Incompleteness – a Very Rich Dessert
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Incompleteness – A very rich dessert 2 Knights and Knaves A tribute to Raymond Smullyan Raymond Merill Smullyan (born 1919). American logician, ma- thematician, concert pianist, Taoist philosopher, and magician. Many books on logic puzzles, among them: What is the Name of This Book? (1978), Forever Undecided (1987). First-Order Logic (1968), Set Theory and the Continuum Problem (1996), Gödel’s Incompleteness Theorems (1992), . Suppose you are in Smullyan-land, where knights say always the truth and knaves always lie. You meet someone who tells you “I am not a knight”. What kind of person is she? As you will (hopefully) see soon: This puzzle contains the essence of Gödel’s (first) incompleteness theorem! 3 Another Gödelian Puzzle (with nods to Tarski) Imagine a computing machine that can print strings based on the alphabet: ¬, P, N, (, ) A string is called printable, if the machine can print it. The machine is programmed to print all printable eventually. Def. 1: The norm of string w is the string w(w). Def. 2:A sentence is a string of form P(w), PN(w), ¬P, or ¬PN(w). Def. 3: P(w) is called true iff w is printable. ¬P(w) is called true iff w is not printable. PN(w) is called true iff the norm of w is printable. ¬PN(w) is called true iff the norm of w is not printable. Presuming that the machine never prints non-true sentences, can it print all true sentences? Note: Defs. 1 and 2 are purely syntactic; Def. 3 concerns semantics. “true” is a precisely defined, technical term here: check yourself by replacing “true” by “grmph”! 4 Enter the heroes . Kurt Gödel (1906-1978). Austrian-American logician, ma- thematician and philosopher. Established the completeness of first-order logic in his PhD thesis (1929). Proved his two fa- mous incompleteness results in 1931. Many other important contributions to logic and philosophy, e.g.: consistency of the continuum hypothesis in ZF set theory. Alfred Tarski (1901-1983). Polish-American mathematician and logician. Best known for his work on model theory, me- tamathematics, and algebraic logic. Important contributions also to abstract algebra, topology, geometry, measure theory, set theory, and analytic philosophy. Note: The modern conception of logic, in particular as used in computer science today, is largely to due to Tarski and Gödel (– who built on Hilbert, Frege, Skolem, Gentzen, Boole, Bolzano, and many other “heroes”). 5 Semi-formal statements of Gödel’s and Tarski’s Theorems First Incompleteness Theorem (Gödel [Rosser]): Every [ω-]consistent and reasonably expressive system of arithmetic contains sentences that are neither provable nor refutable. First Incompleteness Theorem (with shades of Tarski): Every correct and reasonably expressive system of arithmetic contains true, but unprovable sentences. Second Incompleteness Theorem (Gödel): No [ω-]consistent and sufficiently strong system of arithmetic can prove its own consistency. Undefinability Theorem (Tarski): No correct and reasonably expressive system of arithmetic can define the set of (arithmetically) true sentences. Important: To be handled with care due to remaining informality! 6 An abstract form of Gödel’s and Tarski’s Theorems Definition. A system Σ is a set containing the following components: E ... expressions of Σ, S ... sentences of Σ (S ⊆ E), T ... true sentences of Σ (T ⊆ S), P ... provable sentences of Σ (P ⊆ S), R ... refutable sentences of Σ (R ⊆ S), H ... predicates of Σ (H ⊆ E), a function Φ: E × N 7→ E: If E ∈ H then Φ(E, n) = E(n) ∈ S. By a number-set A we mean any set of natural numbers (A ⊆ N ). Its complement (w.r.t. N ) will be denoted by A. Definition. A predicate H ∈ H expresses a number-set A if for every n ∈ N : n ∈ A ⇐⇒ H(n) ∈ T I.e., A is expressible if A = {n | H(n) ∈ T } for some predicate H. 7 Expressibility, correctness, completeness Note: Expressibility only concerns “truth”, but not “provability”. This should be contrasted with the related notion of representability of A by H within a (proof) system, defined by n ∈ A ⇐⇒ H(n) ∈ P. We will work with countable, even finite alphabets and consequently the language/system is always countable. Therefore it is clear that not all number sets can be expressed. (Remember Cantor’s diagonal argument that demonstrates the uncountability of R!) Definition (Correctness [aka. soundness]). A system is correct iff all provable sentences are true (P ⊆ T ). Definition (Completeness). A system is complete iff all true sentences are provable (T ⊆ P). Note: It is trivial to present sound systems or complete systems for, e.g., arithmetic. However Gödel (in Tarski’s interpretation) proved: No (sufficiently strong) system for arithmetic is sound and complete. 8 Gödel numbering and diagonalization Note (on self-reference): Strings of a language can always be coded as natural numbers. Therefore every concrete arithmetic system (also) “talks about itself”. Definition (Gödel number). A 1-1-function p·q : E 7→ N is called Gödel numbering. For any expression E ∈ E, pEq is called its Gödel number. We write En if n = pEq. (Thus, pEnq = n.) Definition (Diagonalization). By the diagonalization of an expression En we mean En(n)[= E(pEq)]. The function d : N 7→ N that maps any n into pEn(n)q is called diagonal function of the system. For any number-set A we denote d−1(A) = {n | d(n) ∈ A} by A∗. – Remember: if En is a predicate, then En(n) is a sentence. – A∗ collects the Gödel numbers of exactly those expressions, who’s diagonalizations are named (by their Gödel number) in A. Notation: We will use P to denote {pSq | S ∈ P}. 9 An abstract form of Gödel’s (first) incompleteness theorem Theorem GT (After Gödel with a shade of Tarski) ∗ If Σ is correct and P is expressible in it, then Σ is incomplete. ∗ Proof. Suppose H expresses P ; let h = pHq. Let G be the diagonalization of H, i.e. G is the sentence H(h). We show that G is true but not provable in Σ. ∗ For all n ∈ N : H(n) is true (i.e., ∈ T ) iff n ∈ P . In particular ∗ (by “diagonalizing”): G = H(h) is true iff h ∈ P . Now observe: ∗ h ∈ P ⇐⇒ d(h) ∈ P ⇐⇒ d(h) 6∈ P. But d(h) = pH(h)q = pGq. Therefore d(h) ∈ P means (via Gödelization) “G is provable in Σ” and d(h) 6∈ P means “G is not provable in Σ”. Summing up: G is true ⇐⇒ G is not provable in Σ. Since Σ is correct, G cannot be non-true and provable. Therefore we have obtained a sentence that witnesses the incompleteness of Σ: G is true but unprovable in Σ. QED. 10 Towards concrete systems: expressiveness conditions According to Theorem GT, we can establish the incompleteness of a ∗ correct system Σ by verifying the hypothesis that P is expressible in Σ. This can be broken down to verifying three conditions: G1: For any A: A is expressible in Σ =⇒ A is expressible in Σ. ∗ G2: For any A: A is expressible in Σ =⇒ A is expressible in Σ. G3: P is expressible in Σ. Remark: Proving G1 will turn out to be trivial. Proving G2 is relatively straightforward. Proving G3 is extremely laborious. (But, with hindsight, we get a “free ride” from computability theory!) 11 Gödel sentences, Diagonal Lemma Definition (Gödel sentences). S is a Gödel sentence for a number-set A if: S ∈ T ⇐⇒ pSq ∈ A. Lemma D (A Diagonal Lemma) If A∗ is expressible in Σ, then there exists a Gödel sentence for A in Σ. ∗ Proof. Suppose H expresses A ; let h = pHq. Thus d(h) = pH(h)q. H(n) ∈ T ⇐⇒ n ∈ A∗, in particular H(h) ∈ T ⇐⇒ h ∈ A∗. Since h ∈ A∗ ⇐⇒ d(h) ∈ A, H(h) is a Gödel sentence for A. QED. Note: Condition G2 implies that Lemma D can be applied. Lemma D thus straightforwardly implies Theorem GT. P and R are irrelevant for Lemma D. A Gödel sentence of P can be read as “I am unprovable”. 12 An abstract form of Tarski’s Undefinability Theorem Notation: We use T to denote {pSq | S ∈ T }. Theorem T (After Tarski) ∗ (1) T is not expressible in Σ. (2) If G2 holds, then T is not expressible in Σ. (3) If G1 and G2 hold, then T is not expressible in Σ. Proof. First note: There cannot be a Gödel sentence GT for T since GT were true ⇐⇒ pGT q is not the Gödel number of a true sentence, which is clearly is absurd. ∗ (1) If T were expressible in Σ, then by Lemma D, there would be a Gödel sentence GT for T in Σ. ∗ (2) If G2 holds, the expressibility of T would imply that of T . (3) If also G1 holds, then the expressibility of T would imply that of T . Thus we have reduced (3) to (2), (2) to (1), and (1) to the initial observation about the non-existence of a Gödel sentence for T . QED. 13 Back to Gödel: a (more) syntactic form of incompleteness Note: So far R (set of refutable sentences) played no role. Definition (Undecidable sentences, Gödel-incompleteness) Relative to a system Σ, a sentence S is called (formally) undecidable if S 6∈ P and S 6∈ R. Σ is called Gödel-incomplete if it contains formally undecidable sentences. Theorem GI (Gödel-Incompleteness) ∗ If Σ is correct and P is expressible, then Σ is Gödel-incomplete. Definition (Consistency) Σ is consistent if there is no sentence that is both provable and refutable. (I.e., P ∩ R = ∅.) Note: Correctness implies consistency, but not vice versa. To establish purely syntactic incompleteness — consistency =⇒ Gödel-incompleteness — more specific properties are needed (Rosser).