MathLabs

Foundations of mathematics

Ordinal and cardinal numbers

Numbers that extend counting and size comparison beyond the finite, into the transfinite.

IntuitionCounting past infinity

We normally count "1st, 2nd, 3rd, ...". If we could finish counting through every natural number, the next position would be called ω\omega ("omega") — the first transfinite position number. Ordinal numbers α\alpha, β\beta, ... are exactly these generalized position labels: 0,1,2,…,ω,ω+1,ω+2,…0,1,2,\dots,\omega,\omega+1,\omega+2,\dots. Separately, cardinal numbers answer a different question — not "which position?" but "how many?" — and the smallest infinite cardinal ℵ0\aleph_0 ("aleph-naught") is the size of the natural numbers themselves.

Directed graph showing 0,1,2,3,... leading up to omega, then omega+1, omega+2 as later nodes.
The first ordinals 0,1,2,…,ω,ω+1,…0,1,2,\dots,\omega,\omega+1,\dots as a directed order graph; each node is the set of all smaller nodes.

UndergraduateWell-ordered sets and von Neumann ordinals

Definition: Well-ordered set

A linearly ordered set (W,<)(W,<) is well-ordered if every nonempty subset S⊆WS \subseteq W has a least element. Finite sets and (N,<)(\mathbb N,<) are well-ordered; (Z,<)(\mathbb Z,<) and (R,<)(\mathbb R,<) are not (e.g. Z\mathbb Z itself has no least element).

α={β:β<α}\alpha = \{\beta : \beta < \alpha\}

John von Neumann's trick: define each ordinal to literally be the set of all smaller ordinals. So 0=∅0=\emptyset, 1={0}1=\{0\}, 2={0,1}2=\{0,1\}, and in general the successor is n+1=n∪{n}n+1=n\cup\{n\}. After all finite ordinals comes the first limit ordinal ω={0,1,2,… }\omega=\{0,1,2,\dots\} — the set of all natural numbers, now itself viewed as an ordinal.

n+1=n∪{n},ω={0,1,2,… }n+1 = n \cup \{n\}, \qquad \omega = \{0,1,2,\dots\}
Ordinal arithmetic vs. cardinal arithmetic
OperationCardinal arithmetic (size)Ordinal arithmetic (order)
Addition commutative?Yes: ℵ0+1=1+ℵ0=ℵ0\aleph_0+1=1+\aleph_0=\aleph_0No: ω+1≠1+ω\omega+1 \neq 1+\omega
Multiplication commutative?Yes: ℵ0⋅2=2⋅ℵ0\aleph_0 \cdot 2 = 2 \cdot \aleph_0No: ω⋅2≠2⋅ω\omega \cdot 2 \neq 2 \cdot \omega
What it measuresBijection class ("how many")Order-isomorphism class ("which shape")

Let CC be a class of ordinals such that for every ordinal α\alpha: if β∈C\beta \in C for all β<α\beta<\alpha, then α∈C\alpha \in C. Then CC contains every ordinal.

Why is it true?

This lets us prove a statement for every ordinal — finite, ω\omega, and beyond — by only ever handling "assume it holds for everything smaller", with no separate base case and no separate limit case needed in the statement of the principle itself.

Proof

Suppose, for contradiction, that CC does not contain every ordinal. Then the class DD of ordinals not in CC is nonempty. The ordinals themselves form a well-order (any nonempty class of ordinals has a least element — this is essentially the defining property of the ordinals), so DD has a least element; call it α\alpha.

By minimality of α\alpha, every ordinal β<α\beta<\alpha is not in DD, i.e. every β<α\beta<\alpha satisfies β∈C\beta \in C.

But this is exactly the hypothesis of the theorem applied to α\alpha: "β∈C\beta \in C for all β<α\beta<\alpha" implies α∈C\alpha \in C. So α∈C\alpha \in C.

This contradicts α∈D\alpha \in D (i.e. α∉C\alpha \notin C). The contradiction shows no such least counterexample α\alpha can exist, so D=∅D=\emptyset: CC contains every ordinal. ■\blacksquare

AdvancedCardinals, Hartogs, and König

A cardinal is an ordinal that is not in bijection with any smaller ordinal (its "size" is not reached earlier). The infinite cardinals are written ℵ0<ℵ1<ℵ2<⋯\aleph_0 < \aleph_1 < \aleph_2 < \cdots, indexed by ordinals themselves: ℵα\aleph_\alpha. Hartogs' theorem guarantees these always exist, with no need for the Axiom of Choice: for any set XX, there is a least ordinal that does not inject into XX — call it ℵ(X)\aleph(X) — because the class of ordinals that DO inject into XX would otherwise correspond to "too many" distinct well-orderings of subsets of XX, more than the set of all subsets of X×XX\times X can hold. So every set has a well-ordered cardinal strictly bigger than it, and in particular ℵ1=ℵ(ℵ0)\aleph_1=\aleph(\aleph_0) is the least uncountable cardinal.

ℵ0<ℵ1<ℵ2<⋯<ℵα<⋯\aleph_0 < \aleph_1 < \aleph_2 < \cdots < \aleph_\alpha < \cdots

cf⁡(2ℵ0)>ℵ0\operatorname{cf}(2^{\aleph_0}) > \aleph_0 — the continuum 2ℵ02^{\aleph_0} cannot be written as a union of countably many strictly smaller sets. Equivalently, 2ℵ0≠ℵω2^{\aleph_0} \neq \aleph_\omega and more generally 2ℵ02^{\aleph_0} is never a cardinal of countable cofinality.

Why is it true?

Even though we cannot know the exact value of 2ℵ02^{\aleph_0} from ZFC alone (Cohen's independence result), this theorem is one of the few things we CAN prove unconditionally about it: whatever it equals, you cannot approach it from below along an ω\omega-sequence of strictly smaller cardinals.

Proof

We first prove the general König inequality: if κi<λi\kappa_i < \lambda_i for every ii in an index set II, then ∑i∈Iκi<∏i∈Iλi\sum_{i\in I}\kappa_i < \prod_{i\in I}\lambda_i. Fix sets BiB_i with ∣Bi∣=λi|B_i|=\lambda_i and subsets Ai⊊BiA_i \subsetneq B_i with ∣Ai∣=κi|A_i|=\kappa_i. The inequality ∑iκi≤∏iλi\sum_i \kappa_i \le \prod_i \lambda_i is routine (send each a∈Aia\in A_i to the tuple that is aa in coordinate ii and some fixed default value elsewhere), so the content is showing they are not equal.

Suppose, for contradiction, some function h:⨆i∈IAi→∏i∈IBih : \bigsqcup_{i\in I} A_i \to \prod_{i\in I} B_i is surjective. For each ii, let hi:Ai→Bih_i:A_i\to B_i send a↦h(a)(i)a \mapsto h(a)(i) (the ii-th coordinate of h(a)h(a)). Since ∣Ai∣=κi<λi=∣Bi∣|A_i|=\kappa_i<\lambda_i=|B_i|, the map hih_i cannot be surjective onto BiB_i (if it were, picking a preimage for each element of BiB_i would inject BiB_i into AiA_i, forcing λi≤κi\lambda_i\le\kappa_i — contradiction). So choose di∈Bi∖ran⁡(hi)d_i \in B_i \setminus \operatorname{ran}(h_i) for every ii, and let g∈∏iBig \in \prod_i B_i be the tuple with g(i)=dig(i)=d_i.

Since hh is surjective, g=h(a)g=h(a) for some aa, say a∈Aja \in A_j. Then g(j)=h(a)(j)=hj(a)∈ran⁡(hj)g(j)=h(a)(j)=h_j(a) \in \operatorname{ran}(h_j). But g(j)=dj∉ran⁡(hj)g(j)=d_j \notin \operatorname{ran}(h_j) by construction — a direct contradiction. So no surjection hh exists, giving ∑iκi<∏iλi\sum_i\kappa_i < \prod_i\lambda_i. (Setting I=XI=X, κi=1\kappa_i=1, λi=2\lambda_i=2 recovers Cantor's classical diagonal argument ∣X∣<2∣X∣|X|<2^{|X|} as a special case.)

Now suppose, for contradiction, cf⁡(2ℵ0)=ℵ0\operatorname{cf}(2^{\aleph_0})=\aleph_0. Then 2ℵ02^{\aleph_0} is the sum of a strictly increasing ω\omega-sequence of smaller cardinals κ0<κ1<κ2<⋯\kappa_0<\kappa_1<\kappa_2<\cdots, i.e. 2ℵ0=∑n<ωκn2^{\aleph_0}=\sum_{n<\omega}\kappa_n with every κn<2ℵ0\kappa_n < 2^{\aleph_0}. Apply König's inequality with λn:=2ℵ0\lambda_n := 2^{\aleph_0} held constant for every nn (valid since κn<2ℵ0=λn\kappa_n < 2^{\aleph_0} = \lambda_n for every nn):

2ℵ0=∑n<ωκn  <  ∏n<ωλn=(2ℵ0)ℵ0=2ℵ0⋅ℵ0=2ℵ0.2^{\aleph_0} = \sum_{n<\omega}\kappa_n \;<\; \prod_{n<\omega}\lambda_n = \left(2^{\aleph_0}\right)^{\aleph_0} = 2^{\aleph_0\cdot\aleph_0} = 2^{\aleph_0}.

This says 2ℵ0<2ℵ02^{\aleph_0}<2^{\aleph_0}, absurd. So cf⁡(2ℵ0)≠ℵ0\operatorname{cf}(2^{\aleph_0})\neq\aleph_0; since cofinality is never smaller than that (it is at least ℵ0\aleph_0 for any infinite cardinal, and it cannot be finite), we conclude cf⁡(2ℵ0)>ℵ0\operatorname{cf}(2^{\aleph_0})>\aleph_0. ■\blacksquare

UndergraduateReal-World Applications and Worked Examples

Ordinals give a rigorous way to prove that a recursive process always finishes: assign to each state of the process an ordinal (its "rank"), show every step strictly decreases this ordinal, and invoke the fact that ordinals have no infinite strictly decreasing sequence (they are well-ordered) — so the process cannot run forever. This ordinal ranking function technique is used to prove termination of recursive algorithms and term-rewriting systems in compilers, and — in proof theory — to measure the logical strength of formal theories via their "proof-theoretic ordinal" (Gentzen used the ordinal ε0\varepsilon_0 to prove consistency of Peano Arithmetic in 1936). Cardinals, meanwhile, stratify infinite structures in descriptive set theory (the Borel hierarchy is indexed by countable ordinals) and model theory (the Löwenheim–Skolem theorem talks about models of every infinite cardinality).

Example: Why ω+1≠1+ω\omega+1 \neq 1+\omega

Show directly, from the definition of ordinal sum as concatenation of order types, that 1+ω=ω1+\omega=\omega but ω+1≠ω\omega+1\neq\omega, hence ω+1≠1+ω\omega+1\neq 1+\omega.

Solution

1+ω1+\omega is the order type of "one point, then a copy of ω\omega" — concretely, take a single point aa followed by 0,1,2,…0,1,2,\dots. Define φ:{a}⊔ω→ω\varphi:\{a\}\sqcup\omega \to \omega by φ(a)=0\varphi(a)=0 and φ(n)=n+1\varphi(n)=n+1 for n∈ωn\in\omega. This φ\varphi is an order-isomorphism: aa is the least element on both sides, and it preserves order everywhere else. So 1+ω=ω1+\omega=\omega as ordinals.

Now consider ω+1\omega+1: a copy of ω\omega (elements 0,1,2,…0,1,2,\dots) followed by one more point bb placed above every one of them. This set has a greatest element, namely bb.

But ω={0,1,2,… }\omega=\{0,1,2,\dots\} has no greatest element — for any n∈ωn\in\omega, n+1∈ωn+1\in\omega is strictly bigger. An order-isomorphism must send greatest elements to greatest elements (and preserve "has no maximum"), so a set with a maximum can never be order-isomorphic to one without a maximum.

Since ordinals are defined precisely as order-isomorphism classes of well-orders, ω+1\omega+1 (which has a maximum) and ω\omega (which does not) are different ordinals: ω+1≠ω=1+ω\omega+1\neq\omega=1+\omega.

Example: A Goodstein sequence that crashes to zero

Compute the Goodstein sequence starting at 33: write 33 in "hereditary base 22", bump the base to 33 and subtract 11; then bump the base to 44 and subtract 11; and so on. Show it reaches 00, and explain how an ordinal ranking function guarantees every Goodstein sequence eventually terminates — even though the raw numbers can explode to incomprehensible size first.

Solution

Step-by-step: n0=3=21+1n_0=3=2^1+1 (base 2). Rewrite base 2→32\to 3: 31+1=43^1+1=4; subtract 11: n1=3n_1=3.

n1=3n_1=3 in base 33 is just 313^1 (i.e. "33"). Rewrite base 3→43\to 4: 41=44^1=4; subtract 11: n2=3n_2=3.

n2=3n_2=3 in base 44 is the plain digit 33 (below the base, no exponents to bump). Rewrite base 4→54\to 5: still 33; subtract 11: n3=2n_3=2.

n3=2n_3=2 in base 55 is 22; rewrite base 5→65\to 6: still 22; subtract 11: n4=1n_4=1.

n4=1n_4=1 in base 66 is 11; rewrite base 6→76\to 7: still 11; subtract 11: n5=0n_5=0.

So the sequence is 3,3,3,2,1,03,3,3,2,1,0 — it reaches 00 after 55 steps. In general, to prove EVERY Goodstein sequence terminates (even ones that first grow to numbers with more digits than atoms in the observable universe), assign to each term nkn_k the ordinal f(nk)f(n_k) obtained by taking its hereditary base-(k+2)(k{+}2) representation and literally replacing the base by ω\omega (e.g. 222+1⋅3+⋯↦ωωω+1⋅3+⋯2^{2^2+1}\cdot 3 + \cdots \mapsto \omega^{\omega^\omega+1}\cdot 3+\cdots). Increasing the base never increases this ordinal (an ordinal expression doesn't grow when you relabel its "base" as ω\omega), while subtracting 11 strictly decreases it. So f(n0)>f(n1)>f(n2)>⋯f(n_0)>f(n_1)>f(n_2)>\cdots is a strictly decreasing sequence of ordinals — and by the well-ordering of the ordinals (no infinite strictly decreasing sequence exists), it must reach 00 after finitely many steps, forcing nk=0n_k=0 eventually. This is exactly the "ranking function" technique used to prove program termination, with ε0\varepsilon_0-sized ordinals replacing a simple decreasing integer counter.

ResearchResearch today

Which of these ordinal identities is correct?

Ordinal ranking functions are used in computer science mainly to...

By König's theorem, what do we know about cf⁡(2ℵ0)\operatorname{cf}(2^{\aleph_0})?

What does it mean for a set to be well-ordered?

References

  1. Wikipedia contributors (2024). Ordinal number
  2. Wikipedia contributors (2024). König's theorem (set theory)
  3. Wikipedia contributors (2024). Goodstein's theorem