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Domenico Cantone
Pietro Ursino

An Introduction
to the Technique
of Formative
Processes in Set
Theory
An Introduction to the Technique of Formative
Processes in Set Theory
Domenico Cantone Pietro Ursino
•

An Introduction
to the Technique
of Formative Processes
in Set Theory

123
Domenico Cantone Pietro Ursino
Dipartimento di Matematica e Informatica Dipartimento di Fisica e Matematica
Università degli Studi di Catania Università degli Studi dell'Insubria
Catania Como
Italy Italy

ISBN 978-3-319-74777-4 ISBN 978-3-319-74778-1 (eBook)

https://doi.org/10.1007/978-3-319-74778-1
Library of Congress Control Number: 2018932530

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To Maria Pia and Riccardo,
and to the memory of my beloved parents

To Melita and Miranda

Preface

The decision problem in set theory has been explored intensively in the last decades, mainly
with the following goals:

- mechanical formalization of mathematics with a proof verifier based on the set-

theoretic formalism [FOS80, OS02, COSU03, OCPS06, SCO11],

- enhancement of the services offered by high-level specification languages including

sets and functions among their primitives [SDDS86, KP95],

- handling set constraints [DPPR98, RB15, CRF15] in an advanced declarative pro-

gramming setting.

This research has generated a large body of results, giving rise to the field of Computable
Set Theory [CFO89, CF95, COP01, SCO11].
In the design of decision procedures in set theory, one needs inevitably to face the
problem of manipulating collections of sets, subject to certain relationships among them
that must be maintained invariant. In fact, for a given fragment F of set theory of which one
is investigating the satisfiability problem, a typical approach consists of finding a uniform
method that simplifies the satisfying assignments of any given formula in F, in such a
way that some of their representatives—and, possibly, some additional finite structures
attached to them—can be confined into a finite collection of candidate assignments that
can be effectively generated and tested for satisfaction. As we shall see, this amounts to
proving that F enjoys a small model property or a small witness-model property.
This book provides an introduction to the most advanced of these simplification methods
developed in computable set theory, namely, the technique of formative processes. Each set
carries in its extension a complete ‘construction plan’, which can be conveniently unraveled
and manipulated according to one’s needs. In the case of a finite number of sets F ,
which collectively may form a satisfying assignment for a given set-theoretic formula, it
proves advantageous to represent F through its Venn partition, or some of its extensions,
rather than by the mere collection of its members. The ‘construction plan’ HF of such
an extended Venn partition Σ of F is a formative process. By appropriately manipulating
HF , one can produce other formative processes whose induced set collections F 0 enjoy
the same properties as F , plus possibly additional ones (e.g., rank boundedness or infinite
cardinality).
In the mid-1980s, a similar technique began to emerge in the process of solving the
satisfiability problem for the fragments of quantifier-free formulae of set theory called
MLSP (viz., Multi-Level Syllogistic with the Powerset operator ; see [CFS85]) and MLSSP
(see [Can87] and [Can91]). Specifically, MLSP-formulae are the propositional combinations

vii
viii Preface

of atoms of the following types

x = y ∪ z, x = y ∩ z, x = y \ z, x ∈ y, x = P(y),

(where x, y, z stand for set variables, and P(·) is the powerset operator), whereas MLSSP-
formulae are obtained by extending the endowment of MLSP with atoms of the form x =
{y}, involving the singleton operator. This technique was then restated in [CU97, COU02],
in much like the current terms, and further refined in [Urs05, CU14], where it was applied to
solve the satisfiability problem for the extension MLSSPF of MLSSP with atomic formulae
of the form Finite(x), intended to express that x has a finite cardinality. However, unlike
MLSSP-formulae, some formulae in MLSSPF are satisfied by infinite assignments only.
Hence, the fragment MLSSPF cannot enjoy the classical small model property. Instead, the
decidability of MLSSPF can be obtained by proving a small witness-model property, using
the technique of formative processes. Specifically, given an MLSSPF-formula Φ admitting
only infinite satisfying assignments, one can show that the associated formula Φ− , obtained
by dropping from Φ all literals involving the predicate Finite(·), admits a small satisfying
assignment whose formative process can be ‘pumped’ into a new infinite formative process.

An approach strictly related to the technique of formative processes was also undertaken
by Omodeo and Policriti in [OP10, OP12] for the satisfaction problem of the Bernays-
Schönfinkel-Ramsey (BSR) class of set-theoretic statements (namely, the class of prenex
statements, with a prefix of the form ∃∗ ∀∗ , involving the predicate symbols of equality
‘=’ and membership ‘∈’ only). Since BSR-statements with a prefix of the form ∃∃∀∀ can
express infinite sets, as proved in [PP88], the decidability result for the BSR-class has
been established by proving for it a small witness-model property. Specifically, it has been
shown that any satisfiable BSR-formula Φ admits a non-necessarily finite model that can
be represented by a finite graph of bounded size with special nodes, called rotors, standing
for denumerably infinite families of well-behaved sets.

In the form in which they were originally conceived, several decision algorithms in
computable set theory are often hard to extend with new set-theoretic constructs that were
not built into them from the outset. We expect that a full understanding of the technique
of formative processes can enhance its applicability, simplifying combinations of decision
procedures, and possibly giving a new research boost to the fascinating area of computable
set theory. In fact, the consolidation of the known part of computable set theory is essential
not only to promote new discoveries on decidability, but also to convert the theoretical
results into technological advances in the field of automated reasoning. For instance, even
the most basic layer of automated set reasoning, the so-called multi-level syllogistic (MLS),
has benefited from being revisited under a tableaux-based approach, which renders its
implementation far more efficient (see [CZ00, CZ99] and [COP01, Chapter 14]).

We hope that the present book may contribute to a renewed interest in computable
set theory and, specifically, in the related technique of formative processes. We expect
that the technique of formative processes might be an essential tool in the solution of
some long-standing open problems in the area, such as the satisfiability problem for the
extension MLSC of multi-level syllogistic with the Cartesian product. This appears to be
particularly relevant insofar as the satisfiability problem for MLSC can be seen, in some
sense, as the set-theoretic counterpart of the well-known Hilbert’s tenth problem.
Preface ix

Content: The book is divided into two parts. The first part is preliminary and consists
of three chapters. Chapter 1 introduces the basic set-theoretic terminology and properties
used throughout the rest of the book. Chapter 2 is an introduction to the decision prob-
lem in set theory. After presenting the syntax and semantics of a comprehensive theory
that encompasses all the fragments of set theory considered in the book, the novel no-
tion of satisfiability by partitions is introduced. The relations of simulation and imitation
among partitions, which maintain invariant the collection of formulae satisfied by them,
are then examined, and a simple case study—the theory BST—is explored in detail. It
is proved, in particular, that BST has an NP-complete decision problem. Subsequently,
various expressiveness results are obtained and then used to prove two negative results
about decidability and rank dichotomicity. The latter is a novel concept, strictly related
to the small model property. Chapter 3 is devoted to formative processes. Preliminarily,
formative processes, their supports—syllogistic boards—and their applications to the de-
cision problem of MLSP-like fragments are illustrated by means of worked-out examples
and pictures. Then all these notions are rigorously presented along with some of their
properties. Finally, the so-called shadowing relationship among formative processes and
its properties are discussed, proving that the final partitions of two shadowing formative
processes imitate each other.
The second part of the book consists of two chapters, which are devoted to applications
of the technique of formative processes to the decision problems for the theories MLSSP
and MLSSPF, respectively. Specifically, given a partition Σ and a formative process H for
it, Chapter 4 presents a technique for extracting the subsequence SH of the salient steps
of H. The subsequence SH enjoys the following two properties: (i) its length is bounded
by a computable function of the size of the partition Σ, and (ii) there exists a formative
process Hb whose sequence of steps is SH and is such that H b is a shadow process of H.
This amounts to showing that MLSSP enjoys the small model property, thereby proving
b preserves certain structural properties
its decidability. In addition, the shadow process H
of H. This fact is exploited in Chapter 5 to prove the existence of suitable infinite shadow
processes of H (pumping mechanism). Let Φ be an MLSSPF-formula and, again, let Φ−
be the MLSSP-formula obtained by dropping from Φ all finiteness literals. Then it turns
out that one can generate effectively all (descriptions of) infinite processes that are in
the shadowing relationship with the formative process of some satisfying assignment for
Φ− (small witness-model property). As proved in Chapter 5, the latter fact yields the
decidability of MLSSPF.

All chapters (especially in the first part) contain a number of exercises to help the
reader become familiar with the new concepts and techniques. Some exercises simply ask
the reader to provide or complete omitted proofs; others are devoted to deepening the
comprehension of the topics discussed in the main text. The reader is strongly encouraged
to work them out for a full understanding of the concepts and techniques of the book.

Besides some “mathematical maturity,” the reader is assumed to have familiarity with
the basic set-theoretic apparatus, as well as with some elementary notions from mathe-
matical logic and computability.

Finally, to enhance readability, each proof is terminated by the empty square symbol
, whereas all examples and remarks are closed by the full square symbol .
x Acknowledgments

Acknowledgments
We are grateful to Eugenio Omodeo and Alberto Policriti for some initial and very enjoyable
conversations in the late 1990s, when the technique of formative processes began to take
shape in its current form. We are also thankful to Alfio Giarlotta, who provided very helpful
comments on the first part of the book and was kind enough to draw one of the figures,
and to Ronan Nugent, Senior Editor at Springer Computer Science, for his continuous
assistance and support. The second author is also indebted to Josie Nacci for her kind
help in English proofreading Chapters 4 and 5.
Contents

I Theoretical Apparatus 1

1 Basics of Set Theory 3

Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

2 The Decision Problem in Set Theory 21

2.1 The Theory S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
2.1.1 Syntax and Semantics of S . . . . . . . . . . . . . . . . . . . . . . . 22
2.1.2 The Decision Problem for Subtheories of S . . . . . . . . . . . . . . 26
Decidable fragments of set theory . . . . . . . . . . . . . . . . . . . . 28
Small model property for subtheories of S . . . . . . . . . . . . . . . 30
Venn partitions of set assignments . . . . . . . . . . . . . . . . . . . 30
2.1.3 Satisfiability by Partitions . . . . . . . . . . . . . . . . . . . . . . . . 31
2.2 Relating Partitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
2.2.1 Simulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
2.2.2 Imitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
2.3 A Simple Case Study: The Theory BST . . . . . . . . . . . . . . . . . . . . 39
2.3.1 Complexity Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
2.4 Expressiveness Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
2.4.1 Expressing the Singleton Operator . . . . . . . . . . . . . . . . . . . 46
2.4.2 Expressing Hereditarily Finite Sets . . . . . . . . . . . . . . . . . . . 46
2.4.3 Expressing Terms of the Form P∗ ({x1 , . . . , xk }) . . . . . . . . . . . . 49
2.4.4 Expressing Two Relations about Cardinalities . . . . . . . . . . . . . 50
2.5 Two Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
2.5.1 Undecidability of MLSuC+ . . . . . . . . . . . . . . . . . . . . . . . . 53
2.5.2 Rank Dichotomy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56

3 Formative Processes 59
3.1 A Gentle Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
3.1.1 Constructing a Formative Process . . . . . . . . . . . . . . . . . . . . 62
3.1.2 Syllogistic Boards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
3.1.3 Special Events and Shadow Processes . . . . . . . . . . . . . . . . . 67
3.1.4 Applications to the Decision Problem of MLSP-like Theories . . . . . 68
3.2 Basics on Syllogistic Boards . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
3.3 Formative Processes and Basic Events . . . . . . . . . . . . . . . . . . . . . 76
3.4 Shadow Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89

xi
xii Contents

II Applications 93

4 Decidability of MLSSP 95
4.1 Highlights of a Decision Test for MLSSP . . . . . . . . . . . . . . . . . . . . 95
4.2 Shadow Processes and the Decidability of MLSSP . . . . . . . . . . . . . . . 96
4.2.1 Salient Steps and Shadow Process . . . . . . . . . . . . . . . . . . . 97
4.2.2 Procedure Imitate: The Algorithm . . . . . . . . . . . . . . . . . . . 98
4.2.3 Estimation of % . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
4.2.4 Procedure Imitate: The Code . . . . . . . . . . . . . . . . . . . . . . 102
4.2.5 Meaning of Claim- and Assert-Statements Inside imitate . . . . . . . 104
4.2.6 Correctness of Procedure imitate . . . . . . . . . . . . . . . . . . . . 107
4.2.7 Rough Assessment of the Complexity of imitate . . . . . . . . . . . . 110
4.2.8 Decidability of MLSSP . . . . . . . . . . . . . . . . . . . . . . . . . . 111
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112

5 Decidability of MLSSPF 113

5.1 Highlights of a Decision Test for MLSSPF . . . . . . . . . . . . . . . . . . . 113
5.2 Historical Profile of an Infinite Block . . . . . . . . . . . . . . . . . . . . . . 114
5.3 Infinite and Potentially Infinite Venn Regions . . . . . . . . . . . . . . . . . 115
5.3.1 Pumping Paths . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118
5.3.2 Local Trashes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
5.4 Shadow Model and Potentially Infinite Venn Regions . . . . . . . . . . . . . 124
5.4.1 Pumping Chains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
5.5 A Decision Procedure for MLSSPF . . . . . . . . . . . . . . . . . . . . . . . 128
5.5.1 Soundness of the Procedure SatifisfiabilityTestMLSSPF . . . . . . . . 128
5.5.2 Completeness of the Procedure SatifisfiabilityTestMLSSPF . . . . . . . 130
5.6 Extending a formative process . . . . . . . . . . . . . . . . . . . . . . . . . . 138
5.7 Strong Rank Dichotomicity of MLSP . . . . . . . . . . . . . . . . . . . . . . 141
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145

Acronyms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149
Operators and Common Symbols . . . . . . . . . . . . . . . . . . . . . . . . . . . 149
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151
 Part I

Theoretical Apparatus
Chapter 1

Basics of Set Theory

We briefly recall some basic set-theoretic terminology which will be used throughout the
book.
Our considerations will take place in a naive set theory that could be formalizable in
the standard axiom system ZFC, developed by Zermelo, Fraenkel, Skolem, and von Neu-
mann (see [Jec78]). In particular, we shall refer to the von Neumann standard cumulative
hierarchy of sets, a very specific ‘model’ of ZFC, and will assume the Axiom of Regularity
(or Axiom of Foundation) as the unique less naive principle:
Axiom of Regularity:
Every non-null set X contains a member x that is disjoint from X, i.e., such that
x ∩ X = ∅.
The Axiom of Regularity prevents the formation of cycles of memberships of the form

x0 ∈ x1 ∈ · · · ∈ xn ∈ x0

and, more in general, of infinite descending chains of memberships

x0 3 x1 3 · · · 3 xn 3 · · · . (1.1)

In fact, if there were an infinite descending chain of memberships of the form (1.1), then
the set X = {x0 , x1 , . . .} of all the elements participating in such a chain would violate the
Axiom of Regularity, as each member of X would intersect X.1
Other axioms of set theory that we shall sporadically mention are the following ones:
Axiom of Extensionality:
Two sets X and Y coincide if and only if they have the same elements.
Axiom of Specification (or Axiom of Separation):
For each set X and property φ (expressed in the language of set theory) there exists
a set Y whose elements are exactly the members of X that satisfy φ.
Axiom of Choice:
For every family X of non-null sets, one can choose an element from each set in X,
i.e., there exists a function f on X such that f (s) is a member of s, for every s in X.
1
Indeed, if x is any member of X = {x0 , x1 , . . .}, then x = xi for some natural number i. But then
xi+1 ∈ x ∩ X.

© Springer International Publishing AG, part of Springer Nature 2018 3

D. Cantone and P. Ursino, An Introduction to the Technique of Formative
Processes in Set Theory, https://doi.org/10.1007/978-3-319-74778-1_1
4 Chapter 1. Basics of Set Theory

The definition of the von Neumann standard cumulative hierarchy is based on the
principle of transfinite recursion on ordinals, which is a generalization of the recursion
principle on integers. Thus, in our introduction to set theory we shall also review the basic
notions on ordinal numbers (for a more comprehensive presentation, see [Jec78]).
To begin with, we denote:
• by f : X → Y , a function from X into Y ;
• by Y X , the set of all functions (or maps) f from X into Y ;
• by f [S], the multi-image {w | (∃ z ∈ S)w = f (z)};
• by dom(f ), the domain of f , namely, the collection of all x’s for which f (x) is defined
(thus, if f ∈ Y X , then dom(f ) = X);
• by ran(f ), the range of f , namely, the collection of all y’s for which f (x) = y, for
some x ∈ dom(f ) (thus, if f ∈ Y X , then ran(f ) ⊆ Y );2
• by ιX , the identity function on X, i.e., ιX := {hx, xi | x ∈ X} (where hs, ti denotes
the ordered pair3 of s and t); and
• by f ◦ g, the composition 4 of f and g, where f : X → Y and g : Y → Z.
To describe a function f = {hx, yx i | x ∈ X}, we shall interchangeably use the notations
f
f = {yx }x∈X and x 7→ yx (x ∈ X). When the function f is understood, we shall also just
write x7→yx . A function f : X → Y is said to be
- partial, if f is a function from a possibly proper subset X 0 of X into Y ; if f is partial,
f
we shall also write either f : X 9 Y , or x 9
7→ yx , or simply x 9
7→ yx (when the function
f is understood).
- injective, if f (x0 ) = f (x00 ) implies x0 = x00 , for all x0 , x00 ∈ X; if f is injective, we shall
also write f : X  Y ;
- surjective, if ran(f ) = Y ;
- bijective, if it is injective and surjective.
Injection, surjection, and bijection are synonyms of injective, surjective, and bijective func-
tion, respectively.
We agree on the following notations for the powerset, union set, disjoint union
set, and intersection set of a given a set T :

P(T ) := {S | S ⊆ T } (the powerset of T )

[
T := {s | s ∈ t for some t ∈ T } (the union set of T )
] 
T := s | (∃!t)(t ∈ T ∧ s ∈ t) (the disjoint union set of T )5
\
T := {s | s ∈ t for every t ∈ T } (the intersection set of T , provided that T 6= ∅).
2
Notice that, for a function f , we have: ran(f ) = f [dom(f )].
3
Order pairs can be encoded by sets. The standard encoding is due to the logician K. Kuratowski:
hs, ti := {{s}, {s, t}}.
4
Throughout the book, we shall use functional-order notation. Thus, f ◦ g := {hx, zi | g(x) =
y and f (y) = z, for some y}.
Chapter 1. Basics of Set Theory 5

t1

t2 t3

S U T
Figure
S 1.1: The sets T , T , and T relative to a three-element
U set T = {t1 , t2 , t3 }:
T is the union of all the greyT regions (of any darkness), T is the union of the light
grey regions only, and, finally, T is the central dark grey region.

S U T
Figure 1.1Sdepicts the sets T , T , and T for a three-element set U T = {t1 , t2 , t3 }.
Specifically, T is the union of all the grey
T regions (of any darkness), T is the union of
the light grey regions only, and, finally, T is the central dark grey region.

Remark 1.1. We have:

U
- {t1 } = t1 ;
U
- {t1 , t2 } = (t1 ∪ t2 ) \ (t1 ∩ t2 );
U S
- {t1 , t2 , t3 } = (t1 ∪ t2 ∪ t3 ) \ 16i<j63 (ti ∩ tj );

and, more in general,

U S
- {t1 , . . . , tn } = (t1 ∪ . . . ∪ tn ) \ 16i<j6n (ti ∩ tj ), for every n ∈ ω, and
U S S
- T = T \ {t ∩ t0 | t, t0 ∈ T, t 6= t0 }, for every set T .

S T
The following lemma collects the main properties of the operators P, , and relevant
to our later developments:

Lemma 1.2. Let S, T be sets such that S ⊆ T . Then the following properties hold:

(a) P(S) ⊆ P(T );

S S
(b) S ⊆ T;
T T
(c) if S 6= ∅, then T ⊆ S;
5
By “∃!” we mean the unique existential quantification; thus, (∃!t)(t ∈ T ∧ s ∈ t) has to be interpreted
as “there exists a unique t such that t ∈ T ∧ s ∈ t”.
6 Chapter 1. Basics of Set Theory

S S
(d) P(S) = S ⊆ P( S);
S S
(e) P( S) = S if and only if S = P( S 0 ) for some set S 0 ;
S S
(f ) if T = P( T ), then P( S) ⊆ T ;
T T
(g) if S 6= ∅, then P( S) = P[S], where P[•] is the multi-powerset operator, i.e.,
P[S] = {P(s) | s ∈ S};
SS SS S S S
(h) S= [S], where [•] is the multi-unionset operator, i.e., [S] = { s | s ∈
S}.

Properties (a) and (b) of Lemma 1.2 state that both the powerset operator and the union
set operator are monotonically nondecreasing (with respect to set inclusion), whereas (c)
states that the intersection set operator is monotonically nonincreasing. From (d), it follows
that the union set operator is a left-inverse of the powerset operator. Instead, theSpowerset
0
operator is a left-inverse of the union set operator only for sets of the S form P( S ), for
some S 0 (cf. property (e)). PropertiesS (d), (e), and (f) entail that P( S) is the minimal
superset R of S such that R = P( R) holds. Property (g) yields that, in some sense, the
powerset and the intersection set operators commute. Finally, (h) implies that the union
set operator distributes over the binary union operator. Indeed, for S := {S1 . . . Sn },
property (h) yields
S SS
(S1 ∪ . . . ∪ Sn ) = {S1 , . . . , Sn }
SS S S S S S
= [{S1 , . . . , Sn }] = { S1 , . . . , Sn } = S 1 ∪ . . . ∪ Sn .

Remark 1.3. Note that X 6= P(X). Indeed, one may simply observe that X ∈ P(X),
whereas X ∈ / X by the well-foundedness of ∈. The same conclusion can be reached
without recourse to the Axiom of Regularity, anyhow, through the Axiom of Specification
(cf. [Zer77]). The latter enables us to build the set S := { v ∈ X | v ∈
/ v }, which plainly
fulfills S ∈ P(X), and (∀ v ∈ S)(v ∈ / v)—and hence S ∈ / S. Let T := S ∪ {S}. Then we
have:
(i) S ∈ P(T ), and
(ii) (∀ v ∈ T )(v ∈
/ v).
In addition, since S ∈ T and S ∈
/ S, then S 6= T , and therefore the Axiom of Extensionality
entails
(iii) S ∈
/ P(T ) ∨ T ∈
/ P(S).
Assume now by contradition that X = P(X) holds. Since S ∈ P(X), then S ∈ X, so
that T ∈ P(X). Thus, by (ii), T ∈ P(S). In view of (i), the latter contradicts (iii), proving
that X 6= P(X).

Definition 1.4. A linear order on a set X is any binary relation on X which is tran-
sitive, antisymmetric, and total.6 In addition, a linear order 6 on X such that every
non-null subset Y of X has a least element with respect to 6 is a well-order.
6
We recall that a binary relation R on X is: reflexive, if x R x holds for every x ∈ X; transitive, if x R y
and y R z yield x R z; symmetric, if x R y yields y R x; antisymmetric, if x R y and y R x yield x = y; total,
if x R y, or x = y, or y R x, for all x, y ∈ X. We also recall that a binary relation is an equivalence
relation if it is reflexive, symmetric, and transitive.
Chapter 1. Basics of Set Theory 7

Transitive sets and ordinal numbers

We say that a set s participates in the construction of another set T if there are
sets s0 , s1 , . . . , sn , with n > 0, such that

s = s0 ∈ s1 ∈ · · · ∈ sn ∈ T .

A set which contains as members all the elements which participate in its construction is
said to be transitive. More formally, transitivity can be defined as follows:

Definition 1.5. A set T is transitive if, whenever r ∈ s and s ∈ T , then r ∈ T holds.

Some characterizations of transitive sets are listed in the following lemma.

Lemma 1.6. For a set T , the following conditions are equivalent:

(a) T is transitive;

(b) T ⊆ P(T );
S
(c) T ⊆ T.

Proof. We show that (a) ⇒ (b) ⇒ (c) ⇒ (a). Let us assume first that T is transitive and
let s ∈ T . Then for each r ∈ s, by the transitivity of T , we have r ∈ T , so that s ⊆ T , i.e.,
s ∈ P(T ), proving (a) ⇒ (b). Next, assume that T ⊆ S P(T ) holds.
S By applying the union
set operator to both sidesSof the inclusion, we obtain T ⊆ P(T ) = S T , proving (b) ⇒
(c). Finally, assume that T ⊆ T holds, and let r ∈ s ∈ T . Then r ∈ T , so that, by our
assumption, r ∈ T , proving (c) ⇒ (a), and in turn proving that conditions (a), (b), and
(c) of the lemma are equivalent.

The following lemma collects some elementary properties of transitive sets.

Lemma 1.7. For a set S and a family T of transitive sets, the following properties hold:
S
(a) T is transitive;
T
(b) if T 6= ∅, then T is transitive;
S
(c) if S is transitive, then so is S;

(d) S is transitive if and only if so is P(S);

(e) if S is a non-null transitive set, then ∅ ∈ S.

Proof. Let S be a set and T a familyS of transitive sets.

For every T ∈ T , we have T ⊆ T . Hence, by the transitivity
S T and S
of S the mono-
tonicity
S of the powerset operator, we
S have T ⊆ P(T ) ⊆ P( T ), so that T = T ∈T T ⊆
P( T ), proving the transitivity of T ; therefore (a) holds. T
As for (b), let now T 6= ∅. Then, for every T ∈ T , we have T ⊆ T ⊆ P(T ), so that,
by Lemma 1.2(g), T T T T
T ⊆ T ∈T P(T ) = P[T ] = P( T ) ,
T
proving that T is transitive.
8 Chapter 1. Basics of Set Theory

S
Concerning (c) and (d), if S is transitive then, by Lemma 1.6, S ⊆ S and S SS ⊆ P(S).
S
By applying S the union set operator to both sides of the former, we obtain S ⊆ S,
proving
S that S is transitive, so that (c) holds. From the latter and Lemma 1.2, it follows
P(S) = S ⊆ P(S), proving that P(S) is transitive, whenever S S is transitive. Conversely,
if P(S) is transitive, then, by Lemma 1.2(d), we have S = P(S), so that, by property
(c) just proved, S is transitive, completing the proof of (d).
Finally, if S is a non-null transitive set, by the Axiom of Regularity, S has a member s
not intersecting S. Hence, by transitivity, we have s = s ∩ S = ∅, proving (e).

Definition 1.8. A set µ is said to be an ordinal number if it is transitive and is linearly

ordered by the membership relation ∈ (and hence well-ordered, by the Axiom of Regularity).

As is customary, ordinal numbers will be denoted by small Greek letters α, β, γ, . . . .

Example 1.9. The following sets are ordinal numbers (and therefore transitive as well):

∅, { ∅ }, { ∅, { ∅ } }, ∅, { ∅ }, { ∅, { ∅ } } .

Instead, the set ∅, { ∅ }, { { ∅ } }, { ∅, { ∅ } } is transitive, but not an ordinal number,
since neither { { ∅ } } ∈ { ∅, { ∅ } }, nor { ∅, { ∅ } } ∈ { { ∅ } } holds (that is, completeness
fails). 
Finally, the set ∅, { ∅, { ∅ } }  is not transitive (hence, it fails to be an ordinal number)
since though { ∅ } ∈ { ∅, { ∅ } } ∈ ∅, { ∅, { ∅ } } , we have  {∅} ∈ / ∅, { ∅, { ∅ } } , where,
plainly, the set { ∅ } participates in the construction of ∅, { ∅, { ∅ } } .

As the membership relation ∈Tis a well-ordering of theTclass On of all ordinals, for every
T set C ⊆ On, we have C ∈ C, and therefore C is the
non-null S smallest ordinal in C,
i.e.,
S C = min C. Also, for every non-null set C ⊆ On, we have C ∈ On, and therefore
S C is the smallest ordinal γ such that, for every α ∈ C, either α = γ or α ∈ γ, i.e.,
C = sup C.
One reason to be interested in ordinals is the following fundamental theorem:

Theorem 1.10. Let  be a well-ordering on the set x. Then there exist, and are uniquely
determined, an ordinal ξ and a function f ∈ xξ such that f [ξ] = x holds and, for any pair
ν, µ < ξ of ordinals:

f ν 6= f µ holds when ν 6= µ, and moreover f ν  f µ when ν ≤ µ.

By the Axiom of Choice, a well-ordering can be imposed on any set (cf. [Jec78]). There-
fore the following definition makes sense: the cardinality of a set S, denoted by |S|, is
the least ordinal ν such that there exists a function f : ν → S for which f [ν] = S holds. A
cardinal number is an ordinal µ such that µ = |µ|.
It is rather easy to see in which sense ordinals are an extension of the natural numbers.
Indeed, natural numbers, defined à la von Neumann by the rules

0 := ∅, i + 1 := i ∪ {i}, (1.2)
Chapter 1. Basics of Set Theory 9

constitute the initial segment of the class of ordinals: thus, n = {0, 1, . . . , n − 1} for each
natural number n. Their collection, ω := {0, 1, 2, 3, . . . }, is the first ordinal which exceeds
all natural numbers, often denoted ℵ0 . The set of all finite ordinals will also be denoted
by N.
Even for ordinals (such as ω) which are not natural numbers, it is convenient to assign
the meaning just indicated to the increment operation ‘+1’: we shall hence have, among
ordinals, ω + 1, ω + 1 + 1, etc. The ordinals of the form µ + 1, where µ is an ordinal, are
called successor ordinals; all others, save 0, are infinite limit ordinals. The latter
comprise ω, ω + ω, ω + ω + . . . , etc. (we are appealing to the intuition of the reader).
| {z }
ω times
Finally, we agree that the ordinal 0 is the unique finite limit ordinal.
All elements of ω + 1 are cardinal numbers; but ω + 1 itself is not a cardinal number.

Definition 1.11. By a ξ-sequence, where ξ is an ordinal, we mean a function µ 7→

Yµ (µ ∈ ξ), usually denoted (Yµ )µ<ξ , whose domain is ξ. When the ordinal ξ is omitted,
by a sequence we mean either an ω-sequence or an n-sequence, with n ∈ ω, depending
on context.

The von Neumann standard cumulative hierarchy

The von Neumann standard cumulative hierarchy V of all sets is defined by the following
transfinite recursion on the class On of all ordinals:
V0 = ∅
V α+1 = P(V
S α) , for each ordinal α,
Vλ = µ<λ V µ , for each limit ordinal λ,
S
V = µ∈On V µ.

By transfinite recursion and Lemma 1.7, it can be shown that each layer V α of the von
Neumann cumulative hierarchy is transitive, for every ordinal α.

Example 1.12. Using the following ‘nesting’ notation

∅n := {{. . . { ∅ } . . .}} ,
| {z } | {z }
n n
10 Chapter 1. Basics of Set Theory

the first few layers of the von Neumann standard cumulative hierarchy are

V0 = ∅
V1 = {∅}
V2 = { ∅, ∅1 }

V3 = ∅, ∅1 , ∅2 , { ∅, ∅1 }
n
V4 = ∅,

∅1 , ∅2 , ∅3 , { ∅, ∅1 } ,
  
{ ∅, ∅1 }, { ∅, ∅2 }, ∅, { ∅, ∅1 } , { ∅1 , ∅2 }, ∅1 , {∅, ∅1 } , ∅2 , { ∅, ∅1 } ,
{ ∅, ∅1 , ∅2 }, ∅, ∅1 , {o∅, ∅1 } , ∅, ∅2 , { ∅, ∅1 } , ∅1 , ∅2 , { ∅, ∅1 } ,

∅, ∅1 , ∅2 , { ∅, ∅1 }
... ... ...

(Notice that the elements in V 4 have been grouped by cardinalities.)

For any given set S, the maximal depth of nesting of the empty set ∅ in S is an important
measure related to S, called rank.

Definition 1.13. The rank of a set S ∈ V, denoted by rk S, is the least ordinal α such
that S ∈ V α+1 .

The class V µ of all sets whose rank is smaller than µ is, for every ordinal µ, a set,
which is easily recognized to be transitive. Among these sets, one has the family V ω (also
denoted by HF) of the hereditarily finite sets, which are those sets that are finite and
whose elements, elements of elements, etc., all are finite.
 
Example 1.14. The sets {∅, ∅1 , ∅2 , . . .} and V ω are simple examples of finite, but
not hereditarily finite sets. Indeed, their cardinality is 1, and both of them contain an
infinite element.

The following lemma lists some useful properties of the rank function (for a proof, see
[CFO89]).

Lemma 1.15. For all sets S, T, S0 , . . . , Sn ∈ V and every ordinal α, we have:

(i) rk(S ∪ T ) = max{rk S, rk T };

(ii) rk ∅ = 0 and rk {S0 , . . . , Sn } = max{rk S0 , . . . , rk Sn } + 1;

S
(iii) rk S = {rk U + 1 | U ∈ S};

(iv) if S ∈ T , then rk S < rk T ;

(v) if S ⊆ T , then rk S 6 rk T ;
S S
(vi) rk S = {rk U | U ∈ S};

(vii) V α = {S ∈ V | rk S ∈ α};
Chapter 1. Basics of Set Theory 11

(viii) rk V α = rk α = α;

(ix) there exists a well-ordering

6 on S such that

T

6 U when rk T < rk U , for T, U ∈ S.

Hereditarily finite sets can be conveniently represented as finite downward growing trees,
as in the next picture:

By traversing trees in a bottom-up fashion, one can compute the sets they represent through
the following labeling process:

(i) all leaves are initially labeled with the empty set ∅; then

(ii) each internal node is recursively labeled with the collection of the labels of its children;
finally,

(iii) the root label is the set represented by the tree.

The following picture illustrates the labeling process just described on three trees:7

∅ {∅} {{∅}, {∅, {∅}}}

∅ {∅} {∅, {∅}}

∅ {∅} ∅

However, the same set may be represented by different trees, as in the picture:

7
The labeling process works also for infinite well-founded trees, namely, trees whose branches have finite
length.
12 Chapter 1. Basics of Set Theory

{{{∅}}} {{{∅}}}

{{∅}} {{∅}} {{∅}}

{∅} {∅} {∅}

∅ ∅ ∅ ∅ ∅

To circumvent such a problem, it is possible to define an equivalence relation ≈ among

trees, called maximum bisimulation, such that any set is represented by a unique ≈-
equivalence class in the collection of all trees; the interested reader can find a thorough
treatment of this subject in [Acz88].
As can be easily proved by induction, the rank of a hereditarily finite set coincides with
the height of any tree that represents it:8

rank = 0 rank = 1 rank = 3

Thus, rk ∅ = 0, rk({∅}) = 1, and rk({{∅}, {∅, {∅}}}) = 3, etc.

Transitive closure
Any set S can be uniquely associated with a transitive set, as in the following definition.

Definition 1.16. The transitive closure TrCl(S) of a set S is the minimal transitive
set containing S, i.e.,
T
TrCl(S) := T ∈ V | S ⊆ T ∧ T is transitive .

The definition of TrCl(S) is well-given. Indeed, if S is a set, then S ∈ V α , for some
ordinal α. Hence T ∈ V | S ⊆ T ∧ T is transitive is non-null, as it plainly contains V α .
The following lemma lists some elementary properties connected to transitive closure:

Lemma 1.17. The following properties hold for any set S:

(a) TrCl(S) is transitive;

8
We recall that the height of a tree is the maximum length of a path in the tree from the root to a leaf.
Chapter 1. Basics of Set Theory 13

(b) S is transitive if and only if TrCl(S) = S;

(c) a set is hereditarily finite if and only if its transitive closure is finite.

Partitions, transitive partitions, and P-partitions

The notion of partition, and its variants, will be basic to our later developments.
Definition 1.18. A partitionSΣ is a collection of pairwise disjoint non-null sets, called
the blocks of Σ. The union Σ of a partition Σ is the domain of Σ. A partition is
transitive if so is its domain. Likewise, a partition is hereditarily finite if so is its
domain.

Notice that the domain of a transitive partition contains all the elements that participate
in its construction (cf. Exercise 1.3).
If a partition Σ is non-transitive, then we can obtain a transitive
S Spartition containing
Σ as a subset,S by adding to it as a new block the set TrCl( Σ) \ SΣ (which is plainly
non-null, as Σ is a non-transitive
S S subset of the transitive set TrCl( Σ)). In fact, it can
be shown that Σ ∪ {TrCl( Σ) \ Σ} is the minimal transitive partition containing Σ as
a subset.
Definition 1.19. TheS transitive
S completion of a non-transitive partition Σ is the
partition Σ ∪ {TrCl( Σ) \ Σ}.
We agree that the transitive completion of a transitive partition Σ is the partition itself.

For technical reasons, it will be more convenient to consider a stronger

S kind of comple-
tion. Let Σ be a partition, and σ ∗ any (non-null) set disjoint from Σ and such that the
following chain of inclusions and equalities are fulfilled:
S SS SS
S
Σ⊆ (Σ ∪ {σ ∗ }) ⊆ P (Σ ∪ {σ ∗ }) = (Σ ∪ {σ ∗ }) . (1.3)

Then, setting Σ∗ := Σ ∪ {σ ∗ }, we have:

(I) Σ∗ is a transitive partition, and
S S
(II) P( Γ) ⊆ Σ∗ , for each Γ ⊆ Σ.
Upon calling internal the blocks in Σ∗ distinct from σ ∗ , constraint (II) just asserts that
the domain of the partition Σ∗ contains the powerset of every possible union of internal
blocks. This closure property, together with a similar property involving the intersecting
powerset operator P∗ to be defined later, will be particularly useful in the applications of
certain structures, called syllogistic boards,9 to the decision problem in set theory.
Before proceeding any further, we need to check that, for any partition Σ and any set
σ ∗ satisfying (1.3), constraints (I) and (II) are satisfied. S
In addition, we have to show that
there actually exists some non-null set σ ∗ disjoint from Σ and fulfilling (1.3). We prove
these facts in the following two lemmas.
9
Syllogistic boards are graph structures superimposed to partitions to support their construction step
by step by means of formative processes. Syllogistic boards and formative processes will be defined and
elaborated in Chapter 3.
14 Chapter 1. Basics of Set Theory

S
Lemma 1.20. Let Σ be any partition, and let σ ∗ be any non-null set disjoint from Σ
and such that (1.3) is fulfilled. Then, constraints (I) and (II) above are satisfied.
SS ∗ S
Proof. Let Σ and σ ∗ be as in the statement.
S ∗ Then, Σ ⊆ Σ∗ follows at once, so
that, by Lemma 1.6(c), the domain Σ (and, therefore, the partition Σ∗ ) is transitive,
proving that the constraint (I) is fulfilled. Concerning the second constraint, let Γ ⊆ Σ.
Then, (1.3) yields S S SS ∗
Γ⊆ Σ⊆ Σ ,
so that, again by (1.3), we have
S
S S ∗
S ∗
P Γ ⊆P Σ = Σ ,

proving (II).

Lemma 1.21. Let Σ be any partition, and let

S S
σ ∗ := P(TrCl( Σ)) \ Σ . (1.4)

Then, σ ∗ is non-null and fulfills (1.3).

Proof.
S Given a partition Σ, let σ ∗ S
be defined as in (1.4). Then σ ∗ is plainly disjoint from
Σ, and is also non-null, as TrCl( Σ) ∈ σ ∗ . In addition, we have
SS S S
S
(Σ ∪ {σ ∗ }) = P(TrCl( Σ)) = TrCl( Σ) ,
SS
so that, by (1.4) and the transitivity of (Σ ∪ {σ ∗ }), the inclusions and equality in (1.3)
follow.

We shall interchangeably refer to the block σ ∗ (sometimes denoted also by σ) either as

the external block of Σ (relative to the P-completion Σ∗ ) or as the special block
of Σ∗ . Additionally, we shall refer to the partition Σ∗ as the P-completion of Σ.

Definition 1.22 (P-partition). A partition Σ is said to be a P-partition if it contains

a block σ ∗ such that
S SS SS
S
(Σ \ {σ ∗ }) ⊆ Σ⊆P Σ = Σ. (1.5)

As is expected, the P-completion of a given partition Σ is a P-partition. The proof of this

simple fact is left to the reader as an exercise.
It is not hard to show that if Σ is a P-partition, then there is exactly one block σ ∗ ∈ Σ
fulfilling conditions (1.5) (the reader is asked to prove this fact in Exercise 1.12). We shall
refer to this block as the special block of Σ. This will generate no confusion, since, as
can be easily checked, if σ ∗ is the special block of the P-completion Σ∗ of a given partition
Σ (in the sense that σ ∗ is the external block of Σ), then σ ∗ is also the special block of Σ∗ ,
considered as a P-partition.
Some elementary, yet useful properties of partitions and P-partitions are stated in the
following lemmas.

Lemma 1.23. Let Σ be a partition. Then, for every σ ∈ Σ and Γ ⊆ Σ, we have

Chapter 1. Basics of Set Theory 15

S
(a) σ ∈ Γ if and only if σ ∩ Γ 6= ∅;
S
(b) σ ∈ Γ if and only if σ ⊆ Γ.
S S
Proof. Let σ ∈ Σ S and Γ ⊆ Σ. Plainly, if σ ∈ Γ, then σ ⊆ Γ, so that σ ∩ Γ 6= ∅.
0 0
Conversely, if σ ∩ Γ 6= ∅, let σ ∈ Γ be such that σ ∩ σ 6= ∅. Since Σ is a partition, it
follows that σ = σ 0 , so that σ ∈ Γ, proving (a).
Property (b) can be proved similarly to (a).
Lemma 1.24. Let Σ be a P-partition with special block σ ∗ . Then:
(a) Σ is transitive;
S
S
(b) P Γ ⊆ Σ, for every Γ ⊆ Σ \ {σ ∗ };
S
(c) (Σ \ {σ}) ∈ σ if and only if σ = σ ∗ , for every σ ∈ Σ.
Proof. We prove here only property (c) and leave the proof of the remaining properties to
the reader as an exercise. Thus,
S as in the hypothesis
S the lemma, let Σ be a P-partition
of S
with special block σ ∗ . Since S(Σ \ {σ ∗ }) ∈ Σ, then (Σ \ {σ ∗ }) ∈ σ, for some σ ∈ Σ.
However, if σ 6= σ ∗ , then σ ⊆ (Σ \ {σ ∗ }), so that, by properties (iv) and (v) Lemma 1.15,
we would have S
rk σ 6 rk( (Σ \ {σ ∗ })) < rk σ ,
S
which is a contradiction.
S Hence, (Σ \ {σ ∗ }) ∈ σ ∗ .
Conversely, let (Σ \ {σ}) ∈ σ, for some σ ∈ Σ. If σ 6= σ ∗ , then
S S
σ ⊆ (Σ \ {σ ∗ }) ∈ σ ∗ ⊆ (Σ \ {σ}) ∈ σ

and, once more by (iv) and (v) of Lemma 1.15, we would get again the contradiction
rk σ < rk σ. Therefore, σ = σ ∗ must hold, completing the proof of property (c) of the
lemma.

Venn partitions and some of its variants

In connection with the decision problem for fragments of set theory, and more specifically
with the formative process technique, we shall be interested in the (transitive) Venn parti-
tions and Venn P-partitions of finite collections of sets. The next three definitions collect
all relevant notions.
Let F be a finite collection of sets.
Definition 1.25. The SVenn partition of F is the partition ΣV
F induced by the equiva-
lence relation ∼F over F , where

s ∼F t if and only if s ∈ S ↔ t ∈ S , for every S ∈ F .

As can be easily checked, we have

T S
ΣV
F = E\ (F \ E) ∅ =
6 E ⊆F \ { ∅ }.

|F |
S S
Hence, |ΣVF | 6 |P(F ) \ {∅}|
S = 2 − 1. In addition, ΣV
F = F , so that ΣV
F is a transitive
partition if and only if F is transitive.
16 Chapter 1. Basics of Set Theory

ΣPF : Venn P-partition of F

ΣV
F : Venn partition of F
S
TrCl( F ): transitive closure of F
external Venn region (lighter gray)

some internal Venn regions

Figure 1.2: Venn P-partition, Venn partition, and transitive closure of F .

Definition 1.26. The transitive Venn  partition

S of F , denoted by ΣT
F , is the Venn
partition of the extended collection F ∪ TrCl( F ) .10

It is easy to verify that we have

(
T ΣVF if ΣV
F is transitive
ΣF =  S S
ΣVF ∪ TrCl( F ) \ F otherwise
S S
and ΣT T
F = TrCl( F ), so that (the domain of) ΣF is transitive.
S T
11 Hence, ΣT is a
S VF
transitive partition which (possibly) extends ΣV
F and such that Σ F = TrCl( ΣF ) and
|ΣT |F | hold.
F| 6 2

Definition 1.27. A Venn P-partition ΣPF of F is any P-completion of the Venn par-
tition ΣV P V
F of F . The blocks of ΣF belonging to ΣF are the internal or proper Venn
regions or Venn parts of F , and the special block of ΣPF is the external or special
Venn region of F (relative to the Venn P-partition ΣPF .)

(Figure 1.2 shows the Venn P-partition, Venn partition, and transitive closure of F , as well
as their external and internal regions.) Plainly, ΣPF 6 2|F | .
The Venn partition ΣV F of a collection F enjoys the following elementary property:
S
for every S ∈ F there is a (unique) ΓS ⊆ ΣVF such that S = ΓS .
 V
In fact, ΓS = σ ∈ ΣF | σ ⊆ S .

The intersecting powerset operator P∗

The variant P∗ of the powerset operator, introduced in [Can91] and recalled below, will
also be particularly important in the rest of the book.
10
We recall that TrCl is the transitive closure operator (see Definition 1.16).
11
Notice that if F is transitive, then ΣTF = ΣVF .
S
Chapter 1. Basics of Set Theory 17

Definition 1.28. For a given set S, the Sintersecting powerset of S, denoted by

P∗ (S), is the collection of the subsets of S which have non-null intersection with all
the members of S;12 in symbols,
 S
P∗ (S) := s | s ⊆ S and s ∩ t 6= ∅ , for all t ∈ S . (1.6)
S
Thus, P∗ (S) ⊆ P( S) and P∗ ({t})
S = P(t) \ {∅}. In addition, ∗
S P (S) =S∅ whenever ∅ ∈ S.
Otherwise (namely, if ∅ ∈ / S) S ∈ P∗ (S) and therefore P∗ (S) = S. In particular,
P∗ (∅) = { ∅ }. We also have
S S
P ( S) = {P∗ (T ) | T ⊆ S} . (1.7)
S
A partition S induces in a natural way a partition of P ( S), as proved in the following
lemma.
∗
S If S is a partition, then the family { P (T ) | T ⊆ S } is a partition with
Lemma 1.29.
domain P ( S).

Proof. Let S be a partition. To prove that { P∗ (T ) | T ⊆ S } is a partition too, we just

need to verify that

/ { P∗ (T ) | T ⊆ S }; and
(i) ∅ ∈

(ii) P∗ (T1 ) ∩ P∗ (T2 ) = ∅, for all T1 , T2 ⊆ S such that T1 6= T2 .

Property (i) is immediate, as S is a partition and therefore ∅ ∈ / S. Concerning (ii), let

T1 , T2 ⊆ S be such that T1 6= T2 and, without loss of generality, let t ∈ T1 \ T2 . But then,
by the very definition (1.6) of the intersecting operator P∗ , we have that

• each element in P∗ (T1 ) intersects t;

S
• each element in P∗ (T2 ) is contained as a subset in T2 and, therefore, has empty
intersection with t.

Hence (ii) follows.

Finally, by (1.7) above, it follows readily that the domain of { P∗ (T ) | T ⊆ S } is
S
P ( S).

Example 1.30. Let us consider the partition S := {{0, 1}, {2, 3}}. Then we have

P∗ ({{0, 1}, {2, 3}}) = {0, 2}, {0, 3}, {0, 2, 3}, {1, 2}, {1, 3}, {1, 2, 3}, {0, 1, 2},
{0, 1, 3}, {0, 1, 2, 3}
∗

P ({{0, 1}}) = {0}, {1}, {0, 1}

P∗ ({{2, 3}}) = {2}, {3}, {2, 3}

P∗ (∅) = ∅ .
12
Equivalently, P∗ (S) is the S
collection of all sets s obtainable by extracting from each t ∈ S a non-null
Wt ⊆ t, and then forming s = t∈S Wt .
18 Chapter 1. Basics of Set Theory

It is easy to check that

n o
Σ = P∗ ({{0, 1}, {2, 3}}), P∗ ({{0, 1}}), P∗ ({{2, 3}}), P∗ (∅)

is indeed a partition of the powerset of the domain of S, namely of the set P({0, 1, 2, 3}).
As the set {0, 1, 2, 3} is transitive (in fact, it is the ordinal 4), its powerset is transitive as
well. Thus, in particular, Σ is a transitive partition.

Other useful properties of the intersecting powerset operator P∗ are listed in the follow-
ing lemma.
S
Lemma 1.31. (a) Let g be a contractive map on X, namely, a map g : X → P( X)
such that g(x) ⊆ x, for every x ∈ X. Then P∗ (g[X]) ⊆ P∗ (X).

(b) For every partition Σ and for all Γ0 , Γ1 ⊆ Σ,

P∗ (Γ0 ∪ Γ1 ) = { X ∪ Y | X ∈ P∗ (Γ0 ) ∧ Y ∈ P∗ (Γ1 ) };

S S
(c) Let Σ be a partition and X ⊆ P∗ (Σ). If Σ\ X 6= ∅, then

|P∗ (Σ) \ X| > 2sup{|σ| | σ∈Σ}−1 .

S S
(d) Let Σ be a finite partition such that Σ is infinite and let u ⊆ Σ be any finite set.
∗
Then the set {v ∈ P (Σ) : u ⊆ v} is infinite.

Proof.
S Concerning
S (a), let g be a contractive map on X, and let t ∈ P∗ (g[X]). Then
t ⊆ g[X] ⊆ X. In addition, for every x ∈ X, we have t ∩ g(x) 6= ∅, so that t ∩ x 6= ∅
holds, proving that t ∈ P∗ (X). Hence P∗ (g[X]) ⊆ P∗ (X).
Concerning
S (b), let Σ beSa partition, Γ0 , Γ1 ⊆ Σ, and Z ∈ P∗ (Γ0 ∪ Γ1 ). By putting
X := Z ∩ Γ0 and Y := Z ∩ Γ1 , we plainly have X ∈ P∗ (Γ0 ), Y ∈ P∗ (Γ1 ), and Z = X ∪Y ,
proving P∗ (Γ0 ∪ Γ1 ) ⊆ { X ∪ Y | X ∈ P∗ (Γ0 ) ∧ Y ∈ P∗ (Γ1 ) }. The converse inclusion is
immediate.
S S
To prove (c), let x0 ∈ Σ \ X and let σ ∈ Σ. If x0 ∈ / σ, then
{ {x0 } ∪ Y ∪ Z | Y ∈ P∗ ({σ}) ∧ Z ∈ P∗ (Σ \ {σ})} ⊆ P∗ (Σ) \ X,
otherwise
{ {x0 } ∪ Y ∪ Z | Y ∈ P(σ \ {x0 }) ∧ Z ∈ P∗ (Σ \ {σ})} ⊆ P∗ (Σ) \ X.
In the former case we have |P∗ (Σ) \ X| > 2|σ| −1, while in the latter we have |P∗ (Σ) \ X| >
2|σ|−1 . Since σ 6= ∅, and hence 2|σ| − 1 > 2|σ|−1 , in either case we get |P∗ (Σ) \ X| > 2|σ|−1 .
Since this holds for all σ ∈ Σ, we conclude that |P∗ (Σ) \ X| > 2(sup{|σ| |σ∈Σ}−1) .13
S
Finally, a verification of (d) runs as follows. Since Σ is finite and Σ is infinite, the
partition Σ must contain at least an infinite block σ. Then, it is an easy matter to check
that  S
( Σ \ σ) ∪ u ∪ s | s ∈ P∗ (σ \ u)
is an infinite subset of {v ∈ P∗ (Σ) : u ⊆ v}, as σ \ u is infinite.
13
For a cardinal κ, by (κ − 1) we intend the cardinal µ such that µ + 1 = κ. Notice that if κ is infinite,
then κ − 1 = κ.
Chapter 1. Basics of Set Theory 19

Remark 1.32. By taking a brief detour off our main course, we mention that the topic of
contractive maps (cited in Lemma 1.31(a)) has applications in various fields of research, for
instance in Individual Choice Theory. Recall that, given a set X of alternatives, a choice on
X is a contractive map c : Ω → pow(X) \ {∅}, where the choice domain Ω ⊆ pow(X) \ {∅}
is usually assumed to satisfy suitable properties of closure. Elements of Ω are called menus,
and elements of a menu are called items. Semantically, a choice c associates to each menu
A ∈ Ω a nonempty subset c(A) ⊆ A, which comprises all items of A that are deemed
selectable by an economic agent. According to the Theory of Revealed Preferences, pio-
neered by the economist Paul Samuelson (see [Sam38]), a choice is rationalizable if it can
be retrieved from a binary relation on X by taking all maximal elements of each menu.
(Recall that, given a binary relation - on X and a nonempty set A ⊆ X, the set of --
maximal elements of A is given by {z ∈ A : (∀a ∈ A) (z - a ⇒ a - z)}.) In symbols,
c : Ω → pow(X)\{∅} is rationalizable if there exists a binary relation - on X such that the
equality c(A) = max(A, -) holds for any menu A ∈ Ω. It is well known that rationalizable
choices can be characterized by the satisfaction of suitable axioms of choice consistency,
which are second-order logic formulae codifying rules of coherent selection within menus.
For a very recent analysis of rationalizable choices—also in connection with the transitive
structure (in the sense of [GW14]) of the rationalizing preference relation—the reader may
consult [CGGW16] and references therein. We mention also some very recent satisfiabil-
ity results for BST-formulae extended with the singleton operator and a choice function
symbol subject to various combinations of axioms of choice consistency (see [CGW17]). In
Section 2.3, the fragment BST (for Boolean Set Theory) will be examined in depth as a
first case study on decidability in set theory.

Exercises
Exercise 1.1. Verify Remark 1.1.

Exercise 1.2. Prove Lemma 1.2.

Exercise 1.3. Prove that a set is transitive according to Definition 1.5 if and only if it
contains as members all the elements which participate in its construction.

Exercise 1.4. Prove that each layer V µ of the von Neumann standard cumulative hierar-
chy is transitive, for every ordinal µ.

Exercise 1.5. Prove that V ω is the collection of all finite sets, whose elements, elements
of elements, etc., all are finite.

Exercise 1.6. Prove Lemma 1.15.

Exercise 1.7. Prove that the transitive closure operator satisfies the following transfinite
recursion: [
TrCl(S) = S ∪ TrCl(s) .
s∈S

Exercise 1.8. Prove Lemma 1.17.

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The Project Gutenberg eBook of Manhattan
Transfer
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Title: Manhattan Transfer

Author: John Dos Passos

Release date: October 11, 2023 [eBook #71853]

Language: English

Original publication: New York: Harper & Brothers, 1925

Credits: Carol Brown, Emmanuel Ackerman and the Online

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(This file was produced from images generously made
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*** START OF THE PROJECT GUTENBERG EBOOK MANHATTAN

TRANSFER ***
Transcriber’s Note:
Often, contracted words lack an apostrophe, two words are
printed as one, and elipses and hyphens are used inconsistently.
Words may have multiple spelling variations; all variations were
retained as printed. Dialect, obsolete words, alternative spellings and
misspelled words were not corrected.
Obvious printing errors, such as backwards, upside down, or
partially printed letters and punctuation, were corrected. Unprinted
final stops and quotation marks were added.
Manhattan Transfer
 By John Dos Passos
One Man’s Initiation

Three Soldiers

Rosinante to the Road Again

A Pushcart at the Curb

M a n h a t t a n Tr a n s f e r

Streets of Night
Manhattan Transfer
By

John Dos Passos

Harper & Brothers Publishers

New York and London
 M A N H AT TA N T R A N S F E R

C O P Y R I G H T, 1 9 2 5 , B Y J O H N D O S PA S S O S

PRINTED IN THE U. S. A.

TENTH PRINTING
 CONTENTS

First Section
I FERRYSLIP 3
II METROPOLIS 12
III DOLLARS 49
IV TRACKS 78
V STEAMROLLER 112

Second Section
I GREAT LADY ON A WHITE HORSE 129
II LONGLEGGED JACK OF THE ISTHMUS 144
III NINE DAYS’ WONDER 169
IV FIRE ENGINE 202
V WENT TO THE ANIMALS’ FAIR 217
VI FIVE STATUTORY QUESTIONS 237
VII ROLLERCOASTER 249
VIII ONE MORE RIVER TO JORDAN 255

Third Section
I REJOICING CITY THAT DWELT CARELESSLY 271
II NICKELODEON 291
III REVOLVING DOORS 305
IV SKYSCRAPER 351
V THE BURTHEN OF NINEVEH 371
First Section
I. Ferryslip

T
hree gulls wheel above the broken
boxes, orangerinds, spoiled cabbage
heads that heave between the splintered
plank walls, the green waves spume under
the round bow as the ferry, skidding on the
tide, crashes, gulps the broken water, slides,
settles slowly into the slip. Handwinches
whirl with jingle of chains. Gates fold
upwards, feet step out across the crack,
men and women press through the
manuresmelling wooden tunnel of the
ferryhouse, crushed and jostling like apples
fed down a chute into a press.

T
he nurse, holding the basket at arm’s length as if it were a
bedpan, opened the door to a big dry hot room with greenish
distempered walls where in the air tinctured with smells of
alcohol and iodoform hung writhing a faint sourish squalling from
other baskets along the wall. As she set her basket down she
glanced into it with pursed-up lips. The newborn baby squirmed in
the cottonwool feebly like a knot of earthworms.

On the ferry there was an old man playing the violin. He had a
monkey’s face puckered up in one corner and kept time with the toe
of a cracked patent-leather shoe. Bud Korpenning sat on the rail
watching him, his back to the river. The breeze made the hair stir
round the tight line of his cap and dried the sweat on his temples. His
feet were blistered, he was leadentired, but when the ferry moved
out of the slip, bucking the little slapping scalloped waves of the river
he felt something warm and tingling shoot suddenly through all his
veins. “Say, friend, how fur is it into the city from where this ferry
lands?” he asked a young man in a straw hat wearing a blue and
white striped necktie who stood beside him.
The young man’s glance moved up from Bud’s road-swelled
shoes to the red wrist that stuck out from the frayed sleeves of his
coat, past the skinny turkey’s throat and slid up cockily into the intent
eyes under the broken-visored cap.
“That depends where you want to get to.”
“How do I get to Broadway?... I want to get to the center of
things.”
“Walk east a block and turn down Broadway and you’ll find the
center of things if you walk far enough.”
“Thank you sir. I’ll do that.”
The violinist was going through the crowd with his hat held out,
the wind ruffling the wisps of gray hair on his shabby bald head. Bud
found the face tilted up at him, the crushed eyes like two black pins
looking into his. “Nothin,” he said gruffly and turned away to look at
the expanse of river bright as knifeblades. The plank walls of the slip
closed in, cracked as the ferry lurched against them; there was
rattling of chains, and Bud was pushed forward among the crowd
through the ferryhouse. He walked between two coal wagons and
out over a dusty expanse of street towards yellow streetcars. A
trembling took hold of his knees. He thrust his hands deep in his
pockets.
EAT on a lunchwagon halfway down the block. He slid stiffly onto
a revolving stool and looked for a long while at the pricelist.
“Fried eggs and a cup o coffee.”
“Want ’em turned over?” asked the redhaired man behind the
counter who was wiping off his beefy freckled forearms with his
apron. Bud Korpenning sat up with a start.
“What?”
 “The eggs? Want em turned over or sunny side up?”
“Oh sure, turn ’em over.” Bud slouched over the counter again
with his head between his hands.
“You look all in, feller,” the man said as he broke the eggs into the
sizzling grease of the frying pan.
“Came down from upstate. I walked fifteen miles this mornin.”
The man made a whistling sound through his eyeteeth. “Comin to
the big city to look for a job, eh?”
Bud nodded. The man flopped the eggs sizzling and netted with
brown out onto the plate and pushed it towards Bud with some bread
and butter on the edge of it. “I’m goin to slip you a bit of advice, feller,
and it won’t cost you nutten. You go an git a shave and a haircut and
brush the hayseeds out o yer suit a bit before you start lookin. You’ll
be more likely to git somethin. It’s looks that count in this city.”
“I kin work all right. I’m a good worker,” growled Bud with his
mouth full.
“I’m tellin yez, that’s all,” said the redhaired man and turned back
to his stove.

When Ed Thatcher climbed the marble steps of the wide hospital

entry he was trembling. The smell of drugs caught at his throat. A
woman with a starched face was looking at him over the top of a
desk. He tried to steady his voice.
“Can you tell me how Mrs. Thatcher is?”
“Yes, you can go up.”
“But please, miss, is everything all right?”
“The nurse on the floor will know anything about the case. Stairs
to the left, third floor, maternity ward.”
 Ed Thatcher held a bunch of flowers wrapped in green waxed
paper. The broad stairs swayed as he stumbled up, his toes kicking
against the brass rods that held the fiber matting down. The closing
of a door cut off a strangled shriek. He stopped a nurse.
“I want to see Mrs. Thatcher, please.”
“Go right ahead if you know where she is.”
“But they’ve moved her.”
“You’ll have to ask at the desk at the end of the hall.”
He gnawed his cold lips. At the end of the hall a redfaced woman
looked at him, smiling.
“Everything’s fine. You’re the happy father of a bouncing baby
girl.”
“You see it’s our first and Susie’s so delicate,” he stammered with
blinking eyes.
“Oh yes, I understand, naturally you worried.... You can go in and
talk to her when she wakes up. The baby was born two hours ago.
Be sure not to tire her.”
Ed Thatcher was a little man with two blond wisps of mustache
and washedout gray eyes. He seized the nurse’s hand and shook it
showing all his uneven yellow teeth in a smile.
“You see it’s our first.”
“Congratulations,” said the nurse.
Rows of beds under bilious gaslight, a sick smell of restlessly
stirring bedclothes, faces fat, lean, yellow, white; that’s her. Susie’s
yellow hair lay in a loose coil round her little white face that looked
shriveled and twisted. He unwrapped the roses and put them on the
night table. Looking out the window was like looking down into water.
The trees in the square were tangled in blue cobwebs. Down the
avenue lamps were coming on marking off with green shimmer
brickpurple blocks of houses; chimney pots and water tanks cut
sharp into a sky flushed like flesh. The blue lids slipped back off her
eyes.
 “That you Ed?... Why Ed they are Jacks. How extravagant of
you.”
“I couldn’t help it dearest. I knew you liked them.”
A nurse was hovering near the end of the bed.
“Couldn’t you let us see the baby, miss?”
The nurse nodded. She was a lanternjawed grayfaced woman
with tight lips.
“I hate her,” whispered Susie. “She gives me the fidgets that
woman does; she’s nothing but a mean old maid.”
“Never mind dear, it’s just for a day or two.” Susie closed her
eyes.
“Do you still want to call her Ellen?”
The nurse brought back a basket and set it on the bed beside
Susie.
“Oh isn’t she wonderful!” said Ed. “Look she’s breathing.... And
they’ve oiled her.” He helped his wife to raise herself on her elbow;
the yellow coil of her hair unrolled, fell over his hand and arm. “How
can you tell them apart nurse?”
“Sometimes we cant,” said the nurse, stretching her mouth in a
smile. Susie was looking querulously into the minute purple face.
“You’re sure this is mine.”
“Of course.”
“But it hasnt any label on it.”
“I’ll label it right away.”
“But mine was dark.” Susie lay back on the pillow, gasping for
breath.
“She has lovely little light fuzz just the color of your hair.”
Susie stretched her arms out above her head and shrieked: “It’s
not mine. It’s not mine. Take it away.... That woman’s stolen my
baby.”
 “Dear, for Heaven’s sake! Dear, for Heaven’s sake!” He tried to
tuck the covers about her.
“Too bad,” said the nurse, calmly, picking up the basket. “I’ll have
to give her a sedative.”
Susie sat up stiff in bed. “Take it away,” she yelled and fell back in
hysterics, letting out continuous frail moaning shrieks.
“O my God!” cried Ed Thatcher, clasping his hands.
“You’d better go away for this evening, Mr. Thatcher.... She’ll quiet
down, once you’ve gone.... I’ll put the roses in water.”
On the last flight he caught up with a chubby man who was
strolling down slowly, rubbing his hands as he went. Their eyes met.
“Everything all right, sir?” asked the chubby man.
“Oh yes, I guess so,” said Thatcher faintly.
The chubby man turned on him, delight bubbling through his thick
voice. “Congradulade me, congradulade me; mein vife has giben
birth to a poy.”
Thatcher shook a fat little hand. “Mine’s a girl,” he admitted,
sheepishly.
“It is fif years yet and every year a girl, and now dink of it, a poy.”
“Yes,” said Ed Thatcher as they stepped out on the pavement, “it’s
a great moment.”
“Vill yous allow me sir to invite you to drink a congradulation drink
mit me?”
“Why with pleasure.”
The latticed halfdoors were swinging in the saloon at the corner of
Third Avenue. Shuffling their feet politely they went through into the
back room.
“Ach,” said the German as they sat down at a scarred brown
table, “family life is full of vorries.”
“That it is sir; this is my first.”
 “Vill you haf beer?”
“All right anything suits me.”
“Two pottles Culmbacher imported to drink to our little folk.” The
bottles popped and the sepia-tinged foam rose in the glasses.
“Here’s success.... Prosit,” said the German, and raised his glass.
He rubbed the foam out of his mustache and pounded on the table
with a pink fist. “Vould it be indiscreet meester...?”
“Thatcher’s my name.”
“Vould it be indiscreet, Mr. Thatcher, to inquvire vat might your
profession be?”
“Accountant. I hope before long to be a certified accountant.”
“I am a printer and my name is Zucher—Marcus Antonius
Zucher.”
“Pleased to meet you Mr. Zucher.”
They shook hands across the table between the bottles.
“A certified accountant makes big money,” said Mr. Zucher.
“Big money’s what I’ll have to have, for my little girl.”
“Kids, they eat money,” continued Mr. Zucher, in a deep voice.
“Wont you let me set you up to a bottle?” said Thatcher, figuring
up how much he had in his pocket. “Poor Susie wouldn’t like me to
be drinking in a saloon like this. But just this once, and I’m learning,
learning about fatherhood.”
“The more the merrier,” said Mr. Zucher. “... But kids, they eat
money.... Dont do nutten but eat and vear out clothes. Vonce I get
my business on its feet.... Ach! Now vot mit hypothecations and the
difficult borrowing of money and vot mit vages going up und these
here crazy tradeunion socialists and bomsters ...”
“Well here’s how, Mr. Zucher.” Mr. Zucher squeezed the foam out
of his mustache with the thumb and forefinger of each hand. “It aint
every day ve pring into the voirld a papy poy, Mr. Thatcher.”
 “Or a baby girl, Mr. Zucher.”
The barkeep wiped the spillings off the table when he brought the
new bottles, and stood near listening, the rag dangling from his red
hands.
“And I have the hope in mein heart that ven my poy drinks to his
poy, it vill be in champagne vine. Ach, that is how things go in this
great city.”
“I’d like my girl to be a quiet homey girl, not like these young
women nowadays, all frills and furbelows and tight lacings. And I’ll
have retired by that time and have a little place up the Hudson, work
in the garden evenings.... I know fellers downtown who have retired
with three thousand a year. It’s saving that does it.”
“Aint no good in savin,” said the barkeep. “I saved for ten years
and the savings bank went broke and left me nutten but a bankbook
for my trouble. Get a close tip and take a chance, that’s the only
system.”
“That’s nothing but gambling,” snapped Thatcher.
“Well sir it’s a gamblin game,” said the barkeep as he walked back
to the bar swinging the two empty bottles.
“A gamblin game. He aint so far out,” said Mr. Zucher, looking
down into his beer with a glassy meditative eye. “A man vat is
ambeetious must take chances. Ambeetions is vat I came here from
Frankfort mit at the age of tvelf years, und now that I haf a son to
vork for ... Ach, his name shall be Vilhelm after the mighty Kaiser.”
“My little girl’s name will be Ellen after my mother.” Ed Thatcher’s
eyes filled with tears.
Mr. Zucher got to his feet. “Vell goodpy Mr. Thatcher. Happy to
have met you. I must go home to my little girls.”
Thatcher shook the chubby hand again, and thinking warm soft
thoughts of motherhood and fatherhood and birthday cakes and
Christmas watched through a sepia-tinged foamy haze Mr. Zucher
waddle out through the swinging doors. After a while he stretched