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A special Aronszajn tree exists
Statement
In ZFC there exists a normal splitting special Aronszajn tree. This tree has an uncountable antichain and is therefore not Suslin.
Facts & Assumptions
Given: ZFC. We construct a tree with nonempty countable levels for and a strictly increasing rational labeling .
A countable tree at a nonzero countable limit height with bounded rational extensions and infinitely many small successors admits a countable new level preserving strict labeling and bounded rational extensions, with distinct predecessor branches for distinct new tops. Normality is preserved if it held before, and infinitely many small successors are retained wherever a successor level exists; new tops have no successor requirement yet. Rational bounds at countable limit levels
A prescribed class-function rule on earlier values has a unique transfinite recursion on a set well-order. Transfinite recursion
Under countable choice, a countable union of countable sets is countable. Countable unions of at most countable sets, assuming
The rationals are countably infinite. is countably infinite
Rational numbers form a totally ordered field. The rationals form a totally ordered field
A product of two countable sets is countable. A product of two at most countable sets is at most countable
Under countable choice, no countable subset of is cofinal. Assuming countable choice: every at most countable subset of is bounded below , so no at most countable subset of is cofinal in it, and a supremum of at most countably many at most countable ordinals is at most countable
An -tree without a cofinal branch is Aronszajn; an increasing rational labeling implies specialness. Aronszajn, Suslin and special trees
Normality and splitting have the unique-root, extension, limit-uniqueness and immediate-successor conventions fixed here. Normal and splitting trees
Assume AC. In addition to its countable-choice consequences, we use it to fix enumerations of all nonzero countable ordinals and a choice function on all nonempty subsets of the ambient set of level codes. The Axiom of Choice
Proof
Fix an enumeration of , a pairing enumeration of , and, by AC, surjections for all . Each set of such surjections is nonempty by countability of ; these sets form a set-indexed family. At every stage store a surjection onto the newly constructed level. Enumerated nodes can be renamed by their least enumeration indices, with level tags , so all old nodes keep their names. All possible codes for a countable new level on the fixed ambient node set —its predecessor sets, rational labels and a surjection from onto the level—form a set : the node sets, predecessor relations, label graphs and enumeration graphs are subsets of fixed sets built from , and . By A1 fix a choice function on . Applying this fixed function to the nonempty set of eligible limit-level codes makes every stage below a specified rule.
Start with the singleton root with label zero and its constant enumeration. At a successor stage, for each create a distinct immediate successor for every rational , with label , then rename these pairs by level-tagged least indices as in step 1.1. Its predecessors are and all predecessors of . The level is nonempty and countable, since it is an enumerated subset of . Strict labeling persists. There are infinitely many successors below any : the distinct rationals for lie strictly between the two bounds. In particular every old last-level node splits.
At every partial stage the small-successor condition is required only for nodes whose successor level has already been constructed. Maintain also the invariant that for and rational an extension at level has label less than . It is vacuous at the root stage. At the successor level , if , its successor of label works. If lies below , use the earlier invariant with bound to obtain above with , and extend by the successor of label . This verifies every request at the new level; all earlier requests persist.
At a nonzero limit , the union of earlier levels is countable: enumerate its nodes by pairing with the stored enumeration of that level. Its height is , and its order and labeling satisfy all previous invariants, since every pair of old nodes and every request involving a level below occurs in an earlier stage. Every old node has infinitely many small successors, supplied at its successor stage, which is below . The old union is normal: roots agree, extensions persist, and predecessor sets at each old limit level were fixed when that level was added. F1 gives at least one nonempty countable new level preserving strict labeling, bounded extensions and normality, and retaining the small-successor condition at old nodes. New tops have no successor requirement until the next stage. Injectively rename its nodes by tags and store a surjection from onto the renamed level. Let be the set of eligible codes for this history and take the new level record to be . Eligibility requires the old order and labels to be unchanged, the new nodes to have level tag , and exactly the properties just obtained from F1. The set is nonempty by F1 and countability, so this selection is defined uniquely from the earlier history and the fixed . All invariants, with the stage-relative successor requirement of step 3.1, and normality persist.
Steps 2.1–4.1 prescribe the next level and its enumeration from the earlier history and the fixed parameters. Extend the rule arbitrarily, say by the empty record, on histories not satisfying the invariants. F2 then defines all levels for . Their union is a set by Replacement and Union, with height and nonempty countable levels. Normality and splitting follow from their stagewise verification: any requested extension, limit-level comparison, or immediate successor appears at some stage. The labeling is strictly increasing because every comparison already appears at one stage.
On any chain the labeling is injective into , because distinct comparable nodes have strictly different labels. F4 makes the chain countable. Its height image is countable and hence not cofinal in by F7, whose choice hypothesis follows from A1. No branch is cofinal. Thus the constructed -tree is Aronszajn, and the increasing rational labeling makes it special by F8.
The tree is uncountable: its height map is onto since every level is nonempty, whereas the image of a countable set is countable. For each rational , the fiber is an antichain by strict increase. If all these fibers were countable, F4 would index them countably and F3, using the countable choice supplied by A1, would make their union countable, a contradiction. At least one fiber is an uncountable antichain; by F8 the tree is not Suslin.
Depends on
- Rational bounds at countable limit levels
- Aronszajn, Suslin and special trees
- Transfinite recursion
- Countable unions of at most countable sets, assuming $\mathrm{AC}_\omega$
- $\mathbb{Q}$ is countably infinite
- Normal and splitting trees
- The rationals form a totally ordered field
- A product of two at most countable sets is at most countable
- Assuming countable choice: every at most countable subset of $\omega_1$ is bounded below $\omega_1$, so no at most countable subset of $\omega_1$ is cofinal in it, and a supremum of at most countably many at most countable ordinals is at most countable
- The Axiom of Choice
Used by
- FALSE: every ω1-tree has a cofinal branch False statement
Dependency tree · two levels
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Sources
- Karagila, Axiomatic Set Theory, Theorem 9.2 and Exercise 9.4, printed p43 (rational-label construction) (standard reference, not scraped)