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1 1.10. BASICS CONCEPTS OF SET THEORY Basics Concepts of Set Theory Having learned some fundamental notions of logic, it is now a good place before proceeding to more interesting things, such as functions and relations, to go through a very quick review of some basic concepts of set theory. This section will take the very naive point of view that a set is a collection of objects, the collection being regarded as a single object. Having first-order logic at our disposal, we could formalize set theory very rigorously in terms of axioms. This was done by Zermelo first (1908) and in a more satisfactory form by Zermelo and Fraenkel in 1921, in a theory known as the Zermelo-Fraenkel (ZF) axioms. Another axiomatization was given by John von Neumann in 1925 and later improved by Bernays in 1937.

2 194CHAPTER 1. MATHEMATICAL REASONING, PROOF PRINCIPLES AND LOGIC AmodificationofBernay saxiomswasusedbykurt Gödel in This approach is now known as von Neumann-Bernays (VNB) or Gödel-Bernays (GB) set theory. However, it must be said that set theory was first created by Georg Cantor ( ) between 1871 and However, Cantor s work was not unanimously well received by all mathematicians. Cantor regarded infinite objects as objects to be treated in much the same way as finite sets, a point of view that was shocking to a number of very prominent mathematicians who bitterly attacked him (among them, the powerful Kronecker). Also, it turns out that some paradoxes in set theory popped up in the early 1900, in particular, Russell s paradox.

3 1.10. BASICS CONCEPTS OF SET THEORY 195 Russell s paradox (found by Russell in 1902) has to to with the set of all sets that are not members of themselves which we denote by R = {x x/ x}. (In general, the notation {x P } stand for the set of all objects satisfying the property P.) Now, classically, either R R or R / R. However, if R R, thenthedefinitionofr says that R / R; if R/ R, thenagain,thedefinitionofr says that R R! So, we have a contradiction and the existence of such a set is a paradox. The problem is that we are allowing a property (here, P (x) = x / x), which is too wild and circular in nature.

4 196CHAPTER 1. MATHEMATICAL REASONING, PROOF PRINCIPLES AND LOGIC As we will see, the way out, as found by Zermelo, is to place a restriction on the property P and to also make sure that P picks out elements from some already given set (see the Subset Axioms below). The apparition of these paradoxes prompted mathematicians, with Hilbert among its leaders, to put set theory on firmer grounds. This was achieved by Zermelo, Fraenkel, von Neumann, Bernays and Gödel, to only name the major players. In what follows, we are assuming that we are working in classical logic. We will introduce various operations on sets using defintion involving the logical connectives,,, and. In order to ensure the existence of some of these sets requires some of the axioms of set theory, but we will be rather casual about that.

5 1.10. BASICS CONCEPTS OF SET THEORY 197 Given a set, A,wewritethatsomeobject,a,isanelement of (belongs to) the set A as a A and that a is not an element of A (does not belong to A) as a/ A. When are two sets A and B equal? This corresponds to the first axiom of set theory, called Extensionality Axiom Two sets A and B are equal iff they have exactly the same elements, that is x(x A x B) x(x B x A). The above says: Every element of A is an element of B and conversely.

6 198CHAPTER 1. MATHEMATICAL REASONING, PROOF PRINCIPLES AND LOGIC There is a special set having no elements at all, the empty set, denoted. Thisisthe Empty Set Axiom There is a set having no members. This set is denoted and it is characterized by the property x(x / ). Remark: Beginners often wonder whether there is more than one empty set. For example, is the empty set of professors distinct from the empty set of potatoes? The answer is, by the extensionality axiom, there is only one empty set! Given any two objects a and b, wecanformtheset{a, b} containing exactly these two objects. Amazingly enough, this must also be an axiom:

7 1.10. BASICS CONCEPTS OF SET THEORY 199 Pairing Axiom Given any two objects a and b (think sets), there is a set, {a, b}, havingasmembersjusta and b. Observe that if a and b are identical, then we have the set {a, a}, whichisdenotedby{a} and is called a singleton set (this set has a as its only element). To form bigger sets, we use the union operation. This too requires an axiom. Union Axiom (Version 1) For any two sets A and B, thereisaset,a B, called the union of A and B defined by x A B iff (x A) (x B). This reads, x is a member of A B if either x belongs to A or x belongs to B (or both).

8 200CHAPTER 1. MATHEMATICAL REASONING, PROOF PRINCIPLES AND LOGIC We also write A B = {x x A or x B}. Using the union operation, we can form bigger sets by taking unions with singletons. For example, we can form {a, b, c} = {a, b} {c}. Remark: We can systematically construct bigger and bigger sets by the following method: Given any set, A, let A + = A {A}. If we start from the empty set, we obtain sets that can be used to define the natural numbers and the + operation corresponds to the successor function on the natural numbers, i.e., n n +1. Another operation is the power set formation. It is indeed a powerful operation, in the sense that it allows us to form very big sets.

9 1.10. BASICS CONCEPTS OF SET THEORY 201 For this, it is helpful to define the notion of inclusion between sets. Given any two sets, A and B, wesaythat A is a subset of B (or that A is included in B), denoted A B, iffeveryelementofa is also an element of B, i.e. x(x A x B). We say that A is a proper subset of B iff A B and A = B. Thisimpliesthatthatthereissomeb B with b/ A. WeusuallywriteA B. Observe that the equality of two sets can be expressed by A = B iff A B and B A. Power Set Axiom Given any set, A, thereisaset,p(a), (also denoted 2 A ) called the power set of A whose members are exactly the subsets of A, i.e., X P(A) iff X A.

10 202CHAPTER 1. MATHEMATICAL REASONING, PROOF PRINCIPLES AND LOGIC For example, if A = {a, b, c}, then P(A) ={, {a}, {b}, {c}, {a, b}, {a, c}, {b, c}, {a, b, c}}, asetcontaining8elements. Notethattheemptysetand A itself are always members of P(A). Remark: If A has n elements, it is not hard to show that P(A)has2 n elements. For this reason, many people, including me, prefer the notation 2 A for the power set of A. At this stage, we would like to define intersection and complementation. For this, given any set, A, andgivenaproperty,p,(specified by a first-order formula) we need to be able to define the subset of A consisting of those elements satisfying P. This subset is denoted by {x A P }.

11 1.10. BASICS CONCEPTS OF SET THEORY 203 Unfortunately, there are problems with this construction. If the formula, P,issomehowacirculardefinitionand refers to the subset that we are trying to define, then some paradoxes may arise! The way out is to place a restriction on the formula used to define our subsets, and this leads to the subset axioms, first formulated by Zermelo. These axioms are also called comprehension axioms or axioms of separation. Subset Axioms For every first-order formula, P, we have the axiom: A X x(x X iff (x A) P ), where P does not contain X as a free variable. (However, P may contain x free.) The subset axiom says that for every set, A, thereisa set, X, consistingexactlyofthoseelementsofa so that P holds. For short, we usually write X = {x A P }.

12 204CHAPTER 1. MATHEMATICAL REASONING, PROOF PRINCIPLES AND LOGIC As an example, consider the formula P (B,x) =x B. Then, the subset axiom says A X x(x A x B), which means that X is the set of elements that belong both to A and B. This is called the intersection of A and B, denotedby A B. Notethat A B = {x x A and x B}. We can also define the relative complement of B in A, denoted A B, givenbytheformulap (B,x) =x/ B, so that A B = {x x A and x/ B}.

13 1.10. BASICS CONCEPTS OF SET THEORY 205 In particular, if A is any given set and B is any subset of A, theseta B is also denoted B and is called the complement of B. Because, and satisfy the de Morgan laws (remember, we are dealing with classical logic), for any set X,the operations of union, intersection and complementation on subsets of X satisfy various identities, in particular the de Morgan laws A B = A B A B = A B A = A, and various associativity, commutativity and distributivity laws. So far, the union axiom only applies to two sets but later on we will need to form infinite unions. Thus, it is necessary to generalize our union axiom as follows:

14 206CHAPTER 1. MATHEMATICAL REASONING, PROOF PRINCIPLES AND LOGIC Union Axiom (Final Version) Given any set X (think of X as a set of sets), there is a set, X,definedsothat x X iff B(B X x B). This says that X consists of all elements that belong to some member of X. If we take X = {A, B}, wherea and B are two sets, we see that {A, B} = A B, and so, our final version of the union axiom subsumes our previous union axiom which we now discard in favor of the more general version.

15 1.10. BASICS CONCEPTS OF SET THEORY 207 Observe that {A} = A, {A1,...,A n } = A 1 A n. and in particular, =. Using the subset axiom, we can also define infinite intersections. For every nonempty set, X, thereisaset, X, defined by x X iff B(B X x B). Observe that {A, B} = A B, {A1,...,A n } = A 1 A n. Note that is not defined. Intuitively, it would have to be the set of all sets, but such a set does not exist, as we now show. This is basically a version of Russell s paradox.

16 208CHAPTER 1. MATHEMATICAL REASONING, PROOF PRINCIPLES AND LOGIC Theorem (Russell) There is no set of all sets, i.e., there is no set to which every other set belongs. Proof.LetA be any set. We construct a set, B, that does not belong to A. If the set of all sets existed, then we could produce a set that does not belong to it, a contradiction. Let B = {a A a/ a}. We claim that B/ A. Weproceedbycontradiction,so assume B A. However,bythedefinitionofB, wehave B B iff B A and B/ B. Since B A, theaboveisequivalentto B B iff B/ B, which is a contradiction. Therefore, B / A and we deduce that there is no set of all sets.

17 1.10. BASICS CONCEPTS OF SET THEORY 209 Remarks: (1) We should justify why the equivalence B B iff B/ B is a contradiction. What we mean by a contradiction is that if the above equivalence holds, then we can derive (falsity) and thus, all propositions become provable. This is because we can show that for any proposition, P,ifP P is provable, then is also provable. We leave the proof of this fact as an easy exercise for the reader. By the way, this holds classically as well as intuitionistically.

18 210CHAPTER 1. MATHEMATICAL REASONING, PROOF PRINCIPLES AND LOGIC (2) We said that in the subset axiom, the variable X is not allowed to occur free in P. AslightmodificationofRussell sparadoxshowsthat allowing X to be free in P leads to paradoxical sets. For example, pick A to be any nonempty set and set P (X, x) =x/ X. Then,lookatthe(alleged)set X = {x A x/ X}. As an exercise, the reader should show that X is empty iff X is nonempty! This is as far as we can go with the elementary notions of set theory that we have introduced so far. In order to proceed further, we need to define relations and functions, which is the object of the next Chapter.

19 1.10. BASICS CONCEPTS OF SET THEORY 211 The reader may also wonder why we have not yet discussed infinite sets. This is because we don t know how to show that they exist! Again, perhaps surprisingly, this takes another axiom, the axiom of infinity. Wealsohavetodefinewhenasetis infinite. However, we will not go into this right now. Instead, we will accept that the set of natural numbers, N, existsandisinfinite. Oncewehavethenotionof afunction,wewillbeabletoshowthatothersetsare infinite by comparing their size with that of N (This is the purpose of cardinal numbers, butthiswouldleadus too far afield).

20 212CHAPTER 1. MATHEMATICAL REASONING, PROOF PRINCIPLES AND LOGIC Remark: In an axiomatic presentation of set theory, the natural numbers can be defined from the empty set using the operation A A + = A {A} introduced just after the union axiom. The idea due to von Neumann is that the natural numbers, 0, 1, 2, 3,...,canbeviewedasconcisenotationsfor the following sets: 0= 1=0 + = { } = {0} 2=1 + = {, { }} = {0, 1} 3=2 + = {, { }, {, { }}} = {0, 1, 2}. n +1 = n + = {0, 1, 2,...,n}. However, the above subsumes induction! Thus, we have to proceed in a different way to avoid circularities.

21 1.10. BASICS CONCEPTS OF SET THEORY 213 Definition We say that a set, X, is inductive iff (1) X; (2) For every A X, wehavea + X. Axiom of Infinity There is some inductive set. Having done this, we make the Definition A natural number is a set that belongs to every inductive set. Using the subset axioms, we can show that there is a set whose members are exactly the natural numbers. The argument is very similar to the one used to prove that arbitrary intersections exist. Therefore, the set of all natural numbers, N, doesexist. The set N is also denoted ω.

22 214CHAPTER 1. MATHEMATICAL REASONING, PROOF PRINCIPLES AND LOGIC We can now easily show Theorem The set N is inductive and it is a subset of every inductive set. It would be tempting to view N as the intersection of the family of inductive sets, but unfortunately this family is not a set; it is too big to be a set. As a consequence of the above fact, we obtain the Induction Principle for N (Version 1): Any inductive subset of N is equal to N itself. Now, in our setting, 0 = and n + = n +1,sotheabove principle can be restated as follows: Induction Principle for N (Version 2): For any subset, S N, if0 S and n +1 S whenever n S, then S = N. We will see how to rephrase this induction principle a little more conveniently in terms of the notion of function in the next chapter.

23 1.10. BASICS CONCEPTS OF SET THEORY 215 Remarks: 1. We still don t know what an infinite set is or, for that matter, that N is infinite! This will be shown in the next Chapter (see Corollary 2.9.7). 2. Zermelo-Fraenkel set theory (+ Choice) has three more axioms that we did not discuss: The Axiom of Choice, the Replacement Axioms and the Regularity Axiom. Forourpurposes,onlytheAxiomofChoicewill be needed and we will introduce it in Chapter 2. Let us just say that the Replacement Axioms are needed to deal with ordinals and cardinals and that the Regularity Axiom is needed to show that every set is grounded. The Regularity Axiom also implies that no set can be amemberofitself,aneventualitythatisnotruledout by our current set of axioms!

24 216CHAPTER 1. MATHEMATICAL REASONING, PROOF PRINCIPLES AND LOGIC As we said at the beginning of this section, set theory can be axiomatized in first-order logic. To illustrate the generality and expressiveness of firstorder logic, we conclude this section by stating the axioms of Zermelo-Fraenkel set theory (for short, ZF )asfirst-orderformulae. The language of Zermelo-Fraenkel set theory consists of the constant, (for the empty set), the equality symbol, and of the binary predicate symbol,, for set membership. We will abbreviate (x = y) asx = y and (x y) as x/ y.

25 1.10. BASICS CONCEPTS OF SET THEORY 217 The axioms are the equality axioms plus the following seven axioms: A B( x(x A x B) A = B) x(x / ) a b Z x(x Z (x = a x = b)) X Y x(x Y B(B X x B)) A Y X(X Y z(z X z A)) A X x(x X (x A) P ) X( X y(y X y {y} X)), where P is any first order formula that does not contain X free. Axiom (1) is the extensionality axiom. Axiom (2) is the emptyset axiom. Axiom (3) asserts the existence of a set, Y,whose only members are a and b. Byextensionality,this set is unique and it is denoted {a, b}. We also denote {a, a} by {a}.

26 218CHAPTER 1. MATHEMATICAL REASONING, PROOF PRINCIPLES AND LOGIC Axiom (4) asserts the existence of set, Y,which is the union of all the set that belong to X. By extensionality, this set is unique and it is denoted X. When X = {A, B}, wewrite {A, B} = A B. Axiom (5) asserts the existence of set, Y,whichis the set of all subsets of A (the power set of A). By extensionality, this set is unique and it is denoted P(A) or2 A. Axioms (6) are the subset axioms (or axioms of separation). Axiom (7) is the infinity axiom, stated using the abbreviations introduced above.

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