rather than merely proper classes. A canonical example is the construction of the von Neumann cumulative hierarchy {VααOn}\{V_\alpha \mid \alpha \in \mathrm{On}\}, which builds the universe of sets by transfinite recursion: V0=V_0 = \emptyset, Vα+1=P(Vα)V_{\alpha+1} = \mathcal{P}(V_\alpha) (the power set of VαV_\alpha), and for limit λ\lambda, Vλ=β<λVβV_\lambda = \bigcup_{\beta < \lambda} V_\beta. This hierarchy enumerates all sets in a well-ordered manner, with each level depending on previous ones via set operations. Another prominent application appears in the definition of the Veblen hierarchy of normal functions φα:OnOn\varphi_\alpha: \mathrm{On} \to \mathrm{On}, which generates large countable ordinals through transfinite recursion. Starting with φ0(β)=ωβ\varphi_0(\beta) = \omega^\beta, the functions are defined successively, with φα+1(β)\varphi_{\alpha+1}(\beta) enumerating the fixed points of φα\varphi_\alpha, and at limits φλ(β)\varphi_\lambda(\beta) taking the limit of the previous functions; this recursive process produces ordinals like the epsilon numbers and beyond, foundational for ordinal notations in proof theory. Unlike transfinite induction, which verifies properties of all ordinals by assuming them for predecessors and proving the cases, transfinite recursion actively builds new mathematical objects or functions across the ordinals.[22]

Successor and limit ordinals

The finite ordinals comprise the ordinal 0 and all positive integers up to any finite nn, with all finite ordinals except 0 being successor ordinals.[13] A successor ordinal is defined as an ordinal α\alpha such that there exists an ordinal β\beta with α=β+1\alpha = \beta + 1; consequently, β\beta serves as the immediate predecessor of α\alpha, making successor ordinals isolated points in the order topology on the class of ordinals.[23] In this topology, the successor α+1\alpha + 1 consists of the set α{α}\alpha \cup \{\alpha\}, emphasizing its discrete position immediately following α\alpha.[23] In contrast, a limit ordinal is any ordinal greater than 0 that is neither 0 nor a successor, meaning it lacks an immediate predecessor and is instead the supremum of all strictly smaller ordinals.[24] For instance, the smallest infinite ordinal ω\omega is the limit ordinal given by sup{nn\sup\{n \mid n is finite}\}.[25] Limit ordinals function as accumulation points in the order topology, where every open neighborhood of such an ordinal contains ordinals arbitrarily close to it from below, reflecting their role as points of convergence for sequences of smaller ordinals.[2] Limit ordinals further divide into principal and non-principal types based on additive closure. A principal limit ordinal, also termed an additively indecomposable or gamma ordinal, is closed under ordinal addition, satisfying γ+δ<α\gamma + \delta < \alpha for all γ,δ<α\gamma, \delta < \alpha; these coincide with ordinals of the form ωβ\omega^\beta for some ordinal β\beta.[26] Examples include ω\omega itself and ωω\omega^\omega. Non-principal limit ordinals lack this closure property; for example, ω2=sup{ω+nn<ω}\omega \cdot 2 = \sup\{\omega + n \mid n < \omega\} is a limit ordinal, but ω+ω=ω2ω2\omega + \omega = \omega \cdot 2 \not< \omega \cdot 2.[26] Another illustrative case is ω+1\omega + 1, a successor ordinal with immediate predecessor ω\omega, versus ω+ω\omega + \omega, a non-principal limit ordinal.[25] These distinctions between finite, successor, and limit ordinals underpin the cases in transfinite induction and recursion.[23]

Arithmetic Operations

Ordinal addition

Ordinal addition is defined as the order type of the disjoint union of two well-ordered sets representing the ordinals α\alpha and β\beta, where the elements of β\beta are ordered after all elements of α\alpha. Formally, if AA and BB are well-ordered sets with order types α\alpha and β\beta, respectively, then α+β\alpha + \beta is the order type of the set ABA \sqcup B equipped with the order that first follows the order on AA and then the order on BB. This can be realized concretely on the Cartesian product as the set (α×{0})(β×{1})(\alpha \times \{0\}) \cup (\beta \times \{1\}), ordered lexicographically with respect to the product order where the second coordinate is primary: (ξ,0)<(η,0)( \xi, 0 ) < ( \eta, 0 ) if ξ<η\xi < \eta in α\alpha, (ξ,1)<(η,1)( \xi, 1 ) < ( \eta, 1 ) if ξ<η\xi < \eta in β\beta, and (ξ,0)<(η,1)( \xi, 0 ) < ( \eta, 1 ) for all ξα\xi \in \alpha and ηβ\eta \in \beta.[27][28] An equivalent recursive definition of ordinal addition is given by transfinite recursion on β\beta: α+0=α\alpha + 0 = \alpha, α+(β+1)=(α+β)+1\alpha + (\beta + 1) = (\alpha + \beta) + 1, and for a limit ordinal λ\lambda, α+λ=sup{α+ββ<λ}\alpha + \lambda = \sup \{ \alpha + \beta \mid \beta < \lambda \}. This recursive characterization aligns with the order-type definition and facilitates proofs of properties.[27][29] Ordinal addition is associative: for all ordinals α,β,γ\alpha, \beta, \gamma, (α+β)+γ=α+(β+γ)(\alpha + \beta) + \gamma = \alpha + (\beta + \gamma). However, it is not commutative: α+ββ+α\alpha + \beta \neq \beta + \alpha in general when at least one is infinite. For finite ordinals, addition coincides with the usual natural number addition and is both commutative and associative.[30][31][32] Key examples illustrate the non-commutativity and the influence of order. The sum 1+ω1 + \omega orders a single element before the natural numbers, yielding order type ω\omega, as the initial element can be absorbed into the countable sequence. In contrast, ω+1\omega + 1 places a single element after the natural numbers, resulting in a strictly larger ordinal than ω\omega, since there is no largest element in ω\omega but the added successor creates one. Further, ω+ω\omega + \omega concatenates two copies of the naturals, equivalent to ω2\omega \cdot 2, which is the order type of the rationals under a certain well-ordering but larger than ω\omega. These examples highlight how addition preserves the well-ordering but depends on the sequence of placement.[33][31][34] Every ordinal admits a unique representation in Cantor normal form as a finite sum ωγknk++ωγ0n0\omega^{\gamma_k} \cdot n_k + \cdots + \omega^{\gamma_0} \cdot n_0, where γk>>γ0\gamma_k > \cdots > \gamma_0, each nin_i is a positive finite ordinal, and the coefficients are from the finite ordinals; this form arises naturally from repeated applications of addition with powers of ω\omega and is useful for computing sums without a closed-form formula.[35]

Ordinal multiplication

Ordinal multiplication is defined as the order type of the Cartesian product β×α\beta \times \alpha equipped with the reverse lexicographic order, where (b1,a1)<(b2,a2)(b_1, a_1) < (b_2, a_2) if b1<b2b_1 < b_2 or if b1=b2b_1 = b_2 and a1<a2a_1 < a_2, for ordinals α\alpha and β\beta.[31][11] This ordering places the first coordinate (from β\beta) as the primary one, effectively arranging β\beta copies of α\alpha in sequence.[36] The operation is associative, meaning α(βγ)=(αβ)γ\alpha \cdot (\beta \cdot \gamma) = (\alpha \cdot \beta) \cdot \gamma for all ordinals α,β,γ\alpha, \beta, \gamma, but it is not commutative, as αβ\alpha \cdot \beta need not equal βα\beta \cdot \alpha.[31][36] For instance, 2ω=ω2 \cdot \omega = \omega, since it corresponds to the order type of two elements repeated ω\omega times, which merges into a single countable sequence, while ω2=ω+ω\omega \cdot 2 = \omega + \omega, the order type of ω\omega repeated twice, forming two distinct countable sequences one after the other.[11][36] Ordinal multiplication distributes over addition on the right: α(β+γ)=αβ+αγ\alpha \cdot (\beta + \gamma) = \alpha \cdot \beta + \alpha \cdot \gamma, reflecting how copies of α\alpha can be grouped by the addends in β+γ\beta + \gamma, but the left distributivity αβ+αγ(α+β)γ\alpha \cdot \beta + \alpha \cdot \gamma \neq (\alpha + \beta) \cdot \gamma generally fails.[31][36] This builds directly on ordinal addition, treating multiplication as repeated addition in the ordinal sense.[11] The recursive definition of ordinal multiplication is given by:
  • α0=0\alpha \cdot 0 = 0,
  • α(β+1)=αβ+α\alpha \cdot (\beta + 1) = \alpha \cdot \beta + \alpha,
  • αλ=sup{αββ<λ}\alpha \cdot \lambda = \sup\{\alpha \cdot \beta \mid \beta < \lambda\} for a limit ordinal λ\lambda.[31]
This recursion ensures the operation is well-defined for all ordinals and aligns with the order-type construction.[36]

Ordinal exponentiation

Ordinal exponentiation is a binary operation on ordinals that generalizes finite exponentiation to transfinite cases, defined recursively to preserve the well-ordering structure. For ordinals α>0\alpha > 0 and β\beta, the value αβ\alpha^\beta is given by α0=1\alpha^0 = 1, αβ+1=αβα\alpha^{\beta+1} = \alpha^\beta \cdot \alpha for successor β+1\beta+1, and for limit ordinal λ\lambda, αλ=sup{αββ<λ}\alpha^\lambda = \sup\{\alpha^\beta \mid \beta < \lambda\}.[37] If α=0\alpha = 0, then 0β=00^\beta = 0 for β>0\beta > 0 and 00=10^0 = 1.[37] This recursive definition aligns with the order type of the set of all functions f:βαf: \beta \to \alpha, ordered reverse-lexicographically: f<gf < g if, at the largest ξ<β\xi < \beta where f(ξ)g(ξ)f(\xi) \neq g(\xi), f(ξ)<g(ξ)f(\xi) < g(\xi).[37] Unlike finite or cardinal exponentiation, ordinal exponentiation is not commutative; for instance, 2ω=ω2^\omega = \omega, while ω2=ωω>ω\omega^2 = \omega \cdot \omega > \omega.[37] It also lacks distributivity over addition in general, emphasizing the non-symmetric nature of ordinal arithmetic. The operation plays a crucial role in representing larger ordinals, as seen in examples like ωω=sup{ωnn<ω}\omega^\omega = \sup\{\omega^n \mid n < \omega\}, which exceeds all finite powers of ω\omega, and the epsilon number ε0\varepsilon_0, the smallest ordinal satisfying ωε0=ε0\omega^{\varepsilon_0} = \varepsilon_0, marking a fixed point in the exponentiation hierarchy.[37] Every nonzero ordinal α\alpha admits a unique representation in Cantor normal form, expressing α\alpha as a finite sum α=ωβ1k1+ωβ2k2++ωβnkn\alpha = \omega^{\beta_1} \cdot k_1 + \omega^{\beta_2} \cdot k_2 + \cdots + \omega^{\beta_n} \cdot k_n, where β1>β2>>βn0\beta_1 > \beta_2 > \cdots > \beta_n \geq 0 are ordinals and each kik_i is a positive finite ordinal (natural number). This form, proved by Cantor, relies on ordinal exponentiation with base ω\omega and leverages the recursive properties to decompose ordinals into decreasing powers, providing a canonical "base-ω\omega" expansion that uniquely encodes their order type. For example, ωω+ω3+5\omega^\omega + \omega \cdot 3 + 5 illustrates the form with exponents ω>1>0\omega > 1 > 0 and coefficients 1, 3, 5.

Relations to Cardinals

Initial ordinals

In set theory, the initial ordinal associated with a cardinal number κ\kappa is defined as the smallest ordinal α\alpha such that the cardinality of α\alpha equals κ\kappa, denoted α=κ|\alpha| = \kappa. This α\alpha serves as the canonical representative for sets of size κ\kappa under well-orderings, ensuring uniqueness via the axiom of choice.[38] Initial ordinals possess the key property that they coincide precisely with the cardinal numbers: every initial ordinal is a cardinal, and conversely, every cardinal κ\kappa is the initial ordinal for its own cardinality. For any ordinal β<α\beta < \alpha, where α\alpha is the initial ordinal for κ\kappa, it follows that β<κ|\beta| < \kappa, meaning no smaller ordinal matches the size of α\alpha. This distinction highlights how initial ordinals minimize the ordinal height while achieving a given cardinality.[39][40] In the finite case, each finite cardinal nn (a natural number) is its own initial ordinal, as the set {0,1,,n1}\{0, 1, \dots, n-1\} has exactly nn elements and no smaller ordinal does. For infinite cardinals, the initial ordinal for 0\aleph_0, the smallest infinite cardinal, is ω\omega, the first transfinite ordinal and the smallest ordinal greater than all finite ordinals. In the von Neumann definition of ordinals, ω\omega is the set of all finite ordinals, which is the set of nonnegative integers N\mathbb{N}. It is the smallest infinite initial ordinal, the first admissible ordinal, and the first infinite regular ordinal. ω\omega is the order type of the natural numbers under the usual ordering. Similarly, the initial ordinal for 1\aleph_1 is ω1\omega_1, the least uncountable ordinal, which cannot be bijected with any countable ordinal and thus serves as the smallest well-ordered set of uncountable size.[38][40][1][2] These uncountable initial ordinals like ω1\omega_1 are inaccessible to countable sequences of smaller ordinals, as their cofinality exceeds ω\omega. This property underscores their role in bridging ordinal structure with cardinal magnitude, providing a foundation for measuring set sizes in transfinite contexts.[39]

Cofinality

The cofinality of an ordinal α\alpha, denoted \cf(α)\cf(\alpha), is defined as the least cardinal κ\kappa such that there exists a cofinal map f:καf: \kappa \to \alpha whose range is unbounded in α\alpha, meaning sup{f(γ)γ<κ}=α\sup \{ f(\gamma) \mid \gamma < \kappa \} = \alpha.[2] This measures the "height" or minimal length of a strictly increasing sequence approaching α\alpha from below. For successor ordinals, \cf(α+1)=1\cf(\alpha + 1) = 1, as the singleton {α}\{\alpha\} is cofinal, while for limit ordinals, \cf(α)\cf(\alpha) is always an infinite regular cardinal. Key properties include \cf(α)α\cf(\alpha) \leq |\alpha|, since the identity map on α\alpha itself provides a cofinal function of length α|\alpha|, and \cf(α)\cf(\alpha) itself must be a regular cardinal, ensuring no smaller cofinal approach exists.[2] These properties highlight cofinality's role in distinguishing the structure of ordinals beyond their cardinality. Examples illustrate these concepts: \cf(ω)=0\cf(\omega) = \aleph_0, achieved by the identity map on the natural numbers, which is cofinal in the first infinite ordinal.[2] Similarly, \cf(ω1)=1\cf(\omega_1) = \aleph_1, as the first uncountable ordinal is regular under standard set-theoretic assumptions. In contrast, \cf(ωω)=0\cf(\omega^\omega) = \aleph_0, since ωω\omega^\omega can be approached by the countable sequence ω,ω2,ω3,\omega, \omega^2, \omega^3, \dots. An ordinal α\alpha is regular if \cf(α)=α\cf(\alpha) = |\alpha| and singular otherwise, where \cf(α)<α\cf(\alpha) < |\alpha|; this distinction is fundamental, as regular ordinals resist decomposition into smaller cofinal parts, while singular ones allow such approximations.[2] Many initial ordinals, which represent cardinal numbers, are regular.[2] König's theorem further constrains cofinalities, stating that \cf(α)\cf(\alpha) cannot equal the sum of fewer than \cf(α)\cf(\alpha) many cardinals each strictly smaller than \cf(α)\cf(\alpha), preventing certain arithmetic expressions for cofinal lengths. This result, originally proved in 1920, underscores the rigidity of ordinal structures in infinite settings.

Advanced Structures

Countable ordinals

Countable ordinals are those ordinals that can be put into bijection with the natural numbers, possessing cardinality 0\aleph_0. The collection of all countable ordinals, ordered by the usual ordinal ordering, forms the smallest uncountable ordinal ω1\omega_1, which serves as the order type of this class.[41] A fundamental hierarchy among countable ordinals begins with the first infinite ordinal ω\omega and proceeds through transfinite exponentiation. For instance, ωω\omega^\omega enumerates the limit points of polynomials in ω\omega, and higher towers such as ωωω\omega^{\omega^\omega} build further. The supremum of this sequence, ε0=sup{ω,ωω,ωωω,}\varepsilon_0 = \sup\{\omega, \omega^\omega, \omega^{\omega^\omega}, \dots \}, marks the first fixed point of the exponential function αωα\alpha \mapsto \omega^\alpha, where ε0=ωε0\varepsilon_0 = \omega^{\varepsilon_0}. This ε0\varepsilon_0 delimits the ordinals expressible via finite iterations of ordinal exponentiation starting from ω\omega.[41] To extend beyond ε0\varepsilon_0, the Veblen hierarchy provides a systematic construction of larger countable ordinals using normal functions. The Veblen function φα(β)\varphi_\alpha(\beta) starts with φ0(β)=ωβ\varphi_0(\beta) = \omega^\beta, and φ1(β)\varphi_1(\beta) enumerates the fixed points of φ0\varphi_0, yielding the ε\varepsilon-numbers as φ1(β)\varphi_1(\beta). Higher levels φα\varphi_\alpha enumerate common fixed points of previous functions, generating ordinals up to the large Veblen ordinal φω(0)\varphi_\omega(0). This hierarchy captures a broad swath of countable ordinals through diagonalization over prior enumerating functions.[41] Notations for countable ordinals facilitate their representation and computation. For ordinals below ε0\varepsilon_0, the Cantor normal form uniquely expresses any such ordinal α\alpha as a finite decreasing sum α=ωβnkn++ωβ0k0\alpha = \omega^{\beta_n} \cdot k_n + \cdots + \omega^{\beta_0} \cdot k_0, where βn>>β0\beta_n > \cdots > \beta_0 and each kik_i is a positive finite integer. This form generalizes polynomial representation in base ω\omega. For recursive ordinals—those for which there exists a computable well-ordering of the naturals of that order type—Gödel's β\beta-function encodes finite sequences of ordinals, enabling notations through systems like Kleene's O\mathcal{O}, which provides computable notations for all recursive ordinals up to the Church-Kleene ordinal ω1CK\omega_1^{\mathrm{CK}}, the supremum of all recursive ordinals and the smallest ordinal without a computable notation. This ω1CK\omega_1^{\mathrm{CK}} lies strictly above ε0\varepsilon_0, as there are many recursive ordinals larger than ε0\varepsilon_0. Larger ordinals, beyond the recursive ones, require extended notations such as the Bachmann-Howard system, which employs ordinal collapsing functions to reach the Bachmann-Howard ordinal ψ(εΩ+1)(0)\psi(\varepsilon_{\Omega+1})(0), the supremum of ordinals definable in certain proof systems like Kripke-Platek set theory with infinity.[42] A key computability boundary among countable ordinals is the Church-Kleene ordinal ω1CK\omega_1^{\mathrm{CK}}, defined as the supremum of all recursive ordinals—those for which a computable well-ordering of the naturals realizes the order type. Equivalently, ω1CK\omega_1^{\mathrm{CK}} is the smallest ordinal without a computable notation in Kleene's system O\mathcal{O}. The recursive ordinals below ω1CK\omega_1^{\mathrm{CK}} include all ordinals up to but not including the first non-recursive one, highlighting the limitations of Turing computability in transfinite enumeration.

Ordinal topology

The order topology on an ordinal α\alpha is generated by taking as a basis all open intervals (β,γ)={δβ<δ<γ}(\beta, \gamma) = \{\delta \mid \beta < \delta < \gamma\} where β<γα\beta < \gamma \leq \alpha.[43] This topology makes the ordinals into a linearly ordered topological space where limit ordinals serve as accumulation points of sequences approaching them from below.[43] All ordinal spaces equipped with the order topology are Hausdorff and normal (T4_4), as the order allows separation of points and disjoint closed sets via continuous order-preserving functions to the reals.[43] Moreover, these spaces are scattered, meaning every non-empty subspace contains an isolated point and thus has no dense-in-itself subset.[44] Ordinal spaces below ω1\omega_1 are countable and hence metrizable under the order topology, as their countable dense linear orders admit a compatible metric.[43] In contrast, the space ω1\omega_1 (the set of all countable ordinals with the order topology) is sequentially compact—every sequence has a convergent subsequence—but neither compact nor separable, since any countable subset is bounded above and cannot be dense.[43] The compactification ω1+1\omega_1 + 1 (or [0,ω1][0, \omega_1]) is compact, as every open cover has a finite subcover due to the well-ordering ensuring least elements in uncovered tails. A representative example is the space [0,ω][0, \omega] (or ω+1\omega + 1), which is compact and homeomorphic to the one-point compactification of the naturals.[43] The long line provides another illustration: constructed as the lexicographic order on ω1×[0,1)\omega_1 \times [0, 1) (with pairs (α,r)<(β,s)(\alpha, r) < (\beta, s) if α<β\alpha < \beta or α=β\alpha = \beta and r<sr < s), followed by gluing a second copy reversed at the endpoint to form a non-compact manifold without boundary; this space is paracompact and locally Euclidean but non-metrizable, as it fails second countability.

Closed unbounded classes

In set theory, particularly in the study of large cardinals and infinitary combinatorics, closed unbounded sets (often abbreviated as club sets) play a fundamental role. For a regular uncountable cardinal κ\kappa, a subset CκC \subseteq \kappa is unbounded in κ\kappa if its supremum is κ\kappa, meaning for every α<κ\alpha < \kappa there exists βC\beta \in C with α<β\alpha < \beta. The set CC is closed in κ\kappa if it contains the supremum of every subset of CC of cardinality less than κ\kappa; equivalently, for any increasing continuous sequence ξηη<μ\langle \xi_\eta \mid \eta < \mu \rangle from CC with μ<κ\mu < \kappa, the limit supη<μξη\sup_{\eta < \mu} \xi_\eta belongs to CC. A subset CκC \subseteq \kappa that is both closed and unbounded is called a club set.[45][46] Club sets exhibit several important structural properties. The intersection of fewer than κ\kappa many club subsets of κ\kappa is again a club set; in particular, since κ\kappa is uncountable and regular, the intersection of countably many club sets is club. The collection of all club subsets of κ\kappa generates a filter, known as the club filter, which is κ\kappa-complete (closed under intersections of size less than κ\kappa) and normal (closed under diagonal intersections). This filter provides a measure of "largeness" for subsets of κ\kappa, analogous to but distinct from ultrafilters on cardinals.[45][46] Examples of club sets include, for a regular uncountable cardinal κ\kappa, the set of all limit ordinals below κ\kappa, which is closed because the supremum of fewer than κ\kappa many limit ordinals is a limit ordinal, and unbounded because limit ordinals are cofinal in κ\kappa. More generally, clubs often arise as ranges of normal functions on ordinals, such as the enumerating function for cardinals below κ\kappa. These examples illustrate how club sets capture "dense" collections of ordinals closed under relevant limits.[45] The notion extends to proper classes of ordinals. A proper class COrdC \subseteq \mathrm{Ord} (the class of all ordinals) is closed unbounded if it is unbounded (cofinal in Ord\mathrm{Ord}) and closed under suprema of sets of size less than some fixed regular cardinal, typically countable suprema in standard contexts; for instance, the class Ord\mathrm{Ord} itself is closed unbounded, as is the proper class of all limit ordinals or the class of all infinite cardinals. Examples include the cumulative hierarchy stages VαV_\alpha for limit class ordinals α\alpha, though such classes are analyzed in the context of global choice or large cardinal assumptions.[47] Club sets and classes are essential in applications to reflection principles and large cardinal properties. A subset SκS \subseteq \kappa is stationary if it intersects every club subset of κ\kappa non-emptily; the non-stationary ideal, dual to the club filter, consists of sets disjoint from some club. Stationary sets partition κ\kappa into disjoint stationary pieces via the club filter and are used to formulate reflection principles, such as the reflection of stationary sets onto smaller ordinals, which imply consequences for forcing axioms and inner models.[45] A key result involving stationary sets is Fodor's lemma (also known as the pressing-down lemma), which states: If κ\kappa is a regular uncountable cardinal, SκS \subseteq \kappa is stationary, and f:Sκf: S \to \kappa is a regressive function (i.e., f(α)<αf(\alpha) < \alpha for all limit ordinals αS\alpha \in S), then there exists β<κ\beta < \kappa and a stationary TST \subseteq S such that ff is constant with value β\beta on TT. This lemma, proved using the club filter's normality, prevents regressive functions on stationary sets from being "spread out" and has profound implications for partition properties, such as the non-stationarity of certain regressive images, and for proofs of reflection in set theory.[45][47]

Historical Development

Early foundations

The foundations of ordinal numbers trace back to late 19th-century efforts to rigorously define the natural numbers and extend ordering principles to infinite collections. Richard Dedekind's 1872 construction of the real numbers via Dedekind cuts emphasized the role of ordered sets in analysis, influencing subsequent work on well-ordered structures by highlighting the need for precise notions of order completeness.[48] Similarly, Giuseppe Peano's 1889 axiomatization of the natural numbers provided a formal basis for finite ordering, with axioms that ensured every nonempty subset has a least element, laying groundwork for generalizing such properties to transfinite sequences. Georg Cantor laid the primary groundwork for ordinal numbers during the 1880s and 1890s as part of his development of set theory, introducing transfinite numbers to describe the order types of infinite well-ordered sets. In his 1883 monograph Grundlagen einer allgemeinen Mannigfaltigkeitslehre, Cantor defined the first infinite ordinal ω as the order type of the natural numbers under their usual ordering, representing the limit of all finite ordinals and serving as a fundamental extension beyond finite counting. This innovation allowed for the classification of infinite sequences and derived sets, building on Cantor's earlier 1872 introduction of derived point sets in trigonometric series analysis. Between 1895 and 1897, Cantor advanced the theory by developing arithmetic operations for ordinals, including addition, multiplication, and exponentiation, which differ from cardinal arithmetic due to their sensitivity to order. In these works, he also articulated the well-ordering principle, positing that every set can be well-ordered, though a formal proof awaited later developments. The emergence of paradoxes soon challenged these ideas; in 1897, Cesare Burali-Forti published an argument showing that the supposed ordinal representing the set of all ordinals leads to a contradiction, as it would both exceed and equal itself, akin to later set-theoretic paradoxes and necessitating more rigorous definitions of ordinals. Ernst Zermelo provided a key advancement in 1904 by proving the well-ordering theorem—that every set admits a well-ordering—using the axiom of choice to select elements iteratively, thereby justifying Cantor's principle and enabling the assignment of ordinals to arbitrary sets.

Key contributions

In 1923, John von Neumann provided a foundational set-theoretic definition of ordinal numbers, construing each ordinal α as the set of all ordinals strictly less than α, thereby representing ordinals as transitive sets well-ordered by membership. This construction resolves paradoxes arising from naive identifications of ordinals with arbitrary well-orderings by grounding them firmly in the cumulative hierarchy of sets, ensuring that ordinal arithmetic aligns naturally with set operations like union and power set.[49] In the 1930s, Kurt Gödel introduced the constructible universe L, a hierarchy of sets indexed by ordinals where each level L_α is built from previous levels using definable power sets, establishing the relative consistency of the axiom of choice and the generalized continuum hypothesis with ZF set theory. Central to this is the ordinal ω₁ᴸ, the least uncountable ordinal in L, which equals the supremum of all constructible countable ordinals and satisfies the continuum hypothesis in L due to the generalized continuum hypothesis holding throughout the hierarchy. During the 1950s and 1960s, Dana Scott advanced the role of ordinals in higher recursion theory and domain theory, notably through his development of Scott's trick for defining proper classes of cardinals via minimal-rank representatives and his foundational work on continuous lattices, where ordinals index the ranks of domains to model recursive definitions and higher-type computability. These contributions extended ordinal-based hierarchies to analyze the structure of recursive functions beyond the arithmetic hierarchy, incorporating transfinite iterations for inductive definitions. In the 1950s, Andrzej Mostowski and others developed the hyperarithmetic hierarchy, which classifies sets computable from hyperarithmetical ordinals using iterated jumps up to the Church-Kleene ordinal ω₁ᶜᴷ, the supremum of hyperarithmetical ordinals. This provides a finer structure for descriptive set theory and effective uniformization of Π¹₁ sets. Ordinal analysis in proof theory, pioneered by Gerhard Gentzen in 1936, demonstrated the consistency of Peano arithmetic relative to transfinite induction up to the ordinal ε₀, the limit of the sequence defined by ε₀ = sup{ω, ω^ω, ω^{ω^ω}, ...}, by embedding arithmetic into a quantifier-free system and reducing cut-elimination to ordinal progress. Subsequent extensions in the mid-20th century, such as those by Kurt Schütte and Solomon Feferman, applied ordinal analysis to stronger systems like second-order arithmetic, assigning proof-theoretic ordinals like the Bachmann-Howard ordinal to measure consistency strength and facilitate comparisons across formal theories. Robert Easton's 1970 forcing techniques, which collapse cardinals while preserving regularity, have been used to manipulate ordinal exponents in the generalized continuum function, showing that for regular cardinals, 2^λ can violate GCH at arbitrary ordinals λ under suitable forcing conditions. In the post-2000 era, ordinals have featured prominently in the study of large cardinals inconsistent with choice, such as Berkeley cardinals, introduced by W. Hugh Woodin around 1992, defined as cardinals κ where for every transitive model M containing κ and every ordinal η < κ, there exists an elementary embedding j: M → M with critical point between η and κ, implying profound reflection principles across the ordinal hierarchy.[50]

References

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