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EXTERNAL AUTOMORPHISMS OF ULTRAPRODUCTS OF
FINITE MODELS
PHILIPP L

UCKE AND SAHARON SHELAH

Abstract. Let L be a nite rst-order language and Mn | n < be a
sequence of nite L-models containing models of arbitrarily large nite car-
dinality. If the intersection of less than continuum-many dense open subsets
of Cantor Space

2 is non-empty, then there is a non-principal ultralter U
over such that the corresponding ultraproduct
Q
U
Mn is innite and has
an automorphism that is not induced by an element of
Q
n<
Aut(Mn).
1. Introduction
Let L be a nite rst-order language and /
n
[ n < ) be a sequence of nite
L-models. Given a non-principal ultralter | over , we let

U
/
n
denote the
corresponding ultraproduct and [x]
U
denote the
U
-equivalence class of an element
x

n<
/
n
. An automorphism of

U
/
n
is internal if there is a sequence

i
Aut(/
n
) [ n < ) such that ([x]
U
) = [y]
U
holds for all x, y

n<
/
n
with y(n) =
n
(x(n)). We call an automorphism of

U
/
n
external if it is not
internal.
If the continuum hypothesis (CH) holds and

U
/
n
is innite, then it is a satu-
rated model of cardinality
1
(see [1, 6.1.1] and [4]) and the group of automorphisms
Aut(

U
/
n
) has cardinality 2
1
>
1
(see [1, 5.3.15]). In particular,

U
/
n
has
many external automorphisms in this situation.
If (CH) fails, then things can look totally dierent, as the following result (due
to the second author) on ultraproducts of the nite elds F
p
of prime order p shows.
Theorem 1.1 ([5]). It is consistent with the axioms of ZFC that there is a non-
principal ultralter T over the set P of primes such that the eld

F
F
p
has no
non-trivial automorphisms.
Using this result, Simon Thomas and the rst author proved the following result
on ultraproducts of nite symmetric groups. Recall that for n ,= 6 every auto-
morphism of nite symmetric group Sym(n) is inner. In particular, every internal
automorphism of the group

U
Sym(n) is inner.
Theorem 1.2 ([3]). It is consistent with the axioms of ZFC that there is a non-
principal ultralter | over such that all automorphisms of the group

U
Sym(n)
are internal.
2000 Mathematics Subject Classication. 03C20, 03E50, 20B30, 20E36.
Key words and phrases. Ultraproducts, automorphisms.
The research of the rst author was supported by the Deutsche Forschungsgemeinschaft (Grant
SCHI 484/4-1 and SFB 878).
The research of the second author was supported by the German-Israeli Foundation for Scien-
tic Research & Development Grant No. 963-98.6/2007. Publication 982 on Shelahs list.
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2 PHILIPP L

UCKE AND SAHARON SHELAH

The work of this note is motivated by the following questions.
Questions. (i) Is it consistent with the axioms of ZFC that for every non-principal
ultralter T over the set P of primes, the eld

F
F
p
has no non-trivial automor-
phisms?
(ii) Is it consistent with the axioms of ZFC that for every non-principal ultralter
| over , the group

U
Sym(n) has only inner automorphisms?
The result of this note shows that a mild set-theoretic assumption implies the
existence of ultraproducts of nite symmetric groups with external automorphisms.
Theorem 1.3. Assume that the intersection of less than continuum-many dense
open subsets of Cantor Space

2 is non-empty. If L is a nite rst-order language
and /
n
[ n < ) is a sequence of nite L-models containing models of arbitrarily
large nite cardinality, then there is a non-principal ultralter | over such that

U
/
n
is innite and has an external automorphism.
The above assumption is known as Martins Axiom for Cohen-Forcing and it is
implied both by the continuum hypothesis and Martins Axiom.
2. Extending Partial Elementary Maps
From now on, we let L denote a nite rst-order language and /
n
[ n < )
denote a sequence of nite L-models. We may also assume that [/
n
[ < [/
n+1
[
holds for all n < . In addition, we x the following objects.
An enumeration c

[ 0 < < 2
0
) of all subsets of .
An enumeration

[ 0 < < 2
0
) of all sequences in

n<
Aut(/
n
).
An enumeration x

[ 0 < < 2
0
) of all sequences in

n<
/
n
.
A regular cardinal such that H

= x [ [tc(x)[ < contains all relevant

objects.
Our aim is to inductively construct a non-principal ultralter | over and a
function f :

n<
/
n

n<
/
n
such that there is an external automorphism

f of

U
/
n
with

f([x]
U
) = [y]
U
for all x, y

n<
/
n
with f(x) = y. We will
approximate both | and f by their intersections with certain elementary submodels
of H

of cardinality less than 2

0
. The following denition captures this idea.
Denition 2.1. We call a triple |
0
, N
0
, f
0
) adequate if it satises the following
properties.
(1) |
0
is a non-principal ultralter over .
(2) N
0
is an elementary submodel of H

of cardinality less than 2

0
containing
f
0
, |
0
and the sequence /
n
[ n < ).
(3) f
0
:

n<
/
n
part

n<
/
n
is a partial function and there is a partial
elementary map

f
0
:

U0
/
n
part

U0
/
n
with the following properties.
(a) dom(f
0
) = x

n<
/
n
[ [x]
U0
dom(

f
0
).
(b) If x dom(f
0
) with f
0
(x) = y, then [x]
U0
N and

f
0
([x]
U0
) = [y]
U0
.
Given adequate triples |
0
, N
0
, f
0
) and |
1
, N
1
, f
1
), we dene
|
0
, N
0
, f
0
) _ |
1
, N
1
, f
1
)
to hold if N
0
|
0
|
1
, N
0
N
1
and f
0
N
0
f
1
.
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EXTERNAL AUTOMORPHISMS OF ULTRAPRODUCTS OF FINITE MODELS 3
The idea behind this denition is that the submodel N
0
xes subsets of |
0
and f
0
that will be contained in the nal objects | and f (in the sense that N
0
|
0
|
and f
0
N
0
f will hold). Note that f
0
might be the empty function in the
above denition. In particular, there always exists an adequate triple. Moreover, if
|
0
, N
0
, f
0
) is an adequate triple, then the partial map

f
0
is uniquely determined.
Given |
0
and N
0
as in Denition 2.1, we dene /
U0,N0
to be the unique L-
substructure of

U0
/
n
with domain N
0

U0
/
n
. We list some basic properties.
Lemma 2.2. (1) Let | and |
0
be non-principal ultralters over and N
0
be
an elementary submodel of H

with |
0
N
0
and N
0
|
0
|. Then the
map
i : /
U0,N0

U
/
n
; [x]
U0
[x]
U
is an elementary embedding.
(2) Given an adequate triple |
0
, N
0
, f
0
), we have

f
0
: /
U0,N0
part
/
U0,N0
and this is a partial elementary map.
(3) If |
0
, N
0
, f
0
) _ |
1
, N
1
, f
1
) holds for two adequate triples, then the induced
map i : /
U0,N0
/
U1,N1
is an elementary embedding with
i

f
0
= (

f
1
i) dom(

f
0
).
Proof. Let (v
0
, . . . ,
k1
) be an L-formula and x
0
, . . . , x
k1
N
0

n<
/
n
.
By elementarity, we have n < [ /
n
[= (x
0
(n), . . . , x
k1
(n)) N
0
and the as-
sumption N
0
|
0
| allows us to run an easy induction on the complexity of the
formula to show
/
U0,N0
[= ([x
0
]
U0
, . . . , [x
k1
]
U0
)

U0
/
n
[= ([x
0
]
U0
, . . . , [x
k1
]
U0
)
n < [ /
n
[= (x
0
(n), . . . , x
k1
(n)) N
0
|
0
|

U
/
n
[= ([x
0
]
U
, . . . , [x
k1
]
U
)
The other statements follow directly from the above computations and the deni-
tions of /
U,N
and

f.
Proposition 2.3. Suppose |
0
, X, f

and p satisfy the following statements.

(1) |
0
be a non-principal ultralter over and X H

with [X[ < 2

0
.
(2) p :

n<
/
n
part

n<
/
n
is a partial function.
(3) f

U0
/
n
part

U0
/
n
is a partial elementary map with [dom(f

)[ <
2
0
, [x]
U0
[ x dom(p) dom(f

) and f

([x]
U0
) = [y]
U0
for all x
dom(p) with p(x) = y.
Then there is an adequate triple |
0
, N
0
, f
0
) such that p f
0
, f

=

f
0
, X N
0
and [N
0
[ = [X[ + [dom(f

)[ +
0
.
Proof. We can nd a partial function f
0
:

n<
/
n
part

n<
/
n
with p f
0
,
dom(f
0
) = x [ [x]
U0
dom(f

) and f

([x]
U0
) = [y]
U0
for all x dom(f
0
) with
f
0
(x) = y. Let D

n<
/
n
be a complete set of representatives for elements
in dom(f

) with [D[ = [dom(f

)[. Finally, pick an elementary submodel N

0
of H

with D X f
0
, |
0
, /
n
[ n < ) N
0
and [N
0
[ = [D[ +[X[ +
0
.
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4 PHILIPP L

UCKE AND SAHARON SHELAH

Lemma 2.4. Let |
0
, N
0
, f
0
) be an adequate triple and x H

. There is an
adequate triple |
0
, N
1
, f
1
) with the following properties.
(1) |
0
, N
0
, f
0
) _ |
0
, N
1
, f
1
), [N
1
[ = [N
0
[ and x N.
(2) dom(

f
1
) is a denably closed subset of /
U0,N1
.
Proof. There is a unique extension f

: /
U0,N0
part
/
U0,N0
of

f
0
to a partial
elementary map whose domain is the denable closure of dom(

f
0
). Clearly, dom(f

)
is denably closed in

U0
/
n
, [dom(

f)[ [dom(

f
0
)[ +
0
[N
0
[ < 2
0
and we
can apply Proposition 2.3 with |
0
, N
0
x, f

and f
0
N
0
to nd an adequate
triple |
0
, N
1
, f
1
) with the above properties. In particular,

f = f

and dom(f

)
/
U0,N0
/
U0,N1
. By the rst part of Lemma 2.2, /
U0,N0
is an elementary
substructures of /
U0,N1
and this shows that dom(

f) = dom(f

) is denably closed
in /
U0,N1
.
We are now ready to state and prove the Main Lemma needed in the proof of
Theorem 1.3. This lemma allows us to enlarge the domain of our partial functions
and make sure that the nal automorphism will be external.
Lemma 2.5. Assume that the intersection of less than continuum-many dense open
subsets of Cantor Space

2 is non-empty. Let |
0
, N
0
, f
0
) be an adequate triple
with dom(

f
0
) denably closed in /
U0,N0
, w, z N
0

n<
/
n
with z / dom(f
0
).
There is an adequate triple |
1
, N
1
, f
1
) with the following properties.
(1) |
0
, N
0
, f
0
) _ |
1
, N
1
, f
1
) and [N
1
[ = [N
0
[.
(2) z dom(f
1
) and

f
1
([z ]
U1
) ,= [ w]
U1
.
Proof. We write z = [z ]
U0
and /

= /
U0,N0
. For each n < , we equip the model
/
n
with the discrete topology and the product K =

i<2
(

n<
/
n
) with the
corresponding product topology. This means K is a perfect non-empty, compact
metrizable, zero-dimensional topological space and homeomorphic to Cantor Space

2 (see [2, Theorem 7.4]).

Dene T to be the set of all tuples A, m, , x
0
, . . . , x
k1
)) with the following
properties.
(i) A N
0
|
0
, m < and x
0
, . . . , x
k1
dom(f
0
) N
0
.
(ii) (u
0
, u
1
, v
0
, . . . , v
k1
) is an L-formula and
/

[= (a, b) (a, b, [x
0
]
U0
, . . . , [x
k1
]
U0
).
Given

t = A, m, , x
0
, . . . , x
k1
)) T with f
0
(x
i
) = y
i
, the above denition
implies that the set
D

t
= a,

b) K [ (n A m) /
n
[= (a(n),

b(n), y
0
(n), . . . , y
k1
(n))
is a dense and open subset of K. The set T has cardinality less than 2
0
and our
assumptions imply that there is a pair a

tT
D

t
.
Next, we dene U to be the set consisting of triples u = A, , y
0
, . . . , y
k1
))
such that A |
0
N
0
, y
0
, . . . , y
k1
N
0

n<
/
n
and (v, x
0
, . . . , x
k1
)
is an element of tp
M
( z/ dom(

f
0
)) with

f
0
( x
i
) = [ y
i
]
U0
. Given such an u U, we
dene
X
u
= n A [ /
n
[= [a

(n) ,=

(n) (a

(n), y
0
(n), . . . , y
k1
(n))
(

(n), y
0
(n), . . . , y
k1
(n))]
and T = X
u
[ u U. Clearly, T is closed under taking nite intersections.
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EXTERNAL AUTOMORPHISMS OF ULTRAPRODUCTS OF FINITE MODELS 5
Assume, toward a contradiction, that there is an u = A, , y
0
, . . . , y
k1
)) U
as above and m < with X
u
m. By assumptions, z / dom(

f
0
) and dom(

f
0
) is
a denably closed subset of /

. This shows /

[= (a) ( z, a, x
0
, . . . , x
k1
) with
(u
0
, u
1
, v) [u
0
,= u
1
(u
0
, v) (u
1
, v)] .
Given x
0
, . . . , x
k1
N
0

n<
/
n
with x
i
= [x
i
]
U0
, our assumption implies that
the tuple

t = A, m, , x
0
, . . . , x
k1
)) is an element of T. Since a

) D

t
, we
can nd a natural number n Am with /
n
[= (a

(n),

(n), y
0
(n), . . . , y
k1
(n))
and hence n X
u
m, a contradiction. This argument shows that there is a
non-principal ultralter |
1
over with T |
1
. For all A N
0
|
0
, we have
n A [ a

(n) ,=

(n) |
1
. We can conclude N
0
|
0
|
1
and [a

]
U1
,= [

]
U1
.
Therefore, we may assume [a

]
U1
,= [ w]
U1
.
Let i : /
U0,N0

U1
/
n
be the elementary embedding given by Lemma 2.2.
Suppose x
0
, . . . , x
k1
N
0
dom(f
0
) and

U1
/
n
[= ([z ]
U1
, [x
0
]
U1
, . . . , [x
k1
]
U1
)
with f
0
( x
i
) = y
i
. This means
u = , (v, [x
0
]
U0
, . . . , [x
k1
]
U0
), y
0
, . . . , y
k1
)) U
and hence X
u
T |
1
. In particular,
n < [ /
n
[= (a

(n), y
0
(n), . . . , y
k1
(n)) |
1
and therefore

U1
/
n
[= ([a

]
U1
, [y
0
]
U1
, . . . , [y
k1
]
U1
). This implication shows
that there is a partial elementary map f

U1
/
n
part

U1
/
n
such that
dom(f

) = i

dom(

f
0
) z

, f

([z ]
U1
) = [a

]
U1
and f

([x]
U1
) = [y]
U1
for all
x N
0
dom(f
0
) with f
0
(x) = y. We can apply Proposition 2.3 with |
1
, N
0
, f

and f
0
N
0
to obtain the desired adequate triple |
1
, N
1
, f
1
).
Corollary 2.6. Assume that the intersection of less than continuum-many dense
open subsets of Cantor Space

2 is non-empty. Let |
0
, N
0
, f
0
) be an adequate
triple such that dom(

f
0
) is denably closed in /
U0,N0
and z N
0

n<
/
n
.
Then there is an adequate triple |
1
, N
1
, f
1
) such that |
0
, N
0
, f
0
) _ |
1
, N
1
, f
1
),
[N
1
[ = [N
0
[ and [z ]
U1
ran(

f
1
) holds.
Proof. We may assume [z ]
U0
/ ran(

f
0
). By the elementarity of

f
0
, ran(

f
0
) is
denably closed in /
U0,N0
. We apply Proposition 2.3 with |
0
, N
0
,

f
1
0
and p =
to obtain an adequate triple |
0
, M
0
, g
0
) with g
0
=

f
1
0
, N
0
M
0
and [M
0
[ = [N
0
[.
In particular, z / dom(g
0
) and dom( g
0
) is denably closed in /
U0,M0
. Next, we
use Lemma 2.5 with |
0
, M
0
, g
0
) and z to nd an adequate triple |
1
, M
1
, g
1
) with
|
0
, M
0
, g
0
) _ |
1
, M
1
, g
1
), [M
1
[ = [N
0
[ and z dom(g
1
).
Let x N
0
dom(f
0
) M
0
with f
0
(x) = y. Then y M
0
dom(g
0
) and
therefore g
0
(y) = x

for some x

M
0
with [x]
U0
= g
0
([y]
U0
) = [x

]
U0
. We can
conclude n < [ x(n) = x

(n) M
0
|
0
|
1
and g
1
1
([x]
U1
) = [y]
U1
. This
allows us to use Proposition 2.3 with |
1
, M
1
, g
1
1
and f
0
to obtain the desired
adequate triple |
1
, N
1
, f
1
).
3. Approximations of External Automorphisms
The next denition and the following lemma show how external automorphisms
are constructed in a routine way from ascending sequences of adequate triples.
Denition 3.1. A sequence |

, N

, f

, z

) [ < 2
0
) is an approximation of an
external automorphism if the following statements hold true for all < < 2
0
.
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6 PHILIPP L

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(1) The triple |

, N

, f

) is adequate and N

has cardinality [[ +[N

0
[.
(2) dom(

f

) is denably closed in /

= /
U

,N

.
(3) |

, N

, f

) _ |

, N

, f

) and c

, x

.
(4) z

dom(f
+1
) with z

/ dom(f

) and if w(n) =

(n)(z(n)) for all

n < , then

f
+1
([z

]
U
+1
) ,= [ w]
U
+1
.
(5) [x

]
U
+1
ran(

f
+1
) and if x

/ dom(f

), then x

= z

.
Lemma 3.2. Let |

, N

, f

, z

) [ < 2
0
) be an approximation of an external
automorphism. Dene | =

<2

0
N

and f =

<2

0
f

.
(1) | is a non-principal ultralter over and f :

n<
/
n

n<
/
n
is a
total function.
(2) There is an external automorphism

f of

U
/
n
with

f([x]
U
) = [y]
U
for
all x

n<
/
n
with f(x) = y.
Proof. Our construction directly implies that | is a lter and non-principal. It is
an ultralter, because every c is of the form c = c

for some 0 < < 2

0
.
Given x

n<
/
n
, there is an 0 < < 2
0
with x = x

. If x dom(f

),
then f

(x) N

, f

(x), x) f

f and x dom(f). Conversely, if

x / dom(f

), then x dom(f
+1
) N

and we can conclude x dom(f) as above.

This shows that f is a total function.
By Lemma 2.2, there are elementary embeddings i

: /

U
/
n
that satisfy
i

([x]
U
) = [x]
U
for all < 2
0
and x N

n<
/
n
and a directed system
i
,
: /

[ < 2
0
)
of elementary embeddings with i

= i

i
,
for all < 2
0
. Moreover,
we have i
,


f

= (

f

i
,
) dom(

f

) for all < 2

0
. This shows that
there is a total elementary map

f :

U
/
n

U
/
n
with

f([x]
U
) = [y]
U
for all
x

n<
/
n
with f(x) = y.
Given x

n<
/
n
, there is an 0 < < 2
0
with x = x

and this implies

[x]
U+1
ran(

f
+1
). Since x N
+1
, the above computations show that [x]
U

ran(

f) holds. This proves that

f is surjective.
Finally, assume, toward a contradiction, that

f is an internal automorphism.
Then there is an 0 < < 2
0
with

f([x]
U
) = [y]
U
for all x, y

n<
/
n
with
y(n) =

(n)(x(n)) for all n < . By denition,

f
+1
([z

]
U+1
) ,= [ w]
U+1
with
w(n) =

(n)(z

(n)) and this means

f([z

]
U
) ,= [ w]
U
, a contradiction.
If Martins Axiom for Cohen-Forcing holds, then we can apply Lemma 2.5 and
Corollary 2.6 continuum-many times to construct an approximation of an external
automorphism. The next lemma completes the proof of Theorem 1.3.
Lemma 3.3. Assume that the intersection of less than continuum-many dense open
subsets of Cantor Space

2 is non-empty. If |

, N

, f

) is an adequate triple, then

there is an approximation of an external automorphism |

, N

, f

, z

) [ < 2
0
)
with |
0
, N
0
, f
0
) = |

, N

, f

).
Proof. We inductively construct the approximating sequence. Assume we already
constructed |

, N

, f

, z

) [ < ) with 0 < < 2

0
such that the statements
(1), (2) and (3) of Denition 3.1 hold for all < < and the statements (4) and
(5) of Denition 3.1 hold for all 0 < < with + 1 < .
If = +1, then z

/ dom(f

), dom(

f

) is denably closed in /

and there is
w N

n<
/
n
with w(n) =

(n)(z

(n)) for all n < . In this situation, we

9
8
2


r
e
v
i
s
i
o
n
:
2
0
1
1
-
0
3
-
1
8







m
o
d
i
f
i
e
d
:
2
0
1
1
-
0
3
-
2
0


EXTERNAL AUTOMORPHISMS OF ULTRAPRODUCTS OF FINITE MODELS 7
can apply Lemma 2.5, Lemma 2.4 and Corollary 2.6 to produce an adequate triple
|

, N

, f

) with the desired properties.

Let be a limit ordinal and dene T =

<
N

. This collection of
subsets is closed under nite intersections and contains only innite sets. Let |

be a non-principal ultralter over extending T. As in the proof of Lemma 3.2,

there are elementary embeddings i

: /

U
/
n
and i
,
: /

with
i

= i

i
,
for all < . Lemma 2.2 shows that there is partial elementary
map f

U
/
n
part

U
/
n
with dom(f

) = [x]
U
[ x

<
dom(f

)
and i

= (f

) dom(

f

) for all < . Apply Proposition 2.3 with

|

<
N

, f

and

<
f

and Lemma 2.4, to obtain an adequate triple

|

, N

, f

) with the desired properties.

By our assumptions,

U
/
n
is an innite model and [4] shows that it has
cardinality 2
0
. This gives us an y

n<
/
n
with [y]
U
/ dom(

f

) and therefore
y / dom(f

). By elementarity, we can assume y N

. If x

/ dom(f

), then we
dene z

= x

. Otherwise, we dene z

= y.
References
[1] C. C. Chang and H. J. Keisler. Model theory. North-Holland Publishing Co., Amsterdam,
second edition, 1977. Studies in Logic and the Foundations of Mathematics, 73.
[2] Alexander S. Kechris. Classical descriptive set theory, volume 156 of Graduate Texts in Math-
ematics. Springer-Verlag, New York, 1995.
[3] Philipp L ucke and Simon Thomas. Automorphism groups of ultraproducts of nite symmetric
groups. Accepted for publication in Communications in Algebra.
[4] Saharon Shelah. On the cardinality of ultraproduct of nite sets. J. Symbolic Logic, 35:8384,
1970.
[5] Saharon Shelah. Vive la dierence. III. Israel J. Math., 166:6196, 2008.
Institut f ur Mathematische Logik und Grundlagenforschung, Fachbereich Mathe-
matik und Informatik, Universit at M unster, Einsteinstr. 62, 48149 M unster, Germany
E-mail address: philipp.luecke@uni-muenster.de
Institute of Mathematics, The Hebrew University of Jerusalem, Einstein Institute
of Mathematics, Edmond J. Safra Campus, Givat Ram, Jerusalem 91904, Israel, and
Department of Mathematics, Hill Center-Busch Campus, Rutgers, The State University
of New Jersey, 110 Frelinghuysen Road, Piscataway, NJ 08854-8019, USA
E-mail address: shelah@math.huji.ac.il