15

R.ecursive saturation
Many a true worclis spolcen through falseteeth.
R < l n n i eB a r k c r '

I. I of ter ms and I n C h a p te r 9 w e cl e scri b e a d suitableGodel- num ber ing fornrr"rlas oI 9o, ancl developeclthese ideas far enough to define the s a t i s f ucti o n re l a ti o n sS a t;,(l q1,u) an< 1 Sat1y,,( tgl, n) . These wer e used in C h a p t ers l 0 -1 4 to p ro ve ma ny r esultson the str uctur eof nonstandir r d m o c l e ls o f P A , i n p zrrti cu l a r zt vi the notion of ) ,,- r ecur sive ( which satur ation wils a consequence of overspill ancl the properties of the Sat;-,,(rcpl, a) r e l a t i o n ).T a rski 's th e o re m o n the undefinability of tr uth ( Exer cise3.7) s h o w s th a t th e re i s n o a n a l ogous definitionin 9o of satisfaction for ull -9o-torrntrlas. [n this chapterwe shall examineconclitions unclerwhich it is possibleto aclcl a new binary relation S(rp' , ct)to a moclelM FPA with the i n t e n d e cl me a n i n g 'th e (p o ss iblynonstandar d) for mula g is tr ue at a: .1 . .Totcn(u)-1].'T ah xe ioms w e s h a l lu s ef o r ' ( M , S ) t h i n k sg i s t r u e ' lau,cr, w i l l b e ba se d o n T a rski 'sd e fi nition of tr uth, and sucha r elationS c M2 will be called a sati,sfctction class.It will turn out that, if M is countable,M has sucha satisfaction classif and only if M is recursively (as defined saturatecl i n C h a p te r 1 1 ) b u t th e re a re s omesur pr ises. There are nlany reasonsfor stuclyingszrtisfaction classes:they are a u s e f u lve h i cl efo r u n cl e rsta ncling the str engths ancl lim itationsof Tar ski' s d e f i n i t io no f tru th ; th e n o ti o n of a full inductiuesatisfaction classleads natr-rritlly to a new theory of arithmetic extenclir-rg PA in which the c o n s i ste n cy o 'fP A a n clth e P a r is- Har r ington statement can be pr oved;and t h e r e z trea g o o cln u mb e ro f n atur allyoccur r ingexamples ar isir - rfr g om the a r i t h l n eti ze cl co mp l e te n e ss theor em or fr om nonstandar d models of set t h e o r y ( se eE xe rci se1 5 .4 ).A nother excellent r easonis that the countable
recttrsively satltrzrtecl structures form a pnrticr-rlzrrly well-behavecl clerss of l v v e s t r u c t u r e s .O f t e n are intercsteci l n m o c l e l sa s a t o o l t o u n d e r s t a n d t l i e i r first-orcler t h e o r i e ss o , b y t h e d o w n l v a r d L o w e n h e i m - S h o l e m t h e o r e m a n c l

the existence theorem for recursively (Proposition moclels 11.4), saturated

w e r n zl y re stri ct o L l r a ttcn ti on in such cases to countzr ble r ecur sively s a t u r a te cl mo d e l s. T h i s co mtr ination of countability and r ecur sivesatur a t i o n wi l l b e e xp l o i te cl ma n y times in Section L5.2below to pr ove soffle beautifLr l eorems th on the structure o n e h i g h l i g h tb e i n g o f t h e s en r o d e l s , t h e t h e o re mo n re sp l e n d e n c(y classes pr ovicle Theor er n15.7) .Satisfaction i t p o w erfu Ite ch n i q u e cl e sc r ibe to the nr oclel theor y of suchstr uctur es.
/'t.'t 1 LLJ

224

Rectrr,s i u e sat Ltrutio rt

CLASSES I 5 .1 S A T I S F A C T I O N t' l anclsyntactic o per In th i s se cti o nw e sh a ll use the Goclel- num ber ing r ccallthat 9. In par ticulltr dcfinccl in Chepr tcr Iti o n s o n tcrms a n d fo rr nr "r las is the th e rea re A t(P A ) fo rmulaster nr ( x)and for m( x) of - 9,r expr essing' x ' x orf a f o r m u l a ' .O u r G o d e l - n u m b eo r f a term' and is the Goclel-numbe a new r elationsynlbolS( Icp1,u) ob j e cth e re i s to stu d ythe effectof adc' ling w i th sa ti sfa ction for all for mulas q of 9o. In contr zr st r e p re se rrti n g of the for m ul a c p on the com plexity Sa t,,,(rcp . al), w e w i l l p ut no r estr iction b y i ts p o sitionin the Z,,ln,, hier ar chy) . (a s me a su re d
Exaupln. Let M FP,zland let

S':

1 u,, '..,v,,)l,a) . ,. , [ n ] , , ) ) M r 0 ( l a l o , l , ,. f, {{,uru,,,

n , t 0 t e N , z lM e ,and

in M by the satisfied is the setof all pairs('0t, n) where0 is arrf-ia-formula So Srr we may ancl class for iV[, satisfaction called the stanclard a. is by Ss coded sequence S is a new 9s:9,r U{S},where (M, ,S,) for the language M to thestructure expancl thzrn a sel rather a c/css calling,51, for (The reason historical symbol. relation binary below.) 15.3 in M: seePr oposition n o t d e fi n a b le sy is th a t.5 i 1 9a- for m ul a then we havea good notion of zr n If N IF P A i s n o n sta ndar d, o f M, n a rnelyan elem entxeM such that M Ffor m( x) . Fr om i n th e se n se n o w o n w e s h a l lu s e G r e e k l e t t e r s E , 1 P , 0 , . . . t o r a n g eo v e r ( p o s s i b l y and we will iclentifyfor m ulasw i th fo rmu l asin this sense, n o n sta n d a rd ) I.1 fr om the notation ( even when thes e th e i r Go d e l -n u mb e rsdr , opping symb o l s a re u se d to denote the applicationof a function defined on be clearfr om the contextwhichmod el M fo rmu l a so r te rms).It will always to M when talking a bout w e h a ve i n mi n d , so w e will alsoclr opr efer ences zrgood notion of truth for such fornrulasin the senseof M. Can we clefine fo rmu l a s? n o n -sta n d a rd S=M 2 is a b i nar y anclsuppose be nonstanclar cl, L.e t T V IFPA D E p 'rN t'rto N re l a ti o no n M su chth at ( *,y) S) MFfor m( x) . Then S is a full sutisfac ti or t t h a t w h e n e v eq r e M F f o r m ( E ) a n c l4 e M , w e h z i v e for M just in case c/ass (rp ,a ) e S i ff o n e o f th e followingholdsin ( M , S) : : (t:s)Aval(r, a): val(sa , )) a): 3 r , s ( t e r m ( r ) A t e r m ( t ) A E T{cp, T t ( E ,a ) : a ): T 1 (E , T o (p ,a ): , )) 3 r , s ( t e r m ( rA ) t e r m ( t ) A q : ( t < s )A v a l ( r , a ) < v z r l ( ' r r Alt 1,tl.t 2(form(rp, ) A form( lt ) A ) A S ( r P ra ,)) q : ( 1 p , A r / , ) A S ( , pd ,, tlt2(form(tp' 3t1,t,, ) A form ( { =)A n) ) ) q: ( V,,V?r )A ( S( r p t, ct) VS( r p.,

Sutis e:; fuction clus.s

3 rtrr(fo rm(qA ) cp- - ttlA- tS( r p, a) ) : avip A lb,S(t1t, 7,,(E,a) : ll i, yr(form(rp)A cp a[hI il)) T 2 (1 'o rm(,,,r ) ,^, :Vv ;r pl,V bS( 1;, T , ( t p,tt): 3 l , cp afbIi) ) ) . T 5 ( E ,u ):

225

S is a partial non stunclurdsatisfctctiort c/cz.r.r for A4 lft there is a e .&/\ N sucli (pe that wlrenever MFform(cp) ancla e M, then"' (cp,a)eS iff cpla and (M,S) F17/:1Ti(E,u).

A stltisfaction class,Sfor M (either full or partial) is saiclto be incluctiue iff the expanclecl structvre (M, S) satisfiesall incluctionaxioms .1, cp for all (stanclarcl) forrnLrlas rp in the langutrge 9s:9e U {S} Noticethat the formulzrT s , ( c p , u ) , . . . , T r ( c p , c ta ) r e f o r m u l a so f - / . . ( T h e y are j u st th e u su a lcl a u ses ThLr s the for Tar ski' sdefinitionof tr utl' r .) (M, S) suchthat A/lFPA and S is a full satisfaction classof all 95-structures classfor M is axiomatizecl by a first-ordertheory in 9r. ExeprpLEs.(a) Let S,, be thestanclard satisfaction class on thestandarcl moclel N. T h e n 5 6 i s a fu l l i n d u cti ve class sa ti sfaction for N.Any eler nentar y extensior r ) h e reM i s a n onstandar ( M , S ) > (N ,S 1 1 w rd nodel of Th( N) ,will then havethe property thatS is a full inductive clitss satisfaction for M. (b) Let M,N be nonstanclard of P,4,witl.r models Nstronglyinterpreteclin lvl. (See 13.2; the existence N for ern arbitrary Section ol such tVl follows from Exercise l o n stanclar clsatisfaction 1 3 . 1 3 .T ) h e nN h a s a p a rti an class. To see this, suppose for thatM andN have andthatl': M --> M is theclefinable sirnplicity thesame clomains, in M ernbedcling lvl ontoan initialsegrnent of N (see Exercise 13. 12).Now function g @,i ) u si n g f o r a l l a , i e M d e fi n e induction on i sr :thatc : g( a,i) satisfies
MF len(c): iAVl < rVx,y(x : [r)iAy : f(j)
--. Sat,.,,(O(vr) ,, v'), v1,v2) is the /n-formula'v2: where 9(v1;, [ a ,y , , x ] ) )

that is in NI, c coclesthe sequence [v,,]u,';

C 6 , C 1 , . .. , C i - t

w h e r e , i n N , n c o d e st h e s e q u e n c e
br, bt.
, b t er r ( r )- | ,

'strongly a n cc l r : b t ( j t f o r a lj I< i . I t i s n o w a l m o s t i n r m e c l i a t e f r o m t h e c l e f i r r i t i o n s o f
" ' T h c r c i s a n a n u o y i n g t e c h u i c i r lp r o b l c r n h e r c : { ' o r t h i s t l c t i n i t i o n t o h a v c t h e i r t t c n c l e t l has thc plopcrty tlrat nrcaning we lnust assutle that thc Goclcl-nurlbering of fot-tnulits (qt]1<r. (lt is casy ttt clcviscsttch it t c p l < c r wlreneve r ancl r2 is a suttfonnula o[ rp thcn c' r o t r t t t r t w o n t h u t o t t r G ( r c l c l - n r r m t r e r i n gS . c c l o r e x a n r p l c rE x c L c i s e 9 . 3 . ) W c u s . s u t t tJ tli.s propcrty. Au alternirtive (artclntorc gcttcrirl) allllloach wtltllcl tlc to Gddcl-rrtrnbcrittg ltrt.s c l a s st o b c d c [ i n c d o t t i t d c { i n a b l c s e t o l l ' o r m t t l a s e r l l o r va p a r t i a l r i o n s t a n c l a r c sla t i s l ' a c t i o u a n c l c o n t a i n i n g l l l t h e s t a n d a r t l f o n t r u l a s .W c w i l l t t t l t , l . t o w c v c r , c l o s c c lu n c l c r s u b l o r r n u l ; r s n ee c l t h i s c x t r a g c n c r i r l i t y in thc sccprcl.

226

tion i oe satn.ra Recttrs

thatif cteM is nonstandar d class' a n d ' p a r t i a lsatisfaction interprets

s:

{rrt,nl,

o)

g( a'l) ) l <a and r Vl FSat,u( cp, Acp I NIf for r n( E) ya r g ci c , t f ( c . g . ,i - l c n ( r p ) ) J |ro, suitabll

all the syntactic classfor N. This is because satisfaction is a partial nonstanclarcl in Ptl, so for example recursive o p e r a t i o na s r ep r o v a b l y

N rx --f(0) <+ NFx: (f@) Af('P))

pn ) d M E 0 : ( E A ' ; p ) , a n c la l s o f o r a l l x e N a n d a l lc p , Q , 0 e M F f o r m ( E ) A f o r m ( ra we can prove (by inductionin &1) that because ,, 1 ,v 2 ) ,[ f ( t ) , a , b l ) M Fval*(t, S @ ,i ) ) : b < - S a t " ( X ( v ,v l a r g ei e M ( e . 9 . ; : l e n ( r ) ) , w h e r e f o r a l l a , b , t e M F t e r m ( r )a n c l a l l s u i t a b l y ' v a l ( / ,a ) : b ' . a, b) is the9o-formula N(t, is providedby thosemodelsMF PA that occur as of examples (.) A furtherclass 15.4.) m d o d e lo f s e tt h e o r y( V , e ) . ( S e eE x e r c i s e a n ' e l e m e n t ' o fs o m en o n s t a n d t r r very in occur classes satisfaction These examplesare intended to show that l )h e i f , f o r t e c h n i c arle a s o n s(,b ) a b o v ew a sr a t h e rc o r n p l i c a t e dT n a t u r a l w a y( se v e n provides somefurther examples. next proposition

Then ther e existsN > M P R o p o sl ro N1 5 .1 . L et MEPA be nonstandar d. with card(l/) : card(M) and S s N2 such that S is a partial nonstandard classfor l/. inductivesatisfaction

constant by aclding Proof. Let A4 be the structure(M , a),,u obtainecl theory: ae M, and let T be the following for each symbols of 9t+ the scheme formulas for all (standard) Th(Nl)* Induction y)) y) .' W1: 'T,(rp, Vy(S(E,
9a-formula E. for eachstanclard We cl a i m th a t T i s consistent' If T ' i s a fi n i te subtheor y of T only involving for m ulers0 of Go d e l -n u mb e rl e ss than n e N in the schem e( ' ' ) , then we may c l efi ne S'=M2by
(")

,,,) (r, o)eS' y t: 0 A7(la),,,L"f ,, ' ' ' ,lof

A<n

l es s is over all for mulasg of gowith Goclel- num ber w h e re th e cl i sj u n cti on i n fr ee 0' v, occur r ing i of any var iable th a n n , a n d r,,i s th e maximuminclex al l Ob vi o n sl yS ' i s d e fi nablein M by an 9o- for mula,so ( &1,S' ) satrs fi es o f 9 s . H e n c e ( M , S ' ) E T ' , s i n c ew e a r e for all formulas axioms induction

Sati.sfuction clusses

221

z t s s u m i n th g a t th e se t o f a l l for m ulasof Godel- num ber lessthan a given r l e N i s cl o se du n cl e r su b fo rmulas. ThLr s by compactness Z is consistent. N o w l e t (N , S " )F I w i th car d ( N) :car cl( M ) . Since fFTh( M ) we mav a s s u m et h a t N > l v l . W e p r o v e t h a t N c o n t a i n sa l N s u c h t h a t t h e r e s t r i c ti o n o f S " to a l l (8 , ,) w ith r p( a is a par tialnonstandar satisfaction d c l a s s .C l e a rl y

( l / , S ' )E V , ) * S "( 8 , y ) ) ) E , y ( f o r m ( EA ) r p< n - ) ( V i = , T , ( r py for all ru e N. But thisis an 9.-formula, sooverspill for thisformulais valid in N (since (N, S")satisfies induction for all 9"-formulas). Sothereis a > N with
( N , S ' ) F Vc p , y ( f o r m ( c A p) E< o -> (Wl=,7,(E,y) n S"(cp y,) ) ) and S:{(E.a)lq<a&(cp,a)e S"} is definabli en ( N , S " ) , h e n c e( N , S ) satisfies all inductionaxiomstoo. Thus S is a partial nonstandard inductive satisfaction classfor N. tr Later, we will prove a similar theorem for full satisfaction classes. But first we shall describe a few properties of satisfactionclassesand in p a r t i c ul a rth e co n n e cti o n w i th r ecur sive satur ation. Lenva 15.2. Let A/IEPA be nonstandard, Sc.M2 a partial (or full) nonstanclard satisfaction class,and E(v1y, . , v,) a standard9n-formula in w h i c ho n l y v , , , . . . , v ua p p e a r f r e e .T h e n f o r a l l a e M (M, S ) FS (E, a) < +cp( fa]g, , [n],,) .

Proof . An easyinduction on the length of standatd 9o-formulasg using the definitionof a satisfaction classand the properties of the val function in Proposition 9.10. n Thus the 'clefinition of truth' for formulasgiven via a satisfaction classat least agreeswith the usual one for standerrd formulas E. It follows from L e m m a 1 5 . 2t h a t

PnoposrrroN (or full)nonstandard 15.3.lf IvIFPA andS=M2is a partial

satisfaction class,then S is not definablein lvl by an 9n-formula. . I f ' ( x , y ) e S ' i s d e f i n a b lb Proof e y t h e f o r m t i a c p ( x , y , a ) w h e ra ee M i s a tuple of fixec1 parameters, then for any stanclarcl formula rp --+ M Ftp(a) M FYw(w : [c1] E(tp, w, a))

228

Recttrsiue suturatiort

co n tra d i cti n g of tr r .r th( Exe r c i s e T a rski 's theor em on the undefinability

3.7).
with satur ation. N o w fo r th e co n n e ction

tr

P R o p o s r r r o x1 5 . 4 . I f M F P A i s n o n s t a n d z i r a dn d S c M r i s a p a r t i a l class on lvl, then M is r ecurs i v el y no n sta n d a rdi n d u cti ve satisfaction sa tu ra te d . Pro o f. T h i s i s ve rysi milarto the pr oof of Theor em11.5.Supposep(;)i s a ri e M. Then type over M with parameters recursive A : { q ( r , y ) l c p ( t ,r i ) e p ( x ) }c N i s c o d e di n M b y s o m ec e M ( u s i n gL e m m a 1 1 . 1 ) .S i n c ep ( x ) i s f i n i t e l y i n M w e h a ve,for eachke N, sa ti sfi e d (M, S ) F3xVy < -lc( ( c) ,*O - - > S( y, [;, a]) ) , for 9, for mul as ) incluction so b y o ve rsp i l l(u si n gher e that ( M,S) satisfies thereis0>Nsuchthat ( M , S ) F A i V y< g ( k ) , * } - - - > S ( y , [ 6 , n ] ) ) . L e mma 1 5 .2 n o w shows that any 6eM satisfyingVy< 0( r ) r *0- - > ! s typep( i) , as r equir ed. S (y, [6 , a ])) sa ti sfi e the 11.4, pr oof of Pr oposition P ro p o si ti o n 1 s 5 .l "a n d 15.4give an alter native at leastfor modelsof Pzl . 75.4is centralto this chapter:in the next section and prove a converseto 15.4 we shall considerthe notion of.resplenclency for countablemodels.The first of the two main theoremsof this sectionis Lachlan's remarkable result that 15.4 is true euen iJ' the partial nonclassS is not indttctiue.It is completelyunexpected standardsatisfaction th a t 1 5 .4ca n b e p ro vedwithout usingover spillin the expandedlang uage has all the anal ogous note that Sat;,,@,y) 9 t.(B y w a y o f co mpar ison, of 12, neecl no t be yet m odels p ro vable in IZ,, T a rski -co n d i ti o n s theor em for n>2.) Her e, then, is the sur pr ising .I,,-re cu rsi vesa l y tu ra ted and its proof. cl let S=tVI2 T n e o n e ,v 1 5 .5(L a ch l an1981) .Let MFPA be nonstanclarand class for M. Then &1 is recursively satisfaction be a partial nonstandard sa tu ra te d , Proof. Let p(x) be a recursivefinitely satisfiedtype over M that is not x is a singlevar iable,usin gthe her e ther t i n M. (We w i ll assume re a l i ze d

Suti.s n c. Iu:;.s es f ucti.ct

229

p a i r i n g fu n cti o n i f n e ce s sar y to r eplace each cp( i) ir r p( i) by 1t((r):xAq(r)). Finitelymany parameters rie M ntayoccur in p(;r); t h c s ew i l l b e o mi tte cl fro m th e notationthat follows.)W e r ,vr ite p( ..r ) as { r p,( *) li e N} a n d s h a l lsu p p o se th a t th e fu nctionf : i,- >q,( x) is r ecur sive with r ecur sivc i m a g e .(F o r e xa rn p l e i f p (x) i s a r ecur sive set,we can cleflne.f( x) usingthe C h u r c h -T u ri n gth e si sb y rf a f o r m u l a g ( x ) o f ( i ) : t h e l e a s tG o c l e l - n u m b e i n p ( x ) t h a t i s g r e a t e rt h a n / ( i - 1 ) ( i f l > 0 ) . ) ForeachleNlet Ai: {xe tullMFcp,(x)}. W i t h o u tl o s so f g e n e r a l i t w y e m a ya s s u m e t h a t, 4 , : , M =At ) Az= A1= . . . a n dA, * A ,*, fo r e a chl ; fo r o ther wise we m ay r eplace ei N) wher e Eiby cp' ,( cP o Q) l s x : x
and
cP'i* (x)

Ar p,( x) Aly < xcp' i( y) . i s cp' ,( x)

( N o t e t h a t e a c hD , : { b e A 4 l A , l F l ( \ ; = i g r ( b ) }m u s t b e a n i n f i n i t es e r , s i n c e p ( x ) i s fi n i te l y sa ti sfi e cl ,but nor r ealized in IVI. Putting Ai: is to m al<e { b e M l Mf cp i Q)}w e se eth a t the effectof the aboveclefinition . . . A ' o : N I a n dA i * t : D i f i ( A ' , \ m i n ( , a ) ) ,s o M : A ' o = A\- A'risa prope r l y d e sce n d i n se g q u e n ce w i th A' i*tc Difor eachl, and eachset D;\Ai*, is T h u s e a ch A i i s n o n -e mptywith fl i.r u,41-0,.^rDi:O. Notice also finite. that the function ir-->cpi@) is a recursivefunction with recursive image, since i,--c >p i ( x w ) a s .T h i s j u s t i f i e s u sa s s u m i nt g h a tA o : M = A 1 = . 4 , : . . . i s a p r o p e r d e sce n d i n g se q u e n ce, wher eA, is definedby cpi@) ,f) i,x1A;:Q, a n d t h e se q u e n ce o f fo rn -ru l as PuttinE Bo:Q zr nd { Er lle N} is r ecur sive.) B i t . t : A i \ A i * 1 w e o b t a i n a p a r t i t i o n{ B ' l i e N & . i . : -1 - } o f & 1c l e f i n e d by a r e c u r s i ve se q u e n ce cl ffo rmu l asiOili e N) wher e0,*,( x) ir ( ?,( ;r ) A- l cp,*t( x) ) --1 (r:x). a n c l6 1 ,(x) is T h e i cl e an o w i s to cl e fi n e a thir clseqLr ence of subsets of M. { C li e N} as f o l l o w s: Co: Q

t t,-':

Bl B1+r

if C , : O ; i f 7 i s l e a s ts u c h t h a t B , A C , * e ; i f C i + O b u t n o s u c hT e x i s t s .

ta

230

Recttr.s i u e sutur utio rt

tltr her e, sillce it is eas y to r ,vhat' going s T h e re a cl e rma y b e w onder ir r g l le v e r l l : t t t s e ' C . ' i * t : O ' w in l hethircc h a t C r : B i f o r e a c hi e N , a n c t c h e c l t< Lr ie d 11,1 ,sirrg to C;for nor t.stctnclur B u t w e w i l l a p ply thisclefinition h a p p e rr. : ( d it o t M Ia n c lr 3 , , cn l a s sS . i n c e\ l ) , l i e N , i > l ) r s a p a r t i t i o n t h es a t i s f a c t i o t h a t C ; : B l f o r s o m e / N , eu e t ti f i h q t p c t r s t o b e be theczrse will always so that if Cr : Bt then T h.e d e fi nitionof the C,s is ar r angecl n o rt.stttn tl u rcl r-rnctio g e r r i-n t c r e i t s i nf C i * r : B , * r , t h u s w e w i l l b e a b l et o c l e f i n e / 'rfrr o r n a tr t of lVl to N by f( i) : the least7 such that i n i ti a l se gm e ncrn sti tn cl zrrcl r'd C i : B , . l t w i l l t h e n f o l l o w t h a t i . fi i s n o n s t u n c l u l ( i )> f ( l - l ) > f ( i - 2 ) > . . , n f l i n f i n i t ed e c r e a s i n g S e q u e n co e f t l a t u r a l n u m b e r s ,a t t d w e t h L t s o b t a i no u r c o n t r a d i c t i o n . the setsCi cor r ectly.Fir st of all, Lr s i r r g Ob vi o u sl y,th e tri ck is to clefine fr - r nctior by r, th e fa ct th a t th e se q u ence { 0,lieN} is given by a r ecttr sive s o t h at t h e s e c l u e n c9 e, , ( v , , ) , 0 , ( u , , ) L e m m a 1 1 . 3t h e r ei s I ' e M c o c l i n g g,(v,: ,( ) b ) , f o r a l l i e N . W e c h o o s ev e M \ N , a s u f f i c i e n t l s ym a l l r r o n n u mb e r,so that sta n cl a rcl IvlFVi<zforrn((b),) (+)

( b) ' for i <z) ar e later ( inclucling that we consicler a n clth a t a l l th e fo rmr,r las that a for the for r nr .r l as sma l lco mpar edwith the upper boLr nd su ffi ci e n tl y classis a fnl l ( lf the satisfaction clzr ss. a re h a n d l e d b y th e satisfaction sa ti S fa cti ocl n a ss,th e n ( + ) is the only r estr ictionon v. Other wis ethe s o o n . )F o r s i r l p l i c i t y o f ' s m a l le n o u g h ' w i l lb e e x p l a i n e d precise meaning B; (b ), < v ancl is nonstanclar cl, we shallclefi ne a s 0 , even if i we sh a l lw ri te by B i : l x e l v ll ( M , S ) FS ( 0 ; ,[ x ] ) ] if ther e wer e any in the type p( x) , woul d be fo r a l l i . (T h e p a ra meter s, her e with' x' , r eplacing[x] by [t, r i], s ay .) br ackets i n th e sq u zl re in cl u cl e cl with th e ol c l L e mma 1 5 .2sh o w sth z r tthis new definitionof the B,s agr ees integer . l vh e n i is a standar d on e i n th e ca se s We a re n o w a b l e to give the pr ecisedefinition of the C,s: we s et C ,: {x e MII(M, S ) F ,9 (7;, [x]) ] wher ethe /r s ar e the followingfor m ulas :
y,,(v,,) is just -l : v1y) (v,y

for i ( l/ we c l efi ne clefined that y, has L' r een (so C 1--e , ), a n cl ,a ssuming T,,,by setting

6t: 13yy,Q,) 0,(y)) 62:ay(y1(y)A oi0)) (1<l<') ayb',(Y)A d7+r:

Sati.s tion cIus.y e:; Juc: a n ct l h e np u t t i n g y i * ( v u )e q u a t lo ( r )A , 0 , ( u , ,V ))

r \ ( ( r ) . / \( i 3 ( v , ' ) ) y ( t()/ ,.'/ (-tdrA((d3Ag,(u,,)) v ' ' (-td,A('

a l r L-) |

( ( d,,/\0,,( u,,) V) . .. ) ) ) ) ( l d , , Al ( v , , : v r , ) ) ) ( T h e re a d e rsh o u l cl co mp a rethis with the pr evior ,rinfor s m al clcfinition of t h e C , s g i v e n a b o v e . )M o r e f o r m a l l yJ r , * , ( v , , )F ) ,, z ) , l v h e r eF i s : ( ) , , ( v , ,D son-le su i ta b l ep ri mi ti ve re cur sive function cor r esponcling to the for mLr la pA.) a b o v e . (F w i l l th e re fo reb e pr ovablyr ecur sive : in Sim ilar lyJr i( v,,) G ( i , b , v) fo r a se co ttcl p ri mi tiver ecur sive functior r( r -definecl usingF. ( W e y: t, is obtainedusingover spillso that n o w s ce p re ci se l y h o w to ch oose M F ' ,i/< v ( f o r m ( ( b ) , ) Af o r r n ( G ( i b , , r))A(b), < u A G(i, b, y) < cx) w h e r e a i s th e b o u n cl o n the size of for mulas hancllecl by the par tial n o n s t a n d a rcl sa ti sfa cti o rt cl ziss. It is easyto check that this is tr ue for all r r e N s i n c eG ( i , h , v ) o n l y c l e p e n co ls n l , ' u a r r c( l b ) , , , .. . , ( 1 r ) , , . ) To complete t h e p r o o f w e m u s t s h o wt h a t : ( a ) f o r a l l i { r u , C i : B i f < t t s o m e / e N ; ( b ) i f C i : B t t h e nC , *r : B j * r ; a n c l( c ) C , * A f < ' ta r lli >0. T o pro ve th i s, n o te fi rst that if Ci:A then Ci: Bu.Also if Ci:e anc l i 1 ' v , t h e n C , *t : B r s i p c e (MI,S ) F -l 3ys( y,, Iy]) . so so i.e. (M, S ) F Vx- l.S(yl,i( 3 y) , [r ]) , by To (M . S) FVx.9( t3y1t(y), [r]) , by I. ( M , S ) F S ( d , , [ " ] )f ,o r a n y x e M .

F l e r r c ef,o r a n y x e M " x e C ; * , h o l c l s iff ( M , S ) F S ( ( dA , 0,(v,,))V ( - l d ,A y , ( v , , ) ) [, x]) ( f o r s o rn esu i ta b l esu b fo rrn ula yr ( x) t- tf y,*,) , which holcls iff ( . M ,S ) F , t ( ( d )r ) ]") , ,40,(u,,))[ ,r ] ) V S ( ( l d , A r 7 r ( v , ,[ by 14,

il'1'(A4, S ) F ( . 9 ( r )[,r, ] ) A S ( r , , [ x ] ) ) V ( S ( r d , ,[ " ] ) A S ( r 7 , , [ r ] ) ) , b y I . iif (,4/,.S F)( S ( r ) ,[,r l ) A S ( P , ,[ ' ] ) ) y ( l S ( r ), [ r ] ) A S ( 1 , ,[ r ] ) ) , b y 7 .

232

Recur.siue saturution

B u t ( M , S ) F V . r S ( d [, r , ] ) s o r C i , r i f f ( M , S ) F . t ( O r , [ r ] ) i, . e . C , * ,: 8 , , i r s claimed. Now suppose c ' r * V t a n c l i( 2 . s i n c e{ B i l j > r , j e N } i s a p a r t i t i o r tr tfM t l r e r ei s T eN s u c ht h a t L ' i - iB j * r D . C h o o s e t h e l e a s ts u c h i . W e c l a i mt h a t C y 1 : B y + r .T h i s w i l l c o m p l e t et h e p r o o f o f ( o ) , ( b ) , a n c l ( c ) , s i n c c obviously C ) r : 3 , a n d , i f C , : B i * @ w i t h T eN , t h e n CinBo:Cil Bt: .. .- Cil Bi_r:O, s o ( a ) a n c l( b ) w o u l d b e p r o v e c l A . l s o , i f i > 0 a n c lC i : A t h e n C , _ , * A ( s i n c eo t h e r w i s eC i : B t + A b y t h e a b o v e ) a n d h e n c e w e w o u l c lh a v e C1: B1ow , h e r e T e Ni s l e a s t s u c ht h a t C , _ , 0 B , # 8 . H e n c ew e w o u l dh z r v e p ro ve d (c) to o . T o p ro ve th e cl a i m o f the last par agr aph, sinceCi+A and using Ts ,T ,, we have ( M , S ) F V x S ( - ] d ,[," ] ) , andsince CinBk:Af.or all1<k<j, using Tr,Tr, andQ,wehave ( M , S) FVxS( - ld^*,, ["]) f o r a l l su chk. On th e o ther hand Cin Bi*e so by 2- .,7, we hatve

( lvl,S) FV.vS( d,*,, [r ]) . T h u s fo r so mesu i ta b l e s ubfor m ula r /( v,,) of y,*,( v1,) we have for all xeM x e C ,*r where X(v11) is the formula iff ( M, S) FS( X( v,y) [r,]) ,

((d, n 0,(u,, )) V (-td rA ((d.n 0du,)) V

(rd,n( . .
( . . -

A((d;. ,401*'(u,,))V . ).) ' ). ( t d / * , Ar / ( u , , )

B y re p e a te d a p p l i ca ti o ns of Tr , Za,and fs this r ecluces to xeC,*r iff (M,,S)F^S(0i*,(u,,),[r]);

Suti.s ti ct n cIu.;.s e.s l'uc

- l a

L-'r -)

h e n c eC i * t : B r . r - z r ,l S reclLlired. F i n a l l y ,d e f i n i n g f ( i ) : t h e u n i q L r/e N s u c ht h a t C ; : B i , W e o b t a i n a r r i n f in i te cl csccn cl i n g q l re n ce se

f ( i ) > f ( i - r ) >f ( i - 2 ) > . . .

o f n z ttL rra nlu n rtre rs" fo r e a ch nonstandar cl i, sinceno Ci is em pty ior r >0, our contracliction. n

W e tu rn n o w to p l l / sa ti sfaction classes. OLr rgoal is to pr ove a str ong c o n v e rse to T h e o re m 1 5 .5for countable moclels of P,4, nantely that ever y c o L r nta b lre e cu rsi ve l y sa tu ratecl M FPA has a full satisfaction clzr ss. It also f o l l o w sf r o m t h i s t h a t a n y N I F P A ( o f a n y c a r c l i n a l i t yh )a s N > M w i t h : ca rd (M carcl(N) clzr ss. Notice fir st that ) a n d N h avinga full satisfaction these resultsneeclnot hold for full inclucliue satisfzrction clersses, since if M F PA h a s su ch a szrti sfa ction classthen M FCon( P,A)( ancl r ecur sively s a t u r a te d mo cl e l s o f P A +-l C on( PA) existby Goclel' s second incor npleten e s st h e o re m (E xe rci se 3 .8 ), the cor npleteness theor em,and Pr opctsition 1 1 . 4 )T . h a t s u c ha n M s a t i s f i eC so n ( P . 4 ) l y induction i s p r o v e cb on x in the -V*-formtrla Yp<xY9<x ('p is a proof of 0 in PA'--->VuS(0,a)) usirrg so mesu i ta b l e fo rmi i l i zation of any stanclar c{ notion of ' pr oof in PA' . T h u s ( M , S ) t h i n k st h a t ' i f 6 i s p r o v a b l e i n P A t h e n g i s t r u e ' . H o w e v e r ,i f l C o n ( P A ) t h e nM F ' 0 i s p r o v a b l e i n P A ' a n dM F ' - 1 6i s p r o v a b l e in PA'for a n y0 , w h e r e a sb , y 7 , ( r 9 , [ ] ) i t i s i m p o s s i b lte h a t b o t h( 0 , [ ] ) a n d ( 1 0 , [ ] ) arein S.

i t u l . 1 9 8 l ) . L e t M F P A b e c o u n t a b l ea n c l T u e o n E u 1 5 . 6 ( l ( o t l a r s l <e r e c u r si ve l y sa tu ra te dT . h e rrther e is a full satisfactior cler S c M2 lor NL r ss

clefinitiorrs. sometechnical Proof. We first neecl g^(lvl) clenotes with a langtnge S6U lV, i.e., .f ,r, together the first-orcler
new constant symbol ior each a e lvl. "'g^([vl) denotes tl-re set of r M Ffor m( 0) . o .ffu|,i.e., the set of 0 e NI sucl-that n th ese n se 9 n - f o rmL rl ais its c:cr r totti eachu e M r ,vith 9 o (M) c:" '!)6( M) by identifying W e c an re g a rcl r 0 1 , . . ( 1 + . . . + r ( . ( a ls) otherl)+ l)] it u:0, or c o l t e r mc l t e r m ( a ) it' t clter m( x) is pr ovablyr ecur sive : o r,v th a t the fLr nction w i s e . ( E xe rci se sh set.l- of a ttr axitnal nl &1.)W e shallct- r r - r str Llct PA a nd h cn cew e l l -cl e fi n eic

23rl

Recursiue suturutiort

of ,S. By the constr uction co ir r a cer tainsense. "' 'f'n (M)-se n te n ce s n sistent l e cl e a r th a t i t r,vi l b

s:

i c tr'!,

'f

{,r,",,

,v1),fu11,...,ui|)

( )e,1., cp( clter m( a,,) , . , clter nru,) )

classfor il|. is a firll satisfaction on the icleaof a fin i te n o ti on we shall use is basecl T h e co n si ste n cy to Roughly, a fir r iteappr oxim atio n to a " '9 ,r ( iVl) - for m ula. u p p ro xi rn a ti o rt some sttbfor mul as is c pe " 'l fl o (.fu |)a fo rrn u l aobtainedfr om g by r eplacir r g s y m t - r otlt,n d V ( v r . . . . , v , ) o f c pb y R ( u , ,., . . , u i ) ,w h e r eR i s a u e w r e l a t i o n i s n ew fttnction w h e r e a . . . , v ; ) , / ( v , ,. . . , v ; ) p y , f ( u , , , somesubterms / ' finite 9r ,ol s e cpof length' .M or e pr ecisely.let s ymb o l ,o b ta i n i n ga fo rmulzt for ever yX( v)e"' - 9^ ( M ) Rzr or ( V) of r elationsym bols co n si sti n g thelanguage function symbol s V, er ncl wi th (a ctu a l l y-)fi n i te n umber of fr ee- var iables fo r e a ch te rm (t) of "' 9o( M ) with ( again) only finitely many , f ,r,r(v) is eqtr alto the num be r of or f,1oy V f r e e -va ri zi b l e s. H e re , the ar ity of Rr lo; and we allow 0- ar y iLr nc ti on f r e c-va ri a b l e V s i n /V ) or ,( V) r espectively, sym bols, 9oo has As well as thesenonlogical a n d re l a ti o nsym bols. s y mb o l s arl l i e M . t h e u s t r as l yrnbols O A V^l V : andvarizrblesv,fo ' 6 appr oxim atiorto - r 6' to be the le as t We d e fi n eth e re l a ti on is a finite^ I of 9eo ancltermsanclformulasI of relationbetweentermsanclforrnulas ' '9A (N I) sa ti sfyi n g : v,( ieM) ; to v,, for all var iables (a ) u , i s a fi n i te :rp p roxim ation ter ms0, 1 to the closecl finiteappr oximations (tr) 1 ,,J', a re ,re sp e ctively, vi,, . . ,vi,- ,)is a ter m of "' 9o( M) w i th if r ( v,,,, o f " '9 r1 (M);mo re g e n e r ally, exactlytlre[ree-variablesshown,/eN,zlndi.,(l,<... to /( v,,,' is a finite zippr oximation " ' , uu ,) ; f ,o ,,.. .u ,, ,)(vi ,,vi ,, ' ,vi ' ) ts 9 t t , t 2 ,t h e n ( c ) i f i , , i . a r e t e r m so f 9 e p z i n da r e f i n i t e a p p r o x i m a t i o n i.; is ( r , * to i r; i s a fi n i te a ppr oximation h) ,2tnc1.f1",,.",,( i' , a fi ni te 1't" ,,*,,1 (i ,, approximatiot no ( r , ' r r ) ; (d) if i,. i, are $o,r-terms ancl are finite approxirnationsto the ' 'Y ,\(A 4 )-te rms to ( f, :fz) anc l /,, f,, th en ( t,:it) is a finite appr oxim ation to the for mula ( t,<t..) ; i s a fi n i te i lppr oxim ation i r;r, R 1 " ,,.." ,)(i with exactlythe free. ,vi ,) is an "'Y^(M)-formttla (e) if X(v,u,.. v a r i a b l e ss l t o w n , / e N , a n d i , , 1 i , to approximatio n X ( v , ,. ,..' . u , , , ) ; ( u , ,., . , , v , , , )i s a f i n i t e to the ancl er r e finite appr oxinr litions (f) i f E ,,q , a re .9 es- tor m ulas ' ,'Y ^l M)-fo rmu l a s then ( E AEr ) it a fir r iteappr oxi m ae t. e zr espectively, tn o ( p r V c p : ) ,l c p , i s a ( i , Y r p = ) i i a h n i t et r p p r o x i r n a t i o t i o r r ' t o( r p , A r p . ) , s ar e finite appr oxim atio trto n l,cp,,ancllv,cp,,Vu,r p, f i n i te a p p ro xi tn a rti oto . whetr evet i e tVI re sp e cti vely, V v,rp ,, a v;cp ,,

Sutisfuction cIasse,s Tablc 3 R e fining a finiteappr oxinr ation. i f l 'o r R i s

r e p l a c e .o f r R with

235

fu J,

t,,U)

4')'" I,)
t

lcave unchangect

! t , , * , . 1'('') ft,',.t("') ' (' ') Rr,,=,,t

' (' ') R1,,.,r1 R r u , n u , , t' ('') ' ' ') Rr.n,rz,/:)( R t " , u , ( '' ' ) Ro",r(' ' ')

f , , ( "' ) : l ; , ( " ' ) R r "",,,) .( ,f ( '' ' ) ' r . ( '' ' ) )

' '' ) ' 1,,( '' ' ) ) fu,r "t{ J' ,,( J ' o u . " , { f , ,) ( '' .' f ' , , ( ' ')' )

R r " ( '' ' )

( R n , ( . . . )R n u , ( .. ) ) ( lR n , ( .. .) v R , , ( '. . ) ) R,(' ' ') 3v,R,r(...,vr,...) Vv,Ro,(...,vi,...)

F o r e xa mp l e ,th e fo rmu l a

((

' ' (-l (u,, : v,)V-l (vr, : v,,)) V ' ' ') V_1(v,,: v,))

w l r e r e th e re L tre o d i sj u n cts , a being zi non- standar cl elem ent of M , has a m o n gsti ts fi n i te a p p ro xi mzr tions, n ( R ( u , , ) V l ( u , , : v r , ) ) V.. . ) V - l ( u , , : v r ) )

((

s e N a n d su i ta b le f o r v z r ri o u n r elationsymbols R( v,,) . I t w i l l a l sob e u se fu lto h a vea mor e ' concr ete' of finite char acter ization a p p r oxi mzi ti o n T s. o cl oth i s w e clefine, for eachi e N, eachfunctionsymbol 91@) anclTio(o) I'ot !fr.o, ^ncl each relationsymbol R of 9ro, operations that 9' t@) . 9' ,,( o) :the r esult of o n t e rms o r fo rmu l a so o f 9po, sr .r ch in o of the syr nbol/ or R ( r espectively) r e p l a ci n gth e l th o ccu rre n ce to z r c c o r cl i n g Table 3. in of "f.' ,o: (. . .) r efer sto a sequence of var iables I n Ta b l e 3 th e e l l i p si s in its cor r ectpositionso v, m ust be placed t h e c a se s fo r V a n cl3 th e ve rriable s , w i t h T ( l c o m e b e f o r ei t a n d e a c hv i w i t h T ) i c o m e t h a t o t h e rv a r i a b l ev above. a f t e r i t, a s i n p a rt (e ) o f th e clefinition We also define frr@) and fr p(o) for each/, R to be Tjt" g)' ' ' '" 9f (o), for suitably lar ge k so that all occur 9 ' 1 . 9 t0 " . " " T 'h (o ), re sp e ctively, fr om o. R ) ar e r emovecl o f I (re sp e cti ve l y, r e n c es

236

R ec ttrsi u e sa tur atir.t rt.

Wi th th e se cl e fi n i ti ons, if it is an "' 9o( M ) - ter m r ,vithfr ee- var ia bl es V r , , , , v i , , / e N a n c li , , < i l < t i o n to r i ff r i s th e re su l tof applying( actually-finitely ) manyoper atiorr @ s . f or va ri o u s/,i to ,/)(v,,,, , yi,_,)Sim if I is an "' 5Jo( tVl) for mulaw i th ilar ly, v,,,, f re e -va ri a b l e s to g i ff , V i- , as above,then 6 is a finiteappr oxir nation 0 i s th e re su l to f a p p l ying( actually- ) 9' r ,9i,, l or finitelym any oper ations v a r i o uf s, R , i t o R , ( v ; , . , ,. . , v u _ , ) . ''S o (M ) for mula and r p is an If f i s a se t o f then w e "' J4a( M ) - for m ula, w r i t e l F o o ? t o m e a nt h a t t h e r e a r e 0 r r . . . , 0 , , e 1 a n c lf i n i t ef p p r o x i m a t i o n s0 , , . . . , 6 , , , 6 t o 0 , , . . , 9 , , , { ps , u c ht h a t 0 , + - . - + 0 , , 1 $ . f i s if.f it is not the case that f Fpa0:1. f is M-cortsistent FA-consistent ift 'where f U Th(M , a)u,*ru "'At(M) is FA-consistent, Th(fu|,a),,eivr is the set of all stanclard9o(M)-sentences true in A4 (considereclas " 9"(M) l ms)and "' AI( NI) is the set of all ( possibly n ons e n te n cevi s a ca n o n i cater a to mi c" 9 o (M) sentences that ar e tr ue in M, r .e. s ta n d a rd )

,,.At(My:
{{''

: ")

t 1 ,t 2 M F ' t t a n d / . a r e c l o s e c l J ter ms and val( r ,): val( r r ) ' I t , e M F ' / 1a n d t t a ( ? c l o s e d l anclval( r ,)< val( r r ) ' J

,lr,, u tt) { r ' , ' | ,"r *,

Sset of "' 9,r ( M ) - sentenc es W e sh a l l co n stru cta maxim al M - consistent sa tur ation of M to ensur ethat u si n gth e re cu rsi ve S - f o r s o m ea e M . it 3uq(u),S- then g(clterm(n))e

(+)

I t w i l l fo l l o w fro m th i s pr oper ty and maximalitythat the set Scr Vl'as classfor M. abovewill be a full satisfaction pr oper ties inheri tec l T h e n o ti o n o f p ro va bility,Fr o, has many pleasant from provabilityrn 9ps, and we explainsomeof thesenext. There are tr,vo betweenl- and Feo. the connections fo r u n d e rstanding k e y l e mma s o from zissutnptiotrs LervrvnA. Let p be a proof tn 9paof the 9po-sentence eachfor m ula 0 in p t''y r t,rz, . ,r,,.fe t 9 y(f) be the r esultof r eplacing g /0 ), a n d si mi l a rl yl e t fip( p) be the r esult of r eplacing each 0 in p by 9n @), w h e re/, R a re a r bitr ar yfunctionor r elationsyr lbolsof 9po. Th en

gr@) @o@D are (respectively) proofsin 9e,.ot frr@) (go@)) from

er?)

o n th e lengthof the pr oof p ( left to the r eader ) . P ro o f. In cl u cti o n

tl

wsi t h f i n i t e l ym a n y f r e e Leuun B. Let 01,...,01,be ''g^(tvl)-formula v a r i a b l ee s a c h ,a n d k e N . A l s o l e t e t , . . , ( P r a n c l V t , . . ' , t l r b e

Sati.sfuction clu,s,res

231

J 4 r , r - fo rmu l zi sth zi tb o th cp ,and so to g, for eitch lt,ar e finiteapploxim ations i . T l r e nt h e r ea r e f i n i t e l yl l l a n yo p e r a t i o n fsr , , . . . , 9 , , e a c hb e i r r g % o r , , 4 , , f o r s o mesymb o l / o r R o f 9 rn, suchthat for each 1< i < /c yi : fr1 "fr.o

" qtkp) fr," fi"

" frt(lt ).

Proof (sketch). This relies heavilyon the uniclu.e renclcrbility of terms erncl formulnsbeing provablein I'A, anclhencetrue in M (seeLemmas 9.2 zuld 9 . 6 ) . U n i q u e re a d zrb i l i ty h e re saysthat if xe "' 9o( M) is a for mula, then it c a n n ot b e b o th a co n j u n cti on( cpAr /) ancla negation10, or incleed any o t h e r p a i r o f cl i ffe re n syn t ta ctic constr ucts, and if, szr y, it is a conjunction, (rpArp), then cpand lt are uniquelycletermine cl by y. Now suppose 0 , , . . . , 9 t r ,( p t , . .. , ( p t a n d e t , . . . . l ) t a r e z l si n t h e s t a t e me n o t f th e l e mma .T h e n by the alter native char acter ization of ' finite a p p r o xi ma ti o ng ' i ve n a b o ve ,
(pi: 9i..o. Qi:7(i,o"' . o g i . j i ( R r , ( .. ' ) ) '"7( .,,(R,,,( ' ))

for each l, where the 9,., ancl the 7(,.1are all 9"i or 9;'i' for me N zrrrcl synrbols R,/of 9ps. Burt,if gt, . . . , 9,inclucle all 9u or Z1suchthat R or/' occur as a subscript to one of the T'iior g'lt'amongsttlte 91.;ancl7(,.1, and, if gt, . . . ,9, is ordered so that, if gj: .%p^ ancl9r,: 9n,, where 7, p ,are s u b f o rmu l a s o f so me 0 ,, th e n if l. is zrsubfor m ula of p, j< /c; sim ilar lyalso for terms /, s when 9t: 9f, anclfrr: frt,.Then, for irll i < /, Xi:frro9ro. : ! / r of i . , o " ..fr,(q,)

"Tt(Rr,(''' )) -9r"fi,"'''"9t01,i) !

b y t r n iq u ere a d a b i l i ty, a s re q uir ed.

For example,from Lemmas A and B we have the cletlttction theorem for g) does.Left- to- r ight Fp o :f o r a l l f , e ,0 ,l ,cp l rx0 h oldsiff f l-oo( -?V her e l h e r e i s i mme d i a te , fo l l o w i n gfr om the left- to- r ight clir ection in the clecluc -fo tiorr theorem for the preclicate calculusfor 9oo. see the right-to-left i m p l i c a t i oh no l c l s s,u p p o s T et , . . . , y * e l , i , . . . , f , ,a r e f i n i t ea p p r o x i m a t i o n st o 1 r,, . . . ,T t,,tp i s a fi n i te appr oximation to ( - l EV 0) , and 1l is a pr oof of lp from f ,,...,f * r{r the predicate calculr-r fs or !te6. Then, rf !7 is gR,,,o g,rr-,,r,u,by Lemma A 9(p) is a proof of 9i;(r2) frot-u g ( f ) . B u t a l s of r ( 1 t ) i s ( - t c p y d ) t o r s o m e f i n i t e a p p r o x i r n a E(i),..., t i o n s$ ,0 o f cp ,0 re sp e cti ve ly, anclg( i) , . . . , g( i) ar e alsofir r iteappr o,Ki r n a t i o nts oy,;...,Tt,. Therefore b y t h e ^ c l e c l u c tti h oe n o r e mf o r 5 | p ; t h e r c i s a p r o o f o f 0 fro m g (y,)

238

Ilec ursi ue strturutio rt

A sfi g h tl yh a rcl e r e xa mpleon the samelinesi:; the cut r ule for F,,o,that i s : i f f , 1 c 1 t l y ,a rn 0c f l, gtlp,rO t h e nf l - F A O T .o s e et h i s ,s u p p o s e y r .. ,yk. . d r , . . , r ) 1 f a n c tl h e r ea r e f i n i t e yn ,. approxirnatio s. . . , f r . d , . . . . . d , o f ( ) r , . l c p , ,,, tltzot c pr e s p e c t i v e l y a,n d t ) , , 0 z T t ,. . , T t , . . . , d , r e s p e c t i v e l y Q o f 0 . w i th p ro o fsp , 1 1 showingthat ll 01 i , , . . - " i 1 ,t,f t and 6,,...,61,q,t.i02. T h e n , b y L e mma B , th er e is a com position I of suitable?r s and 9Ls s uc h that 9(0,^):7(0.), fr(rpr):-l 9(r!r), and whenever Ti: d, then 9 (y,): 9 (6 ). T h u s ,q (p) , 9( q) ar e pr oofsshowingthar t

and

s(6,), . . ., 9(6), F(e)rs(o)

hence

s(o s(6,)r ),
so fFpa0, asrequirecl. set of Using this, we can now see that, if S.- is a rnaximallyIVI-consistent ( +) , then ,S( as defr nedon p.234) is a ful l sas ti sfying "'9 o (tu 1 )-se n te n ce s a ti sfa cti o cl n a ssfo r M, since,for exam ple:

q, a s i f (a ) S - co n ta i n s e xa ctlyone of E,- lcpfor each "' 96( Nl) - sentence then so is S.. by the cut both S- u {rpl and ,S- U {lcp} are M-inconsistent is in S- , and cer tainly if b otLr one of cp,- 1gr r u l e . S o b y n -ra xi ma l ity c p ,-l cpS e -, th e n S - i s,l V/- inconsistent. ,o s)o (b) If (rpArp) , S - , - 1 c p F p o O : 1s S-, then lp{1cp--->-l(cpAr! -1cpgS-, soES.,. s,o S u c p ( u ) e ) S - f o r s o m ea e M , t h e n5 - l y , a a u t p ( u ) ( c ) I f g ( c l t e r m ( a )e S e- f o r s o m e S.- then by (+), cp(clterm(a)) if aucp(u)e S-. Conversely aeM. /n- ter ms anclMFval( r ) :val( ,r ) then ( r :, t) (d ) If /, r l u l a rc cl osecl )val(s) then if , M F v a l ( r* " ' A t ( M ) , h e n c e( r : s ) S . . .C o n v e r s e l y

+ (r:s * clterm(n ) l))) e *At(M)

Sutis e:; fttction cIa.s.s

239

f o r s o m e a M , a n c li t i s e a s yt o c h e c kf r o m t h i s t h a t T h ( M , a ) , , n * r * " ' A t ( M ) Fr o l ( r : s ) , s o ( / : , r ) GS , , . . \ \ / c : ; hl rl lIto \\'(j o n stru ct a n raxir nally' ,} /- consistcnt 5.,.wiilr tlr c pr opelty ( + ) . T h i s w i l l b e cl o n e b y cclnstr ucting .S.. as U ,.nS, wher e ( Z : 5 ' , , c Sc ,' i s a s L r i t a b lc eh a i no f f i n i t eM - c o n s i s t e n ste t s . The countability o f I v l w i l l b e u se dto e n su reth at, for ever y' ' Y^( NI) for m ula r p( u)with one - l3ug( u) e f r e e - v a ri a b l eo n l y, th e re i s som e i e N so that eith.er s; or c p ( c l t e rm(a e ))S , fo r so me u e M. Lerrarvta C. A is M-consistent. P r o o f . If " 'A t(M) *T l t(M,o ),,,,vt|- paO:1 then ther e ar e et,..,(p,,"'At(M), 0r,
, 0*Th(M, a)u,*t

a n d f i n i t ea p p r o x i r n a t i o n 6s, . . . , E , , 0 , t h a t$ , , . ^ . . , 6 , , , 6 , , . . . , 6 0 1 f r : f , . L e t p b e a p r o o fo f , f , r : , ffrr o r n t h eE , and the 01;clearly we may assume p only involves function and relation symbols already p r e s e nitn q , , . . . , 6 , , , 0 , , . . . , 0 1 , a n d f r , f , E . a c ho f t h e s e s y m b o l si s o f th e fo rm f,g ,,. ,v ;,; or Rr ( u,,,....vi,) for a ter m / in"' 9o( M) or a f o r m u l a yi n 9 " (M). (N o te th at y is actuallya standar d for m ula, but m ay c o n t a i npa ra me te rs a fro rn M i n thefor m clter r n( a) .) SinceX is stanclar we cl can interpret Rr1n,,,. it"t ful by setting .v,,)
M F R x ( " , , ..." i , ) ( b r r . .,b)CMFX(b,, . . ., b,\,

and we can interpret each/,1",, ,ni,) in M using the val function by -M F f , t " , ,.. . " , ; ( b t . , . . , b , ) b , * t e N I F b r * , : v a l ( r ,c ) w h e r ec - l l l b tl i tl l b rl i rl . . .l b rlit)is the sequence cocled in IVIwith b, in the i r t h p l a ce ,fo r a l l T { /, a n cl0 s elselvher e. W i t h th i s i n te rp re ta ti o n a n clthe usualpr oper ties of the val function,it is e a s yt o ch e ck(u si n gi n d u cti o non the lengthof subpr oofs of p) that ever y stzrtemen in t th e p ro o f p i s trr-r e of f,y:/l is in M . Sincethe inter pr etation n c l e a r l yf 'a l se i n M, w e h a ve o u r contr adiction. W e n ow co mp l e teth e p ro o f by showing how all the S,sar e constr ttctecl. Enumerate a l l " ' 9 o ( & 1 ) - s e n t e na cs eeso , c p r , . . . , ( p i , . . .( i e N ) , u s i n gt h e cotrntability of M. Sr-rppose S; has been constrtrctedancl is finite ancl w, then we M - c o n s i ste n t. If cpi,s n o t o f th e for m f w) ( w) for som evzr r iable c l e f i n eS ,*, to b e e i th e r 5 1 U{ cp} or S;u{ - lcp} . ( One of these scts is &1 - c o r r si ste n bt, y th e cu t ru l e .) Other wisewe must set S;*, to be either S, U {-l cp,} or S, U {8,, 0(clterm(c))} for sotne u e tul. Obviously g1 ( cl te rm(a )) - 1 w 0 (w ) for each u e ful, so it S' U { 0( clter m( a) ) }is 5 'F ; 1,^

a,t n LLT\)

RectLr,s i u e sa tu ru ti o n

M-co n si ste n th t e n so is S, U { cp,,0( clter m( a) ) } r hen that ,S, Suppose U . i s M i n c o n s i s t e n t f o r e a c h a e l V I ; r , v e s h a l l s h o w {9(clterm(a))} that S,1S r + : l w ? ( w ) i s & I - i n c o n s i s t e na t, n c lh e n c e ( b y t h e c L r tr u l e ) S ,U { l q , } i s I 1 -co n si stcn t. Wri te y(w ) fo r 0 (w ) -r 0: 1. By the cleclr - r ction theor em1nd our sgppos i t i o n , , 5 ; F * . o X ( c l t e r m (fa ) ) o r e a c ha M . W e m u s t s h o w t h a t S , F y , 6 Y x y ( n ) . w h i chsu ffi ce s si n ceY w y( w) Foo3 w?( w)+ 0: 1. By hypothesis S,is fini te. S u p p o sS e i:or ,. . . jo,,.Weobserve t h a t , f o r a l l v a l i cs l t u n c l a rp cr l o o f s pi n the predicate calculr-rs for the recursive language9., ,,vhichhas /c-ary f u n cti o na n clre l a ti o nsymbols R7,., for all lc,i e N ( including k:0) , anc l .f0.,, for all standard 9 n - f o r m u l a sr , ( i ) , . . . , r , , , ( i ) , t h e f o l l o w i n gi s e x p r e s s e d by a standard9o-formula
(
3J),Tl,11

. r.,. o , , , ,r,,,(o x @ ) ,a )

with the parameters from IVIas shown:

'There e x i sc t ,d r , . . . , t l ; , e 1 e 1 , p r , . . . , p irn & 1s u c h that (a) r1(c) holds, f o r e a c hI < l < m ; (b) term(r/,) f, o r e a c h1 < / < i ; ( c ) f o r m ( e , )f , o r e a c h1 < / < i ; ( d ) p , i s a t r u e a t o m i cJ 4 o - s e n t e n( cie n the sense o f M ) , f o r e a c hl < / < k ; (pr, a n d ,i f p i s a n 9 r - p r o o f o f I f r o ma x i o m s . . , ( p t n ,e r , . . . , r / , , a n dU r ,. . . t l r ..) for I </<i, and s n c ht h a t , r e a d i n g the /th newfunction s y m b o li n p a s1 , , , ( . reading t h e/ t h n e w r e l a t i o n s y r n b oi ln p a sR , r ( .. . ) ( 1 < / < t ) , p b e c o r n e asv a l i c l proof in 9-p,1, and n o z1(clterm(c))(l<m); @ ) E , i s a f i n i t ea p p r o x i m a t i o t ( t ) , p ,i s a f i n i t ea p p o x i m a t i o t no o 1 ,( l < n ) ; ( g ) , t , i s a f i n i t ea p p r o x i m a t i o t no p t ( t < k ) a n c l (h) 0 is a finite approximation to 1(clterrn(a)).' H e r e i , j , k a r e s t a n d a r d i n t e g e r s ,a n d ( p r , . . . , e , , , V t , . . , V , , a n d r l r , . . . , \ p & t a s t a n d a r d9 1 - f o r m u l a s t h a t d e p e n d o n / , o n l y . T h e s u b s c r i p t 'T' in 91stancls for'template', since9.r-proofs and formulas are used as templates for 9p.r-proofs ancl formulas, via some substitr,rtion of $p,r-ftrnctionsancl relations 'for 9yfunctions and relations. Note too that theformulaer.r,....,,,,czb r ie l c o m p u t e dr e c u r s i v e l y from p,rt,. , r , , , ;t h u s t h e s e t o f a l l s u c h 6 1 ,r,1 . . . . . r i ,s , ,r e c u r s i v e ,s i n c e t h e s e t o f a l l v a l i c lJ 4 1 . - p r o o f s p i s r e c u r s i v e . I t f o l l o w s t h a t ' S ,- F" ' A t ( M ) + T h ( M , a ) , , e * t fr n x ( a ) ' i s

expressed in M by

" ' o " ' y(*), ,,)) " " ' ' " ' ( o " ' ,,.,v,.,,,(t
Usi n s re cu rsi ve sa tu ra tion of tvl"we can show that lher e is a finiteset F of

SutisJ'action classes such6/,, rr,. . r,, so that MFVaW ne,,,,, ., .. , , , , (y d( , w ) ,a ) ; f o r i f t hi s w e re n o t th e ca sethen

241

ct(x):{-,t, .

. l m eN ,p , z r , ,,,,1o,X\w )1,-^ ' ) , xa ^ ""\ las bove

,',rr\

w o u l d b e fi n i te l y sa ti sfi e d i n M, so ther e would be b e M realizing c1Q) ir"t M. i.e. .t,+ ''A t(M) + Th( M, a) n._w1- pnx( b) , c o n t r a di cti n go u r h yp o th e sis. Thus ther e ar e finitely m any 9p- pr oofs pr, . . . , p, that act as templates for Spo-proofs showingthat S,+ "'At(M) + T'h(M, a)u,nrtEoyQt) for all a e M. We shall write the collectionof all r(x)s o c c u r r in gi n th e su b scri p o t f som e6p,.,- ?S i:r ,( x) ,. . . , r ,,,( x) and assume t h a t e a c hp ; i s a p r o o f o f 0 i f r o m a x i o m s( p i . t , . . . , e i , , , , 1 , p i . r r .. , ' t p 1 . , , , o,fl d fu rth e r a ss um e that U i . r ,. . , tl .i .a M F tN ," y( w) , u) , = ,laer ,.,( 6, i . e . , e a c hp i r s a v a l i dp r o o ft e m p l a t e f o r s o m ea e M . W e h a v et o c o m b i n e proofs pr,...,p,.to obtain these S/+ Th(M , a)nunt + "' At(M)l p6Vxy(x). O u r i mme d i a tep ro b l e m i s that, when one of the pr oofsp, is used as a t e m p l atefo r a p ro o f o f so m e finite appr oxim ationof X( clter m ( a) ) ,the variousfunction and relation symbolsin p, are replacedby f or Ra of 9uo where t or f may uary with a. It will be important to understand the limitations o n h o w t o r f ca n var y. In the case o f ! ) i . r , . . . , V i , , , ,w h i c ha r e t e m p l a t e f so r f i n i t ea p p r o x i m a t i o n s t o o ,, . . . , o ,,, th e re i s no am biguity:by unique r eacl:r bility the J 7,s a n d R 7 .e is n r/,.r, . . ,tp ,.,,h ave asJs anclREsfor a unique inter pr etation r a n d su b fo rmu l a s s t r b t e rms ,o,,. For cp,.r , . ,( pi.,,,01and f of o, , or finite . , T i . l W e a r e n o t l u c k y , t h e s e a r e t e m p l z r t efs s o s i n c e \i.t,. a p p r o xi ma ti o n to s r , ( c l t e r m ( a ) )., . . r , , , ( c l t e r m ( i ) ) , ( c l t e r m ( a ) )a X , nd pt, . . ., pk, on a. However , sincewe ar e only w h e r e th e ch o i ce o f C ,p ma y depencl cl o se clte rms cl ter m ( c) for var iablesin r ,( i) ,each r elation s u b s t i tu ti n g for som as Rq1,;..r t",,,,1,,, e subfor m ula w i l l b e i n ter pr etecl s y m b o l R ;,1i.n cp ;.1 only var iationpossible E@, i ) o f r,(;) w h i ch i s u n i q uelycleter minecl- the i s t h e c l r o i c eo I C h e r e . T h e r 7 ; , T ] i . kw i l l o f c o u r s e b e a t o m i c , t. ,.

242

Ilc cu r.s i Lt e sutu ra t io rt

corrcsponclin s thc atornic to f<trrnula pso 1 " " A t ( M ) , w h e r ep n r a yc l c p e n c l ona. B y th e re ma rl <s i n tl tc lltst pir r agr alth, thcr r , we cult cr nply zl ' conrn- r on a p l l r o x i t t t i t t i t r t t ' t yo p le ' a r g u n r e na t s in Lernrrra i J a b o v e ,r e h n i r r g the sttbfornrltla s o f 0 , i , . 9 u n cr l j u n t i le i t h e rt l r e ya g r c e , o r w e u r e c k l w nt o t h e I e v c l o f a t o m i c s u b i o n n u l i r sI.n t h c c a s eo I t i r c y r s w e w i l l s u c c e e c i] n nraking r 7 , ' , , j < , s a y )1 ' o r all i, a n c la l l l < n , s i n c et h e r e i s n c t l,i.r:t/,i.r(: cl e p e n cl e n cy o n u . l n thc caseof the c1.,s ancl gs lve r vill be ablc to fi nc l . Z ;-frrrmu l arp s ,(t), . . . , ( p,,,( t) antl0( Z) ,anclalsoclosc d .T.,- tcr ms r ,,s,suc h 1 < l < r ' , l < / - < r u ) a n c l0 , : 0 ( i , ) ( l < i < r ) , w h e r e t h c / s t h z rc t p , . r : c p r (( i) a n cl .r-sw i l l b e te rn p l atesfor finite appr oxir nations of "' .fl,r ( M) - tc r m s c l te rm(c) a u cl cl tcrrn (a) for var ior .r s u . c M . Also, sincc the qs z l r c , here rr(i) is a templates for finite approximzrtion os f T , ( c l t e r r n ( c ) )w sta n cl a rcl 1 o -fo rn rr" tl a we , m ay continr - rthe e r efiningpr ocess until the o l i l y r el a ti o nsymb o l R o f .!/.,( other than: ) occur r ir r g in the cps is sor nefi x ec l s y r n b oR l , , w h i c hw i l l b e r e p l a c e c bly R 1 u , , - , u a , ,liln c a s e sI.n t h e c a s e of the i i s , w e c a n a p p l yt h e r e f i n i n g p r o c e s s o t h a t e a c hr 7 , .i1 s e i t h e rR , ( t , . r ) o r (r:,t), where /, s are sornecklsecl ll.r-tern'rs. Wh e n w e o b ta i n th e se' r efinecl' pr oof- ter nplates, we can iclentify certar i n r e l a ti o n symb o l s o f !/l -rwith 11..., so that R.. is theonly r elationsymbolo f9y proofs i r rt h r e pr,. . . ,p,.that w i l l b e r e a ca l sR 1 u symbols of :1 v, 1 ;(.l d e n t i f y i n g 91' does not change the fact that the p,s are valid f-lr-proofs,ancl if rve i d e n ti fytw o symb o l s th at will always be r ead as the sAr ne thing, we do not de stro yth e fi n i te a p p roxinr ation pr oper ty either .) Sir nilar ly,we carr fi x frrnctionsymbolsf,",u. fuu",,{,r,,,,, ol 9.y that will be the only functiorr f,i,,,".' s ymb o l s to b e re a cl a sf,,Jt,J:( \t+ ut.) ancl,fi"r .",1 r espectively. W e shallthink of , <, R(v1y. vc 1lR ; - a s b e i n gt h e ' s a m e ' s y n r b o l a a:n s, ncl, s i r n i l a r l yw , e identify: ' ,|' t"r .ur ) ,.Ii,' ,"r . 0'fr,fr" ,u , l ,J',,J'" u "+,fl , u1,+u11,11,r ,' ,, ilnCl Thus we r egar cl - 71, z tn d 9 n o a s b e i n g e xte nsions of tl- r e fir st- or cler language of ar ithr neticgn. , Wi th a l l th e se rn o cl i fications to the p,s completed,we now r e- exar ni ne t he stru ctu reo f th e fo rm r "r las 0,: f/( .f;) . Utr ,( pi,r : ( pr ( 4)ancti7,,. By the c o n ve n ti o n s i n th e l a st par agr aphthese fom r ulas czr n be r egar clecas l 7,. 9 o -fo rmu l zts w i th e xtra functionanclr elation symbols R fr onr F or /. ( I < / < r r ) example, eztch w i l l 0 a r y f u n c t i o rr s y u r b o lg s reprec o r r t a i n : Vr s e n ti n g frxe d cl o se clter m s in the cor r e spol- r cling o1; l- ar y ancl hig her [ u n cti o nsymb o l s a n cl var ious r elation syr nt' r ols /i. W e clisplay thesener ,v /:'; i n o u r n o t a t i o nw f / ( . v i)s s y n r b o le sx p l i c i t l y , r i t i n gl t l t t s t l t , ( E ,.f R ) . S i n r i l a r l y n w r i t t e na s 0 ( x , E , f , R ) w h e r et h e g a r e0 - a r yf r . r n c t i os ymbols representing f ixe cl cl o se cl te rms i n 7 $ ) . J^tr r cI- ar y anclhigherfunctionsym bols, an c lR are re l a ti o nsyrn b o l s. ove r l ap A s the notationsuggests, thcr e m ay be sonr e be tw e e n th e g :;,th e /i a nclthe Rs in r yr ter mss, that ar e ancl , 0( i) .The closecl g, fr fr on' r 91.,.. use cl to re p l i rce i i n t)(i ) will contain0- ar y functionsyr nLr ols lJlo- ter nr s in constants s, W e w ri te J, a si /(g , r), thinlcing of this as a tuple of. g , [ . S i n c ee { t , ) r c p r e s c nrt , ( c l t e r m ( c )f)o r s o r n ec - ,a n c lw e g o t r i c to f a l l

Sutisf'uctio n c: Iuss e,s

Ztl3

r e l a t i o r rsymb r>l s R (.th cr thar r th^t f' r < ) in cpr ,eli) is a sta' cl.r cl 7 i - f o r r n u l a ,a n c t l h et c r r n s r ,r , v i lllr co f t h e f o r r i r t t g . [ , ) ; h ; ; . g , l l a r c g - . r y f t t n c t i o nsyn rtro l s o l t/:.r.ab scfor c. Finally, the r 7,"jwill br : s;cntcnces of thr : f . r r r r u ( , qh , ) : u ' ( g .h ) o r . u ( ! . f i ) < t t , ( g , f i ) , w h c r c r ! ,L L , z r r c s o ' c / ' , r - t c r r n sW . e w r i t ei / r . / as,1,.,(5 h.) . T h e i m p o r t a n tc l i s t i n c i t i ob ne t w e e rg r a n c l/ i i n t h c a b o v ei s t l i a t t h e g r e p r e s cn tfi xcclcl i l sccl tcrn r:; o ccur r ingir r tho oi; or in y( vt,) wher , eustl' r c h r c p r e s cn t cl tl sccl tcrn rstl ta t n rayvar y r ,vith u. W c shallusethis ilr for nlation t o c l c c l u ce th a t

f o r a l l u e f u | ,T h ( M . u ) , , e , y t F , 4 ( \ i = , r 1 @ Rt) _ - -,i , :1 (u.6,1 R,) , ,1

(o)

i s t h e u stti tln o ti o n w h e re ca ch par am eterc:e M is icle ntifiecl r ,vith ltn u*n 0 - a r y f u n cti o nsymb o l 1 .rt" ,,,,,( ,,) . I t i s ea syto se eth a t, i f g i s g, g, zr ncl eachg, r epr esents the closecl term g; of ".'/lo(M)_ino,, . . . , q, ancl x1u), then for sorrle sLritable interpret a t i c r n o f / a n cl R a s syrn b rt' rof ls - fno, v.tt( .l' !t is ar finite fr ,,f,tl) a p p r o x i ma ti o n to o / ( I < /< n ) ancli:( n,, fu,,f, R; is a finiteappr oxi_ ft, n r e t t i c rn to y(w ). We sh a Ilth e n use the r ecur sive satur ation of M together ( o ) r,vith to cl e cl L rce th a t Th( tV " o),, t1Q). j, R) ---' l-/A i=, t1 Y wt(n, . 6, i, 117 . e,vr F r o m t h i s i t e a si l yfo l l o r,vs tl i a t
(")

w h e r eX G , g , t . n l i s t h c f o r r n L r lo at r t a i r r e f crlo m g l ' t yr e p l a c i n g every sutrterm 's,(g, h) for w in y(w) by x, h e A4is thc rLrple oftuniclue uzJt,es for the subterms ol'ot, . . . , o,,, y(.u,) c<>rresponclirrg to g, ancr provability in (o;

Th(M, a),,e,vr +n;= ,lri:fu,l-,4(\i= , R)-->yw*(w,fu,f rl,r([t..f , R);

hence Th(M , o),,,iu +. r" ' A t ( M ) l r , , r A i = , o 1 - - > Y v v y ( r . u s)i,n c e e a c h , b , : 4 , ' ( n r . rather: 7.rr"..,, atomic sentepce. t, :1 l r/i,), i s a f i n i t e a p p r o x i r n a t i o n c l f a t r r . r e Hence

Th (&1. o),,, ,vt + "' At(M ) -FS'il- 1, aVwy(w) b y t h e c l e cl L rcti o nl e , a s re q u ir ecl. ru T o v e r i f y( o ) , l i r s t f l x a e / r / . T h c n A 4 F q t , , . , ( O , y ( w a ) ,f o r s o m ei < r . , z i n c l f r x s t r c h a n i . T h u s th crr,pe a re also a, r 7,e, NI, as in the statenr ent of a ). T h u s, fo r e ver y r ,( r ) occur r ir r g ir s iln assunr l- r tion in p,, E, , , . , ( o , x!r), 1 4 F r 1 ( e ),a n cl th e re a t'e va l u es c ( r eacl < >ffas values of cer tain closecl s u b t e l n r sc l o f p , c t t c r m ( a )a n r Jc l t e r m ( c - ) s ) uch thirt a:s,(1i,a), ancl c t : t i i ( 6 , 4 1 ' o rs u i t a b l ct e r r n st , ,i n t , r ' c p r r e s c r r t icn gc r r t r ( c , ) (. N c l t et h a t , lt s i t t c c . , trc cl e fi n e cl 1 j a s th c vu l ucso1' thc apr pr opr iate cktsccl ter nts"thcse vaIrtes l , a re fi xe cl .) T h u s, i n tcr pr eting g, fi in p, ils./.1,",,,,,,, for suitiible - r in 1J

244. o r e , th e p ro o f p r sl to w s

R ec'u rsi ue salu ra tio rt

.ff/

/ X \ 1 1 - s , ( l t . i ) o , o . t , ; i ( l, l, r ) : ( . t 1 - / l \ r ; ( r - ) l , .f. /i)1 \ r / 'O ltt[t /=l l=l

i(tt.lt.f. lil

B u t z r l lt h e s e n t e n c e o sn t h e l e f t - h a n d - s i d oe f t h e ' F ' s y m b o lh e r e a r e t r u e i n fu |, h e n cea re i n T l t(M,n) .,.,u,. thlls

T l t ( M ,o ) , , e *b r l r p , ( hf,. R ) - - -*' ( u , h .f . R l
F i n a l l y ,t o c l e c l u c(e o ) f r o r n( o ) , l e t ( x , y , R , 1 ; U e t h e f o n n r - r l z r

A:rtQ, f , R) t. f , R). h rp,(r,

to thecontrary Suppose t h a t T h ( M ,a ) , , e , v r + a x l ( * , 6 , fl i s c o n s i s t e n t , .n andconsider the following setof 9o-formulas:

g o u { 6 } l ( x , < o ( x ){ : r p ( * , 6e y , / , R )| E Q , D l . 7
A ( x ) i s a n r . e . s e to f 9 o u { b I - t o r m u l a s a,s g o u { 6 } i s a r e c u r s i v e x t e n s i o n o f 9 o ; so b y C ra i g 's tri ck , A( x) is equivalent to a r ecur sive setof for mul as . a l so O(" ) i s fi n i te l y But satisfied in M sincewe assumed that Th( M, a) ,,,w t* tD( x)is r eali z ec l a xf@, e, f , R ) i s co n si stent. Thus, by r ecur sive satur ation, b y s o m ea e M . B u t , b y ( o ) ,

T h ( M ,a ) u , * r t - l { ( a6 ,.i, R),
t h a ti s ,

a, a ) E @ , b , /R , )r - 1 ) . ( 6
A eN I s u c h t h aM t F A ( u . t t , e )B u t t h e n l ome f o r s o m e7 ( x , y , Z ) i n g o a n c s E(x,y, f , R )'rV Z l t).(x, r, 2) , so a cannotsatisfythe type @( ") , zrcontr a c l i c n t i o n . F l e n ce(o ), a s re q uir ed. to F ro m th i s theor em it is ezisy to deduce an ztnalogu e R e vra r<rcs. classes: ev er y modelsand full satisfaction 1 5 .1fo r u n countable P ro p o si ti o n N N> M with car cl( M) : car d( N) zr nd extension M E P A h a s a n e l e me n tar y class. To seethis, note that' S is a fLr llsatisfac ti on h avi n ga fu l l sa ti sfa cti on o, so suchan lV existsif anclonl y i f i s e xp re sse d b y a n 9r - sentence c la ss' Lowenheim - Skol em * r o i s co n sistent. But by the clownwar d T \(N I, a )n e p t h e o r e m , e v e r y a e M o f f i n i t e l e n g t h i s c o n t a i n e ciln s o m e c o u n t z i b l e r e c u r s i v e ls ya t u r a t e d 1 1 . 4 ,K h a s a c o u n t a b l e I(<lvl, and by Proposition

,9 ut i.t.f ucti o n cIu.y ses'

245

c t - r r r s i stcl t. t I t i s a l s ow t l t ' t l ir t o t i n gt h i r t t h c p r o o l ' o f T h e o r e r n1 5 . 6g i v e sn e c e s s a r y a r r cs l u f fi ci cn t co n cl i ti o nfo s r a sentencc cpt- tl"".y:r \( M ) be cor r tninecl to in a f L r l ls a t i s fi tcti ocl n i tss fo r a co u ntablcr ecur sively s;atula tecllV EPA, nzr ntcly s u c h a s a t i s i a c t i oc tr l a s sc x i s t s . j u s i t n c a s ct h u t { r p }i s M - c o n s i s t c n tF . or y exarrrple , a e M \ r u , t h e n t h e ' o t r v i o u s lf if a l s c ', , , ! , r ( M ) - s e n t e n c e u

I ( > K . B y T h e o r e ml 5 . 6 t h e r e i s , s c 1 i r s u c h t h a t ( l ( , , s | r o . T h L r s , 'lh(lvl, Th(M, d) -l o is consistent, ancl hence u),,,,tt-F o is , lry conrpactness,

l r ( ( . . . ( x * x y x * x ) V x + x ) V . . .) y x * x )
i s M - c o n si ste n t (si n ce , i n pr oofs fr om the stanclar .cl sente ncc ' tr lr e' l x ( ( R ( x ) rrr x * xf . . . !x # x), R( x) coulclbe inter - pr er ecl as for all x ) , s o tl re n o n sti tn cl i trcl se trtence above ciut be nr aclc' tr ule' ir r som e (N o te , h o w e ver ,that the nolt- stanclar s z r t i s f a cti tl na ss. cl cl scntence aboveis false irr ttll incluc:tir;c nonstzlnclarcl satisfactiorr clas;ses (exercise).) T h e r e a re a l s<t ve rsi o n s o f T heor em 15.6for langur r ges lf exter - r clir rg J4n. F o r e x l t mp l e i , f {f i s zrre cu rsi ve extension of lln then ther e is zrcor r esponcli n g n o t i o n o f a n M-co n si ste n t of ( pt- r ssible set nonstanclar cl) ../- l- sentcnces. It t u r t r so L rtth a t L r.\tu n (l use rd t o f - ?sentences Zis M - consistcr r t anclr tnly if if T + T h ( M, o ),,e tt i s co n si ste trt, ancl any r cclr r sivc set of M- cor r sistent .17s e n t e n ccs Z ca n b e e xte n cl e cl to a full satisfaction cliiss.S,pr oviclecl M is c o u n t a bl e a n d re cu rsi ve ls;ttu y r atecl. W e can then de.finc ir r ter pr etations of t h e e x t r a symb o l s i n .l f a cco rcling to this satislactir >n class,anclobtain er n expansion o l o u r mo cl e lM to the lar r guage 51,the expansion satisfyingr . T h i s a r g ttn te nca t n l re ma cl cto give a pr ool that all countatr le r ecr - r r sively s a t t r r a t e cl n ro cl e l o s f P A a re re splenclent, an ir npor tantnotion that will be clefinec l ro p e rl ya n clstu cl i e d p i n cletailin the next section.

Exercise.sfor Sec:tiottI5. l 1 5 .I A v e r y L r s e f u l< l i n ro - lf p a r t i a ls a t i s f a c t i oc nl a s s i s a f , , - s a t i s f u c t i oc n luss. (a) Worl<ingin PA.clefine u f o r r r r t r ly a( . x ,y ) e x p r e s s i r '), r gis the Giiclel-rttrrnt'rer of et ), fornrr"rla.'Prov te h a t y i t u r f o r u t u l ai s A , ( P , u { a ) n c lh a s s o u r e o f t h c e x p e c t e c l propertlcs. (b ) De fi rre a,p ur ti ul ttotr,s tu tttl ur d 2,,-.s uti.slitr'!i o rt r'la.r.r,Sfrrr rr rrr<rclel fulF l)rl to bc: a set .l c P1rsLrch that rta Yu,rpfs(q,,u)<->tl'| .)A /X\/-' f,(,f, r,)I, r,vhcre c ri s a t . t t - r n s t a n cc la rm - cc l n to f A 4 .U s i n gt h e S a t ' , , ( r p lc r r,) r e l a t i t - r nls , o v et h u t tr f o r a l l l v l F P A t h e r e i s N > t v l a n c la p a r t i a ln o n s t a n c l a r ic t rld u c t i u c , I , , - s a t i s f u c t i o r r class 5 . c N r f o r N , a n c l ,t n o r e o v e ra , n y s u c hl y 'i s r e c u r s i v e ls ya t u r a t c c l .

246

R ecursi uc .sutu r uti o rt

ty l i t . 2 " ' L e t . ' / l e x t e n c'l/ 1 , 1 | 'a t n r o s tf i r r i t e l y u r a n yr e l a t i o n ,f u n c t i o na n c lc o n s t a n t syrttbols, anclsupposc M is a nonstunclarcl.l/.'-stnrcture lvhclse IVI| .,7,ris 7/,r-recluct a rrtodr:l of Ptl. ncrrrstirnclurcl ( r t ) B y t r e l t l i i r ;n al l ew c l a u s e . , t o 7 , , . . . , 7 , d c l i n e r r o t i o n st - , 1l'u l l i r t t t l 1 . r itti t la so r l V I .i . e . s a t i s l ' a c t i o cn l a s s ets l r a tt e l l t h e t r u t h v a l u eo f a l l 7 . ' - s i i t i s f a c tc io ns s e t ,/.'-iorrnulas. ( l ' l i n t ; l f / l h a s a r re ; x t r e to consiclc crl u u s e s u c h fu r nction s y r n b o l f 'y , o u r n i g h tl i l < e
AS

At

J I { } r

,^l

rp:(tu:.fQr ., . ., 1 r ) n 3 b r , . . ., b 1 , , r : t), afb ji=,r r > tn n /]=, 5((u, I r]) I zN, 1 :v,) , ul.l' ( br i , b1,\lr l) l AS( ( r ,'

that'the ft o r u r u l it h a t i m p l i e s r\ > t i i ss i n r p l y a convenien I n t h i sc l a u s et,h e f o r r n u l L v, cloes nc)toccur in the ternr t'.) variable a,n c la l s o ( b ) P r o v ea n a l o g u eo and 15.6 for /-satisfactioc nl a s s e s sf T h e o r e r n s 15.5 - 'e y'/-satisfaction nclr-rctiv of Propositions l 5 . l u r r c lt 5 . 4 f o r p a r t i a l n o n s t a n c l a rid for all .f' inclr.rctiorr that M satisfies assumpticlu urrclelthe aclclitional clirsses formulas. (rrotnecess;alily (c) Givcn that.!/lisa recursive finite), show that extension of 5:)n is thenexpressecl by class' is a full./-satisfaction results holclexceptthat'^S the szrnre sentence. ra , t h e rt h a n a s i n g l e z ts e t o f " / U { S } s e n t e n c e s for the Let 1( be the strLlcture 15.3 Let-fullPA ancllet ae [Vl be nonstandurcl. s y m b o l s c ) lefinecl r e l a t i o n < , 0 , t e r n a r y ( w h e r c R . a r e n e w 1 R*, languagR e *, R.. by: o f 1 ( i s { . re t v l l l V l r x < u \ ; theclornain y, z)e MFx * y : z, f o r a l lx , y , z e K , I ( F R * ( , r , ., z) MFx' y : z; f o r a l lx , I , z e I ( , K F R . ( xy symbols. these o elenrertt sf M i n t e r p t e t i n g r p r e t e ciln 1 ( b y t h e s a n r e 0 , I a r ei n t e ya t u r a t e d . S h o wt h a t 1 ( i s r e c u r s i v e ls y) in Ivl.) (llint: Use Sato,,(x, l FZF is ce tt h e o r y . )A m o c l eM l v i t hs o r n e k n o w l e c l go ef u x i o n r a t is 15.4 (Forthose o1,. . . e ful srtch tliat iff thele are elements o1y, saicl to be ro-nonstanclarcl r o ) f o r e a c hi e N . t;Au,e M E ( u ; n 1te rttoclels of ZF. (a) Slrow tl'ratZF* Con(ZF')l-fro-ttonstanclard j ' , a e t v t F ' ( a . la r nguage f o R,/, c) is a structure r the flrst-orcle ( b ) S L r p p o sc , R, e g::{R,f.e), rrhere&/ is an a.r-nonstancla itr m c l e lo f Z F ( a n c lt h e s e n t e t r c e ro cl the first-orcler in scntellce wtty as a sonre stauclard in is interpretecl rnerrks quotatictu , , / , c - )w i t h c l o t l a i n " ' n : l z r n g u a go ef s e t t h e o r y ) . D e f r r r ez t n / - s t r t t c t t t r e " ' ( r rR in lvl. frorn R, f . arrd,r= inheritecl constants functions, a} anclrclations, {r e tVtl-tvtVxe R,, f , a ) F n f o r e v e r y s t a n c l a r u l s e n t e n c e o s u c h t h t r t & 1 F ' ( a , R , f , c ) t o ' Showt6at"'(a atttt'atecl. ly a n c lt h a t " ' ( n ,R , / , c ; i s r e c L r r s i v es o f P A , t h e a x i o n r ' Si s a f u l l ith uxiottrs t h e . ' y ' i * t h c ow ry c l e n o t e P , z t ( S ) L e t 15.-5 of /.r. fortlltlits all for ztxiottls atrclinclLtctiotr class', satisfactigp T h c o r c m l 5 . ( ra n c ls h o w t h a t P A ( S ) F t h e s k e t c hp r o o f . j u s tb e [ ' o r e (a) Conrplete C o n (P z l) .

Resplendency

247

( a ) L e t l v l o <M t 1 M z < saturated models f o r a g i v e nl a n g u a gg e, w h e r e , t i s a n a r b i t r a r y ordinal. S h o wt h a t t h e i r u n i o n U i . t . M i i s a l s o, " . u . r i u J y s a t u r a t e d . (b) Let tvlFPA be countableancl recursively saturatecl. Modify the proof of F r i e d m a n 't sh e o r e m( T h e o r e m1 2 . 4 )t o s h o wt h a t t h e r ei s a p r o p e ri n i t i a ls e g m e n r I<tuI withI=M. (c) Using(a) and (b) construct an elementary chainof countable modelsMr1 M r 1

( b ) B v fo rn a l i zi n g L e mma 1 4.16in pA( s) ( using i.cr uctionon cer tain Jf*-forrnulas) showthat p,z{(s) proves both the.paiis-Harringron principle eH) a n dt h e I(a n a mo ri -McA ro o 'p r incipr e of Section ( KM) 14.3. 1 5 . 6 ' ' ( co n sru cri o on f ru 1 -ri ke re cui.siver y ated satur moder s.)

M i c " M ; n l i s a p r o p e re n d - e x t e n s i o S n .h o wt h a t t h e u n i o ni s a n a , l 1 - l i k re ecursively pA. saturated model of 15'7+ Let M F PA be countabre ancr recursivery saturatecr, ancr ret s g 'rgo(M) be a finiteM-consistent set of sentences. Showthat there is an,,,s6(M)-sentence cpsuch that both s u {p} and S u {-1E} are M-consistent. Deducethat if ME pAis countable, a n d n o n s t a n c l a ra dn , d h a sa t l e a s t o n e f u l l s a t i s f a c t i ocn l a s st,h e nl , f r * i [ , o i r h . . . Inem. 15.B*(M'logic) De!1e f FuQ for {cp}uls',ga(M) asfor f FFA(p exceptadd the followingnew rule of inference (called the M_ru.t'e): if f tp,E@lterm(a))for a l l a e M d e d u c e t h a t f F y V . r E ( , r ) . (a) Show that tp,E(clterrn(r?)) for any standard J4a-formula g(;r), anclany ae M s u c ht h a t t u l r q @ ) . (b) BV re-examining the proof of Theorem 15.6 show thert,if M is recursivelv saturated then for all cper,go(M) Th(n4 , a)n,wtF ycp n6cpF and henceM-logic is consistent. (c) (smith 1987) Modify the proof of rheorem 15.5 to prove tl.rat,if &1 is nonstandarcf and not recursively saturatecl, then tVI-logic is incopsistent (i.e. F 1 1 0 : l ) . Hence, for MF PA, ful is recursively saturate d ift lul is nonstandard and M-logic is consistent.

15.2 RESPLENDENCY We now turn to the more 'classical' aspects of the theory of recursively saturated models. lvlanyof the results herecan be expressecl anclproved without reference to PA or to satisfaction classes and, sincethey have numerous applications in otherparts of moclel theorytoo, the presentation hereis asself-containecl aspossible. Thus,in the *iin, the only prerequisites for thissection arethe basic moclel-theoretic and recursion-theoretic batckgrotrnd in Chapter 0, the definitions and remarks at the beeinninc of

'248

Recursiue satttration

Section I1.2,andProposition 11.4. There are,however, three results in this section general that are of interest but requirea little more arithmetic.
T h e sea re : th e th e o re mon chr onicr esplenclency ( Theor em15.8) ;I( leene's t h e o re m (T h e o re m l 5 .l l) ( both of which r eqr .r ir e som e ideas about fro m Section15.1) ;and the classification s a ti sfa cti o cl n a sse s theor em for countablerecursivelysaturatecl models of rich theories(Theorem 15.22) w h i ch re cl u i re s so me o f the r esults on Scott setsfr om Section13.1.T hi s a, re a d erwhosem ain inter est n o tw i th sta n d i n g is in these' classical' aspec ts o f re cu rsi ve sa tu ra ti o ni s r ecomr nended to star t her e and follow up the o th e r d e ta i l sa s a n d w h en necessar y. As inclicated in the title, the key notion here is that of resplendency, which we now define. Let I be a first-orderlanguage.A Zl formula ouer I is a Derrrurrrorv. where Xr,...,X,,are t h e f o r ma X r , . . . , X , , e ( X t , . . . , X u , x ) formula of X,,,x) is a formula of the new relationor function symbolsancJ E(X 1 X,,) has no free firstX,,}. If g(Xr expandedlanguage:gU{Xt A.n v a r i a b l ex s, t h e n A X r , . . . , X , , g ( X t i . . . , X , , ) i s a 2 l s e n t e n c e orcler : @ the )l sentence 9-structure M satisfies

4X,,. ,X,cp(X1,...,X,)
(M,X, iff thereis an expansion that X,,)of M to 9u{X, {,} such

( M ,X , ,

,X,,)Ee(Xr,...,X,).

iff it has a nrodel, i. e. , er 9-theory then 7 -FO is consistent If Z is a first-ord i f th e Iu {X , iff for all tuples aeM of Dpn'rurrrox.An 9-structure M rs resplendent Ur(d) in S U {a} finite length and for all Il sentences i f Th( M ,a) +W ( a) is consistent th en ( lW , d) F\V( d) . Thus resplendentmoclelssatisfy as many .Ii formulas as possible.The models follows fr om the follow i ng o f co u n ta b l er esplendent e xi ste n ce Ressayr e. t h e o re md u e to B a rw i seand Schlipf,and ( independently) model for satur ated r ecur sively 1 5 .7 . S u p p o se M is a countable T n E o R e i vr language St, ae NI rs a tuple of elementsof finite lengthfrom M, a recusive g 'i s extension'of r ' S U { r i} ,and Iis a r ecur s i v el y t he l a n g u a g e a re c ur sive
'" in a recursivc iormulas 11.9. I n t h i ss e c t i o na , s i n t h e l a s t ,w e s h a l li d e n t i f y S e eE x c r c i s e l a n g u a gw e i t h t h e i rG o d e l - n u m b e r s .

Resplenclency Z4g \ a x i d i r ra ti ze d 9 '-th e o ry. T h e n, ir Th( M,d) + r is consistent, ther e is an expansion of ([VI,a) to 9' satisfying Z.

Proof. Let 9(M), Y'(M) clenote the langua ges 5f, S' expandecl by adcling constant symbols for each beM. (As usual we clenote the constant syrnbol representing b by b itself.)We shallconstruct a complete Y'(1rI)theory l extending Z suchthat (1) If T'lo where o is an 9(M)-sentence, then fulFo (whereM is considered as an 9(M)-structure in the obvious way), ancl (2) it T'laxQ(x), where r/(x)is an9'(M) formula with onlyx free,then T'ftp(b) for someb e M. A simpleinduction on 9'(M)-formulas (similar to that in the proof of Theorem13.4)then shows that the expansion of M to g'(M) clefined by

and

MFb-c(JT'lb:c or every new relation symbolR, function symbol F, and constantsymbol c of 9', and every 6 e M , has the property that

M F o T ' l o

(,,)

for every sentenceo of 9'(M). It follows that this expansionsatisfies7. (Notice that ('r')holds tor 9(M) sentences of o by (1) and the completeness f'. (*) holdsfor atomic 9'(M) sentences by clefinition. The induction step ( "' ) for w h e n o i s o , A o " , o rVoz.or lo, is easy,usingthe completeness of ? "' .T h e i n d u cti o nste pw h e n cr is1xo,( r ) is the impor tantone: in this case T ' l a x o 1 ( x ) i f f T ' l o t ( b ) f o r s o m eb e M ( b V ( Z ) ) i t t M F o ' ( b ) f o r s o m e b e M (by ('') for o,) itf M F3xo,(x).) T ' w i l l b e co n stru cte d a s T * { r ,ll e N} wher ethe z, ar e9' ( M ) - sentences, the f,,s being constructed inductively. Our inductive hypottresis on
T 0 r T l r . , . , T , , - 1i S t h a t

( 3 ) Wh e n e ve r I* {tu ,r, then M Eo.

r ,,- r ) lcr wher e o is an 9( lul) - setlter tce,

W h en n :0 , (3 ) i s sa ti sfi ecl sinceif Tl- o we may assur - ne automatically, ( As thesear e the t h a t t h e o n l y co n sta n ts fro m M tn o ar e in the tuple 17. by nelv only such contantsin T, all other such constantscan be replacec'l

250

Recursiue saturation

But then, if l uantifier.) o u t ' w i t h a t t n i v e r s aq and'cluantified variables our ztssr "tmpti on. contr adictir tg M f o , T +T h (M, c) w o u l d be inconsistent, No w e n u me ra te a l l 9 '( M ) - for m ulas with only one fr ee- var iablc ,as . . . ( i N) . ( ' fhis is wher ewe use the assttm pti on . . ., cp i @), c p o @), cp r(x), (3). z1y, . . . ,r ,,- 1havebeenfound anclsatisfy S u p pose t h a tM i s co u n ta b l e .) We shall let t,, be either Vx1E,,(x) or cp,(b) for some beM. Recursive can be w i l l b e u se d to show that at leastone of these choices s a tu ra ti o n ( 3) . To clar ify our notation,Iet &lsosatisfies m ad eso th a t T r, . . ,T ,,- 1,2,, in ?"* To* ' ' *ru-t, r o m M t h a ta p p e a r , e n o t et h e c o n s t a n tfs c t , . . , c 7d We shall from M that apear rn (pn. and let d denote any further constants that w r i te ri a s ri (e ) a n d g u a s e,,( x,e, d) to keep thisin m ind. Now suppose n o ch o i ceo f r,, a s V xkp ,,( x,e, d) or g^( b,e,ll) canbe m ade to satisfy( 3 ) . Then there are S(M)-sentences o(e, d), n,(e, d) (for 1 < l < /c), and , d, b) (for eachb e tVlr,{e}) such that en(e

T + q , ( e+ ) . . . t r u - , ( c ) + V x - 1 c p , ,d (x ,o e ( e, d ) )l e ,) T + r r ( e ) +. . . * r , , - , ( c ) + eu(c, , ,d ) | r y , Gd . . . * ru-,(e) ;1, b) + Q,,(b, e,a)Fer,(e, T + x[(e)+

(4)

b u t M t o ( e , l l 1 , t t t t q , G , d ) , a n d M t l , , ( e , c l , b )f o r a l l 1 < l < k a n d a l l b , i l d o n o t a p p e airn 7 * 7 . * ' " * r u - 1 , f r o m ( 4 ) w e beM \{i}. Since have e,!)) Axcp,,@, + . . . * r,,.r(c)FVt(_lo(e,t) --> T + q,(e) and e, t) A l ( \ , 1 r t i G , y ) - > A , x 1 c ) . l-Vx, y(cp,(x, T + r 1 , @ ) + .*. .r,,-r(c) Thusif 0(x,e, !) is an I u {c} formulaand e, t) A A,x -#ci- 0(x,e, ,)) FVx,y(rp,,(x, T + q 1 @ ) + ' t ru-,(e) ttren

" f+ro(c)+

0(x, e' y)). rt, (c)FVl3x(-1 o(e,t)n n i_t * r u-1 G, y) --->

side (3), the formulaon the right-hand hypothesis So, by our incluction Thus putting!:d we hereis true in M (sincl^itis an 9U{el-tormula). obtain M F l x ? ( x ,e, d ) .

Resplendency

251

Thisshows that thesetp(x) consisting of allI U {e, il} formulas of the form
0 ( x ,c , t ) i " r . - . i r 7 ( x , c , t ) ) srrch t h a t t h e r ei s a p r o o f f r o r n Z + r r * ' '*r,,_,(C)of thesentence

Y x, y(E ,,(x, e, t) A zA,( x* ci)- , 0( x, e, y) ) i n < r n ste p si s fi n i te l ysa ti sfied in M, i.e., is a type. It is also r ecur sive, s i n c eT +rr(e ) + . . . *rn -,(c) is a r ecur sive 9' u { e} , theor y in the language h e n c e b y re cu rsi vesa tu ra ti on, p( x) is r ealizedby som e be M , which is c l e a r l yn o t e q u a l to a n y o f th e c;. But then by ( 4) T -Frr(e)+ . . . t r n_ (e) lV !(E u(x, e, y) -, eoG,t, x)) , ,x)A...:AEo(e,d,x) is in p(x) for somesuitable s o ( , , ( cd n u m b e ro f ( 1,. c o n j u ncts. Thus T h u s MF E t,(e contr adicting asusmption on our ,A ,b ), q,, can be found satisfying (3). I t i s o b vi o u s th a t, o n ce all the r ,,s have been constr ucted,T' :Tl- ) {r,li e N} is completeand hasboth properties(1) and (2). Thus the proof is finished. I Reunnrs. Theorem 15.7showsthat countablerecursively strr.rcsaturated tures are resplendent. It seemsto show rather more, sinceinfinitely many new relationsand functionsrnaybe added,provided that the new language is a recursiveextensionof the old language.In fact we will see soon that this apparently strong notion of resplendencyin the conclusions to Theorem 15.7 is, for finite languages 9atleast, actuallyequivalentto the types original notion. The readershouldalsonote the reasonwhy recursiue appearin the proof of Theorem 15.7:it is because of the recursivenature of the notion of proof in a recursively axiomatizedtheory. (This idea has already been exploitecl elsewhere in this book, in particular in Corollary 3 . 1 0 a n d T h e o re m 1 3 .3 .) Theorem 15.7 is not true in general for uncountable models M. For exarnple, let M: lJ;..o,,M, be the recursively saturatedro,-likemodel of PA is an end-extension, constructecl in Exercise15.7, where eachful,c.lVIia, fult: U ,.tM,, for limit ordinals tr4atr, and each IVI, is countale ancl sincefor examplethe Il recursively saturated. Then M is not resplendent, 'f sentence 3f is an embeddingof &1onto a proper initial segmentof lVf is c o n s i ste n tw i th T h (M), b y Fr iedman' s theor em and the downwar d L o w e n h e i m-S ko l e m th e o re m ,yet is not tr ue in M sinceM ts to' - like. m oclelpower ful.Ther e ar e many inter esting T h e o re m1 5 .7i s e xtre me l y by recllrsive set of sentencesin theoretic properties that are expressecl languages 9' extendingthe languageI of the given model. (The reaclet

\ )

25'2

Rec ttrsi ue satttr atio n

mi g h t l i ke to co n si d e r'ther e exists a par tialinductive satisfaction class' anc l ' t l te re e xi sts p ro p e r a elementar ysubnr odelisomophicto the or igi nal mo cl e l 'a s e xa mp l e s. Mor e exam pleswill be consicler ecl soon.) In fac t, L rsi n th g e i cl e ao f sa ti sfaction classes fr om Section15.1,' l' heor em 15.7can be made strongerstill. We say an 9-structure M is chronicallyresplendent iff for all a e M and all )l sentences arg(X, a) over rhe langu ageg u {a} that is consistent with Th(M, a), there is an expansion(M, X) of M such that (M, X)f cp(*,a) and (M , X) is resplendent. The nexr theorem shows that all countablerecursivelysaturated9-structures are chronicallv resp le n d e n t. TneoRpvt 15.8. Let M be a countablerecursively saturatedstructurefor g , t h e re cu rsi ve l a n g u a g e aeM ,9' ar ecusive extension of 9U { a} , and l et T be a re cu rsi ve l y a xi o matized with Th( M,r i) . Then 9' - theor y consistent there is an expansionof (NI, a) to 9' satisfying Z that is recursively saturated(and hencealso resplendent) as an J4'-structure. < , , S } , w h e r eS i s a Proof.Let S" be the language 9'u{*,.,O,I,c, binary relation symbol and c is a new constantsymbol, and considerthe S"-theory Z'Fconsisting of axiomsfrom Ttogether with axiomsexpressing: ( u ) ( 1 4 , + , . , 0 , 1 , < ) i s a m o d e lo f . PA; . . . (b) .>1 +1-F + I ( n 1 s )f o r e a c h neN; (.) S is a full satisfaction class for M, for the language y' lJ

{ + , . , 01 , ,< } .
(SeeExercise15.2for hints on how to express (c). Note alsothat if 5t'has finitely many non-logicalsymbols,(c) is a single9"-sentence. Otherwise (c) will be a recursive axiom schemeof sentences such as V q , b , l l q : R ( u , , , . . . , , y , k ) * ( S ( p ,b ) e R ( [ b ] , " , ., . . , [ b ] , * ) ) ]

, ) . ' S ( l l ,b ) n S ( 0 b , ))l V e , r ! , 0 , b , r l E : ( ? n 0 ) - ( S ( Eb *i,s s's f o ra l ls y m b o R l s, A , . . . o f 9 ' u { * , . , 0 , I , c , 1 } . ) B Vc o m p a c t n eZ

consistent with Th(M, rI): this is proved as follows. M has an expansion MrFT, the domainof M, is countable,so can be identifiedwith N via some in Mrin theobvious b i j e c t i o na , n d h e n c e* , . , 0 , L , ( c a n b e i n t e r p r e t e d N. This interpreand way given the identificationof the donrainsof M7 PA, andwe may expandthe model further by adding tation clearlysatisfies satisfaction standard S q l v l ? r t o( M 7 , * , . , 0 , 1 , < ) , w h e r eS i s t h e o b v i o u s class

1 ,< ) r E ( b r , . . , b , , ) \ . ,S:{(g, , ,',0, l b u., . . , b , , ) ) l ( M-rF

n, we seethat any finite set Interpretingc in Mrby arbitrarilylargeintegers of axioms from T'1' can be macle to be true in this expansion,thus Th(M, a) + T* is consistent.

Resplenclency

253

T h u s b y T h e o re m1 5 .7th e reis an expansion T' r , ar ncl ful\ of &1satisfying b y Ex erci se1 5 .2 (th e a n a l o gue of Lachlan' stheor em,Theor em 15.5,for .3") the reduct of M\.to 9' is recursivelysaturated. n W e sh a l l n o w sh o w h o w to constr uctr esplendent m odelsof ar bitr ar y moclel c a r c l i n a l i ti e s. We fi rst n e e d a well- known r esult fr om ' classical' t h e o r y w h i ch h a sa p a rti cu l a r ly easypr oof usingTheor em 15.7. joint consistency C o n o u a n y 1 5 .9 (R o b i rrso n' s test) . Let St be a fir storder language,let 91 and 92 be first-order languages extencling I such t h a t9 1 f i 9 2 : 9 , i . e . , t h e o n l y s y m b o l s i n b o t h 9 , a n d9 2 a r e t h o s eo f 9 . Let T be a complete S-theory, and let S,,S, be !t; and 9.r-theories (respectively) extendingT. Then S, U S, is consistent iff both S, anclSr are c o n s i ste n t. Pr o o f. We fi rstu seco mp a ctness whenSt,9,,92have to r educeto the case only finitely many nonlogical symbols. SupposeS' U Sr is inconsistent. T h e n th e re a re fi n i te su b setsRr GSr and R2cS" such that Rr U R2 is inconsistent.Let 9\ be the first-order languageformed from the nonlogical symbolsin R1,9!, that formed from R2, and 9' that formed from t h o s es y m b o l s i n b o t h 9 i a n d9 2 . L e t T ' : { o e g ' l T F o } , S i : T ' U R 1a n c l S ' z : T ' U R 1 .T h e n T ' i s a co mplete 5t' - theor y. W e m ustshowthat either.9i i s i n c on si ste no t r S j i s. 7 ' i s co n si ste n t, Su pp o se a nd ( by Pr oposition 11.4and Theor eml5 .7) let IVlf-T' be a countableresplendent model of.T'. Then T' :Th(M ), sinceZ' i s c o mp l e te ,so b y th e d e fi nitionof r esplendency, if both Si and Si ar e consistent then M ( M , R,, F,, Cr)FSi and has expansions (M, Rr, Fr, e)FSi. But sincethe languages are disjoint except 9'7 and 582 g' for the common sublanguage of IVI,

( M ,R , , R r , i Sl, F , , F r ,e , , C r ) F SU a contradiction. soSi USj is consistent,

TuEoneu 15.10. Let NI be an 9-structure, where I is a first-orcler extension o f ca rd i n a l i ty<ca rcl( M ) . Then ther e is an elementar y language N > IVIwith card(N) : card(&/) and l/ is resplepdent. NIi, where each M, is an Proof. We constructN as the reduct to I of U ;6x1 of 9;, 9i-structure, lvlubeing&1itself, 9u: 5t, each9,*, beingan expansion a n d M ,1 fu L ,*rl 9 , fo r e a ch l. To constr uctM 1*y fr om M ; we asstlnle over I inductivelythat card(Nl):carcl(lvl) and enumerateall -Il formr-tlas on w i t h p a ra me te rs ri fro m M,a s { O;( d) 17< car d( &I) }( eV the assumptiou (!t) < card(M) there afe at most carcl(M) suchfortnulas.)&1, carcl ,.' will be for the trnion of a chain {N|,,)j<card(M)} where IVI,.,isa strttctttt'e sorne

254

Recursiue saturation

languag9 e ; . 1 = 9 19 , , .j * , ) S i . j , a n c M j<card(M), l , . , < M , .j * , I g , . i f o r e a c h 9 i .t: l J1 .,tS ti .1 a n M,1 /t<car cl( M ) . lVe r ,v i l l d : Ul.r lvl,.,for lim it or clinals e nsu reth a t e a ch l V l ;.i h as car clinality car d( lvl) ,so M,*, will also have thi s c al d i n a l i t.y. M ,.,, i s ta l <e n e q r-ra l M ,, andg,.o: 9i. Given M f. ilet" to 1 denotethe new r e l a ti o na n d fu n cti o nsym bolsin g,.,but not in 9, and consider the ith ti f orml rl a,D i @):JX rp (X , a) in our enLr m er ation. W ithoutlossof general i ty we mayassume X,Y aredisjoint. I f O r ( r 7 i)s c o n s i s t e n w t i t h t h e t h e o r yo f

M , lS u { a }
( w h i ch i sT h (M,., | 9 u {r i} ) ,sinceaeM, and M ,1M ,, f 9,) then
E(X, a) +Th(M i.j, c),eNti.t

i s co n si ste n t b y R o b i n son' sjoint consistency test. In this case we s et 9,.i*,:9i.iu {,t} and M,.j *ft cp( X, a) + Th( M i.j, c) ,eM i.i of cardinalitycard(M), by the completeness theorem,and as usualwe may assume Mi.i1M,.j*, | 9,.i.Otherwise w e s e t 9 , .j * , : 9 i . j a n d f u l , . , o t : Mi.i. 'It i s n o " vo n l y n e ce ssarto y checkthat l/, the r eductof U iM i: U ,.,M, ,to g , i s re sp fe n cl e n t. B u t ff aXE( X,a) is a .xl for m ula consistentwi th T h ( l / , a ) . t h e n a e N I , f o r s o m ei , S X c p ( X a , ) : A , ( a ) s o m e7 , a n d , s i n c e g < Mi I h t,

Th(N,a):Th(M,, a) | 9u {a}.
( p( X,r i) , and s o T he re fo reM,.i t, h a s re l ationsand functionsX satisfying U,.iM,.if extension of M,.,*,for E ( X , c i ) s i n c et h i s u n i o n i s a n e l e m e n t a r y the language I U {X } b y the lem m aon elementar y chains. n

T h e n e xt re su l tu se sthe ideaof a satisfaction class fr om Section15. 1to i n cre a se o u r sto cko f )l for m ulasconsider ably.

T ue o n e v 1 5 .1 1 (K l e e ne 1952) . Let I be a fir st- or derlanguagew i th f i n i te l y ma n y re l a ti o ns, functions and constant symbols, and l et { 0 ,(t) l i e N } b e a re cu r siveset of 9- for m ulas involving finitely m any f r e e -va ri a b l e si . T h e n ther e is aXl for mula O( i) overI suchthat, in a ny i n fi n i te9 -stru ctu reM,

Mtvi(@(r) * 4,1.0,(t))

Resplenclency

255

Proof. we first recluce to the czrse when I only contains finitely many relation syrnbols. To get riciof the constants c in L, replace them by new variables y obtaining zil'ecursive set{0iG,y) | i e N} of formulas. Then,if we can find O(t,i) ecluivalent to lNi=r?'i(i,t), @(t,C) is equivalenr ro 4,i,,0,(r).To get rid of the function symbols eachn-ary i in S, replace function s y m b o/l b y a n ( n + l ) - u r y r e l a t i o n s y m b oR l t(r,j...,x,r,x,,+t) representin g . h e n ,f o r e a c hf o r m u l a 0,(i), replace f ( x , 1. . . , x , , ) : x , , + t ' T a n ya t o m i c s u b f o r m uR l a( . . . , f ( t , r,,),..) by ay(R,(t, g, tt, . . . , t,, are whereR is any relation symbol, / is a functionsymbolof. 9-terms, and y is a new variablenot occurring elsewhere in 0i. By repeating this operation, all functionsymbols of I are eliminated in f favour of the new relationsymbolsand, moreover, this operationis recursive, so the set of formulzis in this way is a {?i@)lteN} obtained recursive setof formulas in the newlanguage. If O(x) isll andequivalent to /\ 7r0',(i) in thisnewlanguage, then
f R t . , ,. . . , R l ; , [ A l = , V y , ,. 'f (y ' . r.r, l * i , l * i * t ) , ! t , 1 , 1 , , , * r ( R r 1 .( ! t t) : ! xy* ) n @( t) l

i s a I f f o r m u l a o v e rI e q u i v a l e ntto A \ 2 u 0 , ( i ) , w h e r ef , , . . . , f , , a r e t h e function symbolsof 9,/ having arity lc,. Now supposethat I containsas its non-logicalsymbolsonly relation s y m b o l sR , , . . , R , , , w h e r e e a c h R , i s a n l ; a r y r e l a t i o n s y m b o l , a n d I.l for for m ulasof 9. Since s u p p o se th a t w e h a veso meGodel- number ing se t o f for mulasof I,by Cor ollar y3.7 ther e is a { O , l i e N i i s a re cu rsi ve formula r(u) of 9-othatrepresents . . . vo)lli e N}. Now considerthe {r0,(u,,, ( , 0 , .If formula f +,., 1 , M , S , f , g r ! ( x u , . . . , x * ) ,w h e r e+ , . , f a r e b i n ary function symbols, g is a ternary function symbol , I , S are binary r e l a t i onsymb o l s, M rsa u n a r y r elationsymbol,0, l ar e constant symbols, and tp@) is the following formula: M ( 0 ) A M(I)A vx, y(M(x) A M ( y) "n M( x + y) AM( x ' y) ) A ' ( M , - F , . , ( , 0 , 1 ) s a t i s f i eP sA-'

A M(u)A u # u --> AY u, u, z, w(M(u)

f ( g ( * , 2 , u ) , u ) : z / \ f ( g ( w ,z , u ) , u ) : f ( w , u ) ) A'S is a satisfaction classfor 9' AY u(M(tt)A'(tuI , -F, ., (, 0, 1)Fr(u)'---> S ( r ,g ( . . . S ( g ( g ( 0 , r , 0,) , ,0 ) ,x t , l ) , x . , 2 ) ,. . . ) ,x 1 ,l,c ) ) ) .

256

l?ecursiue saturatiotx

rp(X)saysthat M (when considered as a subset of the model in hancl)forms ( , 0 , a n r o d eo l f PA- with 1-,., l ( w ,z , y ) b e h a v e 1 , a n d t h a tf ( r , y ) a n c g l ike Iu ], a n d w [zl yl re spectively ( seeSection9.1) over the m odel in ha nd, provided y e M. 'S is a full satisfactionclassfor -{t' ts taken to be an abbreviation for a)e M(u) Vu,a(S(u, A [3 i , j e M(u : (vi : v') Af( a, i) : f( o, j) ) AR,( f( a, i,) , V \!/;: ra i ,, . . ., i ,,eMQt:R;( vi,, . . ., u,,,) c)) \/ au, e M (u :-1 LtrA_lS(r.r,, , )) V f a ' , u 2 eM ( u : ( a r A u ) A S ( u , ,a ) A S ( u 2 a , u r e M ( t t : ( u , V u r )A ( S ( r , , a ) V S ( u r ,a ) ) ) ! 3a1 ' ( a ,b , i ) ) ) , rg Y l J u r ,i e M Q t : a v 1 L t 1 A 3 b S ( r t , B ( a ,b , , ) ) ) ] ) Yau,, i e M(u:Yv,Lt,AVbS(a wh e re , fo r e xa mp l e 'u: ( vi- vr ) ' is an 9a- for mula ir r ter pr eted i n ( M , + , . , ( , 0 , 1 ) t h a t r e p r e s e n tts he set {(*,y, z)lx: t ( r , : v , ) r }g N '

. f (o,i,,)))

i n P A -, a cco rd i n gto the definition in Section 3.2, and all the ot her are treatedsimilarly.The final conjunct of r/(x) states operations syntactic 'S . . . ,xr ) is tr ue' , t ha t th i n ks e a chO,(xr, g(' ' ' S(g(0r , r , ,0 ) , x r , 7 ) , . . . ) , x k ,k ) er , x t ). . . i - r 1& i l d ' 2 ' , ' 3 ' ,. . , ' l ( ' cto d ef o r t h e s e q u e n c x aconvenien being a s u s u a l ,f o r t h e a p p r o p r i a t e ds ( . . . ( 1 + 1 ) + . . . + 1 ) a r e i n t e r p r e t ea nu mb e ro f 1 s. We mu st sh o w th a t this.Xl for mula is equivalentto /X\i=r ?,( i) in al l infinite 9-structures.For one direction, if we have an 9-structure l/ with it is easyto check satisfyinglt)G),then (by representability) an expansion . ,. . ,l ,Q N, t h a t, fo r a l l y1 1

0, ) , ! , , 1 ) ,. . . ) ,! , , r ) ) .. VaS(O(v s.,, v , ) , g ( ' ' ' G G @ , y , ,

i f a n c lo n l y i f N F 9 ( y , , ,. . . , ! , ) . T h e n b y t h e l a s t t r o l d si n t h i s e x p a n s i o n if 1/ is an o f q (i ) w e h a veNF0i( "u, . .. , x,t)for all i e N. Conver sely, cl a n se su bs et //\,= u0,( i) ,let M gl/ be a countable i nfi n i te9 -stru ctu resa ti sfying (These N' of N, ancliclentifyM with N. Thus M inherits9a-structurefrom of l / i n to the r ,vhole fu n cti o n s*... a n d re l ation< on M canbe extencled

Resplenclency

25i

a n y w ay yo u l i ke ). L e t h : N " ' >N be any bijection fr om the set N' "' of s e q l r e ncefro s m l / o f fi n i tel e n gthonto the setN, anclclefine f( a, i) : the ith r(n ), t e r r n o f th e se cl u e n ce hfor eachce N ancli e N, anclclefine g ( a ,b , i ) : h ( c r ,c , ,
, C i - r , b , C i * l, , C,,)

w h e r e c 0 , c t , . . . , c i , . . . , c , , i s t h e s e q n e n ch e- t ( n ) . ( T h i s s e q u e n c ie s p a d d e do u t w i th ze ro sa s i n Section9.1 if i> n.) f,g can be extendedto functions o n N i n a n y w a y w h atsoeverFinally, . let S be the r elationon N2 g i v e nb y ( u , n ) e ^ S ( t ' L t :O ( v u , . . , v , . )f o r some -Z-formula

a n dN l 9 ( f ( a , 0 ) ,

, f(o, r))'.

It is thenobvious that this expansion of l/ satisfies rp(i).

Our first applicationof l(leene's theorem is the promisedconverseto P r o p o s i ti o n 1 5 .4 . C o r r o r rn n v 1 5 .1 2 . L e t MF P A be r esplendent. Then M has a par tial inductive nonstandardsatisfaction class.In particular, if M is countable then M is recursively saturatediff sucha satisfaction classexists for M. Proof. 'There existsa partial inductivesatisftrction class'is expressed by 3,S,c{ uA,, G} n AV E, a(S(8, a) * form (d A cp < ct eNr

n /Ai=,7,(q, a))A A,r,.r.,l,rpj.

Bo t h o f th e i n fi n i te co n j u n ctionsar e r ecur sive,so lr y Theor em 15.11 equivalent to .X l fo rmu l a s,h e ncethis whole for m ula is ) 1. It is consistent w i t h r h (M) b y P ro p o si ti o n 1 5.1,henceis satisfied by M ,by the definition o f r e s p l e n d e n cy. The 'in particular...' part now follows from Theorem 15.7 ancl Pr o p o s i ti o n 1 5 .4 . n C o r ol l a ry 1 5 .1 2a n d P ro p o s ition15.4show that any r esplenclent m odel o f P A i s re cu rsi ve l y sa tu ra te d. This is tr ue in sener al.

Conollnnv 15.13. Let M be a resplendent whereI contains 9-structure, at mostfinitely manyrelation, function Then M is and constant symbols. recursively saturated. Proof. If M is finitethis is trivial. I f & 1i s i n f i n i t ea , e M , a n dp ( f ) : { 0 i ( * , a ) l i e N } i s a r e c u r s i vte y p eo v e r ful then, sinceI has finitely many nonlogical symbols,by l(leene's

258 theorem

Recursiue saturatton

filA,lo oi( r , a)

( '.)

i s )f o ve t M, a n d si n cep( x) is finitely satisfied, ( "' ) is consistent w i th Th (M, a ), h e n cei s tru e r n M, i.e., p( t) is r ealized in M . n N o te th a t co u n ta b i l i ty of M is not r equir ecl for Cor ollar y 15.13,unl i k e Th e o re mi 5 .7 . We concludethis chapterby applyingtheseresultsto some propertiesof c o u n ta b l ere cu rsi ve l y s atur atedm odels and of r esplendent m odels . In particularwe shallprove a classification theoremfor the countablerecursively saturated modelsof a wide classof theories,including P1. DEprNrrroN. Let M be an 9-structure. Recall that tp r,(a ): { 0( i) lM F0( d) , 0 an 9- for m ula} for any tuple ae lul of finite length. We define M}. a n d a , ,. . . 7 a , , e S ( M ) : { t p m ( o ,. , . ., a,,)lrzeN

whereI is LeH,tua 15 .14. Let M ,l/ be recursively 9-structures, saturatecl language. a recursive SupposeTh(M):Th(N)andS(M):S(N). Then if aeM,6eN are tuples of the samefinitelength,with tpr(,?): tpr(6) and t, h e nt h e r ee x i s t s t h a tt p r , ( a , c ) : t p N ( 6 , t t ) . ceM isarbitrary dell such t p N ( e , f ) : t p * ( n , r ) , u s i n gS ( M ) : S ( N ) . d i s P r o o.f L e t e , f e N s a t i s f y to satisfy the recursive type chosen p(x) : {0(e, 0(6,x)10 an 9-formula}. f) --> and is a type sincetpN(,f):tpr,(a,c) and This is clearlyrecursive, c) so ME tp,u@):tpr(6), so if NF /Ki': t0,(",f) then ME /A'i=,0,(a, n hence NF fxAVi=,O,(b 3.r/Aj'= , x). ,O,(a,x); strucsaturated recursively Conorlanv 15.15.Let M,N be countable, language 9. Then M=l''l iff Th(M):Th(N) and turesfor a recursive

s ( M ) :s ( N ) .
a s s u m i nT gh ( M ) : ul:{a,lieN}, l/:{b,lle N}, ancl, e P r o o f .E n u m e r a t f _-'l/ by 'backh: M an isomorphism Th(A/)and S(&1):S(l/), construct

Resplendency

259

and-forth', u s i n g L e m m a 1 5 . 1 4 .T h a t i s , d e f i n eh : u , r - - > . 1 s , e fo arc h i e N w h e r e u1 1 ,1 t1 ,. l u l a n d u r, ut, . M ar e constr ucted so that

t p r , ( u r ,u t , . . , u , , ) : t p n ( u 1 t 1t,, , . . . , u , , )
( ,'')

f o r e a c hn N . l f n : 2 k , w e s e t u u : a k a n c lf i n d L t , , e N " , )u s i n g s a t i s f y i n( g t h e l e m m a .l f n : 2 l c l 1 i s o d d w e s e t u , , : b k a n d f i n d u , , e M s a t i s f y i n ( g' t ) b y t h e le mmaa g a i n .T h i s w a y h will be an isom or phism. T h e co n ve rseM , = N )T h (M) : Th( N) & s( M ) : s( //) is tr ivial. ! DeprNrrroru. Let M be an 9-structure. M is a-homogeneousiff for all t u p l e sa , 6 e M o f f i n i t el e n g t hs u c ht h a t t p M @ ) : t p u ( b ) a n d f o r a l l c e M there is d e M such that tpr(c\, c) : tpu(6 , ,l). M is homogeneous (some authors use. strongly arhomogeneous)iff for all a,6 e M of finite length, h of M sendingthe Q p r @) :tp ry(6 ) i mp l i e sth a t thele is an automor phism t u p l ea t o 6 .

obviously homogeneous implies rr-r-homogeneous, and (by a back-andforth argument) it M is countableand co-homogeneous then it is homog e n e o u s. L e mma 1 5 .1 4 th e n i m plies

Conou,anv 15.16. Any recursivelysaturated model M for a recursive language I is arhomogeneous. rf I has finitely many non-logicalsymbols and M is resplendent, then M is homogeneous.

Proof. For the second part, if 9is finite,note that 'there existsan automorphism ft sending a to 6' is .Xl,andif tpMG): tpu(b) thissentence is consistent with Th(M , A, 6) by the existence of countable recursively (andhence saturated homogeneous) rnodels of Th(M, d, b). tr Next, we shallshowthat resplendent models havenon-trivialautomorphisms. The mainlemma needed of thisstatement to showthe consistency is N>M Levun 15.17. Let M be an infinite 9-structure. Then thereexists anda, b e N suchthat a * b and tp" (o): tpr(b).

260

Recursiue satttration + a-* b Th(NI , c),,u + {q(a)* (p(b)lrp(r)arr 9-forwrula}

Proof. We mustshowthat

of M U { a, b} 9U 14 tJ{ a, b} , wher e elem ents i s co n si ste nitn th e l a n g uage since given compactness, This follows by are regardedas new constants. )f s : 0 o r l E ( x ) i t t : 1 , t h e r ea r e dr i t i n g( - l ) ' q ( r ) f o r c p ( x i e r , . . . , c p , , a nw at most 2" subsets A. . A ( - t ) q ' q , , ( x ) } S , , .. , , , : { x e M l l r a F ( - l ) ' , E 1 ( x ) . w h e re e ;e{0 , 1 } fo r e a ch i. As M is infinite,one suchsubsetis infinite, S O t h e re a re a *b i n th i s set, which clear ly satisfy q,( a) *A,( b) for i ! r...,,n. Conollanv 15.18. Let M be an infinite9-structure, where or ancl9is a recursivelanguage, saturated (a) M is countable,recursively and I is finite. (b) M is resplendent Then for all et, . . . a,,eM of finite lengthn, there is an automorphism/r of M sendingsome b to some c*b, but fixing eacha,. Proof. Consider the type p(x, y) : {x * y) v { E @ ,a ) n E ( y , a ) l c pa n 9 - f o r m u l a } . This is clearly recursiveand is a type over M, b y L e m m a 1 5 . 1 7 ,s o i s of M t p M ( ab , ) : t p p ( a ,c), by homogeneity realizedby someb, c e M . S i n c e LJ d, b to d, c. there is an automorphismft sending It actuallyfollows from Corollary 15.18that if M is a countablerecursi" This is proved 9-structure, then M has2N"automorphisms. vely saturated 1s ( wher e a,, 0s and o of g o ,6 o eM f.orall finite sequences b y co n stru cti n d and b" are all triples) such that wheneverz: N->{0, 1}, then the function d e fi n e d b y d ,,ti *6 o ri for each ie N is an autom or phism.To do t hi s , suppose
a = ( a a , . . . , d o l i , .. . , d o )

ancf

6:(6r,. . .,6ot,,. .,6o)

is ) n dM : r u , c t , - . ' , c ; , sd o t h a tt p M @ ) : t P t t ( ba constructe been have Set s : r: c,,,whererz is the lengthof o, and, fixedenumeration. Some twice, find r' , s' e M such that tp!,(n,r, s') : using co-homogeneity d, r, s' to b, r', s, and, of M sending r', s). Lerh be an automorphism ryM(6, k of M fixing let u*ueM andan automorphism 15.18, usingCorollary
u t o u . W e t h e n p u t Q o 6 : a , t t : ( t ' , s ' , u ) ,b u r , : a,b,r,s,r',s'and sencling

Resplendency ( r ' , s , h ( r ) ) a n d b , , 1 : ( t ' , s , h ( k ( u ) ) ) .I t i s t h e n e a s yt o c h e c kt h a t tpr,(a , a n o ):tpr ( 6 , 6,n) : tpM ( 6, 6,,t) ,

261

a n c lt h a t t h e m a p d , t i e 6 , r , Q e N ) i s a n a u t o m o r p h i s m o f f u lf o r a n y g i v e n z : N - > { 0 , l } . Y e t s i n c eu : l c ( u ) * u , h ( l c ( t ) ) + h ( u ) , s o t w o c l i f f e r e nftu n c t i o n s N -t{0 , 1 } g i ve ri se to two cliffer ent tiutomor phisms in this way. In fact this argumentshowsthat if M is countableanclfor any finite setA q M there is a nontrivial automorphismh e Aut(M) such tltat h(a): a for all a e A , th e n M h a s 2 N " a u to mor phisms. ( It is a nice exer cise to pr ove a c o n v e r se to th i s, th a t i f M i s countable and has fewer than 2R( automor l phismsthen tl-rere g is a finite set ,4 M such that no non-trivial automorphism h of M fixesevery a e A. Deducethat if M has ) R,,automorphisms t h e n i t h a se xa ctl y2 n ua u to mor phisms.) We now show how to define a notion of standarcl systemfor a lzrrge class of recursivelysaturatedmodels.The following definition is from Jensen and Ehrenfeucht(1976).

DprrNrrror.r. A theory 7in a recursive language I is rich iff there is a recursive sequence N) e of 9-formulas such that, for all disjoint {cp,,(u)ln finitesets X, Yg N, T l A u ( A , , ,x e , , ( un cp ) /A,u,y1 ^(u)).
The idea of this definition is that models M of rich theoriescan code a r b i t r a r yf i n i t e s e t s . 4 c { 0 , 1 , . . . , f t } b y s o m e e l e m e n ta e M s o t h a t M E q o @)e ke A f.o r a l l /c< n . W e shallsee in a m oment that r ecur sively saturatedmodels can code much more than this. As examplesof rich t h e o r i e st,a k i n g8 , , ( u ) : ' ( u ) , , # 0 ' ( s e e p . 6 3 ) , w e s e et h a t P A i s r i c h . A l s o , b y p u t ti n gcp ,,(ue ) q u a l to Pu

w h e r ep,,i s th e n th p ri me , T h (N, * , 0, 1) is r ich. Ther e ar e m any non- r ich theories to o , h o w e ve r:se eE xer cise 15.14 for two examples.

D e n r x r rro u . If T i s a ri ch th eor y in a r ecur sive I and M FI is language rectrrsively saturated,we define the standarcl systemof M,SSy(tVI),to be

: {A sN 1,4 : {n e N lMVcp,,(a)} SSy(&I) for somea e lvll,

t h e s e t o f a l l A c N co d e di n M.

262

saturatiort Recursiue

does systern' of 'stanclard thatthe definition lemmashows The following It is muchmoreimportant cP,,. of the sequence on the choice not depend thenit mavseemat firstsight.
wher e T is r ich and b oth satur ated, 1 5 .1 9 . L e t M F T be r ecur sively L e p rvrn sn t h e s e q u e n c e{s E , , Q ) l n eN } a l d { 7 , , ( u ) l " r N } s a t i s f yt h e h y p o t h e s e i o f 'Z i s ri ch '. Then for all ae M ther e is b eM suchthat d e fi n i ti o n { n e N lM Fr !,,( b) } . {i ze N lr p,,( o) } : Pro o f. Gi ve n a e M co nsider p ( x) : { r P,,( x) n In e N} . Q,,( a) N} and { E,,lneN} ar e, and is fin i tel y si n ce both { r p,,lne T h i s i s re cu rsi ve satur ati on, on { r 2,,lneN} .Thus' by r ecur sive b y th e h yp o theses s a ti sfi e d tr b y i o me b e M with { n lMr q' ,,( b) } : { ' lMr cp,,( a) } ' p(x) i s sa ti sfi e d It follows from this lemma that, in the case when MEPA is recursively the notion SSy(M) just defined agreeswith the definition giverr saturated, in Chapter 11, and in particularSSy(M) is a Scott set. This is, in fact, true in g e n e ra l .

modelof a rich theory saturated Tneonevr15.20.Let M be a recursively T. ThenSSy(M)is a Scottset.

proof of Proof. This can be proved directly, in a way similar to the other Theorem 13.2,or altlrnatively, we can use Theorem 13.2 and the resultsof this section. is } a tr ee and we wis h to S u p p o sefo , r e xa mp le,that A : { ne N lM Fcp,,( a) downward find an infinite patrr of A in ssy(M). By the M containLowenheim-Skolemtheorem there is a countablemodel L,,( type ing a. By the proof of Proposition11.4, making sure each recursive elementary thit is realized is realizeb inside M, L,, has a countable satur ated.ByTheor em 15' 8 ther e i s a L <M th a t i s r ecur sively e xte n si o n L ' : ( L ' , * , - , . : , 0 , 1 ) o f L s u c ht h a t t h e expansion r e c u r s i v e ls ya t u r a t e d pA. L' has associated with it two arithmetii part L, I go' is a model of 9o, considered notions of standardsystem,namelythat of its reduct L' | of T' By Lemma as a moclel of.PA, und that of L consideredas a model 13'2 this standardsystemis a thesenotions are the same,anclby Theorem { r eNltFq"(b)\ is an infinite S c o t ts e t .T h u s t h e r e i s b e L s u c ht h a t B SSy(M)is closecl p a t h o f A . B u t a s L { M , B : { n N l M F c p , , ( b ) ) ' a n c ls o

Resplendency

u n c l e rK o 'i g 's re mma .T h e o ther cr osur e pr oper ties zir epr ovecJ in exactly t h e s a m ew a y . ! T h e ne xt re mmash o u rd se e mver y famir iarafter Lemm as 12.1ancl72.2.

263

H:t#"

15'2r' LerM bea recursivery sarurared moder of a richtlteory T.

(a) for alt ae M. (of finite lengrh)tltr(a) eSSy(M), and (b) if p(x) is a rype over A,l a"nd

w)lcp(i,ct) {rp(o, e p(i)} e SSy(M), thenp(*) is realizecl in M. Proof. (a) Considerthe type
q(x) : I,(d) e cp,to,t(x)]0(,i) an J4_formula]. T h i s i s a typ e o ve r M b y th e a ss' m ption on the sequence e N} in { r p,,( r ) in the definition of 'rich', ancrit is recursivesince y i, ...ursive and so is ( b ) C o nsi d e rth e typ e

anv b reatizi,g q(x) in M has Q,(a) : I';r!;fti:r,,,,?';):j"'

r(i): {rpur,,,,,,t(b) - 0(i, d)lO(0, w) an -Z-formula}. where beM issuchthat [e@,w)lO(*, a7e p(i)] : {n eN I M Fq,,(b)}. Thenr(;) is finitery satisfied since p(;) is, andr(r) is recursive. Hencer(r) is realized by somee e M . crearlyany suche tn"n rearizes the typep(i).

conorrnr<v 75'22' Let M be a countable recursively saturatecl structure for a recursive language s, ThenM is ff-saturateJ for somescott set ff. P r o o JB ' . y T h e o r e m1 5 . 8l e t M , : ( M , +,., (,0, 1) be a recursively expansion of M, so rharthe',arithmetic part,M, I gois a model :?r;T:.0 Let ff:ssy(M'). Then ff is a Scott set, ancr, for everycomprete type p(i): {0,(i, a)li eN} overM g, andforall 6 e M. in th,e language

264
6 realize:ip(t) in M

Recurs iue satu.rutio rt

p(i) in [vl' t+6 realiz.es ) t1t , d) e l/{, ancl 11,(6 p\i):

,rl3rl, {r,r,

an "/-fonnula

andl
) '

u)tpM'\0,0)

( by Ler nm a 15.21) .

in the or acletpr 1,(" bc l ) e A {0 ,(i ,r) l i e N } e ff, sincethis set is r ecur sive 9 (, a s th e l a n g u age lvl' is a extension of 5. of r ecusive tr ly satur ated m ocl el s F i n a l l y,w e h a veth e theor emclassifying r ecr - r r sive of ri ch th e o ri e s: T n e o R e u 7 5 .23 (C l a ssification satur atecl of countabler ecur sively m oc l el s of ri ch th e o ri e s). L e t 7be a r ich theor y in a r ecur sive .9.Then: language = (a) for all countable r e c u r s i v e ls ya t u r a t e d m o d e l sM . N F T . M N i f a n c l

only if Th(M): Th(l/) andSSy(M): SSy(A/); (b) for all complete extensions I'' of T and all countable *;'= 'd/(N) thereis a countable recursively with saturated M FT* SSy(M):2Y if and only i f T"'eff and2( is a Scottset.
Proof. (a) If M, NFT are recursively serturatedancl cotrntable then S S y ( M ) : S S y ( N ) ) S ( M ) : S ( N ) , b y L e m m a 1 5 . 2 1s , o t u l= N ( 9 S S y ( M ) : SS y(N )a n clT h (& /):T h ( l/) , by Cor ollar y 15.15. (b ) If T V IF T i s re cu rsively satur atecl, then e olo an i4-sentence} P(x) : {rP,(*) is a recursive type realized by sorne cte M coclingTlt(M), so Th(M) e SS y(M). C o n ve rse l y, i f 9( ts a countable Scottset and T* e X is a com pl ete o f T , th e n b y Theor er n13.6 ther e is a countableff- satu r atec l e xte n si o n following i t, mo d e l A /l l T * a n clb y L em m a 13.5and the ar gum entclir ectly n with SSy( M) :2Y. M i s re cu rsi ve l y sa tu ratecl Exercises for Section 15.2 moclel for a recursive satr.rrertecl countable recursively 15.9 Let lll be an infinite N( IVIwitl'r substructure i4. Show that thereis a properelementary language tu l =N . axiornatizecl let T be a recursively ancl extension of 9J,, 15.10 Let I be a recursive Y( t,y) in PtI for i ni ti al indicator S h o wth a t th e r eis a well- behaved - ? -tl re o ry. T. J.i satisfying to the langLrage an expansion / that [rave segments of initialsegl uents ies ancl all NIFPtl thc classes th a t,fo r a l [././n- theor5 D e cl u ce

{lc"tulllFS}

Re.splendency
ancl l r:rr t r r r ' : r r , . r l l U c ; , t v ll / l , S i r r r r l1 i s r e r . r r r s i v es

265

a r es y m b i o t i ct,l r u s i r r t p r o v i rC tg orollary 1 4 . 1 0(.S e e Exercisc t4.(r f u r t h ec l e i r n i t i o n of 'syrnbiotic'.) ( f t i n t : F ' o rt h e l a s tp a r t , u s ea s a t i s f a c t i oc nl a s s . ) 15.11 Use E,xercise 1,5.8 to show that, for all langLrage .1 s1 w i t h f i n i t e l yr l a n y l/ over/]suchthat, [r'rnction , lationa re , n cc l o n s t a ns t y r n b o l st,h e r ei s a f l s e n t e n c \ e for all infinite.9-strLrctures &1 tVIF\It ift tVI is recursively saturutecl. 1 5 . 1 2 L e t M b e a h o m o g e n e o uc so u n t a b l yi n l i n i t e / - ' - s t r u c t u r e w,h c r e . i / /i s t t recursive language ,n c l s u p p o s a te h a tf o r a l l c o r n p l e t e t y p e s 2 ( . r:){ 0 i G ) l i e N } o v e r M, where p(*) doe.snot contoin purunrcters M, p(t) is realizeclin M iff li'om p(i)e2(, for somefixed Scottset 2I. Show tlttrtful is recursively saturated. ( F o r t h o s ew h o a t t e m p t e c 15.13 Elx e r c i s e 15.4). LetM bea countable Lsiituratecl structurefor the language with I finitely many nonlogical syrnbols, where 2( is a coutttable Scott set. Working in ZFC+Con(ZF), show that there is a moclel VFZFC that is countable,rr.r-nonstzrndarcl, and has stanclarcl systemff such that = " ' ( a , IVI R , f , a ) f o r s o m en , R , f , c e V . 15.14 Let T be a consisten th t e o r yi n a r e c u r s i v e l a n g u a g/e . S h o wt h a t ? h a s2 R , , n o n - i s o m o r p h ic co u n t a b l e n r o d e l sD . e d L r ct e hatneither D L O n o r f r r r *( s e eS e c t i o n 6.2)is rich. 15.15 I'etT be a consisten rt i c ht h e o r yi n a r e c u r s i v e ls ya t u r a t e d l a n g r - r a g e . tf tl n , cl ' r i c h ' slrppose thatthe formulas c p , , ( ;irn ) the cleljnition of c a n b e a l l t a k e nt o b e o f t h e f o r m a y t p , , ( x , yw ) i t h r 2 ,c , l u a n t i f i e r - f r eS eh . o w t h a t T h a sn o r e c u r . s i vre ecursively saturated rlodel &/. (Hint: Any recursivelysaturateclMFT codes a comprlete extension of PA; h o w e v e r ,n o c o m p l e t e extension of PA is r.e., for if it were, tlrenit would be r e c u r s i v eT . hisexercise is dueto Srnoryrisk ( i1 9 8 4 ) . )