# Descriptive Set Theory

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1 Descriptive Set Theory David Marker Fall 2002 Contents I Classical Descriptive Set Theory 2 1 Polish Spaces 2 2 Borel Sets 14 3 Effective Descriptive Set Theory: The Arithmetic Hierarchy 27 4 Analytic Sets 34 5 Coanalytic Sets 43 6 Determinacy 54 7 Hyperarithmetic Sets 62 II Borel Equivalence Relations 73 8 Π 1 1-Equivalence Relations 73 9 Tame Borel Equivalence Relations Countable Borel Equivalence Relations Hyperfinite Equivalence Relations 92 1

2 These are informal notes for a course in Descriptive Set Theory given at the University of Illinois at Chicago in Fall While I hope to give a fairly broad survey of the subject we will be concentrating on problems about group actions, particularly those motivated by Vaught s conjecture. Kechris Classical Descriptive Set Theory is the main reference for these notes. Notation: If A is a set, A <ω is the set of all finite sequences from A. Suppose σ = (a 0,..., a m ) A <ω and b A. Then σ b is the sequence (a 0,..., a m, b). We let denote the empty sequence. If σ A <ω, then σ is the length of σ. If f : N A, then f n is the sequence (f(0),..., f(n 1)). If X is any set, P(X), the power set of X is the set of all subsets X. If X is a metric space, x X and ɛ > 0, then B ɛ (x) = {y X : d(x, y) < ɛ} is the open ball of radius ɛ around x. Part I Classical Descriptive Set Theory 1 Polish Spaces Definition 1.1 Let X be a topological space. We say that X is metrizable if there is a metric d such that the topology is induced by the metric. We say that X is separable if there is a countable dense subset. A Polish space is a separable topological space that is metrizable by a complete metric. There are many classical examples of Polish spaces. Simple examples include R n, C n, I = [0, 1], the unit circle T, and Q n p, where Q p is the p-adic field. Example 1.2 Countable discrete sets are Polish Spaces. Let X be a countable set with the discrete topology. The metric { 0 if x = y d(x, y) = 1 if x y is a complete metric inducing the topology. If d is a metric on X, then d(x, y) = d(x, y) 1 + d(x, y) is also a metric, d and d induce the same topology and d(x, y) < 1 for all x. Example 1.3 If X 0, X 1,... are Polish spaces, then X n is a Polish space. 2

3 Suppose d n is a complete metric on X n, with d n < 1, for n = 0, 1,.... Define d on X n by 1 d(f, g) = 2 n+1 d n(f(n), g(n)). n=0 If f 0, f 1,... is a Cauchy-sequence, then f 1 (i), f 2 (i),... is a Cauchy-sequence in X i for each i. Let g(n) = lim f i (n). Then g is the limit of f 0, f 1,.... i Suppose x i 0, xi 1,... is a dense subset of X i. For σ N <ω let { x n f σ (n) = σ(n) if i < σ x n 0 otherwise. The {f σ : σ N <ω } is dense in X. In particular, the Hilbert cube H = I N is Polish. Indeed, it is a universal Polish space. Theorem 1.4 Every Polish space is homeomorphic to a subspace of H. Proof Let X be a Polish space. Let d be a compatible metric on X with d < 1 and let x 0, x 1,... a dense set. Let f : X H by f(x) = (d(x, x 1 ), d(x, x 2 ),...). If d(x, y) < ɛ/2, then d(x, x i ) d(y, x i ) < ɛ and d(f(x), f(y)) < 1 2 ɛ < ɛ. n+1 Thus f is continuous. If d(x, y) = ɛ choose x i such that d(x, x i ) < ɛ/2. Then d(y, x i ) > ɛ/2, so f(x) f(y). We need to show that f 1 is continuous. Let ɛ > 0. Choose n such that 1 d(x, x n ) < ɛ/3. If y x n > 2ɛ/3, then d(f(x), f(y)) 3(2 n+1 ). Thus if d(f(x), f(y)) < 1 3(2 n+1 ), then d(x, y) < ɛ. Hence f 1 is continuous. Function spaces provide other classical examples of Polish spaces. Let C(I) be the continuous real-valued functions on I, with d(f, g) = sup{ f(x) g(x) : x I}. Because any Cauchy sequence converges uniformly, d is complete. Any function in I can be approximated by a piecewise linear function defined over Q. Thus C(I) is separable. More generally, if X is a compact metric space and Y is a Polish space let C(X, Y ) be the space of continuous functions from X to Y with metric d(f, g) = sup{ f(x) g(x) : x X}. Other classical examples include the spaces l p, l and L p from functional analysis. The next two lemmas will be useful in many results. If X is a metric space and Y X, the diameter of Y is diam (Y ) = sup{d(x, y) : x, y Y } Lemma 1.5 Suppose X is a Polish space and X 0 X 1 X 2... are closed subsets of X such that lim n diam (X n ) = 0. Then there is x X such that Xn = {x}. Proof Choose x n X n. Since diam (X n ) 0, (x n ) is a Cauchy sequence. Let x be the limit of (x n ). Since each X n is closed x X n. Since diam (X n ) 0, if y X n, then x = y. 3

4 Lemma 1.6 If X is a Polish space, U X is open and ɛ > 0, then there are open sets U 0, U 1, U 2,... such that U = U n = U n and diam (U n ) < ɛ for all n. Proof Let D be a countable dense set. Let U 0, U 1,... list all sets B 1 (d) such n 1 that d D, n < ɛ/2 and B 1 (d) U. Let x U. There is n > 0 such n that 1 n < ɛ, B 1 (x) U. There is d D B 1 n 3n B 1 (d) U. Thus B 1 (d) is one of the U i and x U 3n 3n i. Baire Space and Cantor Space (x). Then x B 1 (d) and 3n If A is any countable set with the discrete topology and X is any countable set, then A X is a Polish space. Two very important examples arise this way. Definition 1.7 Baire space is the Polish space N = N N and Cantor space is the Polish space C = 2 N. An equivalent complete metric on N is d(f, g) = 1 2 n+1 where n is least such that f(n) g(n). Since the two point topological space {0, 1} with the discrete topology is compact. By Tychonoff s Theorem C is compact. Exercise 1.8 Show that C is homeomorphic to Cantor s middle third set. Another subspace of N will play a key role later. Example 1.9 Let S be the group of all permutations of N, viewed as a subspace of N. If d is the metric on N, then d is not complete on S. For example let { i + 1 if i < n f n (i) = 0 if i = n. i otherwise Then f n is a Cauchy sequence in N, but the limit is the function n n+1 that is not surjective. Let d(x, y) = d(x, y) + d(x 1, y 1 ). It is easy to see that if (f n ) is a d-cauchy sequence in S, then (f n ) and (fn 1 ) are d-cauchy sequences that converge in N. One can then check that the elements the converge to must be inverses of each other and hence both in S. Exercise 1.10 A metric d on a group G is called left-invariant if d(xy, xz) = d(y, z) for all x, y, z G. Show that the original metric d on S is left-invariant, but that there is no left-invariant complete metric on S. Exercise 1.11 Define φ : N C by φ(f) = } 00 {{... 0 } } 11 {{... 1 } } 00 {{... 0 } f(0) f(1)+1 f(2)+1 4

5 Show that φ is a continuous and one-to-one. What is the image of φ? Exercise 1.12 We say that x [0, 1] is a dyadic-rational is x = m 2 for some n m, n N. Otherwise, we say x is a dyadic-irrational. Show that N is homeomorphic to the dyadic-irrationals (with the subspace topology). [Hint: let φ be as in Exercise 1.11 and map f to the dyadic-irrational with binary expansion φ(f).] Exercise 1.13 Show that f f(0) f(1)+ 1 1+f(2) is a homeomorphism between N and the irrational real numbers in (0, 1). Because N will play a key role in our study of Polish spaces, we will look more carefully at its topology. First we notice that the topology has a very combinatorial/computational flavor. If σ N <ω, Let N σ = {f N : σ f}. Then N σ is an open neighborhood of f. It is easy to see that {N σ : σ N <ω } is a basis for the topology. Notice that N \ N σ = {N τ : τ(i) σ(i) for some i dom σ} is also open. Thus N σ is clopen. It follows that the Baire Space is totally disconnected (i.e., any open set is the union of two disjoint open sets). If U N is open, there is S N <ω such that U = σ S N σ. Let T = {σ N <ω : τ σ τ S}. Note that if σ T and τ σ, then τ T. We call a set of sequences with this property a tree. We say that f N is a path through T if (f(0),..., f(n)) T for n = 0, 1,.... We let [T ] = {f N : f is a path through T }. Then f [T ] if and only if σ f for all σ S if and only if f U. We have proved the following characterizations of open and closed subsets of N. Lemma 1.14 i) U N is open if and only if there is S N <ω U = N σ. σ S such that ii) F N is closed if and only if there is a tree T N <ω such that F = [T ]. We can improve the characterization a little. Definition 1.15 We say that a tree T N <ω is pruned if for all σ T, there is i N with σ i T. Equivalently, T is pruned if for all σ T, there is f [T ] with σ f. If T is a tree, then T = {σ T : f [T ] σ f}. It is easy to see that T is a pruned tree with T T. Thus every closed set F is the set of paths through a pruned tree. If f : N N, then f is continuous if and only if for all x and σ f(x), there is a τ x such that if τ y, then σ f(y). In other words, for all n 5

6 there is an m, such that the first n values of f(x) are determined by the first m values of x. In 4 we will show how this brings in ideas from recursion theory. Another key feature of the Baire space is that powers of the Baire space are homeomorphic to the Baire space. Thus there is no natural notion of dimension. Lemma 1.16 i) If k > 0, then N is homeomorphic to N d N k. ii) N is homeomorphic to N N. Proof If α = (n 1,..., n d, f 1,..., f k ) N d N k, let φ(f) = (n 1,..., n d, f 1 (0), f 2 (0),..., f k (0), f 1 (1),..., f k (1),..., f 1 (n),..., f k (n),...). If β = (f 0, f 1,...) N N, let ψ(β) = (f 0 (0), f 0 (1), f 1 (0),...). It is easy to see that φ and ψ are homeomorphisms. A third important feature of the Baire space is that every Polish space is a continuous image of the Baire space. We first prove that every closed subset of N is a continuous image of N. Theorem 1.17 If X is a Polish space, then there is a continuous surjective φ : N X. Proof Using Lemma 1.6 build a tree of sets (U σ : σ N <ω ) such that: i) U = X; ii) U σ is an open subset of X; iii) diam (U σ ) < 1 σ ; iv) U τ U σ for σ τ; v) U σ = U σ i. i=0 If f N, then by 1.5 there is φ(f) such that φ(f) = U f n = U f n = {φ(f)}. n=0 Suppose x X. We build σ 0 σ 1... with x U σi. Let σ 0 =. Given σ n with x U σn, there is a j such that x U σn j. Let σ n+1 = σ n j. If f = σ n, then φ(f) = x. Thus φ is surjective. Suppose φ(f) = x. If g n = f n, then φ(g) U f n and d(φ(f), φ(g)) < 1 n. Thus φ is continuous. Indeed we have shown that there is an open, continuous, surjective φ : N X. We will prove a refinement of this theorem. We need one lemma. Recall that X is an F σ -set if it a countable union of closed sets. If O X is open, then, by 1.6 there are open sets U 0, U 1,... such that O = U n. Thus every open set is and F σ -set. The union of countably many F σ -sets is an F σ -set. If X = A i and Y = B i are F σ -sets, then X Y = (A i B j ) is also an F σ -sets. n=0 6

7 Lemma 1.18 Suppose X is a Polish space and Y X is an F σ -set and ɛ > 0. There are disjoint F σ -sets Y 0, Y 1,... with diam (Y i ) < ɛ, Y i Y and Y i = Y. Proof Let Y = C n where C n is closed. Replacing C n by C 0... C n we may assume that C 0 C Thus Y is the disjoint union of the sets C 0, C 1 \ C 0, C 2 \ C 1,.... Since C i \ C i+1 C i Y, it suffices to show that each C i \C i 1 is a disjoint union of F σ -sets of diameter less than ɛ. Suppose Y = F O where F is closed and O is open. By Lemma 1.6, we can find O 0, O 1,... open sets with diam (O n ) < ɛ and O = O n = O n. Let Y n = F (O n \(O 0... O n 1 )). The Y i are disjoint, Y i O i O, so Y i Y, and Y i = Y. Theorem 1.19 If X is Polish, there is F N closed and a continuous bijection φ : F X. Proof such that i) X = X; Using the previous lemma, we build a tree (X σ : σ N <ω ) of F σ -sets ii) X σ = i=0 X σ i; iii) X τ X σ if τ σ; iv) diam (X σ ) < 1 σ ; v) if i j, then X σ i X σ j =. If f N, then X f n contains at most one point. Let F = { f N : x X x X f n }. Let φ : F X such that φ(f) = X f n. As above φ is continuous. By v) φ is one-to-one. For any x X we can build a sequence σ 0 σ 1... such that x X σn. We need only show that F is closed. Suppose (f n ) is a Cauchy sequence in F. Suppose f n f N. We must show f F. For any n there is an m such that f i n = f m n for i > m. But then d(φ(f i ), φ(f m )) < 1 n. Thus φ(f n) is a Cauchy sequence. Suppose φ(f n ) x. Then x X f n = X fn, so φ(f) = x and f F. Exercise 1.20 Prove that if X and Y are closed subsets of N with X Y then there is a continuous f : Y X such that f X is the identity (we say that X is a retraction of Y). Use this to deduce 1.17 from Cantor Bendixson analysis We next show that the Continuum Hypothesis is true for Polish spaces, and closed subsets of Polish spaces. Definition 1.21 Let X be a Polish space. We say that P X is perfect if X is a closed set with no isolated points. n=0 Note that is perfect. Nonempty perfect sets have size 2 ℵ0. 7

8 Lemma 1.22 If P X is a nonempty perfect set, then there is a continuous injection f : C P. Indeed, there is a perfect F P, homeomorphic to C. In particular P = 2 ℵ0. Proof We build a tree (U σ : σ 2 <ω ) of nonempty open subsets of X such that: i) U = X; ii) U τ U σ for σ τ; iii) U σ 0 U σ 1 = ; iv) diam (U σ ) < 1 σ ; v) U σ P ; Suppose we are given U σ with U σ P. Because P is perfect, we can find x 0 and x 1 U σ P with x 0 x 1. We can choose U σ 0 and U σ 1 disjoint open neighborhoods of x 0 and x 1, respectively such that U σ i U σ and diam (U σ i ) < 1 σ+1. This allows us to build the desired tree. By Lemma 1.5, we can define f : C P such that {f(x)} = U x n = U x n = U x n P. n=0 n=0 It is easy to check that f is continuous and one-to-one. Since f is continuous and C is compact, F = f(c) is closed. By construction F is perfect. The map f : C F is open and hence a homeomorphism. Exercise 1.23 Suppose f : C X is continuous and one-to-one. Prove that f(c) is perfect. Consider Q as a subspace of R. As a topological space Q is closed and has no isolated points. Since Q = ℵ 0, Q is not a Polish space. We next analyze arbitrary closed subsets of Polish spaces. Let X be a Polish space. Let U 0, U 1,... be a countable basis for the open sets of X. If F X is closed, let F 0 be the isolated points of F. For each x F 0 we can find i x such that U ix F = {x}. Thus F 0 is countable and F \ F 0 = F \ x F 0 U ix is closed. Definition 1.24 If F X is closed, the Cantor Bendixson derivative is n=0 Γ(F ) = {x F : x is not an isolated point of F }. For each countable ordinal α < ω 1, we define Γ α (F ) as follows: i) Γ 0 (F ) = F ; ii) Γ α+1 (F ) = Γ(Γ α (F )); iii) Γ α (F ) = Γ β (F ). β<α 8

9 Lemma 1.25 Suppose X is a Polish space and F X is closed. i) Γ α (F ) is closed for all α < ω 1 ; ii) Γ α+1 (F ) \ Γ α (F ) ℵ 0 ; iii) if Γ(F ) = F, then F is perfect, and Γ α (F ) = F for all α < ω 1. iv) there is an ordinal α < ω 1 such that Γ α (F ) = Γ α+1 (F ) Proof i) iii) are clear. For iv), let U 0, U 1,... be a countable basis for X. If Γ α+1 \ Γ α, we can find n α N such that U nα isolates a point of Γ α (F ). By construction U nα does not isolate a point of Γ β (F ) for any β < α. Thus n α n β for any β < α. If there is no ordinal α with Γ α (F ) = Γ α+1 (F ), then α n α is a one-to-one function from ω 1 into N, a contradiction. The Cantor Bendixson rank of F, is the least ordinal α such that Γ α (F ) = Γ α+1 (F ). Exercise 1.26 Show that for all α < ω 1, there is a closed F R with Cantor Bendixson rank α. Theorem 1.27 If X is a Polish space and F X is closed, then F = P A where P is perfect (possibly empty), A is countable and P A =. Proof If F X is a closed set of Cantor Bendixson rank α < ω 1, then F = P A where P = Γ α (F ) and A = β<α Γβ+1 (F ) \ Γ β (F ). Clearly A is countable and A P =. Corollary 1.28 If X is a Polish space. and F X is an uncountable closed set then F contains a nonempty perfect set and F = 2 ℵ0. Also, if Y X is an uncountable F σ -set, then Y contains a perfect set. In particular every uncountable Polish space has cardinality 2 ℵ0. Exercise 1.29 Show that there is an uncountable A R such that no subset of A is perfect. [Hint: Build A be diagonalizing against all perfect sets. You will need to use a well-ordering of R.] Polish subspaces Suppose X is a Polish space and F X is closed. If (x n ) is a Cauchy sequence with each x n F, then lim x n F. Thus F is also a Polish space. If U X is open, then Cauchy sequences in U, may not converge to elements of U. For example, (0, 1) R and 1 n 0 (0, 1). The next lemma shows that when U is open we are able to define a new complete metric on U compatible with the topology. Lemma 1.30 If X is a Polish space and U X is open, then U (with the subspace topology) is Polish. 9

10 Proof Let d be a complete metric on X compatible with the topology, we may assume d < 1. Let d(x, y) = d(x, y) + 1 d(x, X \ U) 1 d(y, X \ U). It is easy to see that d(x, x) is a metric. Since d(x, y) d(x, y), every d-open, set is d-open. Suppose x U, d(x, X \U) = r > 0 and ɛ > 0. Choose δ > 0 such that if 0 < η δ, then η + η r(r η) < ɛ. If d(x, y) < δ, then d(y, X \ U) > r δ. Hence d(x, y) δ + 1 r 1 r + δ δ + δ r(r δ) < ɛ. Thus the d-ball of radius ɛ around x, contains the d-ball of radius δ. Hence every d-open subset is open. Thus d is compatible with the subspace topology on U. We need only show d is complete. Suppose (x n ) is a d-cauchy sequence. Then (x n ) is also a d-cauchy sequence, so there is x X such that x n x. In addition for each n lim 1 i,j d(x i, X \ U) 1 d(x j, X \ U) = 0. Thus there is r R such that In particular, 1 d(x i,x\u) lim i 1 d(x i, X \ U) = r. is bounded away from 0 and d(x, X \ U) > 0. Thus x U. Hence d is a complete metric on U and U is a Polish space. We can generalize this a bit further. Recall that Y X is a G δ -set if Y is a countable intersection of open sets. The G δ -sets are exactly the complements of F σ -sets. Thus every open set is G δ and every closed set is G δ. Corollary 1.31 If X is a Polish space and Y X is G δ, then Y is a Polish space. Proof Let Y = O n where each O n is open. Let d n be a complete metric on O n compatible with the topology. We may assume that d n < 1. Let d(x, y) = n=0 1 2 n+1 d n(x, y). If (x i ) is a d-cauchy sequence, then (x i ) is d n -Cauchy for each n. Thus there is x X such that each x i x in each O n. Since each O n is complete x O n = Y. Hence d is complete. Corollary 1.32 If X is a Polish space and Y X is an uncountable G δ -set, then Y contains a perfect set. 10

11 Can we generalize Corollary 1.31 further? We already saw that Q R is not a Polish subspace. Since Q is countable it is F σ. Thus we can not generalize this to F σ -sets. Indeed the converse to the corollary is true. Theorem 1.33 If X is a Polish space, then Y X is a Polish subspace if and only if Y is a G δ -set. Proof Suppose Y is a Polish subspace of X. Let d be a complete metric on Y compatible with the subspace topology. Let U 0, U 1,... be a basis of open subsets of X. If x Y and ɛ > 0, then for any open neighborhood V of X there is U n V such that x U n and diam (Y U n ) < ɛ, where the diameter is computed with respect to d. Let A = {x Y : ɛ > 0 n x U n diam (Y U n ) < ɛ}. Then A = m=1 {Un : diam (Y U n ) < 1 m } is a G δ -set and Y A. Suppose x A. For all m > 0, there is U nm such that x U nm and diam (Y U nm ) < ɛ. Since Y is dense in A, for each m we can find y m Y U n1... U nm. Then y 1, y 2,... is a Cauchy sequence converging to x. Hence x Y. Thus Y = A is a G δ -set. Corollary 1.34 Every Polish space is homeomorphic to a G δ -subset of H. Proof By 1.4, if X is Polish space, then X is homeomorphic to a subspace Y of H. By 1.33 Y is a G δ -subset of X. Spaces of L-structures We conclude this section with another important example of a Polish space. Let L be a countable first-order language. Let Mod(L) be the set of all L-structures with universe N. We will define two topologies on Mod(L). Let {c 0, c 1,...} be a set of countably many distinct new constant symbols and let L = L {c 0, c 1,...}. If M Mod(L), then we can naturally view M as an L -structure by interpreting the constant symbol c i as i. If φ is an L -sentence, let B φ = {M Mod(φ) : M = φ}. Let τ 0 be the topology with basic open sets {B φ : φ a quantifier-free L -formula} and let τ 1 be the topology with basic open sets {B φ : φ an L -formula}. Clearly the topology τ 1 -refines τ 0. Theorem 1.35 (Mod(L), τ 0 ) and (Mod(L), τ 1 ) are Polish spaces. We give one illustrative example to show that (Mod(L), τ 0 ) is a Polish space. Suppose L = {R, f, c} where R is a binary relation symbol, f is a binary function symbol and c is a constant symbol. Let X be the Polish space 2 N2 N N2 N, with the product topology. If M is an L-structure, let R M, f M and c M be 11

12 the interpretation of the symbols of L in M and let χ R M : N 2 2 be the characteristic function of R M. The function M (χ R M, f M, c M ) is a bijection between Mod(L) and X. We will prove (Mod(L), τ 0 ) is Polish by showing that this map is a homeomorphism. Let Y 0 = {(g, h, n) X : g(i, j) = 1}, Y 1 = {(g, h, n) : h(i, j) = k}, Y 3 = {(g, h, n) X : n = m}. The inverse images of these sets are the basic clopen sets B R(ci,c j), B f(ci,c j)=c k and B cm=c, respectively. It follows that this map is continuous. We need to show that if φ is quantifier-free, then the image of B φ is clopen. This is an easy induction once we show it for atomic formulas. For formulas of the form R(c i, c j ) or f(c i, c j ) = c k, this is obvious. A little more care is needed to deal with formulas built up from terms. For example, let φ be the formula f(c 0, f(c 1, c 2 )) = c 3. Then the image of B φ is Y = {(g, h, n) : h(0, h(1, 2)) = 3}. Then Y = i N{(g, h, n) : h(1, 2) = i h(0, i) = 3} is open and Y = i N {(g, h, n) : h(1, 2) = i h(0, i) = j} j 3 is open. Thus Y is clopen. This idea can be generalized to all atomic φ. Exercise 1.36 Give a detailed proof that (Mod(L), τ 0 ) is a Polish space for any countable first order language L. Next, we consider (Mod(L), τ 1 ). Let S be all L -sentences. Then 2 S with the product topology is a Polish space homeomorphic to the Cantor space. Let X be the set of all f 2 S such that i) {φ S : f(φ) = 1} is consistent; ii) for all φ we have f(φ) = 0 f( φ) = 1; iii) f(c i = c j ) = 0 for i j; iv) for all φ, if f( vφ(v)) = 1, then f(φ(c m )) = 1 for some m N. Lemma 1.37 X is G δ -subset of 2 S. Proof Let X 1 = {f : {φ : φ(f) = 1}} is consistent. Let I be the set of finite subsets of S that are inconsistent. Then X 1 = A I{f : f(φ) = 0 for some φ A} and X 1 is closed. Also and X 2 = φ S{f : f(φ) = 0 f( φ) = 1} X 3 = i j{f : f(c i = c j ) = 0} 12

13 are closed. Let F be the set of L -formulas with one free-variable. Then X 4 = ( {f : f( vφ(v)) = 0} n N{f ) : f(φ(c n )) = 1} φ F is G δ. Since X = X 1... X 4, X is G δ. Thus X is a Polish subspace of 2 S. If M Mod(L), let f M (φ) = 1 if M = φ and f M (φ) = 0 if M = φ. It is easy to see that f M X. If f X, then Henkin s proof of Gödel s Completeness Theorem shows that there is an L-structure M with universe N such that: i) if R is an n-ary relation symbol, then R M = {(n 1,..., n m ) : f(r(c n1,..., c nm ) = 1}; ii) if g is an m-ary function symbol, then g M : N m N is the function where g M (n 1,..., n m ) = k if and only if f(g(c n1,..., c nm ) = c nk ) = 1; iii) if c is a constant symbol, then c M = n if and only if f(c = c n ) = 1. Thus M f M is a bijection between Mod(L) and X. The image of B φ is {f X : f(φ) = 1}. Thus this map is a homeomorphism and Mod(L) is a Polish space. Spaces of Compact Sets We describe one more interesting example without giving proofs. For proofs see Kechris [6] 4.F. Definition 1.38 Let X be a topological space. Let K(X) be the collection of all compact subsets of X. The Vietoris topology on K(X) is the smallest topology such that for each open U X the sets {A K(X) : A U} and {A K(X) : A U } are open. Exercise 1.39 Suppose X is separable and D X is a countable dense set. Show that {A D : A finite} is a dense subset of K(X). Thus K(X) is separable. Definition 1.40 Suppose X is a metric space. We define the Hausdorff metric on K(X) by ( ) d H (A, B) = max max d(a, B), max d(b, A). a A b B Exercise 1.41 Show that the Hausdorff metric on K(X) is compatible with the Vietrois topology. Theorem 1.42 If d is a complete metric on X, then d H is a complete metric on K(X). In particular, if X is a Polish space, then so is K(X). In 2.20 we show that {A X : A is finite} is an F σ subset of K(X). 13

14 2 Borel Sets Definition 2.1 If X is any set, a σ-algebra on X is a collection of subsets of X that is closed under complement and countable union. A measure space (X, Ω) is a set X equipped with a σ-algebra Ω. If (X, Ω X ) and (Y, Ω Y ) are measure spaces, we say f : X Y is a measurable function if f 1 (A) Ω X for all A Ω Y. We say that (X, Ω X ) and (Y, Ω Y ) are isomorphic if and only if there is a measurable bijection with measurable inverse. Definition 2.2 If X is a topological space, the class of Borel sets B(X) is the smallest σ-algebra containing the open sets. If X and Y are topological spaces, we say that f : X Y is Borel measurable if it is a measurable map between the measure spaces (X, B(X)) and (Y, B(Y )). We say that a measure space (X, Ω) is a standard Borel space if there is a Polish space Y such that (X, Ω) is isomorphic to (Y, B(Y )). Lemma 2.3 Suppose X and Y are topological spaces and f : X Y. i) f is Borel measurable if and only if the inverse image of every open set is Borel. ii) If Y is separable, then f is Borel measurable if and only if the inverse image of every basic open set is Borel. iii) If Y is separable and f : X Y is Borel measurable, then the graph of f is Borel. Proof If f : X Y is Borel measurable, then the inverse image of every open set is Borel. i) Let Ω = {A B(Y ) : f 1 (A) B(X)}. Suppose every open set is in Ω. If A Ω, then f 1 (Y \A) = X \f 1 (A) is Borel and X \A Ω. If A 0, A 1,... Ω, then f 1 ( A i ) = f 1 (A i ) is Borel and (A i ) Ω. ii) Suppose O is open. There are basic open sets U 0, U 1,... such that O = Ui. Then f 1 (O) = f 1 (U i ) is a countable union of Borel sets and hence Borel. iii) Let U 0, U 1,... be a basis for the topology of Y. Then the graph of f is ({(x, y) : y U n } {(x, y) : x f 1 (U n )}. n=0 Since each f 1 (U n ) is Borel so is the graph of f. By ii) any continuous f : X Y is Borel measurable. We will see later that the converse of iii) is also true. Since Ai = X \ (X \ A i ), any σ-algebra is also closed under countable intersections. Thus B(X) contains all of the open, closed, F σ, and G δ sets. We could generalize this further by 14

15 taking F σδ, intersections of F σ -sets, G δσ, unions of G δ -sets, F σδσ, G δσδ.... There is a more useful way of describing these classes. Definition 2.4 Let X be a metrizable space. For each α < ω 1 we define Σ 0 α(x) and Π 0 α (X) P(X) as follows: Σ 0 1 (X) is the collection of all open subsets of X; Π 0 α(x) is the collection of all sets X \ A where A Σ 0 α(x); For α > 1, Σ 0 α (X) is the collection of all sets X = A i where each A i Π 0 β i (X) for some β i < α. We say that A 0 α(x) if A Σ 0 α(x) and A Π 0 α(x). When we are working in a single space we omit the X and write Σ 0 α and Π 0 α instead of Σ 0 α (X) and Π0 α (X). Closed sets are Π 0 1, F σ-sets are Σ 0 2, G δ-sets are Π 0 2,.... Lemma 2.5 Suppose X is metrizable. i) Σ 0 α Π 0 α 0 α+1 for all α < ω 1. ii) B(X) = α<ω 1 Σ 0 α. iii) If X is infinite, then B(X) = 2 ℵ0. Proof In any metric space every open set is both F σ and G δ, thus Σ 0 1 Π i) then follows easily by induction. An easy induction shows that any σ-algebra containing the open sets must contain Σ 0 α for each α < ω 1. iii) If U 0, U 1,... is a basis for the topology, then every open set is of the form n S U n for some S N, thus Σ 0 α 2 ℵ0. Clearly Π 0 α = Σ 0 α. Suppose α < ω 1 and Π 0 β for all β < α. Then 2ℵ0 β<α Π0 β < α and if F is the set of f : N β<α Π0 β, then F ) (2ℵ0 ℵ0 = 2 ℵ0 and for any A Σ 0 α, there is f F such that A = f(n). Thus Σ 0 α 2 ℵ0. Thus B(X) = ℵ 1 2 ℵ0 = 2 ℵ0. α<ω 1 Σ 0 α If X is infinite, then every countable subset of X is Σ 0 2. Hence B(X) = 2 ℵ0. We state the basic properties of these classes. Lemma 2.6 i) Σ 0 α is closed under countable unions and finite intersections. ii) Π 0 α is closed under countable intersections and finite unions. iii) 0 α is closed under finite unions, finite intersections and complement. iv) Σ 0 α, Π0 α and 0 α are closed under continuous inverse images. Proof We prove i) and ii) simultaneously by induction on α. We know that i) holds for the open sets. By taking complements, it is easy to see that if Σ 0 α is closed under countable unions and finite intersections, then Π 0 α is closed under countable intersections and finite unions. Suppose α > 0. A 0, A 1,... Σ 0 α. Let A i = j=0 B i,j where each B i,j Π 0 β for some β < α. Then A i = B i,j Σ 0 α. i=0 i=0 j=0 15

16 Suppose we have proved ii) for all β < α. Then A 0 A 1 = i=0 j=0 (B 0,i B 0,j ) and each B 0,i B 0,j is Π 0 β for some β < α. Thus A 0 A 1 is Σ 0 α. iii) is immediate from i) and ii). iv) Suppose f : X Y is continuous. We prove that if A Y is Σ 0 α (respectively Π 0 α ), then so is f 1 (A). If α = 0, this is clear. Since f 1 ( A i ) = f 1 (A) and f 1 (Y \ A) = X \ f 1 (A), this follows easily by induction. Corollary 2.7 If A X Y is Σ 0 α (respectively Π 0 α or 0 α) and a Y, then {x X : (x, a) Y } is Σ 0 α. Proof The map x (x, a) is continuous. Exercise 2.8 Suppose X is a Polish space and Y is a subspace of X. a) Show that Σ 0 α (Y ) = {Y A : A Σ0 α (X)} and Π0 α (Y ) = {Y A : A Σ0 α (X)}. b) This does not necessarily work for 0 α. Show that 0 2(Q) {Q A : A 0 2 (Q)}. Examples We give several examples. Example 2.9 If A X is countable, then A Σ 0 2. Point are closed, so every countable set is a countable union of closed sets. Example 2.10 Let A = {x N : x is eventually constant}. Then A is Σ 0 2. x A if and only if m n > m x(n) = x(n + 1). If A n = {x : x(n) = x(n + 1)}, then A n is clopen and A = m=0 n>m is Σ 0 2. Example 2.11 Let A = {x N : x is a bijection}. Then A is Π 0 2. Let A 0 = {x : n m (n m x(n) x(m))}. Then A 0 = {x : x(n) x(m)} n=0 n m A n 16

17 is closed. Let A 1 = {x : n m x(m) = n}. Then A 1 = is Π 0 2 and A = A 0 A 1 is Π 0 2. n=0 m=0 {x : x(m) = n} As these examples make clear, existential quantification over N (or Q or any countable set) corresponds to taking countable union, while universal quantification over a countable set corresponds to taking a countable intersection. Example 2.12 For x 2 N2 we can view x as coding a binary relation R x on N, by (i, j) R f if and only if x(i, j) = 1. Then LO = {x : R x is a linear order} is a Π 0 1 -set and DLO = {x LO : R x is a dense linear order} is Π 0 2. x LO if and only if the following three conditions hold n m (x(n, m) = 0 x(m, n) = 0) n m (n = m x(n, m) = 1 x(m, n) = 1) n m k (x(n, m) = x(m, k) = 1 x(n, k) = 1. Thus LO is Π 0 1. x DLO if and only if x LO and Thus DLO is Π 0 2. n m (x(n, m) = 1 k x(n, k) = x(k, m) = 1). Example 2.13 Let A be a countable set. T r A = {x 2 A<ω : x is a tree}. Then T r A is Π 0 1. The set {x T r 2 : x has an infinite path} is also Π 0 1. x T r A if and only if σ τ σ (x(σ) = 1 x(τ) = 1). By König s Lemma, a binary tree T has an infinite path if and only if T is infinite. Thus x W F 2 if and only if x T r 2 and n σ 2 n x(σ) = 1 At first this looks Π 0 2, but the existential quantifier is only over a finite set. Indeed W F 2 = {x : x(σ) = 1} n N σ 2 n and σ 2n{x : x(σ) = 1} is a clopen set. Example 2.14 We say that x C is normal if lim n 1 n + 1 n x(i) = 1 2. i=0 17

18 Let N = {x C : x is normal}. x is normal if and only if ( 1 k > 0 m n n > m 2 1 n + 1 If then A n,k is clopen and Hence N is a Π 0 3 -set. { 1 A n,k = x C : 2 1 n + 1 N = k=1 m=0 n m Example 2.15 Models of a first order theory. ) n x(i) < 1. k i=0 } n x(i) < 1, k i=0 A n,k. Suppose L is a first order language. Let L, Mod(L), τ 0 and τ 1 be as in Suppose φ is an L ω 1,ω-sentence. Let Mod(φ) = {M Mod(L) : M = φ}. We claim that Mod(φ) is a Borel subsets of Mod(L). It is enough to prove this for the weaker topology τ 0. In τ 0, if φ is quantifier-free then Mod(φ) is clopen. The claim follows by induction since, and Mod( φ) = Mod(L) \ Mod(φ), Mod( φ i ) = Mod(φ i ) i=1 Mod( v φ(v)) = If T is a first order L-theory, then is Borel. i=0 Mod(φ(c n )). n=0 Mod(T ) = Mod(φ) φ T Exercise 2.16 Show that if φ is a first order L -sentence, then Mod(φ) is Σ 0 n for some n. (hint: prove that n depends only on the quantifier rank of φ.) Conclude that if T is a first order theory, then Mod(T ) is Π 0 ω. In the topology τ 1, Mod(φ) is clopen for all first order φ. Thus Mod(T ) is closed. Example 2.17 Isomorphism classes of structures. 18

19 Suppose M Mod(L). There is φ M L ω1,ω, the Scott sentence of M (see [11] ) such that if M 1 is a countable L-structure, then M = M 1 if and only if M 1 = φ M. Thus is a Borel set. {M 1 M : M 1 = M} = Mod(φM ) Example 2.18 Let X = C(I) I and let D = {(f, x) : f is differentiable at x}. Then D Π 0 3. f is differentiable at x if and only if n m p, q Q [0, 1] ( x p < 1 m x q < 1 m ) (f(p) f(x))(q x) (f(q) f(x))(p x) 1 n (p x)(q x). The inner condition is closed in C(I) I so this set is Π 0 3. Example 2.19 If X is a Polish space, then {(A, B) K(X) 2 : A B} is Π 0 2. If a A \ B, then there is a basic open set U such that a U and U B =. Fix U 0, U 1,... a basis for X. Then A B if and only if This is a Π 0 2 definition. n (U n B = U n A = ). Example 2.20 Suppose X is a Polish space. Then {A X : A is finite} is an F σ subset of K(X). A is finite if and only there are basic open set U 1,..., U n such that A U 1... U n such that if V i and V j are disjoint basic open subsets of U i, then A V 0 = or A V 1 =. Fix U 0, U 1,... a basis for the open sets. If F N is finite, then B F = {A : A V i } is open. Let S F = {(i, j) N : U i and U j are disjoint subsets of U k for some k F }. The set C i,j = {A : A U i = or A U j = } is closed. Thus {A K(X) : A is finite } = (B F ) C i,j F N finite (i,j) S F is Σ 0 2. i F Exercise 2.21 Show that {A K(X) : A is perfect} is Π

20 Changing the Topology Suppose X is a Polish space, let τ be the topology of X. We will often prove interesting results about Borel sets A X, by refining τ to a new topology τ 1 with the same Borel sets such that A is clopen in the new topology. We start with one preparatory lemma. Lemma 2.22 Suppose X and Y are disjoint Polish spaces. The disjoint union X Y is the space X Y where U X Y is open if and only if U X and U Y are both open. Then X Y is a Polish space. Proof Let d X be a compatible metric on X and d Y be a compatible metric on Y with d X < 1 and d Y < 1. Define d on X Y by { dx (x, y) if x, y X d(x, y) = d Y (x, y) if x, y Y 2 otherwise. It is easy to see that X and Y are clopen in this topology and the open subsets of X Y are unions of open subsets of X and open subsets of Y. Any Cauchy sequence must be eventually in either X or Y and converges in the original topology so this is a complete metric. Lemma 2.23 Let X be a Polish space with topology τ. Suppose F X is closed. There is a Polish topology τ 1 on X refining τ such that F is clopen in τ 1, and τ and τ 1 have the same Borel sets. Proof We know that X \ F has a Polish topology and F has a Polish topology. Let τ 1 be the Polish topology on the disjoint union of X \ F and F. Then F is open. The open subsets of τ 1 are either open in τ or intersections of τ open sets with F. In particular they are all Borel in τ. Thus the Borel sets of τ 1 are the Borel sets of τ. Theorem 2.24 Let X be a Polish space with topology τ. Suppose A X is Borel. There is a Polish topology τ on X such that A is clopen and τ has the same Borel sets as τ. Proof Let Ω = {B B(X) : there is a Polish topology on X such that B is clopen. By the previous lemma, if B is open or closed, then B Ω and Ω is closed under complements. Claim Ω is closed under countable intersections. Suppose A 0, A 1,... Ω and B = A i. Let τ i be a Polish topology on X such that A i is clopen in τ i and τ and τ i have the same Borel sets. The product (X, τi ) is a Polish space. Let j : X (X, τ i ) be the diagonal embedding j(x) = (x, x, x,...). Let τ be the topology j 1 (U) where U is an open subset in the product topology. Because j(x) is a closed subset of the product, this is a Polish topology. A sub-basis for the topology τ can be obtained by taking inverse images of set {f : f(i) O i } where O i is an open set in τ i. Thus τ has a sub-basis of τ-borel sets and every τ -Borel set is τ-borel. 20

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