Alphabeta Math
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Cantor normal form: every nonzero ordinal is ωβ0c0++ωβk1ck1\omega^{\beta_0}\cdot c_0 + \cdots + \omega^{\beta_{k-1}}\cdot c_{k-1} with β0>>βk1\beta_0 > \cdots > \beta_{k-1} and each cic_i a nonzero natural number, in exactly one way

Statement

Let α\alpha be an ordinal (Ordinal (von Neumann)) with α>0\alpha > 0. Then there is a natural number k1k \ge 1, a strictly decreasing list of ordinals β0>β1>>βk1\beta_0 > \beta_1 > \cdots > \beta_{k-1} and a list of natural numbers c0,,ck1c_0, \dots, c_{k-1} with 0<ci<ω0 < c_i < \omega, such that

α  =  ωβ0c0  +  ωβ1c1  +    +  ωβk1ck1,\alpha \;=\; \omega^{\beta_0} \cdot c_0 \;+\; \omega^{\beta_1} \cdot c_1 \;+\; \cdots \;+\; \omega^{\beta_{k-1}} \cdot c_{k-1},

and kk, the exponents βi\beta_i and the coefficients cic_i are uniquely determined by α\alpha. This expression is the Cantor normal form of α\alpha; the uniqueness is what licenses the definite article.

Indices run over the von Neumann natural k={0,1,,k1}k = \{0, 1, \dots, k-1\}, so the leading term is the one with index 00. Sums are unbracketed because ordinal addition is associative (Ordinal addition is associative), and powers bind tighter than products, which bind tighter than sums (Ordinal exponentiation αβ\alpha^{\beta}, with the conventions α0=1\alpha^{0} = 1 and 00=10^{0} = 1).

No choice principle is used.

Facts & Assumptions

Given: An ordinal α>0\alpha > 0. A normal-form datum of length kk, for a natural number k1k \ge 1, is a pair of functions iβii \mapsto \beta_i and icii \mapsto c_i with domain the von Neumann natural kk (The natural numbers N\mathbb{N} (von Neumann)), the βi\beta_i ordinals with βiβj\beta_i \in \beta_j whenever jij \in i, and the cic_i ordinals with 0<ci<ω0 < c_i < \omega. Its value is SkS_k, where S0=0S_0 = 0 and Sj+=Sj+ωβjcjS_{j^{+}} = S_j + \omega^{\beta_j} \cdot c_j for jkj \in k; this recursion is legitimate by Transfinite recursion along the ordinals: a class rule determines exactly one operation defined at every ordinal, and by associativity of ++ its value is the unbracketed sum displayed in the Statement.

[L1]

Exponent laws for a base >1> 1, in particular for ω\omega: β<γ\beta < \gamma implies ωβ<ωγ\omega^{\beta} < \omega^{\gamma}; βωβ\beta \le \omega^{\beta}; ωλ=sup{ωξ:ξλ}\omega^{\lambda} = \sup\{\omega^{\xi} : \xi \in \lambda\} is a limit ordinal for limit λ\lambda; ω0=1\omega^{0} = 1, ω1=ω\omega^{1} = \omega, ωβ>0\omega^{\beta} > 0, and ωβ+γ=ωβωγ\omega^{\beta + \gamma} = \omega^{\beta} \cdot \omega^{\gamma} (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}, Ordinal exponentiation αβ\alpha^{\beta}, with the conventions α0=1\alpha^{0} = 1 and 00=10^{0} = 1).

[L2]

For μ>0\mu > 0 and any ν\nu there are unique ξ,ρ\xi, \rho with ν=μξ+ρ\nu = \mu \cdot \xi + \rho and ρ<μ\rho < \mu (For α>0\alpha > 0 every ordinal β\beta is αξ+ρ\alpha \cdot \xi + \rho with ρ<α\rho < \alpha, in exactly one way).

[L3]

From Monotonicity of ordinal ++ and \cdot: strictly increasing and continuous in the right argument, weakly increasing in the left, with left cancellation, and the identities 0+β=β0 + \beta = \beta and 1β=β1 \cdot \beta = \beta: 0+μ=μ+0=μ0 + \mu = \mu + 0 = \mu, 1μ=μ1=μ1 \cdot \mu = \mu \cdot 1 = \mu, μ0=0\mu \cdot 0 = 0 (claim (a)); ν<θ\nu < \theta implies μ+ν<μ+θ\mu + \nu < \mu + \theta, and μμ+ν\mu \le \mu + \nu (claim (b)); νμ+ν\nu \le \mu + \nu (claim (c)); for μ>0\mu > 0, ν<θ\nu < \theta implies μν<μθ\mu\nu < \mu\theta (claim (d)); μν\mu \le \nu implies μθνθ\mu\theta \le \nu\theta (claim (e)); if θ\theta is a limit and DθD \subseteq \theta is nonempty with supD=θ\sup D = \theta then μ+θ=sup{μ+η:ηD}\mu + \theta = \sup\{\mu + \eta : \eta \in D\} (claim (f)); and μλ\mu \cdot \lambda is a limit ordinal for μ>0\mu > 0 and λ\lambda a limit (claim (g)).

[L4]

μ(ν+θ)=μν+μθ\mu \cdot (\nu + \theta) = \mu\nu + \mu\theta, and \cdot is associative (Ordinal multiplication is associative, and α(β+γ)=αβ+αγ\alpha \cdot (\beta + \gamma) = \alpha\cdot\beta + \alpha\cdot\gamma).

[L5]

μ0=0\mu \cdot 0 = 0, μδ+=μδ+μ\mu \cdot \delta^{+} = \mu \cdot \delta + \mu, μλ=sup{μξ:ξλ}\mu \cdot \lambda = \sup\{\mu \cdot \xi : \xi \in \lambda\} (Ordinal multiplication αβ\alpha \cdot \beta); μ+0=μ\mu + 0 = \mu and μ+δ+=(μ+δ)+\mu + \delta^{+} = (\mu + \delta)^{+} (Ordinal addition α+β\alpha + \beta).

[L6]

μ+\mu^{+} is an ordinal; A\bigcup A is an ordinal and the least upper bound of a set AA of ordinals; μν\mu \subseteq \nu iff μν\mu \in \nu or μ=ν\mu = \nu; μμ\mu \notin \mu (Basic closure properties of ordinals); hence μ<ν\mu < \nu iff μ+ν\mu^{+} \le \nu. Exactly one of μν\mu \in \nu, μ=ν\mu = \nu, νμ\nu \in \mu holds, and every nonempty set of ordinals has an \in-least element (Trichotomy and well-ordering of the ordinals).

[L7]

Every ordinal is exactly one of 00, a successor or a limit; a limit λ\lambda has 0,1λ0, 1 \in \lambda and is closed under successor (Successor and limit ordinals). ω\omega is a limit ordinal and every ordinal in ω\omega is 00 or a successor (claims (iii) and (iv) of ω\omega is the least limit ordinal).

[L8]

Transfinite induction over the ordinals: if a property PP of ordinals fails at some β0\beta_0, apply Transfinite induction to the well-order (β0+,)(\beta_0^{+}, \in) and to S={ξβ0+:P(ξ)}S = \{\xi \in \beta_0^{+} : P(\xi)\}; so if PP holds at ξ\xi whenever it holds at every ordinal in ξ\xi, then PP holds at every ordinal.

Proof

technique · direct
1.1

Preliminaries on ω\omega and on powers of ω\omega: for n,mωn, m \in \omega one has n+mωn + m \in \omega, by induction on mm over the ordinals in ω\omega, since n+0=nn + 0 = n, since n+m+=(n+m)+ωn + m^{+} = (n + m)^{+} \in \omega as ω\omega is closed under successor, and since no ordinal in ω\omega is a limit by [L7]; and ωδ+=ωδω=sup{ωδn:nω}\omega^{\delta^{+}} = \omega^{\delta} \cdot \omega = \sup\{\omega^{\delta} \cdot n : n \in \omega\} is a limit ordinal, with ωδn<ωδ+\omega^{\delta} \cdot n < \omega^{\delta^{+}} for every nωn \in \omega, by [L1], [L5] and claims (d) and (g) of [L3].

L1L3L5L7
2.1

Additive indecomposability: for every ordinal β\beta and every μ<ωβ\mu < \omega^{\beta} one has μ+ωβ=ωβ\mu + \omega^{\beta} = \omega^{\beta}. By induction on β\beta. At β=0\beta = 0, ω0=1\omega^{0} = 1 forces μ=0\mu = 0 and 0+1=10 + 1 = 1. At β=δ+\beta = \delta^{+}: μ<ωδ+=sup{ωδn:nω}\mu < \omega^{\delta^{+}} = \sup\{\omega^{\delta} n : n \in \omega\} gives nωn \in \omega with μ<ωδn\mu < \omega^{\delta} \cdot n, and claim (f) of [L3] applied to the nonempty D={ωδm:mω}ωδ+D = \{\omega^{\delta} \cdot m : m \in \omega\} \subseteq \omega^{\delta^{+}} gives μ+ωδ+=sup{μ+ωδm:mω}\mu + \omega^{\delta^{+}} = \sup\{\mu + \omega^{\delta} m : m \in \omega\}, where each μ+ωδmωδn+ωδm=ωδ(n+m)<ωδ+\mu + \omega^{\delta} m \le \omega^{\delta} n + \omega^{\delta} m = \omega^{\delta}(n + m) < \omega^{\delta^{+}} by [L4], step 1.1 and claim (d) of [L3]; so μ+ωδ+ωδ+\mu + \omega^{\delta^{+}} \le \omega^{\delta^{+}}, and the reverse inequality is claim (c) of [L3]. At β=λ\beta = \lambda a limit: μ<ωλ=sup{ωξ:ξλ}\mu < \omega^{\lambda} = \sup\{\omega^{\xi} : \xi \in \lambda\} gives ξ0λ\xi_0 \in \lambda with μ<ωξ0\mu < \omega^{\xi_0}, and D={ωξ:ξλ and ξ0ξ}D = \{\omega^{\xi} : \xi \in \lambda \text{ and } \xi_0 \le \xi\} is nonempty, contained in ωλ\omega^{\lambda} and has supremum ωλ\omega^{\lambda}, because any η<ωλ\eta < \omega^{\lambda} satisfies η<ωξ\eta < \omega^{\xi} for some ξλ\xi \in \lambda and ξ\xi may be replaced by the larger of ξ\xi and ξ0\xi_0; so claim (f) of [L3] gives μ+ωλ=sup{μ+ωξ:ξ0ξλ}=sup{ωξ:ξ0ξλ}=ωλ\mu + \omega^{\lambda} = \sup\{\mu + \omega^{\xi} : \xi_0 \le \xi \in \lambda\} = \sup\{\omega^{\xi} : \xi_0 \le \xi \in \lambda\} = \omega^{\lambda}, using the claim at each such ξ\xi, legitimate since μ<ωξ0ωξ\mu < \omega^{\xi_0} \le \omega^{\xi}.

step 1.1L1L3L4L5L6L7L8
2.2

The leading exponent exists: for α>0\alpha > 0 the set B={βα+:ωβα}B = \{\beta \in \alpha^{+} : \omega^{\beta} \le \alpha\} contains 00, because ω0=1α\omega^{0} = 1 \le \alpha, and it contains every β\beta with ωβα\omega^{\beta} \le \alpha, because βωβα\beta \le \omega^{\beta} \le \alpha by [L1]; it has a greatest element β0=B\beta_0 = \bigcup B, since B=0\bigcup B = 0 forces B={0}B = \{0\} and 0B0 \in B, since B=δ+\bigcup B = \delta^{+} gives δβ\delta \in \beta for some βB\beta \in B and hence δ+βB=δ+\delta^{+} \le \beta \le \bigcup B = \delta^{+} with βB\beta \in B, and since B=λ\bigcup B = \lambda a limit gives ωξ<ωβα\omega^{\xi} < \omega^{\beta} \le \alpha for every ξλ\xi \in \lambda, whence ωλ=sup{ωξ:ξλ}α\omega^{\lambda} = \sup\{\omega^{\xi} : \xi \in \lambda\} \le \alpha and λB\lambda \in B; and then ωβ0α<ωβ0+\omega^{\beta_0} \le \alpha < \omega^{\beta_0^{+}}, the second inequality because β0+B\beta_0^{+} \notin B.

step 1.1L1L6L7
3.1

Closure below a power of ω\omega: if μ<ωβ\mu < \omega^{\beta} and ν<ωβ\nu < \omega^{\beta} then μ+ν<μ+ωβ=ωβ\mu + \nu < \mu + \omega^{\beta} = \omega^{\beta}, by claim (b) of [L3] and step 2.1.

step 2.1L3
3.2

Existence, by induction on α>0\alpha > 0: take β0\beta_0 from step 2.2, so ωβ0α<ωβ0+=ωβ0ω\omega^{\beta_0} \le \alpha < \omega^{\beta_0^{+}} = \omega^{\beta_0} \cdot \omega; divide by ωβ0>0\omega^{\beta_0} > 0 using [L2] to get α=ωβ0c0+ρ\alpha = \omega^{\beta_0} \cdot c_0 + \rho with ρ<ωβ0\rho < \omega^{\beta_0}; here c00c_0 \ne 0, since c0=0c_0 = 0 would give α=ρ<ωβ0α\alpha = \rho < \omega^{\beta_0} \le \alpha, and c0<ωc_0 < \omega, since ωc0\omega \le c_0 would give ωβ0ωωβ0c0α\omega^{\beta_0} \cdot \omega \le \omega^{\beta_0} c_0 \le \alpha by claims (d) and (b) of [L3], contradicting α<ωβ0ω\alpha < \omega^{\beta_0} \cdot \omega. If ρ=0\rho = 0 then α=ωβ0c0\alpha = \omega^{\beta_0} c_0 is a normal form of length 11. Otherwise 0<ρ<ωβ0α0 < \rho < \omega^{\beta_0} \le \alpha, so the claim at ρ\rho gives a normal-form datum for ρ\rho with leading exponent γ0\gamma_0 and leading coefficient d01d_0 \ge 1, and ωγ0ωγ0d0ρ<ωβ0\omega^{\gamma_0} \le \omega^{\gamma_0} d_0 \le \rho < \omega^{\beta_0} by [L3], so γ0<β0\gamma_0 < \beta_0 by [L1] and [L6]; prefixing (β0,c0)(\beta_0, c_0) to that datum therefore yields a normal-form datum whose value is α\alpha.

step 2.2L1L2L3L6L8
4.1

Tail bound: if (βi,ci)ik(\beta_i, c_i)_{i \in k} is a normal-form datum then the value τ\tau of its tail (βi,ci)1i<k(\beta_i, c_i)_{1 \le i < k} satisfies τ<ωβ0\tau < \omega^{\beta_0}; indeed τ=0<ωβ0\tau = 0 < \omega^{\beta_0} when k=1k = 1, and for i1i \ge 1 each term satisfies ωβici<ωβiω=ωβi+ωβ0\omega^{\beta_i} c_i < \omega^{\beta_i} \cdot \omega = \omega^{\beta_i^{+}} \le \omega^{\beta_0} by claim (d) of [L3], [L1] and βi+β0\beta_i^{+} \le \beta_0, so induction on the number of terms using step 3.1 gives τ<ωβ0\tau < \omega^{\beta_0}.

step 3.1step 1.1L1L3L6L7L8
5.1

Uniqueness, by induction on α>0\alpha > 0: let (βi,ci)ik(\beta_i, c_i)_{i \in k} be a normal-form datum of value α\alpha, with tail value τ\tau, so that α=ωβ0c0+τ\alpha = \omega^{\beta_0} c_0 + \tau with τ<ωβ0\tau < \omega^{\beta_0} by step 4.1; then ωβ0=ωβ01ωβ0c0α\omega^{\beta_0} = \omega^{\beta_0} \cdot 1 \le \omega^{\beta_0} c_0 \le \alpha by [L3], and α<ωβ0c0+ωβ0=ωβ0(c0+1)ωβ0ω=ωβ0+\alpha < \omega^{\beta_0} c_0 + \omega^{\beta_0} = \omega^{\beta_0}(c_0 + 1) \le \omega^{\beta_0} \cdot \omega = \omega^{\beta_0^{+}} by [L3], [L4] and c0+1ωc_0 + 1 \le \omega; so ωβ0α<ωβ0+\omega^{\beta_0} \le \alpha < \omega^{\beta_0^{+}}, which pins β0\beta_0 down, since a second datum with leading exponent γ0β0\gamma_0 \ne \beta_0 would satisfy the same two inequalities and, say, β0<γ0\beta_0 < \gamma_0 would give α<ωβ0+ωγ0α\alpha < \omega^{\beta_0^{+}} \le \omega^{\gamma_0} \le \alpha by [L1] and [L6]; with β0\beta_0 fixed, the two representations α=ωβ0c0+τ=ωβ0d0+σ\alpha = \omega^{\beta_0} c_0 + \tau = \omega^{\beta_0} d_0 + \sigma with τ,σ<ωβ0\tau, \sigma < \omega^{\beta_0} agree by the uniqueness in [L2], so c0=d0c_0 = d_0 and τ=σ\tau = \sigma; and τ<ωβ0α\tau < \omega^{\beta_0} \le \alpha, so the claim at τ\tau makes the two tails identical when τ>0\tau > 0, while τ=0\tau = 0 forces both data to have length 11, since a tail of length at least 11 has value at least ωβ1c1>0\omega^{\beta_1} c_1 > 0.

step 4.1step 2.2L1L2L3L4L6L8
6.1

Existence is step 3.2 and uniqueness is step 5.1, so every ordinal α>0\alpha > 0 has exactly one Cantor normal form.

step 5.1step 3.2

Remarks

Where each hypothesis 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} is spent. The bound βωβ\beta \le \omega^{\beta} is what makes BB in step 2.2 a set: without it, "the largest β\beta with ωβα\omega^{\beta} \le \alpha" ranges over the ordinals, which is not a set, and Separation has nothing to cut. Continuity of βωβ\beta \mapsto \omega^{\beta} at limits is what makes BB attain its supremum; without it the maximum could fail to exist and the leading exponent would not be defined.

Additive indecomposability is the whole content of uniqueness. Step 2.1 says that adding anything strictly smaller than ωβ\omega^{\beta} on the left of ωβ\omega^{\beta} changes nothing. Its consequence, step 3.1, is that the ordinals below ωβ\omega^{\beta} are closed under addition, and that is exactly why a tail with strictly smaller exponents cannot reach up to the leading term and disturb it.

Beyond base ω\omega. More general base-γ\gamma expansions exist for ordinals γ>1\gamma > 1, with digits below γ\gamma, but their proof requires a general digit-and-carry argument. The theorem and proof here concern only base ω\omega.

What is not claimed. Nothing here says the normal form is computable, and nothing here uses or proves anything about ε0\varepsilon_0. The ordinals α\alpha with α=ωα\alpha = \omega^{\alpha} have normal form ωα1\omega^{\alpha} \cdot 1, whose exponent is α\alpha itself, so the normal form does not always reduce a problem to strictly smaller data; one such ordinal, ε0\varepsilon_0, is exhibited on the companion examples page, where it is shown to satisfy ωε0=ε0\omega^{\varepsilon_0} = \varepsilon_0 and where it is recorded that its leastness among such fixed points is not proved.

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