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Ordinal exponentiation exists and is unique, with the limit clause taken over 0<β<λ0 < \beta < \lambda so that 0λ=00^{\lambda} = 0

Statement

Fix an ordinal α\alpha (Ordinal (von Neumann)). There is exactly one class function βeα(β)\beta \mapsto \mathrm{e}_\alpha(\beta), defined at every ordinal β\beta, satisfying the three clauses

eα(0)=1,eα(β+)=eα(β)α,eα(λ)={eα(β):βλ and β0}  (λ a limit ordinal),\mathrm{e}_\alpha(0) = 1, \qquad \mathrm{e}_\alpha(\beta^{+}) = \mathrm{e}_\alpha(\beta) \cdot \alpha, \qquad \mathrm{e}_\alpha(\lambda) = \bigcup\{\, \mathrm{e}_\alpha(\beta) : \beta \in \lambda \text{ and } \beta \ne 0 \,\} \ \ (\lambda \text{ a limit ordinal}),

with \cdot the ordinal multiplication of Ordinal multiplication αβ\alpha \cdot \beta, and every value eα(β)\mathrm{e}_\alpha(\beta) is an ordinal.

The limit clause runs over 0<β<λ0 < \beta < \lambda, and that restriction is not cosmetic. With the unrestricted clause eα(λ)={eα(β):βλ}\mathrm{e}_\alpha(\lambda) = \bigcup\{\mathrm{e}_\alpha(\beta) : \beta \in \lambda\} the value e0(0)=1\mathrm{e}_0(0) = 1 would be one of the sets united, so e0(ω)\mathrm{e}_0(\omega) would come out 1\ge 1 and in fact equal to 11, whereas 00 raised to a limit must be 00. With the restriction above the single formula is correct for every α\alpha, including α=0\alpha = 0, and no case split on α\alpha is needed. For α1\alpha \ge 1 the restriction changes nothing, since then eα(0)=1α=eα(1)\mathrm{e}_\alpha(0) = 1 \le \alpha = \mathrm{e}_\alpha(1) and 1λ1 \in \lambda.

This is the well-definedness obligation discharged before ordinal exponentiation is written down; the operation itself is named in the definition that follows. The proof is a theorem of ZF and uses no choice principle.

Facts & Assumptions

Given: A fixed ordinal α\alpha and the axioms of ZF. No choice principle is assumed. For a function hh, ran(h)\operatorname{ran}(h) is its range, and hXh \restriction X its restriction to XX.

[L1]

Recursion along the ordinals: for a class function GG assigning a set to every function whose domain is an ordinal there is exactly one class function FF, defined at every ordinal, with F(β)=G(Fβ)F(\beta) = G(F \restriction \beta) for all β\beta (Transfinite recursion along the ordinals: a class rule determines exactly one operation defined at every ordinal).

[L2]

Every ordinal is exactly one of: 00, a successor ordinal δ+\delta^{+} with δ\delta uniquely determined, or a limit ordinal (Successor and limit ordinals).

[L3]

A\bigcup A is an ordinal for every set AA of ordinals, and is its least upper bound (claim (e) of Basic closure properties of ordinals).

[L4]

μα\mu \cdot \alpha is an ordinal whenever μ\mu and α\alpha are (Ordinal multiplication αβ\alpha \cdot \beta, Ordinal multiplication exists and is unique, and its values are ordinals).

[L5]

Every nonempty set of ordinals has an \in-least element (Trichotomy and well-ordering of the ordinals), and {ξβ0+:P(ξ)}\{\xi \in \beta_0^{+} : P(\xi)\} is such a set whenever P(β0)P(\beta_0) holds and PP is a property of ordinals.

Proof

technique · direct
1.1

Define a class function GG on functions hh whose domain is an ordinal β\beta by: G(h)=1G(h) = 1 if β=0\beta = 0; G(h)=h(δ)αG(h) = h(\delta) \cdot \alpha if β=δ+\beta = \delta^{+}; and G(h)=ran(h(β{0}))G(h) = \bigcup \operatorname{ran}(h \restriction (\beta \setminus \{0\})) if β\beta is a limit ordinal.

construct
1.2

The three cases are exhaustive and mutually exclusive by [L2], and δ\delta is determined by β=δ+\beta = \delta^{+}, so G(h)G(h) is a well-determined set for every such hh and the rule is a formula.

L2L4
2.1

By [L1] there is exactly one class function eα\mathrm{e}_\alpha, defined at every ordinal, with eα(β)=G(eαβ)\mathrm{e}_\alpha(\beta) = G(\mathrm{e}_\alpha \restriction \beta) for every ordinal β\beta.

step 1.1step 1.2L1
3.1

Unwinding the three cases of GG: eα(0)=G()=1\mathrm{e}_\alpha(0) = G(\varnothing) = 1; eα(δ+)=(eαδ+)(δ)α=eα(δ)α\mathrm{e}_\alpha(\delta^{+}) = (\mathrm{e}_\alpha \restriction \delta^{+})(\delta) \cdot \alpha = \mathrm{e}_\alpha(\delta) \cdot \alpha, since δδ+\delta \in \delta^{+}; and for a limit λ\lambda, eα(λ)={eα(β):βλ and β0}\mathrm{e}_\alpha(\lambda) = \bigcup\{\mathrm{e}_\alpha(\beta) : \beta \in \lambda \text{ and } \beta \ne 0\}, because the domain of eαλ\mathrm{e}_\alpha \restriction \lambda is λ\lambda and removing 00 from it removes exactly the value at 00.

step 2.1step 1.1
4.1

Every value is an ordinal: were eα(β0)\mathrm{e}_\alpha(\beta_0) not an ordinal for some β0\beta_0, [L5] would give a least μβ0+\mu \in \beta_0^{+} with eα(μ)\mathrm{e}_\alpha(\mu) not an ordinal, and each of the three cases refutes that, since 11 is an ordinal, eα(δ+)=eα(δ)α\mathrm{e}_\alpha(\delta^{+}) = \mathrm{e}_\alpha(\delta) \cdot \alpha is an ordinal by [L4] because δμ\delta \in \mu makes eα(δ)\mathrm{e}_\alpha(\delta) an ordinal, and at a limit the set united is a set of ordinals, so its union is an ordinal by [L3].

step 3.1L2L3L4L5
4.2

Uniqueness: a class function t\mathrm{t} defined at every ordinal and satisfying the three displayed clauses satisfies t(β)=G(tβ)\mathrm{t}(\beta) = G(\mathrm{t} \restriction \beta) for every β\beta, one case at a time, so t=eα\mathrm{t} = \mathrm{e}_\alpha by the uniqueness half of [L1].

step 3.1step 2.1L1L2
5.1

Hence exactly one class function on the ordinals satisfies the three clauses, and all its values are ordinals.

step 4.1step 4.2step 3.1

Remarks

The value at α=0\alpha = 0, worked out, and what the naive clause breaks. By the clauses, e0(0)=1\mathrm{e}_0(0) = 1 and e0(1)=e0(0)0=10=0\mathrm{e}_0(1) = \mathrm{e}_0(0) \cdot 0 = 1 \cdot 0 = 0, and then e0(β)=0\mathrm{e}_0(\beta) = 0 for every β>0\beta > 0; at a limit λ\lambda the restricted union is {0}=0\bigcup\{0\} = 0, as it should be. Had the union run over all βλ\beta \in \lambda it would have contained e0(0)=1\mathrm{e}_0(0) = 1, giving e0(ω)={1,0}=1\mathrm{e}_0(\omega) = \bigcup\{1, 0\} = 1. That is not merely unattractive: it falsifies the exponent law αβ+γ=αβαγ\alpha^{\beta + \gamma} = \alpha^{\beta} \cdot \alpha^{\gamma} of αβ+γ=αβαγ\alpha^{\beta+\gamma} = \alpha^{\beta}\cdot\alpha^{\gamma} and (αβ)γ=αβγ(\alpha^{\beta})^{\gamma} = \alpha^{\beta\cdot\gamma}; and for α>1\alpha > 1 exponentiation is strictly increasing with βαβ\beta \le \alpha^{\beta} at α=0\alpha = 0, β=1\beta = 1, γ=ω\gamma = \omega, since 1+ω=ω1 + \omega = \omega makes the left side 0ω=10^{\omega} = 1 while the right side is 010ω=01=00^{1} \cdot 0^{\omega} = 0 \cdot 1 = 0. Many texts avoid the issue by splitting the definition into a case α=0\alpha = 0 and a case α>0\alpha > 0; the restricted clause is the same definition without the split.

The convention 00=10^{0} = 1. The clause eα(0)=1\mathrm{e}_\alpha(0) = 1 applies to every α\alpha, so 00=10^{0} = 1 here. This is the convention that makes the successor clause uniform, and it is the one used in Ordinal exponentiation αβ\alpha^{\beta}, with the conventions α0=1\alpha^{0} = 1 and 00=10^{0} = 1 and everywhere below.

This is ordinal, not cardinal, exponentiation. The two operations share the notation αβ\alpha^{\beta} and disagree already at 2ω2^{\omega}, which is ω\omega here. Ordinal αβ\alpha^{\beta} and cardinal κλ\kappa^{\lambda} are different operations that share one notation sets out the difference; FALSE: the ordinal 2ω2^{\omega} is uncountable computes the value.

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