Lecture Notes in

Mathematics
Edited by A. Dold and B. Eckmann

769
El II

J6rg Flum
Martin Ziegler

Topological Model Theory

III IIIIII !

Springer-Verlag
Berlin Heidelberg New York 1980
Authors
J~rg Flum
Mathematisches Institut
Abt. fL~r math. Logik
Universit~t Freiburg
D-?800 Freiburg

Martin Ziegler
Mathematisches Institut
Beringstr. 4
D-5300 Bonn

AMS Su bject~Classifications (1980): 03 B 60, 03 C 90, 03 D 35, 12 L 99,

20A15, 46A99, 54-02

ISBN 3-540-09?32-5 Springer-Verlag Berlin Heidelberg NewYork

ISBN 0-38?-09732-5 Springer-Verlag NewYork Heidelberg Berlin
Library of Congress Cataloging in Publication Data
Flum, JSrg.
Topological model theory.
(Lecture notes in mathematics; 769)
Bibliography: p.
Includes index.
1. Topological spaces. 2. Model theory, t. Ziegler, Martin, joint author. I1. Title.
111.Series: Lecture notes in mathematics (Bed}n); 769.
OA3.L28 no. 769 [QA611.3] 510s [515.7'3] 79-29724
ISBN 0-387-09732-5
This work is subject to copyright. All rights are reserved, whether the whole or
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2t 41/3140-543210
To

Siegrid and Gisela

TABLE OF CONTENTS

Introduction

Part I

§1. Preliminaries ............................................. 1

§2. The language L t . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
§3. Beginning t o p o l o g i c a l model t h e o r y . . . . . . . . . . . . . . . . . . . . . . . . 7
§4. Ehrenfeucht-Fra£ss~ theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
§5. Interpolation and p r e s e r v a t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
§6. Products and sums . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
§7. Definability .............................................. 38
§8. Lindstr~ms theorem and r e l a t e d logics ..................... 48
§9. O m i t t i n g types theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6t

§ 10. ( L ® I ) t . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65

Historical remarks ............................................. 75

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76

Part II

§ I. T o p o l o g i c a l spaces ....................................... 78
A Separation axioms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78

B The d e c i d a b i l i t y of the t h e o r y of T3-spaces ........... 88

C The elementary types o f T3-spaces ..................... 95
D Finitely a x i o m a t i z a b l e and ~ - c a t e g o r i c a l T3-spoces . . . . 103
O

§ 2. T o p o l o g i c a l a b e l i a n groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
§ 3. Topological fields ....................................... 120
A C h a r a c t e r i z a t i o n of t o p o l o g i c a l f i e l d s . . . . . . . . . . . . . . . . 120
B Valued and ordered f i e l d s .............................. 123
C Real and complex numbers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127

§ 4. T o p o l o g i c a l v e c t o r spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
A L o c a l l y bounded r e a l v e c t o r spaces . . . . . . . . . . . . . . . . . . . . . 130
B L o c a l l y bounded r e a l v e c t o r spaces w i t h a d i s t i n g u i s h e d
subspace .............................................. 134
 C Banach spaces with linear mappings ..................... 139

D Dual pairs of normed spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140

His%orical remarks ............................................ 145

References ..................................................... 146

Subject index ................................................. 148

Index of symbols ............................................. 150
Errata .. .... ,,....,.. ......................... ,.,.,,,... ...... 151
INTRODUCTION

The task of model theory i s to i n v e s t i g a t e mathematical structures with the

aid of formal languages. C l a s s i c a l model theory deals with algebraic s t r u c -
tures. Topological model theory i n v e s t i g a t e s t o p o l o g i c a l s t r u c t u r e s . A t o -
p o l o g i c a l s t r u c t u r e i s a p a i r (=,a) consisting of an algebraic s t r u c t u r e ~
and a topology ~ on A. Topological groups and t o p o l o g i c a l vector spaces are
examples. The formal language in the study of t o p o l o g i c a l structures i s Lt -
This i s the fragment of the (monadic) second-order language (the set v a r i a b -
les ranging over the topology ~) obtained by allowing q u a n t i f i c a t i o n over
set v a r i a b l e s in the form 3X(t e X ^ ~), wheret i s a term and the second-
order v a r i a b l e X occurs only n e g a t i v e l y in ~ (and d u a l l y f o r the u n i v e r s a l
quantifier). Intuitively, L t allows only q u a n t i f i c a t i o n s over s u f f i c i e n t l y
small neighborhoods of a point.

The reasons for the distinguished r o l e that Lt plays in t o p o l o g i c a l model

theory are twofold. On one hand, many t o p o l o g i c a l notions are expressible in
Lt, e.g. most of the freshman calculus formulas as " c o n t i n u i t y "
Vx VY(fx e Y ~ 3X(x e XA Vz(z e X ~ fz e Y ) ) ) .
On the other hand, the expressive power is not too strong, so that a great
deal of c l a s s i c a l model theory generalizes to Lt . For example, Lt s a t i s f i e s
a compactness theorem and a L~wenheim-Skolem theorem. In f a c t , Lt i s a maxi-
mal logic with these properties ("LindstSm theorem").
While in the second part we study concrete L t - t h e o r i e s , the f i r s t part
contains general model-theoretic r e s u l t s . The exposition shows that i t is
possible to give a p a r a l l e l treatment of c l a s s i c a l and t o p o l o g i c a l theory,
since in many cases the r e s u l t s of t o p o l o g i c a l model theory are obtained
using refinements of classical metho~b~. On the other hand there are many new
 VIII

problems which have no classical counterpart.

The content of the sections is the following.

§ I contains preliminaries.While second-order language is too rich to allow

a fruitful model theory, central theorems of classical model theory remain
true if we restrict to invariant second-order formulas. Here ~ is called
invaziant, if for all topological structures (~,~)~

(~,a) k • iff (~,~) ~ ~ holds f o r a l l bases m of a.

Many t o p o l o g i c a l notions are i n v a r i a n t ; e.g. "Hausdorff", since when checking

the Hausdorff pzoperty i t s u f f i c e s to look at the open sets of a b a s i s .

In section 2 we introduce the language L t ; k t - f o r m u l a s are i n v a r i a n t , later

on (§ 4) we show the converse: each i n v a r i a n t formula i s e q u i v a l e n t to an
kt-formula. -

In section 3 we d e r i v e f o r k t some r e s u l t s (compactness theorem, L~wenheim-

Skolem t h e o r e m , . . . ) which f o l l o w immediately from the f a c t t h a t L t may be
viewed as a two-sorted f i r s t - o r d e r language.

We g e n e r a l i z e i n section 4 the Ehrenfeucht-Fra~ss6 c h a r a c t e r i z a t i o n of e l e -

mentary equivalence and the K e i s l e r - S h e l a h ultrapower theorem. For t h i s we
introduce f o r t o p o l o g i c a l s t r u c t u r e s back and f o r t h methods, which also w i l l
be an important t o o l l a t e r on. In § 5 we prove the L t i n t e r p o l a t i o n theorem,
and d e r i v e p r e s e r v a t i o n theorems f o r some r e l a t i o n s between t o p o l o g i c a l
structures. In p a r t i c u l a r , we c h a r a c t e r i z e the sentence~which are preserved
by dense or open s u b s t r u c t u r e s . In § 6 we show t h a t operations l i k e the
product and sum operation on t o p o l o g i c a l s t r u c t u r e s preserve L t - e q u i v a l e n c e .

Section 7 contains the L t - d e f i n a b i l i t y theory. Besides the problem of the

explicit definability of r e l a t i o n s ~ which in c l a s s i c a l model theory are s o l -
ved by the theorems of Beth, Svenonius~... , there a r i s e s in t o p o l o g i c a l
model theory also the problem of the e x p l i c i t definability of a topology.

In § 8 we f i r s t prove a kindstr~m-type c h a r a c t e r i z a t i o n of k t . - There are

n a t u r a l languages f o r s e v e r a l other classes of second-order s t r u c t u r e s l i k e
s t r u c t u r e s on uniform spaces, s t r u c t u r e s on p r o x i m i t y spaces. A l l these l a n -
guages as w e l l as L t can be i n t e r p r e t e d i n the language k m f o r monotone s t r u c -
tures.
 IX

The omitting types theorem fails for Lt; we show this in section 9, where we
also prove on omitting types theorem far a fragment of Lt, which will be use-
ful in the second part. The last section is devoted to the infinitary long-
guage (Lw ~)t" We generalize many results to this language showing that each
I
invariant ~1-sentence aver (Lw ~)2 is equivalent in countable topological
I
structures to a game sentence, whose countable approximations are in ( L w)t.-
We remark that some results like Scott's isomorphism Theorem do not genera-
lize to (LwI~)t.

The second part can be read without the complete knowledge of the first
part. Essentially only §§ ] - 4 are presupposed. The content of The sections
of the second part is the following:

§ I Topological spaces.

We investigate decidability of some theories and determine their (Lt-) ele-

mentary types. For many classes of spaces, which do not share strong sepa-
ration properties like T3~the (Lt-)theory turns out to be undecidoble. For
T3-spaces not only a decision procedure is given, but also a complete des-
cription of their elementary types by certain invariants. As a byproduct we
get simple characterizations of the finitely axiomatized and of the ~O -cate-
gorical T3-spaces.

§ 2 Topological abeiian groups.

Three theorems are proved:

1) The theory of a l l Hausdorff t o p o l o g i c a l abelian groups is h e r e d i t a r i l y

undecidable.

2) The theory of t o r s i o n f r e e t o p o l o g i c a l abeZian groups with continuous

(partial) division by all natural numbers is decidable.

3) The theory of all topological abelian groups A for which nA is closed

and division by n is continuous is decidable.
§ 3 Topological fields.

We describe the Lt-elementary class of locally bounded topological fields

(and other related classes) as class of~uctures which are Lt-equivolent to
a topological field, where the filter of neighborhoods of zeta is generated
by the non-zero ideals of~proper local subring of K having K as quotient
field.

V-topologies correspond to valuation rings. This fact has some applications

in the theory of V-topological fields.- Finally we give Lt-axiomatizations
of the topological fields ~ and C.

§ 4 Topological vector spaces.

We give a simple axiomatization of the L t - t h e o r y of the class of l o c a l l y

bounded r e a l t o p o l o g i c a l vector spaces. I f we f i x the dimension, then t h i s
theory is complete.

The Lt-elementary type of a l o c a l l y bounded real t o p o l o g i c a l vector space V

with a distinguished subspace~ is determined by the dimensions of H, H/H
and V/~ (where H denotes the closure of H). As on a p p l i c a t i o n we show that
the L t - t h e o r y of s u r j e c t i v e and continuous l i n e a r mappings ( e s s e n t i a l l y ) c o n
be axiomatized by the open mapping theorem.- F i n a l l y we determine the Lt -
elementary properties of structures (V,V',[ , ]), where V is a real harmed
space, V' its dual space and [ , ] the canonical bilinear form.

The present book arose ram a course in t o p o l o g i c a l model theory given by

the second author at the U n i v e r s i t y of Freiburg during the summer of 1977.
Ne have c o l l e c t e d a l l references and h i s t o r i c a l remarks on the r e s u l t s in
the t e x t in separate sections at the end of the f i r s t and the second part.
§ ] Preliminaries

We denote s i m i l a r i t y types by L , L ' , . . . . They are sets of p r e d i c a t e symbols

(P,Q,R,...) and f u n c t i o n symbols ( f , g . . . . ) . Sometimes O-placed f u n c t i o n
symbols are c a l l e d constants and denoted by c , d , . . . . - (~,~) is called a
weak L - s t r u c t u r e i f ~ i s an L - s t r u c t u r e i n the usual sense and ~ i s a non-
empty subset of the power set P(A) o f A. I f ~ i s a t o p o l o g y on A, we c a l l
(W,~) o t o p o l o g i c a l s t r u c t u r e .

8y k we denote the f i r s t - o r d e r language a s s o c i a t e d w i t h k. I t i s obtained

by i n t r o d u c i n g ( i n d i v i d u a l ) v a r i a b l e s Wo,Wl,... , forming terms and atomic
formulas as usual~ c l o s i n g under the l o g i c a l o p e r a t i o n s of ~ , A , V , 3 and V.
and ~ w i l l be regarded as a b b r e v i a t i o n s , x , y , . . , will der, ote v a r i a b l e s . -
The (monadic) second-order language L 2 i s o b t a i n e d from k by adding the
~w
symbol • and set v a r i a b l e s Wo,W1,... (denoted by X , Y , . . . ) . New atomic f o r -
mulas t e X, where±is a term o f L, are a l l o w e d . A f o r m a t i o n r u l e i s added to
those o f k :

I f ~ i s a formula so are 3X~ and vX~0.

The meaning o f a formula of L2 i n a weak s t r u c t u r e (W,~) i s defined i n the

obvious way: q u a n t i f i e d set v a r i a b l e s range over a. (Note t h a t we did not
i n t r o d u c e formulas of the form X = Y, however they are d e f i n a b l e i n L 2 . )

For the sentence of L 2

~haus = v x v y ( ~ × = y ~ a x 3 Y ( X • X^y~Y^v=~(~ X ^ ~ Y))) ,

and any t o p o l o g i c a l s t r u c t u r e (W,~), we have

(Q'~) ~ @haus iff ~ i s a Hausdorff t o p o l o g y .

Similarly the n o t i o n s o f a r e g u l a r , a normal or a connected t o p o l o g y are ex-

p r e s s i b l e in k2.

The logic L2 (using weak structures as models) is reducible to a suitable

(two sorted) first-order logic. Hence L2 satisfies central model-theoretic
theorems such as the compactness theorem, the completeness theorem and the
Lbwenheim-Skolem theorem, e . g .

1.1 Compactness theorem. A set o f L2-sentences has a weak model i f every

finite subset does.
This i s not t r u e i f we r e s t r i c t to t o p o l o g i c a l s t r u c t u r e s as models: For

~ d l s c = v x 3X V y ( y e X ~ y = x) ,

and any t o p o l o g i c a l s t r u c t u r e ( ~ , ~ ) , we have

(~'~) ~ ~disc iff c i s the d i s c r e t e t o p o l o g y on A

iff ~ : P(A).

Therefore, full monodic second-order l o g i c i s i n t e r p r e t a b l e i f we r e s t r i c t

t o t o p o l o g i c a l s t r u c t u r e s . Hence the compactness theorem, the completeness
theorem and the L~wenheim-Skolem theorem do not l o n g e r h o l d . - In p a r t i c u l a r
t h e r e i s no ~ ¢ L2 such t h a t

(~,~) ~ ~ iff ~ is a t o p o l o g y

holds for all weak s t r u c t u r e s (~,~).

On the other hand to be the basis of a topology is expressible in L2: Let

~bos : Vx 3X x e X A Vx vX v Y ( x E X A x e Y
3z(×~ zAvz(z~ z~ (z~ XAz~ Y)))).

Then

(~'~) ~ ~bas iff ~ i s basis of a t o p o l o g y on A.

In the next s e c t i o n we w i l l make use o f t h i s f a c t , when we i n t r o d u c e a sub-

language o f L2 which s a t i s f i e s the basic m o d e l t h e o r e t i c theorems even i f we
restzict t o topological s t r u c t u r e s .

For ~ c P(A), ~ m ~ , we denote by ~ the s m a l l e s t subset Of P(A) c o n t a i n i n g

a and closed under unions,

= {Usls ~ ~}.
Hence

( ~ ' ~ ) ~ ~bas iff ~ is a topology.

To pzove t h a t a f u n c t i o n i ~ continuous o r t h a t a t o p o l o g i c a l space i s Hous-

dorff, it s u f f i c e s t o t e s t o r t o l o o k a t the open sets o f a basis. These
p z o p e z t i e s are " i n v a z i o n t f o r t o p o l o g i e s " i n the sense o f the next d e f i n i -
tion.
1.2 Definition. Let e 6e on L2-sentence.

(i) ~ is invariant if for all (~,a):

iff

(ii) ~ is invariant for topologies if for all (~,~) such that ~ is a

topology,

(~,~) ~ ~ iff ( ~ , ~ ) ~ ~.

Each invariant sentence is invariant for topologies. Note that ~ is invariant

for topologies if and only if for all topological structures (~,T) and any
basis ~ of T one has

iff (re,T).=.
Each sentence of the sublanguage L t of L2 that we introduce in the next sec-
tion is invorian%. Later on we will show the converse: Each invariant (in-
variant for topologies) L2-sentence is equivalent (in topological structures)
%o an Lt-sentence.

1.3 Exercise. (a) Show that the notions "hbusdorff", "regular", "discrete"
may be expressed by L2-sentences that are invoriant for toplogies.
(b) For unary f e L, VX Vx(x e X . 3Y(fx e Y ^ Vy(y e Y ~ 3z e X f z : y ) ) )
is a sentence invariant for topologies expressing that f is an open map,
( c ) For unary P e L, 3X Vy(y e X ~ Py) i s a sentence not i n v a r i a n t for
topologies. In topological structures it expresses t h a t P i s open ( b u t see
2.5 ( b ) ) .
(d) Give an example of an L2-sentence invoriant for topologies that is not
invariant.

1.4 Exercise. (Hintikka sets and term models). Suppose L is given. Let C
be a countable set of new constants and U a countable set of "set constants".
Denote by L(C,U) 2 the language defined as (L u C) 2 but using the additional
atomic formulas t e U (for U e U). Basic terms are the terms of the form
fcl,...c n (with c1,...,c n e C) and the constants in C. Let ~ be a set of
L(C,U)2-sentences in negation normal form (for a definition see the beginning
of the next section). Q is said to be a Hintikka set iff (i) - (x) hold:
(i) For each a t o m i c ¢ o f the form c I = c2, R C l . . . c n or c e U (where
c.,c • C and U e U) e i t h e r @ ¢ ~ or ~ ~ ~ ~.
1

(it) If ~1 ^ ~2 e ~ then ~1 e ~ and 02 e ft.

(iii) If ~I v @2 e fl then @l e Q or @2 • Q"

c
(iv) If Vx ~ e Q then for all c • C, C~x e Q.
C
(v) I f 3x ~ e d then f o r some c • C, ~ • ~.
U
(vi) If VX ~ ~ ~ then for all U e U, ~ • Q.
U
(vii) If ~X ~ e ~ then for some U e U, ~r~ e Q.

(viii) For all c • C, c = C e ~.

(ix) If t is a basic term, then for some c • C, t = c • ~.

(x) I f @ i s a t o m i c o r negated a t o m i c and t i s a b a s i c term such t h a t f o r

C
some c • C and some v a r i a b l e x, i = c • R, and q~x%e ~, t h e n ~ xx e R.
U
(~x and s i m i l a r l y q~X' i s o b t a i n e d by r e p l a c i n g each f r e e occurence o f x i n
by t ) .
Suppose D _ i s a H i n t i k k a s e t . For Cl,C 2 e C, l e t

c 1 ~ c2 iff c I = c 2 • ~.

Show t h a t ~ i s an e q u i v a l e n c e r e l a t i o n . L e t ~ be t h e e q u i v a l e n c e c l a s s o f c.
D e f i n e an L - s t r u c t u r e (~,~) by

A = {~)c. ~},
f o r n - o r y R • L, R ~ l " " ~ n iff Rc l . . . C n • Q

f o r n - a r y f e L, f ~ ( ~ l . . . . '~n ) = ~ iff fcl.. .C = c e CI

n

c = [UIU e U] w h e r e U = {~)"c • U" • ~ ] .

Show: (a) For a t o m i c ~ o f the form R C l . . . C n , f C l . . . c n = c, c] = c2 or c • U,

one has: ( ~ , c ) ~ ~ iff ~ ¢ ~.

(when interpreting c by ~ and U by U).

(b) (~,~) ~ n.
(~,o') is called the term model of ~.
§ 2 The Language Lt

An L2-formula is said to be in negatlon normal form, if negation signs in i%

occur only in f r o n t of atomic formulas. Using the l o g i c a l r u l e s f o r the ne-
gation we con assign c a n o n i c a l l y to any formula ~ i t s negation normal form,
a formula in negation normal form e q u i v a l e n t to ~.

An L2-formula ~ is p o s i t i v e ( n e g a t i v e ) i n ' the set" v a r i a b l e X i f each free

occurence of X in ~ i s w i t h i n the scope of an even (odd) number of negation sym-
bols. E q u i v a l e n t l y , ~ is positive (negative) in X, i f each free occurence
of X in %he negation normal form of ~ is of the form t e X where t e X i s not
preceded by a negation symbol ( i s of the form ~ e X). Note t h a t f o r any
X, which i s not a f r e e v a r i a b l e of ~, ~ i s both, p o s i t i v e and negative in X.

The formula
3X~t~X v (ceX A ~ceY A 3y(yeX AyeY))

i s p o s i t i v e in X and n e i t h e r p o s i t i v e nor negative in Y.

We use ~ ( X l , . . . . Xn,X], . . . . Xr) to denote a formula ~ whose free v a r i a b l e s

are among %he d i s t i n c t variables xl,...,x n and whose f r e e set v a r i a b l e s are
among the d i s t i n c t set v a r i a b l e s X 1 , . . . , X r . - A simple i n d u c t i o n shows

2.1 Lemma. Let ~ ( x I . . . . . X n , X l , . . . , X r , Y ) be an L2-formula, (~,~) a weak s t r u c -

t u r e , a1 , . . . , a n e A and U I , . . . , U r , U C A.
Assume (~,~) ~ ~ [ a l , . . . , a n , U l , . . . . Ur,U].

(a) I f ~ i s p o s i t i v e in Y, then (~,~) ~ ~ [ a l , . . . , a n , U l , . . . . Ur,V] f o r any

V such t h a t U c V c A.

(b) I f ~ is negative in Y, then (~,~) ~ ~ [ a l , . . . , a n , U 1 , . . . . Ur,V] f o r any

V such t h a t V c U.

In the sequel we use f o r sequences l l k e a l , . . . , a n o r U 1 , . . . , U r the abbre-

v i a t i o n s a,U.

2.2 Definition. We denote by L t the set of L2-formulas obtained from the

atomic formulas of L 2 by the formation r u l e s of L and the r u l e s :

(i) I f t i s a term and ~ i s p o s i t i v e in X, then VX(t e X ~ ~) is a formula.

(il) I f t i s a term and ~ is negative in X, then ~X(t e X A ~) i s a formula.

We a b b r e v i a t e VX(t e X ~ ~) and ~X(t e X A ~) by VX ~ t ~ resp. 3X ~ t ~.
For example,
bas : Vx 3X~ x Vx V X ~ x VY~ x ~Z~ x Vz(z e Z~ (z e X A z e Y))

i s an Lt-sen%ence.
Note t h a t Sf X i s f r e e i n a subformula ~ of an Lt-sentence then e i t h e r ~ i s
p o s i t i v e or negative in X. Foz an k t - f o r m u l a ~ the notation
~ ( x 1 . . . . . Xn,X~, . . . . X ~ , Y T , . . . , Y ~) expresses t h a t ~ i s p o s i t i v e in X1, . . . . Xr
and negative in Y I , . . . ~ Y s .

2.3 Theorem. Lt-sentences are i n v a r i a n t .

Proof. For given (~,~) one shows by induction on @:

i f ~ ( ~ , X + , Y - ) ~ L t , a e A, U , V c A, then

(~,~) ~ ~[~,~,~] iff ( ~ , ; ) . ~[~,;,;] .

We o n l y t r e a t the case ~ = 3X~ t ~. Set a = t~[a].

O
Assume ( ~ , ~ ) ~ ~ [ ~ , U , V ] . Choose V e ~ such t h a t a e V and (~,~) ~ ~ [ a , U , % ~ ]
O
By i n d u c t i o n hypothesis, (~,~) ~ ~ [ a , U , ? , V ] . Hence,(~,~) ~ ~ [ ~ , 0 , ? ] . - Now
suppose (~,~) p m[~,O,9]. Let V , ~ be such that a e V and (~,~) ~ $[~,U,V,~.
O
By i n d u c t i o n hypothesis, ( ~ , c ) ~ $ [ ~ , U , V , V ] : Since V e ~, there i s a V' e a
such t h a t a ~ V' ~ V. $ i s negative $n X because 3X~ t ¢ e k t . Thus by
O
2.1, (~,~) ~ $ [ 8 , 0 , V , V ' ] , hence ( ~ , a ) ~ ~ [ ~ , 0 , V ] .

2.4 C o r o l l a r y . Suppose t h a t ~1 and ~2 are bases of the same topology on

A'~I = ~2" Let ~ be an Lt-sentence. Then

(~,~]) ~ ~ iff (~,~2) ~ ~ .

The p r o p e r t i e s " H a u s d o r f f " , " r e g u l a r " t " d i s c r e t e " and " t r i v i a l " of t o p o l o g i e s
may be expressed by Lt-sentences (though the sentences @haus and @disc of
the l a s t section are not in L t ) :

haus = Yx Vy (x = y v 3X~ x 3Y~ y Vz ~ (z e X A z e Y))

feb = Yx VX~ x 3Y~ x Vy ( y e X v 3W~ y Vz (~ z e W v n z e Y))
disc = Vx 3X ~ x Vy (y e X ~ y : x)
,±,ziv = Vx VX ~ x Vy y e X .

For an n-ary f u n c t i o n symbol f ~ L the c o n t i n u i t y of f i s expressed i n L t by

 = VxI .... Vxn W 3 f x 1 . . . x n 3Xl~ Xl...3X n B xn

VYI'"VYn(Yl e XiA...Ayn e Xn ~ f y l . . . y n e Y),

i . e . one has for a l l topologlcal structures (~,~)

(~,~)~ ~ iff fA is a contlnuousmap from An to A

(where An carries the product topology).

The class of topological groups and the class of topologlcal f i e l d s are axlo-
matlzable in Lt; for example, i f L = { - , - l , e } then the topologlcal groups are
iust the structures which are models of the group axioms and the sentences
" • is continuous",and " - I is continuous".

By .t.o.poloBical mode!........t.heory (or topological logic) we understand the study

of topological structures using the formal language Lt (and variants of Lt).

2.5 E x e r c i s e . (a) Show t h a t f o r unary f e L, " f i s an open map" may be ex-

pressed in Lt (compare 1.3 (b)).
(b) Show that for unary P e L, "P is open" may be expressed in Lt (compare
1.3 (c)).
(c) Show that for ~ ~ Lt there is a ~ e L such that for a l l topologlcal
s t r u c t u r e s (~,~) with (~,~) ~ disc one has:

(~,~) ~ ~ iff ~ ~ ~ .

Similarly for models of t r i v .

§ 3 Beglnning t o p o l o g i c a l model t.heg.ry

Using the i n v a r l a n c e of the sentencesof L t one can d e r i v e many theorems f o r

t o p o l o g i c a l l o g i c from i t s c l a s s i c a l analogues. This section contains some
examples.

Given ~ u { ~ } c L2 we w r i t e ~ k ~ resp. • ~ ~ i f each weak s t r u c t u r e resp.

t
t o p o l o g i c a l s t r u c t u r e t h a t i s a model of ~ i s a model of ~.

3.1 Lemma. Suppose • u {~} c L t .

(a) @ has a t o p o l o g i c a l model iff u {bas] has a weak model.

(b) ¢ ~t ~ iff ~ u {has} k ~.

Proof. (a): I f ~ has a t o p o l o g i c a l model (~,~), then (~,~) ~ ~ u {bus}. -
Conversely, suppose that the weak s t r u c t u r e (~,a) is a model of ~ u [bas}.
Since (~,a) ~ bas, ~ is a topology on A. Since (~,~) ~ ~ we get, by i n v a r i a n -
ce of Lt-sentences , (~,~) ~ ~. - (b) is e a s i l y derived from (a).

Using 3.1 we obtain

3.2 ComRactness theorem'. A set of Lt-sentences has a t o p o l o g i c a l model i f
every f i n i t e subset does.

3.3 Cgmpleteness theorem. For recursive L, the set of Lt-sentences which

hold in a l l t o p o l o g i c a l s t r u c t u r e s is r e c u r s i v e l y enumerable.

We say that a t o p o l o g i c a l s t r u c t u r e (~,~) is de numerable, i f A is denumerable

(i.e. finite or countable) and a has a denumerable basis.

3.4 L~wenheim-Skolem theorem. A denumerable set ~ of Lt-sentences which has

a t o p o l o g i c a l model has a denumerable t o p o l o g i c a l model.

Proof. By assumption and 3.1 (a), ~ u {bas] is s a t i s f i a b l e . Thus, by L~wen-

helm-Skolen theorem f o r L2, there is a weak model of (%,~) such that A u
is denumerable. Then, ( ~ ) is a denumerable topological model of ~.

3.5 C o r o l l a r y . The class of normal spaces cannot be axiomatized in L t .

Proof. Suppose ~o e L t axiomatizes the class of normal spaces. Let (B,T) be

a regular but not normal space, i . e . (B,~) ~ re~ A ~ ~o" By 3.4 there is a
denumerable t o p o l o g i c a l model (A,~) of re9 A ~ ~o" Since (A,~) is denumerable
and regular i t is metrizable, hence normal, which contradicts (~,~) ~ ~ ~o"

3.6 C 0 r o l l a r y . The class of connected spaces cannot be axiomatized in Lt .

Proof. Each connected and ordered t o p o l o g i c a l f i e l d is isomorphic to the f i e l d

of real numbers, and hence is uncountable.

3.7 Exercise. Show that the class of compact spaces cannot be axiomatized
in Lt-

We do not state the L~wenheim-Skolem-Tarski theorem for topological logic

but we use i t in the f o l l o w i n g

3.8 Exercise. Suppose (A,T) is a T3-space ( i . e . Housdozff and regular) with

countable A. Show: I f ~o is a countable subset of T, then there is a T3-
topology ~ such t h a t ~ c ~ c T and ~ has a countable basis.
O

Similarly, show t h a t o space with a countable basis i s r e g u l a r i f f each count-

able subspoce i s r e g u l a r .

A set of L t - s e n t e n c e ~ i s c a l l e d an L t - t h e o r y . We denote t h e o r i e s by T , T ' , . . . . -

Using 3.1 one can o b t a i n two c a r d i n a l theorems f o r t o p o l o g i c a l logic. We
o n l y s t a t e one r e s u l t :

3.9 Theorem. Let (~,~) be a t o p o l o g i c a l model of an L t - t h e o r y T. Suppose

t h a t the c a r d i n a l i t y [A 1 of A i s a r e g u l a r c a r d i n a l x and t h a t each p o i n t of
A has a neighborhood basis of less than ~ sets. Then T has a t o p o l o g i c a l
model whose universe has c a r d i n a l i t y ~1' and such t h a t each point has a de-
numerable neighborhood basis.

Proof. L e t < A be a w e l l - o r d e r i n g of A of type ~. Choose ~ ' c a such t h a t ~'

contains, f o r each o e A, a basis of neighborhoods of a c a r d i n a l i t y l e s s than
~. Take o new t e r n a r y r e l a t i o n symbol R and choose an i n t e r p r e t a t i o n RA of R
in A such t h a t
( ~ ' < A ' R A ' ~ ' ) ~ ~o '

where ~o = Vx Yz 3X ~ x Vu(u e X ~ Rxzu) A

v× ~y vx(~ ~ x ~ ~ ( ~ <y A Rx~× ^ Vu(Rxzu ~ u ~ x ) ) )

(i.e. {R×~ - I ~ < y} is o bosi~ of x ) .

By a c l a s s i c a l two-cardinal theorem t h e r e i s a model (~,<B, RB, T) of

B
T u {bas] u b o } w i t h I BI = ~1' ond ~ l - l i k e o r d e r i n g < . Since
(~,<BeRB,~ F has A ~o' T i s the basis of a topology in which each p o i n t
has a denumerable neighborhood basis, i.e. (~,~) is the desired model of T.

3.10 E x e r c i s e . Suppose t h a t the denumerable L t - t h e o r y T has an i n f i n i t e

topological model. Show t h a t T has a denumerable t o p o l o g i c a l model with 2~°
homeomorphisms.
The i n f i n i t a r y languages (Lo~) t and (L 1 ) t are obtained from k t by adding
the formation r u l e :

I f • i s an a r b i t r a r y resp. countable set of formulas, then h~ and V~

are formulas (the c o n j u n c t i o n and d i s j u n c t i o n of the formuals in ~ ) .

(L~u~)t-sentences are i n v a r i a n t ; hence the analogue of 3.1 holds for

 10

c ( L ) t,

has a t o p o l o g i c a l model iff ~ u [bas} has a weak model.

Using t h i s f a c t , we can g e n e r a l i z e c l a s s i c a l results; f o r example, we get the

k~wenheim-Skolem theorem f o r (L 1 )£;we can show t h a t the class of w e l l -
orderings is not axioma%izable by an (EaR)t-sentence,and t h a t the w e l l -
o r d e r i n g number of ( ~ 1 ) t i s ~1"

Much more involved and sometimes even impossible are the proofs f o r L t , ( L ) t
I
and ( % ) % of theorems which - as the i n t e r p o l a t i o n theorem, the o m i t t i n g
types theorem o r Scarfs isomorphism theorem - claim %he e x i s t e n c e of a f o r -
mula having a c e r t a i n property.

3.11 Exercise. Let Lt(Q ) be the language obtained from L t by adding the
quantifier Qx expressing " t h e r e are uncountable many x " . Show, using the cor-
responding r e s u l t s f o r L (Q), t h a t i f we r e s t r i c t to t o p o l o g i c a l structures
Lt(Q) s a t i s f i e s the compactness theorem f o r countable sets of sentences and
the completeness theorem.

3.12 Exercise. Show t h a t f o r L = ~ there is no set T of Lt-sentence~such

t h a t the class of t o p o l o g i c a l models of T are ]ust the t o p o l o g i c a l spaces
c a r r y i n g a topology induced by a uniformity.

Appendix: Many-sorted languages

Sometimes the e x p o s i t i o n w i l l be e a s i e r i f we use many-sorted weak s t r u c t u r e s ,

i.e. s t r u c t u r e s o f the form
(( 1, 1), . . . . ( r , j ) .... ).

Here we sketch the definitions for the no±ions we need, when discussing such
structures :
Let S be a non-empty finite set, S = [il,...,ir] , the set of sorts, and let
L ° be a similarity type. Assume that typ is a function associating sorts
with each symbol in L°: if R e L ° is n-ary, then typ(R) is an n-1~uple
(ii,.. " I in ) • Sn ; and if f • f i s n-ary, then typ(f) is an (n+1)-tuple
(]I ..... in,] ) e S n+1 . h = (U°,S,typ) is called a many sorted-similarity type.

For i • S we denote by L(i) the one-sorted similarity type

L(1) : [kIk • L °, typ(k) = (i,...,i)).

 11

• °

Now, o many-sorted weak L - s t r u c t u r e ~ c o n s i s t s of weak L ( i ) - s t r u c t u r e s ( ~ 1)

f o r i • S, and of the i n t e r p r e t a t i o n s , k~ of symbols, k • L° - i ~ s L ( i ) : i f k = R,
and typ(R) = ( i . . . . . , i ) then R~ c A ] l x . . . x A In, and i f k = f , and t y p ( f ) =
I nil in
()] . . . . . ]n,~ ) then f~: A x..°xA ~ A]. We write ~ also in the form
iI iI ir ir
((~ ,T ), . . . . (~ ,T ),(k )k • L° - i~sL(i) ) "

We c a l l ~ a t o p o l o g i c a l s t r u c t u r e i f a l l (~i,Ti) are t o p o l o g i c a l s±ructures.

Now we d e f i n e for a many-sorted s i m i l a r i t y type L = ( L ° , S , t y p ) the languages

i i
L2 and L t : For each s o r t i we introduce countably many v a r i a b l e s ( x l , y ,Z,o..)
• . ,

and countably many set v a r i a b l e s ( X 1 , Y 1 , Z 1 , . . . ) . The terms of s o r t i are the

i i
v a r i a b l e s x , y , . . . , and expressions of the form f t l , . . t n , where t y p ( f ) =
( i I . . . . , i n , i ), and each t i s of s o r t is . The atomic formulas are
S

t1 = t2 if t l , t 2 are terms of the same s o r t .

Rtl...t where %yp(R) = ( i 1 . in) and t i s a term of s o r t is

n "" ' s "
% e Xi where t i s a term of s o r t i .
i i
The formulas are obtained c l o s i n g under the l o g i c a l operations = , A , v , 3 x ,Vx ,
3X 1 and ¥X 1, where in case of L t we have %he f o l l o w i n g r e s t r i c t i o n s f o r 3X1
and VXZ:
I f t i s a term of s o r t i and ~ i s p o s i t i v e ( n e g a t i v e ) in X1,
then v x i ( t • Xi ~ ~) (3 X i ( t e X i A ~ ) ) i s a formula,

L t - f o r m u l a s are i n v a r i a n t (where the concept of i n v a r i a n c e i s defined in the

obvious way).

For example, the class of t o p o l o g i c a l v e c t o r spaces i s a x i o m a t i z a b l e by L t -

sentences using a two-sorted L, one s o r t f o r the s c a l a r s ( i . e . elements of a
topological field) and one s o r t f o r the v e c t o r s . - Show t h a t the class of
sheaves i s t t - a x i o m a t i z a b l e in an a p p r o p r i a t e many-sorted L.

Sometimes in the next s e c t i o n s , we introduce f o r one-sorted L - s t r u c t u r e s (~,~)

and ( ~ , T ) , a many-sorted s t r u c t u r e of type ( ( ~ I , a ) , ( ~ , T ) . . . . ) . We are going to
use t h i s n o t a t i o n , though to be precise we sheuld introduce a copy L* of L
disioint from L and look at the s t r u c t u r e ~ , c ) , ( ~ , ~ ) . . . . ) where ~ * i s the L*-
s t r u c t u r e corresponding to ~.
From now on, unless otherwise stated, all similarity types w i l l be one-sorted.
 12

3~3 E x e r c i s e . Show t h a t there is no Lt-sentence which expresses " f is a

closed map" ( f o r , say, unary f ) in a l l topological structures (Hint: Look
at the s t r u c t u r e W = ((N x N,~), (N,<,~),pA, fA), where p is binary and f is
unary.
A
p :NxN~NxN is defined by pA(x,y) = (x,y)

fA: N x N-~ N is defined by f A ( ( x , y ) ) = y.

T = {UIU c (N - {0]) or N - U is f i n i t e } ,

and for U c N x N,

U• ~ iff U s a t i s f i e s ( i ) and ( i i ) ,

where ( i ) if (n,m) • U then for some r, { ( n , s ) l s ~ r] c U ,

(ii) if (n,0) e U then for some r, {(s,l)l s ~ r,l • N} c u.

fA i s a closed map~but ~@ is not closed f o r any countable "non-standard" topo-

logical structure @ satisfying the same Lt-sen%ence as W.

§,,4,, E h r e n f e u c h t - F r a f s s ~ Theorem

We call (~,~) and (~,T) ~t-equivalent, in symbols (~,~ t (@,T), i f they

s a t i s f y the same Lt-sentences. This section contains an algebraic character L-
za±ion of Lt-equivalence, the analogue of the classical Ehrenfeucht-Frafss@
theorem. For this we introduce back and forth methods for Lt which also w i l l
be of use l a t e r on.

Extending the terminology of topology, we call weak structures (~,a) and (m,T)
.homeomorphic,written (~/,a)t (@,T), i f (9/,~) and (@,~) are isomorphic.
0 .
Suppose n zs an isomorphism of (~,~) onto (_%~). I f we define the binary re-
1 2 1 2
lations TT and 'rT ,TT ,TT C O" X T , by

TT I = [(U,V)I(U,V) • ~ x T, J ( U ) c V]
2
- {(u,v)l (u,v) • x (J)-1(v) u},
then the f o l l o w i n g holds:
Oo
(1) ~ zs an isomorphism of ~ onto ~.
 13

(2) If U 1V and a e U then ~ ° ( a ) ~ V.

I f U n 2 V , ~ ° ( a ) = b and b e V then a ~ U .
i
(We w r i t e U ~ V f o r a l l (U,V) ~ z ) .

(3) For each a e A and V ~ T with ~ ° ( a ) e V there i s a U e

such t h a t a e U and U 1V.

(4) For a e A and U E ~ with a E U there i s a V e T such t h a t

~°(a) ~ V and U 2 V.
0
Conversely, i f f o r (~,~) and (~,~) there are a map n and r e l a t i o n s
1 2 o .
,~ c ~ x ? satisfying (1) - ( 4 ) , then n zs an isomorphsm of (~,~) onto
1 2) t
We then write :

Note t h a t an L2-sentence ~ i s i n v a r i a n t i f and o n l y i f it i s preserved under

t
, the r e l a t i o n of homeomorphism, i . e .
if (~,a) # ~ and (~,a) ~t (~,~) then (@,~) # ~.

We are going to define a countable approximation of ~t (the r e l a t i o n of par-

tial homeomorphism) and f i n i t e approximations of =t (Compare [ 6 ] where f o r
the r e l a t i o n s of isomorphism, homomorphism . . . of c l a s s i c a l model theory such
approximations were defined and used f o r m o d e l - t h e o r e t i c purposes).Th~ finite
approximatzons w i l l be d e f i n a b l e by kt-sentences.From t h i s we obtain the a n a l -
ogue of the Ehrenfeucht-Frafss& theorem. By the way, we get another a l g e b r a i c
c h a r a c t e r i z a t i o n of k t - e q u i v a l e n c e : two t o p o l o g i c a l s t r u c t u r e s are k t - e q u i -
valent iff they have homeomorphic ultrapowers. We close the section with a
f u r t h e r a p p l i c a t i o n of back and f o r t h methods showing t h a t the kt-sentences
are the i n v a r i a n t k2-sentences.
4.1 Definition. P = (pO,pl,p2) i s a partialhomeomorphism from (~,a) to
in symbols p if
0 °
(i) p zs o p a r t i a l isomorphism from ~! to ~, i . e . a one-to-one mapping with
dom(p ° ) c A, rg(p ° ) c e .such t h a t f o r R ~ L, a e dom(p ° )

R~a iff R~p°(a)

0 0
(pO(~) denotes p (ao) , • ..,P (an_ 1 ) i f a i s ao.. "an_ ] ) ,
and f o r f e L, a, a e dom(p ° )

f ~ ( a ) =o iff f~(pO(~)) = pO(a).

 14

pl 2 1 2
(ii) and p are r e l a t i o n s , p ,p c ~ x T, s a t i s f y i n g :

i f U pl V, a e dom(p ° ) and a E U then p°(a) • V,

i f U p2 V, b ~ rg(p°), say p°(a) = b, and b e V then a e U.

Given p = (pO p] p2), q = (qO q 1 ,q2) e P((~J,~),(~,T)) we w r i t e p c q, i f

i i
p c q hoids f o r i = 0 , 1 , 2 .

4.2 Definition. We w r i t e I : (~i,~) t (~,T) and say t h a t (~I,o) and (~,T)

P
are p a r t i a I i y homeomorphic via I , i f I i s a non-empty set of p a r t i a i homeo-
morphism~with the f o l l o w i n g back and f o r t h p r o p e r t i e s :

(forthl) For p ~ I and o e A there is q e I with p c q and a e dam(q°).

(forth2) For p e I, a e dom(p ° ) and U e ~ with a e U t h e r e are q e I and

V e T such that p c q, p°(a) e V and U q2 V.

(back1) For p e I and b e B t h e r e i s q e I with p c q and b e r g ( q ° ) .

(back 2) For p e I , b e rg(p°), say p°(a) = b, and V e T with b e V t h e r e ore

q e I and U c ~ such t h a t p c q, o ~ U and U ql V.

We w r i t e (~,~) t (~,T) i f there i s an I such t h a t I : (~,~) t (~,~).

P P
The r e l a t i o n t i s a countable approximation of t in the f o l l o w i n g eense.
P
4.3 Lemma. (a) I f (~,~) t (~,T) then (~,~) t (~,T).
P
(b) I f (~,~) t ( ~ , ~ ) and A u o u 8 u T is denumerable, then ( ~ , ~ ) t (~,T).
P
] 2) t
Proof. (a): Suppose ( o,~ ,~ : (~,~) ( ~ , ~ ) . Then
I: (~,~)~p
t (~,~) holds ~or I : { ( o , . 1 , 2 ) ] .
( b ) : Assume I : (~,~) t P (~,T) where A x = [(ai,Ui) I i e W] and
8x7 = [(bi,Vi)ll e w}. We define Pn e I by induction. Let Po be an arbi-
trary element of I. Given Pn choose, using the back and forth properties,
Pn+] e I such that

Pn c Pn+l
a n e dam( Pn+]
o ), bn e rg(Pn+l)
o
o
if a e U ±hen there is a V e such t h a t pn+l(an) ¢ V
n n
and UnP~+lV.
 15

if bn e Vn, and p;~l(a) : bn then there is a U e ~ such that a e U

1
and U Pn+'! Vn.

For i : 0,1,2 set pi = ~p~. Then (pO,pl ,p2): (~,~) t (~,T).

4.4 Remarks• ] ) (Ehrenfeucht games)• Given s t r u c t u r e s (~,~) and (~,T) we i n -

traduce an i n f i n i t e two person game G ( ( N , ~ ) , ( ~ , T ) ) w i t h players I and I I .
There are countably many moves and each move i s of type x or of type X. In the
n-th move, p l a y e r I F i r s t decides which type t h i s move i s to be. In an x-move
player I picks an e A ( o r bn ¢ B), and then I I picks bn e B (resp. a n e ~ . In
an X-mo~re p l a y e r I chooses a U e ~ and an i < n such t h a t the i - t h move was
n

of type x and a.1 e Un ( o r Vn e T with b i e Vn) ; p l a y e r I I then has to choose

],p2
Vn e ~ with b.z e Vn (resp• U n e ~ with a i e Un)• II wins if (pO,p ) is a
partial homeomorphism where
O
p : {(an,bn)In e ~, the n-th move was of type x and the elements o and b
n n
were chosen],
1
p = {(Un,Vn)In e ~, the n-th move was of type X, I chose V and I, chose U ],
n n
2
p = {(Un,Vn) I n e ~, the n-th move was of type X, I chose Un and II chose Vn}.

Now, it is easy to prove that

(~,~) ~% (~,T) iff II has a winning strategy in the game G((~,~),(B,~)

P
2) Far any weak structures (~,~),(~,T), we have

(~,~) t (m,~) iff (~,~)t (m,~)•

P p
Proof. For p e P((g,~),(m,r)) put

P : (pO~Cu',v')~(U~V') e ~ x~•there is (U,V) e pl such that U' c U,V c V' } ,

~ 2
{(U'•V~(U',V') e ~ x T, there is (U,V) e p such that U c U',V' c V }),

and for a set I let I : {~!p e I}•

t (~,T) then I :
Now• i f I : (~,~) ~p (~•~) t P ( ~ , ~ ) .

Conversely• suppose ~: (~•~) t p (B•~)• Then• in particular, ~: t

(~•~) ~p (~•~).
One e a s i l y proves that I~ ~ x T: ( ~ , ~ ) % (~,T) where
P
~ ~ x ~ : {(pO,pl ~ (~ x T)• p2 ~ (~ x ~))I(p° p1 ,p2) . ~}
3) Show:(~,~) t p (~•T) holds )ust in case there is a non-empty set I of par-
 16

tial homoeomorphisms w i t h the p r o p e r t i e s (forthl),(backl),(forth*) and (Sack9

where
(forth*) For p E I , a e do~(p ° ) and U • ~ w i t h a • U t h e r e are q ~ I ,
2
U' E ~, V • ~ such t h a t p c q, a e U' c U, p ° ( a ) • V and U' q V.

(back*) For p • I , b ~ re(p°), say p ° ( a ) = b, and V E T with b ~ V there

are q ~ I , U ~ ~, V' ~ T such t h a t p c q, a ~ U, b • V' c V and
U ql V ' .

4) Given ( ~ , ~ ) and (~,T) with (~,~) t ( S , ~ ) , A • a and B E T t h e r e i s

P . p2
an I such t h a t I : (~,~) t (~,~) and (A,B) ~ pl (A,B) ~ for all p ~ I.
P
The same i s t r u e f o r ( ~ , ~ ) , if ~ e ~ and ~ e ~.

4.5 E x e r c i s e . Let L be o n e - s o r t e d . Show t h a t t h e r e i s a many-sorted L' and

a set ~p of L~-sentences such t h a t f o r any L - s t r u c t u r e s (~1,~1) and ( ~ 2 , ~ 2 ) ,
we have:

(~i,~I) t (~2,~2) iff ((~i,~i),(~2,~ 2) .... ) # ~ for some choice

P P
of the universes and relations in ....

(Hint: Take S = { 1 , 2 , 3 , 4 , 5 } as s e t of s o r t s . Look a t the c l a s s of s t r u c t u r e s

o f the form

((~l,~l),(~2,~2),(Fl,~3),(F2,a4),(I,~5),Et,E 2, ),

which are model of the L~-sentences (note that ~3,a4 and ~5 will be a r b i -
trary):

"F 1 i s v i a E 1 a basis of ~1"

(i.e. Vx 1 VX1 ~ ×1 3x3(E] x 1 x 3 ^ ¥ y l ( E y l x 3 ~ Y1 • x l ) )
A Vx 1 y x 3 ( E l x l x 3 ~ 3X 1 3 x 1 V y t ( y 1 • X1 ~ Elylx3))).

"F 2 i s v i a E2 a b a s i s o f ~2"

" I i s v i a %he r e l a t i o n s in - - - a s e t of p a r t i a l homeomorphisms w i t h I :

(~l'Fl) t (~2,F2),,.
P
Notethat introducing Fl and F2 we are able to quantify in L~ a r b l t r a r i l y
over the elements of a basis of ~ resp. ~; in particular, we can formulate
the back and forth properties. Note also that by the preceding, every PC-
c l a s s o v e r L2 d e f i n a b l e by an i n v a r i a n t sentence, i s a PC-class o v e r L t .
 17

4.6 Lemma. Partially homeomorphic structures are Lt-equivalent.

Proof. Assume I: (~,~) t (~,T). By induction on ~ ~ L t we show

P
if ~ is in negation normal form ~ = ~(Xo,.. ., Xn-l' Xo'''"
+ X+
r-l'
Y; . . . . . Y;_I), and i f p e I, { ( o i , b i ) J i < n} c pO,
+ + l
{ ( U v V i ) ] i < r} ~ p and {(U~,V~)li< s} ~ p2, then
implies

Two examples should suffice. Let ~ be of the form x. ~ Z. Then Z occurs

1

positively in ¢, i.e. Z = X. for some ] < r. I f (~,c) P x i • X]Za,U+,~-]

÷ o )
then a.z • U..
)-+ Since p (ai) = bi and U]
+ pl V],
+ we have b.z • V..]
+ Hence
(~,T) ~ $[~,V ,V-] .
Now, l e t $ be 3Y ~ x. ~0. I f (~I,~) F $[~,U+,U-] then there i s U • c with
1

a. • U and t:
1

Using ( f o r t h 2 ) we obtain q • I and V • T such that p c q,b.z • V and U q2 V.

Then by induction hypothesis, (~,T) ~ cp[~,V+,V-,V]. But b. • V, hence
1

We call a weak structure (~,c) w-satu.r.ate.d, recursively saturate.d,.., if

i t is w-saturated, recursively saturated,.., as a two-sorted structure (and
we do similarly in case of structures of type ((~,~),(@,T))). Clearly, we as-
sume that L is recursive when speaking of a recursively saturated structure.
Though not so convenient for our present purposesjthe more natural definition
in topological model theory, say of a recursively saturated topological struc-
ture (~,=) would be: (=,=) is recursively saturated iff for some basis T of
the two-sorted structure (~/,T) is recursively saturated.
Though the following converse of 4.6 will be an immediate consequence of the
Lt-Ehrenfeucht-Frai'ss~ theorem, we give here a direct proof.
4.7 Lemma.
, ,
Suppose that (~,a) and (~,T) are w-saturated (or that C(~,a),C~Ir))
is recursively saturated). Then (~,o)_-t (~,T) implies (~I,c7)t (~,T). In
P
particular, i f A u B u ~ u T is denumerable, then (~I,~) t (~,T).
t
Proof. Assume (~,a)--- (~,T). Let I be the set

÷ + ! <
I = {Pl P has the form ({(ai,bi) l i < n}~(Ui,Vi) < s}),

and for ~(Xo,..;,Xn_l, X+

o' . . . . X+
r-I ' Y o " " " Y s- - I ) • Lt the following
 18

holds: i f (~,~) ~ ~[a,U+,U-] then (~,T) ~ ~[~,V+,V-]}.

We proof I: (~,~) t (@,T): Since (~,c) t (~,~), (~,~,~) is in I, hence I

P
is non-empty. Choosing appropriate atomic or negated atomic ~ ~ Lt, one
easily shows that each p in I is a partial homeomorphism.

Let us check (back2) for I in case ((~,a),($,T)) is recurslvely saturated.

Suppose p ~ I, say p = ({ai, b i ) l i < n], {(ui,vl)
+ + I i < ~},{(u~,v~)l i < s}).
Let b ~ rg(p°), i.e. b = b. for some i , and take any V ~ c with b. E V. We
set
= {®Iv ~ Lt,~ = m(Xo' "'" 'Xn-1 'x+O. . . . ' X+r-I 'X+'Yo . . . . ' Ys-l" )}"

To each f i n i t e l y many @l,...,@e E @ with

(*) (~,~) ~ ~ ~ I A ^ ~ ®~[~,~+,v,~-]

t h e r e i s a U' e c such t h a t a. e U' and

1

Otherwise, (~,a) ~ VX ~ x i ~iv...V~e[~,U+,U-], thus

(~,T) b VX ) x i ~ l v . . . v ~ e [ ~ , V + , V ' ] since p e I . But t h i s c o n t r a d i c t s (*).

Therefore, the f o l l o w i n g r e c u r s l v e type ( i n X) i s f i n i t e l y satlsfiable in

((~,~), (~, ~), a, U+,U-, ~, V+,V,V-)

[c i ~ x} u b ( c o, . . . . Cn-1' c +o' . . . . c +r-1

+ ~+ , ~ , ~ . . . . 'D~-l I~ ' ~ }
~(do' . . . . dn-l'Do . . . . . r-l
Hence, it is realized, say by U e ~. Then (pO,p1 u { ( U , V ) ] , p 2) i s an exten
sion in I with the desired properties.

4.8 E x e r c i s e . Show: (~,~) and (@,T) are partially homeomorphic iff they
are (Loo)t-equivalent.
t
The finite approximations of are the relations-~t of the next definition
for finite ordinals ~.

4.9 Definition. Let ~ be an ordinal. We write (I) :(~/,c;)=t (~,T) and

say that (~,~) and(~,T) are ~-partially homeomorphic via (I)
~<~' if each
I is a non-empty set of partial homeomorphisms and the following back and
 lg

f o r t h p r o p e r t i e s hold f o r any D' and ~ with ~' < ~ < ~ :

(forth 1 ) For p s I and a e A there is q e I with p c q and a e dam(q°).

( f o r t h 2) For p ~ I ,a e dom(pO) and U e c~ with a ¢ U there ore q ~ I

and V e ~ such t h a t p c q, p°(o) e V and U q2 V.

0
(back1) For p ~ I and b e B t h e r e is q e I ~ i t h pc q and b ~ rg(q ).

(back2) For p ~ I ,b e rg(q°), say p°(a) = b, and V • ~ with b e V there

are q • I ~ and U • ~ such t h a t p c q, a e U and U ql V.

We write (~,~) ~((~,T) if there is such a sequence (I)

Note that any two structures are l-partially homeomorphic. Our terminology is
not standard: sometimes two structures are called ~-homeomorphic, if they
are (~ + 1)-homeomorphic in our sense. - The name "finite approximation" is
iustified by the next lemma, whose proof is left to the reader.

4.10 Lemma. (a) I f (~,~) t (@,T) (in particular, if (~,~) t (~,T)), then
p
(~,q) t (@,T) for any g.
¢
(6) If J and A is a set of o elements, then J
n+2

Note that for t the corresponding onaiogues of the results in 4.4 hold.

4.11 Exercise. Let h be one-sorted. Show that there is a many-sorted L' and,
for n e w, a set ~n of L~-sentences such that for all L-structures (~i,~i)
and (~2,~2) we hove:

(~i,~i) t n (~2,~2) iff ((~i,ci),(~2,q2),...) P @ n

for an appropriate choice of the universes
and r e l a t i o n s in . . .

Show t h a t ~n and ~p of e x e r c i s e 4.5 may be chosen such t h a t ~o c ~ 1 c . . .

and ~p = n Y ~n" In p a r t i c u l a r , if ((~,a),C~,~)) is r e c u r s l v e l y saturated
and (~,~) st (~,7) f o r n e w, then ( ~ , ~ ) t (~,T).
n p

4.12 E x e r c i s e . Show t h a t w - p a r t i a l l y homeomorphic s t r u c t u r e s are L t - e q u i v a -

lent. ( H i n t : Argue as in the proof of 4.6 showing t h a t each p E I n preserves
formulas of " r a n k " ~ n. Or, d e r i v e the r e s u l t from 4.6 using the preceding
 20

exercise).

Our aim i s to prove the converse o f 4.12 f o r f i n i t e L. For t h a t we show t h a t

t
the r e l a t i o n s ~n are " d e f i n a b l e " i n k t . For the r e s t of the s e c t i o n l e t a l l
si,mil,a, r i t y types be ,,f,,i,n i t e .

Given k e ~ let ~k be the finite set

ek = {~ e L I ¢ = ~(w ° . . . . . Wk_l) and ¢ i s o f the form

RXo...Xn_l,X ° = xI or fXo...Xn_ 1 = Xn}.

Recall that Wo,W 1 .... and W o , W y . a ~ t h e variables resp. set variables. For

i ¢ m, let X i = W2i and Yi = W2i+1"

Given (~,~),ao, "" .,ak_ I e A,U o

+ '''" U +r-1 e a, U~,~ .... Us_
- 1 e ~ define ~ ,oU +
_ ,U_-
by

o A A A ~_ _

~a'~+'~- : ~ ~ ~k ~ A ¢ ~ ~k ~ ~ ^ (~'~) = ~[a'U+'U-]

b %[a] ~ b ~ %[a] ~ = v. e X. or ~ = m v . e Yo
z ] z ]

Then, f o r any (~,T)lb O. . . . . bk_ 1 e B, v +o ' ' ' " v+ ,v~,...

r-1
-
'Vs-1
~ T we have

(~,~) ~ J,G+,G-[~,~÷,v-] iff ([(ai,bi){i < k},

+ +

{(ui,vi)li < r},{(Uz,v~)li < s}) is a partial

homeomorphism.
n _ m
For n > 0 we d e f i n e q~,U+ U- by

n n-1
A A 3Y 9 w_ n-1
~a,~+,~- = ,~ sw k ~aa,~+,~ - S 1
a ¢ A 0_< i < k U e ~ a,U ,U U
a, e U
1 /
% ~ v s % , , , ,~ ~ , , , . , ~ ,,,,

( f o r t h 1) ( f o r t h 2)
n-t n-1
A Vwk V C°ma,~ + , ~ - A A VXr ~ w.z V ~°a,~+u,~- "
aeA O_<i<k Ue~
a. EU
%,-

( back 1 ) ( back 2)

Note that all conjunctions and d i s j u n c t i o n s are f i n i t e , s i n c e one can show

by i n d u c t i o n on n t h a t , for fixed k,r,s t h e r e are o n l y f i n i t e l y many f o r m u l a s
 21

of the form ~O~,U+,U- .

n _ . n
Each m~,U+,U - is an Lt-formulo. In case k = r : s : 0 denote ~ , ~ , ~ by
n n
cp(~,~) • cp(~,C~) is an Lt-sentence.
Given (~,c;) and (~,T) put

I f(U+
= [PlP is of the form ({(ai, b l ) l i < k},t, i ' V+~
i " l i < r},{(U~.,V[) l i < s})
n

and (~,T) ~ ~on,~+,~-[~,V+,V-]} •

The sequence (In) n < w has the back and f o r t h properties l i s t e d in 4.9;
n _
for each property we have specified in the definition of ~ , U + , ~ - what part
n
of ~c,U+,0" is needed.
n
If (S,T) N @(Q,e) then In is non-empty (since ( ~ , ~ ) e In).

Thus, i f (~,~) ~% (~,T) then (In) n < : (~,~) % (~,T) •

W
In particular, we have proved (compare 4.121:

4.13 Ehrenfeucht-Frafss6 theorem. Let L be finite. For any two topological

structures (~,a) and (~,T) the following are equivalent:

(i) (~,~) and (~,T) are Lt-equivalent.

n
(ii) tar a l l n

(iii) (~,~) and (~,T) are w-partially homeomorphic.

n
An analysis of the proof of 4.6 shows that (~,T) ~ ~(~,~) holds i f there
is a partial homeomorphism t h a t can be extended back and f o r t h n - t i m e s . Hence
n
(B,T) ~ ~(~,~) iff (~,~) %n+] (~'T)"

In p a r t i c u l a r by 4.10b

4.14 Theorem. Each f i n i t e t o p o l o g i c a l s t r u c t u r e may be characterized up to

homeomorphism by an Lt-sentence.

4.15 Exerclse. Show the equivalence of

n+l
n
(il) .
 22

(~ii) (~,a) and (~,~) s a t i s f y the same Lt-sentences of rank% n (where the
d e f i n i t i o n of the rank of a fozmula is the natural extension to L t of
the definition in [~]).

Often when applylng the back and forth methods, the following lemma wiI1 be
useful.

4.16 ,
Convergence lemma. Let L, L 1 and L2 be such that L ~ L 1 n L2" Suppose
(~,~). Ss an k2-structure. Assume that for each n e ~, there is an kl-stzuc-
lure (~n,~n) such that (~ ~ k,~ ) t ($~ k,~). Then there are an k l - s t r u c -
0 n n n
ture (~*,~*) and an L~-struct~re (~*,~*) such that

(1) (~* ~ L,~*) = (~*~ L,~*)

(2) A* u ~* u B* u T* is denumerable.
2
(3) (~,T) ~ (~*,~*), i . e . (~,~) and (~*,T*) are L 2-equivalent.
In particular, (~,T) ~t ( ~ . , ~ . ) .

(4) (~*,~*) is a model of each L12-sentence holdlng in al1 (~n,~n). In par-

t i c u l a r (~*,~*) is a model of each Lit-sentence holding in a l l (~n,~n).

Proof. Clearly i t suffices to show the existence of (~*,~*) and (~*,T*) with
homeomorphic L-redacts instead of (1). We introduce a many-sorted s i m i l a r i -
t y type which enables us to speak of structures of the form ( ( ~ ' , ~ ' ) , ( ~ ' , 7 ' ) )
where ( ~ ' , ~ ' ) and (m',~') are L 1 ~e~p. L2-structures. For ~ L 12 resp.
$ e L22 l e t ~ 1 resp. $2 denote a sentence of t h i s many-sorted language such
that
((~',~'),(~',~')) ~ ~ 1 iff (~',~') ~ ~ ,
((~',a'),(8',T')) # $2 iff ( ~ ' , ~ ' ) ~ $.

By assumption, each f i n i t e subset of

= { (~, L.~) )1 I n ~ } u{ll~. L 12 and ( % . % ) , ~ f o ~ a l l n } .
u {,21, e L22 , (~,T) t= , }

is s a t i s f i a b l e . Thus there is a denumerable recursively saturated model

((~*,a*),(~*,~*)) of 4. (~[*,a*) and (~*,T*) s a t i s f y ( 2 ) , ( 3 ) , ( 4 ) , a n d by 4.13,
( ~ . , ~ . ) = t (~8*,T*). But then, by 4.7, (~*,~*) and (~8*,T*) are homeomorphic.
 23

4.17 Corollary. Suppose the topological structure$(~,~) and (~,T) are Lt -

equivalent. Then there is a topological structure (~*,~*) and there are bases
~1 and a2 of a* such that (~*,a 1) ~ (~,a) and (~*,a2) ~ (~,T).
Proof. For each n • w, take (~,~) as (~n,~n) in the convergence lemma.

We close t h i s section wlth two a p p l i c a t l o n s . F i r s t we prove the analogue of the

Keisler-Shelah ultraproduct theorem.

Given an u l t r a f i l t e r D over a set I, (W,a)I/D the ultrapower of (~,~) is in

a natural way a weak structure. I f (~,a) ~ bas then, by ~os theorem,
(~,~)I/D ~ bas.

4.18 Theorem. Two topological structures are Lt-equivalent i f f they have

homeomorphlc ultrapowers.
12
Proof. F i r s t suppose that the ultrapowers (~1,~1)I1/D1 and (~2,~2) /D 2 are
homeomorphic. Then
12
I1 t (~2,~2) /D2 and, by ~os theorem,
(~I'~I) /D I
Z.
(~i'~i) ]/D. ~ (~i'~i) for i = 1,2. Hence (~1,~1)~ t (~2,~2). -
]

Now assume that (~1,~1) ~t(~2,~2). By the preceding corollary there are ~,7 t
and T2 such that 71 = ?2 and ( ~ i , ~ i ) ~ (~,T i) for i = 1,2. By the Keisler-
Shelah-theorem we find an u l t r a f i l t e r D over a set I such that

(~i,a])I/D ~ (~,T])I/D for i = 1,2.

Put (~*,~i*) = (~,T])I/D . Since (~,Tl) : (~,~2), we have (~*,TT) : (~*,~).

Hence
(~l,al)I/D ~ ( ~ * , T ~ ) t (~*,T~)~ (~2,a2)I/D.

Finally, we derive the following

4.19 Theorem. Each L2-sentence invoriant for topologies ks equivalent in
topological structures to an Lt-sentence, i . e . i f ~ • L2 i s invariant for
topologies then there ks $ • k t with ~ ~ ~ ¢o Moreover we may choose#o~~ ¢
n
a disiunction o~ some ~(~,~) •
 24

We get t h i s theorem from the following lemma f o r ~ = {ibalS~. For ~ = ~ we

obtain that each invarlant L2-sentence is equivalent to an Lt-sentence.

4.20 Lemma. Let ~ u [~} be a set of L2-sentences. Suppose that ~ is invari-

ant for models of ~, i.e. whenever (~,G) ~ ~, (~,~) k ~ and ~ = ~ then

(~,~) ~ ~ implies (H,~) ~ ~.

Then there is an L t - s e n t e n ~ ¢ with ~ k ~ $-
Proof. I f ~ u {~} is not s a t i s f i a b l e l e t $ be 3x -n x = x. Otherwise, f o r
n e w put
n V n

Then n is an kt-sentence and

(I) ¢~-~ cn (2) i= n+1_~ n.

I t s u f f i c e s to show that ~ u {¢n In ¢ ~ p q~; because then, by compactness,
(1) and (2), we have ~ ~ ~ ~ n f o r some n.

So, suppose (~,T) k ~ u {¢n In ~ w]. Since (~,T) k n there is (~n,~n) such
n
that (~n,~n) b • u {~o}, and (~,T) ~ ~o(~ ,c~ ) ' i . e . (~n,~n) ~n ( ~ ' ~ ) " By the
convergence lemma, we find ~*,o'* and ~r*n n such that ~'* = "~'*,
(~[*,C*) ~ ~ U {¢p] and (gJ*,T*) ~ (~,'r). In particular ( ~ * , 7 " ) ~ ~- But then,
by ~ i n v a r i a n c e of :o, we hove ( H * , ? * ) ~ ~, i . e . (~,?) ~ ~ .

Taking f o r example ~ = {bas A haus}, we see that each L2-sentence invariant

f o r Hausdarff spaces is equivalent in HausdorFf spaces to an /t-sentence.
n
Since, f o r i n f i n i t e L,~(~,~) is not a f i n i t e formula the Ehrenfeucht-Frafss&
theorem does not hold in the form 4.13 f o r i n f i n i t e k. Nevertheless 4.16 and
the ultrapower theorem are s t i l l true. The following exercise shows how to
derive them with the methods introduced above.

4.21 Exercise. Let L be i n f i n i t e , countable or uncountable.

Ca) Suppose ( H , ~ ) _ t ( ~ , T ) . Show that there are homeomorphic structures
(~',~') and ( ~ ' , T ' ) such that ( ~ , ~ ) - (~',G') and (~,~)- (~',T'). (Hint:
By a compactness argument i t s u f f i c e s to show the statement f o r f i n i t e L).
t
(b) Show: (~,G) --- (9,T) i f f f o r each f i n i t e L' c L and each n=e
t (~I" L ' , ? )
( ~ L ' , ~ ) ~-n
 25

(c) Prove the following convergence lemma: Let L,L 1 and L2 be such that
k c k 1 n L2" Suppose (~,~) is an L2-structure,and that f o r each n e m, and
each f i n i t e
k' c L there is an k l - s t r u c t u r e ( ~ ( n , k , ) , ~ ( n , k , ) ) such that
t
(~(n,k') ~ k"a(n,k')) n ( ~ k ' , ~ ) . Then there are an k l - s t r u c t u r e ( ~ * , ~ * )

and an L2-struc%ure ( ~ * , ~ * ) such that

(i) (~*~ L , ~ * ) : (~*~ L,'~*)

(ii) (m*,~*) ~ (m,~)

(~i~) I f ~ e L 12' say ~ e L' 2 where k' is f i n i t e , and i f f o r each n,
(~(n,h,),C(n,k,)) is a model of ~, then ( ~ * , ~ * ) ~ ~.

5 In±erpolation and preserva.t..i.on

We prove in t h i s section the i n t e r p o l a t i o n theorem f o r L t and derive preser-

vation theorems f o r some r e l a t l o n s between t o p o l o g i c a l structures. We obtain
the r e s u l t s applying the back and f o r t h methods of the preceding section.
From now on, unless otherwise stated, ~r~),(~,T)r... will denote t o p o l o -
gical structures.

5.1 Interpolation theorem. For i = 1,2 l e t ~ i e LZt. Put L = L l n L2.

I f ~ ~1 ~ ~2 then f o r some ~ e Lt, ~ ~1 ~ ~ and ~ ~ ~ ~2"

t t t
Proof. Note that here and also in the next theorems we may assume that the
slmilarity types are f i n i t e . - Put ~ = 3x ~ x = x, i f ~1 has ~ - t o p o l o g i c a l
model. Otherwise, l e t f o r n e m,

n : V { ~n( ~ L,~) I (~,~) ~ ~ I ' (~,~)2 -structure}.

Since N ~1 ~ n and ~ n + ] ~ n it s u f f i c e s to show that {~nln ~ ~} ~ ~2"

t t~ t
So suppose (m,T) is an L - s t r u c t u r e and a model of {~nln e m}. Then f o r

each n, there is an L - s t r u c t u r e (~n,~n) with

(~n'~n) ~ ~I and (~,~) ~ ~ n ~ L,~n ) .

By the convergence 1emma 4.16 there are an L l - s t r u c t u r e (~*,~*), and an

 26

L 2 - s t r u c t u r e (~*,T*) such t h a t

(~ L,~*) = ( ~ L,T~), ( ~ , ~ ) ~ O1 and ( ~ , T ~) t (~,T).

But then ( ~ * , T * , ( k ~ )k e L~ - L ) is a model of ~1 and therefore of 02.

Hence (~,T) ~ 02 .

We remark t h a t 8.8.4 contains a s y n t a c t i c proof of the i n t e r p o l a t i o n theo-

rem.

5.2 Exercise. Let L = L 1 n L2, ~1~ L 12' ~2 ~ L22. Assume that O2 is i n -

v a r i a n t . Show that the f o l l o w i n g are equivalent:

(i) ~ ~I ~ ~2"
(ii) There is a ~ e L t such that ~ ~l ~ ~ and ~ ¢ ~ 02.

Considering the back and forth properties for each sort, it is possible to
introduce notions like "partial homeomorphic" also for many-sorted struc-
tures, and %o derive the corresponding results. For example one gets for
many-sorted L:

(I) Each L2-sentence invariant for topologies is equivalent in topological

structures to an Lt-sentence.

(2) Suppose ~ ~] ~ ~2 where ~1"~2 E L t. Then there is a ~ ~ L t with

b) Each r e l a t i o n ond function symbol in ~ occurs in @1 and 02 .

c) I f ~ contains a term of sort i , then so do ~l and ~2

(T "truth" is needed in case ~l and ~2 have no common sort).

d) If # contains a set variable of sort i, then so do ~l and ~2"

Note that from the many-sorted interpolation theorem (2) one obtains (])
using the technique of additional universes sketched in 4.5. In particular
o syntactic proof of the many-sorted interpolation theorem (see B.8.~)
yields o syntactic proof of the fact that the invariant L2-sentences are
the Lt-sentences.

5.3 Exercise. Characterize the invoriant sentences for structures of type

(~,o],...,~n) where ~], ....~n are topologies on A. Derive the correspondi~
 27

interpolation theorem.

Now we apply the methods of the preceding section t o give a uniform t r e a t -

ment of some p r e s e r v a t i o n theorems.

5.4 Definition. (~,~) i s a s u b s t r u c t u r e of ( ~ , T ) , in symbols (~,~) c (~ T),

i f ~ i s a s u b s t r u c t u r e of ~ ( i n the a l g e b r a i c sense) and ~ i s the topology
on A induced by T. I f in a d d i t i o n A i s a dense subset of B, we c a l l (~,~)
a dense s u b s t r u c t u r e of ( ~ , T ) , (~,~) ~ (~,~). I f A is an open subset of B,
i.e. A ~ T, we c a l l ( ~ , ~ ) an open s u b s t r u c t u r e of ( ~ , T ) , (~,~) c ( ~ , T ) . -
O
(~,T) i s then c a l l e d an extension, resp. dense e x t e n s i o n , resp. ope n e × t e n -
sion of (~,~).

First we c h a r a c t e r i z e those Lt-sentences ~ which are preserved under ex-

tensions, i.e. satisfying:

(~,~) ~ ~ and (~,o) c (~,~) implies (~,~) k ~ .

5.5 Definition. An L t - f o r m u l a is existential (universal.) iff it is in

negation normal form and does not contain any u n i v e r s a l l y (existentially)
quantified individual variable.

A simple proof shows t h a t every e x i s t e n t i a l (universal) sentence i s p r e s e r -

ved under extensions ( s u b s t r u c t u r e s ) . haus and ~ are u n i v e r s a l senten-
ces.

Let the binary r e l a t i o n E on weak models o f bas be defined by:

( ~ , ~ ) E (~,T) iff ( ~ , ~ ) i s homeomorphic to a s u b s t r u c t u r e of ( ~ , ~ ) .

Then any ~ ~ L t i s preserved under extensions i f f it i s preserved under E.

Note t h a t f o r any weak s t r u c t u r e s , (~,~) E (~,T) holds i f f there are a map

o 1 2
and r e l a t i o n s ~ ,~ c e x T satisfying the p r o p e r t i e s (1) - (4) l i s t e d
0 .
at the beginning of § 4, where instead of (1) we only r e q u i r e t h a t ~ zs
an isomorphism of ~ onto o s u b s t r u c t u r e of ~. Therefore,we obtain a count-
t t
able approximation E and f i n i t e approximations E of E from ~ and ~ ,
p n p n
i f we drop the c o n d i t i o n ( b a c k l ) . On countable models~Ep coincides w i t h E.
n
The r e l a t i o n s En are " d e f i n a b l e " : the formulas ~ s ~ + , ~ - corresponding
n n _ _
to ~,~+,~- are obtained from ~,U+,U - by dropping the coniuncts that
 28

f o r m a l i z e the ( b a c k l ) - p r o p e r t y , hence they are e x i s t e n t i a l . - But each sen-

tence preserved by E is e q u i v a l e n t to a d i s i u n c t i o n of some of these e x i s t e n -
tial n
sentences ~(~,~) (the proof i s s i m i l a r to t h a t of 4.19 and uses the
corresponding g e n e r a l i z a t i o n of 4.11).
5.6 Theorem. ~ e L t i s preserved under extensions i f f t h e r e i s an e x i s t e n -
tial sentence ~ e L t with ~ ~ ~.

Since the negation of an existential sentence is equivalent to an universal

sentence, we have:

5.7 Corollary. ~ • L t is preserved under substructures iff there is a uni-

versal ~ ~ L with ~ • ~ 4.
t
Let ~ = ~(X) • L t be positive in X. Then 3x ~[x~ (i.e. the Lt-sentence 3x~,
where X is obtained from ~ replacing each subformula t e X by t = x) is pre-
served under substructures. 8y 5.7 there is a universal ~ equivalent to
3x ~([x}). Find such a ~!

5.8 Exercise. 1) Let L = L ] n L2 , 01 e L ]t ' ~2 • L2t . Assume t h a t L2 - L

contains no f u n c t i o n symbols. Show t h a t the f o l l o w i n g are e q u i v a l e n t ,

(i) For any t o p o l o g i c a l (L t u L2)- s t r u c t u r e s (~,~),(~,T):

(~'~) # ~1 end ( ~ , ~ ) : (~,~) imply (~,~) ~ ~2"
(ii) There is an existential ~ e Lt with ~ ~1 ~ ~ and ~ @ ~ ~2"
t t
2) Suppose t h a t the class of t o p o l o g i c a l models of on L t - t h e o r y T i s closed
under extensions. Show that there is a set T* of existential Lt-sentences
n
with the same models. ( H i n t : Take as T* the set {~(~pU,
a~ln,, • w,L' c L
finite, (~,~) ~ T] and argue, in case of i n f i n i t e L, as in 4.21).

3) R e l a t i v i z e 5.6 to models of a given theory T, i . e . show: if

(~,~) ~ T u { ~ } , (~,~) c (@,T) and (~,T) ~ T imply (~,T) ~ ~, then
there is an existential ~ with T ~ ~ ~ @.
t
Now we characterize the sentences preserved under dense extensions. For
example, for unary P, the sentence

(-F) Vx ¥ X 3 x 3y (Py ~ y • X).

expressing t h a t P is dense is preserved under dense extensions.

 2g

5.9 Definition. An Lt-formula ~ is d-existential iff it is in negation

normal form and each subformula of ~ beginning with a u n i v e r s a l l y q u a n t i -
f i e d i n d i v i d u a l v a r i a b l e i s of the form Vx VX ) x¢ where $ does not contain
x free.

Thus (+) i s d - e x i s t e n t i a l . A simple i n d u c t i o n shows t h a t any d - e x i s t e n t i a l

sentence i s preserved under dense extensions. Define the b i n a r y r e l a t i o n O
by:
f o r any weak models (~,a) and (~,T) of ,ha,s,

(~/,c7) D (~,T) iff (~I,~) i s homeomorphic to a dense substructure of ( ~ , ~ ) .

Note t h a t (~,~) D (IB,T) hold iff there are n ,~

o 1 and 2 s a t i s f y i n g (1) -
O .
(4) of the beginning of § 4, but where n zs now an isomorphism onto a dense
s u b s t r u c t u r e . Therefore to get a countable approximation D of D, we have
P
to drop (back 1) in the d e f i n i t i o n of s t and to i n s e r t the f o l l o w i n g con-
P
d i t i o n (baCkd) guaranteeing the d e n s i t y :

(baCkd) For p e I , b e B and V E ~ with b ¢ V there are q e I and

b' e V such t h a t pc q and b' e r g ( q ) .

Show t h a t D coincides with D on countable s t r u c t u r e s . - To " d e s c r i b e " the

P n
corresponding f i n i t e approximations Dn we introduce formulas X~,~+,~- .
n n
X~,0+ ~- i s obtained from ~0~,~+,~- dropping the p a r t t h a t f o r m a l i z e s the
( b a c k l ) - p r o p e r t y but i n s e r t i n g the f o l l o w i n g coniunct corresponding to
(backd)
n-I
(*) Vwk VXr ,) wk 3wk (wk e Xr A a V A X~¢~+,O-)"

n _ _
Hence X-,U+,U-a is d-existential. Therefore:

5.10 Theorem. A sentence ~ e L t i s preserved under dense extensions i f f

there i s a d - e x i s t e n t i a l sentence ~ e L t with ~ ~ ~ ¢.

For a formula ~ ( x , ~ , X + , Y - ) and any new v a r i a b l e X, the formula

(Vx VX ~ x 3 x ( x e X ^ ~) expresses t h a t the set { x l ~ } i s dense, hence we
denote t h i s formula by " [ x l ~ ] " . Note t h a t by ( * ) , we can assume t h a t in any
d-existential formula any u n i v e r s a l q u a n t i f i e r binding an i n d i v i d u a l v a r i a b l e
occurs in the " p r e f i x " of a subformula of type " [ x l ~ ] " .
 30

5.11 Definition. An Lt-formula ~ is a Z-formula iff i t is in negation

normal form and each subformulo of ~ beginning with a universally quantified
i n d i v i d u a l v a r i a b l e has the form Vx(x • Y ~ ¢) ( a b b r e v i a t e d by Vx • Y$).

Note t h a t each Z-sentence is preserved under open extensions. When studying

the r e l a t i o n of being an open extension we have instead of (back 1) the con-
dition (backo) ,

(backo) For all p e I, all V such that U p2 V for some U, and all b e V
there is q e I with p c q and b e rg(q°).
n
Thus the corresponding formulas ~ ~,~+,~- contain a con}unct of the form

n-I
A Vwk • Y'z V ~aa,0+,0 - '
o_<i<s aeA

hence they are Z - f o r m u l a s .

5.12 Theorem. An Lt-sentence ~ i s preserved under open extensions i f f there

is a Z-sentence ¢ e L t with ~ • ~ 4.

In 8.8.~ we show that 5.12 and the corresponding theorem for end-extensions
in classical model theory have a common generalization. °

5.13 Exercise. A formula in negation normal form is called a ~-formula iff

each subformula of ~ beginning with an e x i s t e n t i a l l y quantified individual
v a r i a b l e has the form 3 x ( x • Y ^ 4) (abbreviated by 3x e Y¢). A formula
which i s both, n and E, i s c a l l e d a A,formula . - For a q - f o r m u l a ~ and o
new set v a r i a b l e Y l e t ~Y be the L t - f o r m u l a obtained from ~ r e s t r i c t i n g all
u n i v e r s a l i n d i v i d u a l q u a n t i f i e r s to Y, i . e . r e p l a c i n g each subformula
Vx X by Vx •Y XY" Thus ~Y ) t ~ Y i s a A-formula. Suppose t h a t L contains
no f u n c t i o n symbols besides c. Then given (E,~) and a U e ~ c o n t a i n i n g
A
c there i s an open s u b s t r u c t u r e , denote/by (~,~)~ U, w i t h universe U.

1) Show that for given (~,~) and (~,T) the following are equivalent.

(i) There are (~*,~*) and (~*,T*) Lt-equivalent to (~,~) and (~,T)
respectively, which contain homeomorphlc open substructures.

(it) (~,a) and (~,T) satisfy the same A-sentences.

(Hint: Using a compactness argument find (~l,~l) Lt-equivolent to (~,~) con-

 31

r a i n i n g an open substructure ( E , ~ ' ) that s a t i s f i e s a l l n-sentences $ such

that (~,~) ~ 3U 9 c cU. Then a l l E-sentences which hold in ( ~ , ~ ' ) hold in

2) For ~ e L t show the equivalence of ( i ) and ( i i ) .

(i) ~ holds in a t o p o l o g i c a l s t r u c t u r e i f f i t holds in a l l s u f f i c i e n t -
l y small open substructures ( i . e . (~,a) ~ ~ iff f o r some U e
with c e U and a l l V e a, c ~ V c U:(~,~)~ V k ~).

(ii) There is a A-sentence $ such that ~ ~ ~ $.

The back and f o r t h method is useful f o r obtaining preservation theorems f o r

other r e l a t i o n s , two examples are contained in the following exercise.

5.14 Exercise. 1) (Finer t o p o l o g i e s ) . An Lt-sentence ~ is preserved under

f i n e r topologies, i f f o r any s t r u c t u r e ~ and topologies ~ and T,

(~,~) k ~ and ~ c T imply (~,T) k ~.

An Lt-formulo in negation normal form is called set-existential, if it does

not contain any universally quantified set variable. - haus and disc ore
set-existential. Show that the Lt-sentences preserved under finer topologies
are iust the sentences which are equivalent to a set-exlstential sentence.

2) (Continuous homomorphic images) Characterize the sentences preserved

under continuous homomorphic images.

3) For dense extensions, open extensions, f i n e r topologies and continuous

homomorphic images derive the r e s u l t s corresponding to 5.8.1 - 5.8.3.

§ 6 Products and Sums

(preservation theorems continued)

In t h i s section we generalize some r e s u l t s on products and sums to t o p o l o g i -

cal l o g i c . At some points we assume that the reader is f a m i l l a r with the de-
flnitions and r e s u l t s of [ S ] . Recall that unless o t h e r w l s e noted, a l l
structures w i l l be t o p o l o g i c a l s t r u c t u r e s .

We denote by ~ ( ~ i , ~ i ) the ( t o p o l o g i c a l ) product of the structures ( ~ i , ~ i )

I
 32

for i e I, i.e. the structure~ ~i,~) consisting of R ~. the "classical"

I z" o
product of the ~. and the product topology ~. Let ~be the no-
r I
r u r a l basis of ~,
0
H ~i = {~ UilUi e ci' Ui = A. almost everywhere}.
I z

For L c o n t a i n i n g no f u n c t i o n symbols, we denote by ZT ( ~ i ' c i ) the ( t o p o l o g i -

c a l ) sum ( o r f r e e union) of the s t r u c t u r e s (~i,ci~; I t c o n s i s t s of the
"classical" sum ~ ~. and the sum topology. Let E ~. be the natural basis
I i I z
of this topology

0
Ci = [~ UilUi e ~ for oll i e I}.
I I

Note t h a t the t o p o l o g i c a l product ~ ( ~ i , ~ i ) in general does not coincide with

the "class~Fol" product of the two-sorted structures (~i,~i). And contrary
%o the classical case, there are Lt-sentence$(e.g. disc) that ore preserved
under finite products but not under arbitrary products. -

On the other hand some theorems and proof techniques generalize to the pre-
sent case, e,g.

t
6.] Theorem. If (~i,~i) ~ (~i,Ti) for each i , I, then

~(~i,~i) t ~(~i,Ti) and r(~i,~i) t ~(@i,Ti) •

I I I I
Proof. A winning strategy for player II in the Ehrenfeucht game for, say,
the product structure is obtained by playing in each component according to
o winning strategy. Note that by 4.4.4 we may assume that in the game for
the i-th component player II chooses A i (resp. Bi) , if B i (resp. Ai) is
chosen by I.

Using a global strategy one can strengthen 6.1, thus, e.g. obtaining:

If I and J are both infinite, and (~,~) t (@,T), then (~,~)I t (~,T)J
(where(~,c)I is ~(~,c)).
I
But it is also possible to derive these results from the results in [~-]
using the following remarks.

Given a set I denote by ~(I) and (~(I),Fin) the Boolean algebra

 33

,u, of all subsets of I resp. the s t r u c t u r e (P(1),n,u,-,S,~,

I,Fin) where Fin is the set of f i n i t e subsets of I. Let LB reap. L B' be the
corresponding similarity type.

I t is easily shown that in the terminology of [~ ] we have

o
(~ ~.,E ~ i ) i s a r e l a t i v i z e d generalized product r e l a t i v e to ( ~ ( I ) , F i n ) .
I zI
a
(2) (~ 9/.,E ~i) is a relativized generalized product relative to ~(I).
I z I
Therefore

6.2 Theorem. a) Given any sentence • e L t we can f i n d a number m e w such

t h a t : whenever ~ i s t r u e i n the sum o f the s t r u g t u r e s ( ~ i , ~ i ) there i s a set
I c I , having at most m elements, and such t h a t ~ i s t r u e in the sum E ( ~ i , ~ )
o I'
provided I c I' c I.
o
b) Any Lt-sentence preserved under finite sums is preserved under arbitrary
sums,

c) If I and J are both infinite and (~,~) t (@,T), then E (~,~) t Z (@,T).
I J
Proof. By (2), a) and b) are special cases of the results in [~ ].

c ) : By 4.17 we f i n d ~ and bases ~' and T' of the same topology, ~ ' = ~ such
that and

Hence
t
Z (~,~) ~ E ( ~ , ~ ' ) t Z (~,~') ~ Z ( ~ , T ' ) ~ Z @ , T ' ) ~ Z (@,T) •
I I I I J J

The general p r e s e r v a t i o n theorem of [ ~ - ] tells us t h a t given ~ E L t we can

find effectively @1,...,@ m e L2 and X = X ( Y l , . . . , Y m ) e Lw~
8' such t h a t

(~i,~i) ~ @ iff (~(I),Fin) ~ ~[S(¢I) , .... S(¢m)] ,

I
where 5(~i) : {i e II(~i,~i ) ~ ¢i } .

The forsulas ~I' .... Cm obtained in the proof in [~r] in general do not be-
long to L t. But we need Lt-farmulas in order to carry over to the present
case the decidability results of [5}. We show how to modify the proof of
[~] to get ¢i lying in L t.
 84

I f a 1,...,a n ~ ~A i is denoted by a, l e t a(i) be a 1 ( i ) . ... . an(i) ; similarly,

O
i f U1 . . . . ,U n e 0~i is denoted by U, l e t U ( i ) be U l ( i ) . . . . , U n ( i ) , where
ui(i) = {o(i)la ~ ui}.
6.3 Theorem. Given ~0 = ~ ( X l , . . . , X n , X l ,+. . .,X+r,Y1 . . . . . Ys) e k t we can find
effectively ~I ..... ~m e Lt'~i = ¢i(~,~+,Y-), and X e L ~ ,~ = ~<(Yl.... 'Ym )
such that ~ is determined by (y;#1,...,¢m), i.e. given any system of struc-
0
tures (~/i,~i),any a1,...,a n e ~A.,any UI,...,Ur,VI,...,V s e 0 ~i' we hove
I ' I

( ~ l i , ~ i ) ~ q)[a,U,V] iff (~(I),Fin) ~ x [ S ( ~ I ) , . . . . S(~m)],

I
where

S(¢ i) = { i l ( ~ i , a i ) ~ ~i[~(i),0(i),V(i)]} •

Moreover ~< may be chosen "monotomic", i.e. such that

($(1),Fin) ~ V Z l . . . z m V y l . . . y m ( X ( y l , . . . . ym) A A Yi ~ z. ~ X(Z 1 . . . . ,Zm)).

I_< i<_m J
Proof. The proof is by induction on ~. For atomic ~0, ~o = ~ ~o', ~0 = ~01 A ~2
or q~ = 3x£0' one can argue as in the proof of 6.3.2 in [3 ]. The formulas
¢ 1 , . . . , ~ m obtained there are kt-formulas having the a d d i t i o n a l property,
that any set v a r i a b l e occuring p o s i t i v e l y (negatively) in a ¢~ occurs po-
sitively (negatively) in ~.

Now assume that ~ is 3Y 9 %%0', ~' = ~ ' ( x , X + , Y - , Y - ) and that ~0' is d e t e r ,

mined by ( X ' ; ¢ 1 . . . . ,¢m). Then ¢1 . . . . '¢m are negative in Y. Let 1 = 2m and
let Sl, .... s I be a listing of all subsets of {l ' ...,m} with s.) = {i} for
I~ i -< m. - For I _< h _< i, let

~h = ~Y ~ t A ¢)
i e sh

and f o r 1 ~ i ~ m, l e t

T
~i = ~i ¥ '
T
(where ~i ~ is obtained from ¢i s u b s t i t u t i n g any atomic part of the form
t' e Y by t' = t').

Let X = X(Yl . . . . ' Y l ' V l ' ' ' " V m ) be

 3S

X : 3Zl-.-3Zlt " A z < Yh A A z i n zk : zh

1 ~ h % 1 h- s. u s k = s
] n
A X'(z I . . . . . zm) A A Fin(zj - vj)).
] ~ ~ ~ m

The monotonicity of X' implies that of X. We show that 3Y~ tO' is determined
by (X;Q]. . . . , q l , ~ ] , . . . , ~ m ) . - Let us f i r s t suppose that
0
(~fa i) F 3Ygt ~'[a,O,V], say 5 (Si,oi) b ~'[a,O,9,V] where V c ~ a..
I I I i

For 1 ~ h ~ I, let

(1) Mh = S(a h) = {i e II[~i,a i) ~ 3Y ~ t A Cj[6(i),0,(i),?(i)]},

j ~ sh

and f o r 1 ~ j % m, l e t
T - . -
(2) Nj = S ( ¢ j ) = {i e II(~i,ai) ~ ,jT[a(z),U(i),?(i)]}.

We see t h a t (~(I),Fin) ~ X[H 1 . . . . . HL,N l . . . . . Nm] , t a k i n g as z 1 . . . . . z 1 the

sets

Zh = { i e II(~i,a i) ^ ~j[~(i),O(i),#(i),v(i)]}.
j ~ sh

C o n v e r s e l ~ suppose

(3) (~(I),Fin) ~ X[M1 . . . . . M1,N 1 . . . . . Nm]

Where H 1 . . . . . Nm are d e f i n e d by (1) and ( 2 ) . We show t h a t

i(~i,oi ) k 3Y 9 t ~ ' [ ~ , O , V ] . By (3) we f i n d Z h, 1 -< h _< 1, s a t i s f y i n g the

"matrix" of X. In p a r t i c u l a r

(4) ('~(I),Fin) = )C[Z] ..... Zm].

m
For i ~ ~ (Zj - N j ) , l e t V i = A 1. For i e LJ (Zj - N j ) , let
j=l j=l
s = {jli e Zj, 1 -< j < m}. Chooseh such t h a t s = Sh.Since Z h c Mh t h e r e is

V. • a. w i t h
1 1

t(~i'~i)[~(i)] ~ vi a~d (~i,~i) ~ ^ ,j[~(il,O(il,~(il,Vi].

Jes h
 36

~(~/i,°i ) m
Let V be g V.. Then t [a] e V and since L3 (Zj - Nj) is finite,
i~I I j =I
o
Vega..
1
t

For 1% j % m define H. by
]

H.) = {i1(~i,ai) # ~j[~(i),O(i),V(i),V(i)]

Now one e a s i l y v e r i f i e s that Zj c Hi, Hence, by (4) and monotonicity of ~<'

(~(1),Fin) # x'[HI ..... Hm].
Therefore,
~(~i,ai) ~ ~o'[~,O,v,v], hence E(~.,a.) # 3 Y ~ t ~o'[~,O,V].
I 1 1

Given a class R of t o p o l o g i c a l s t r u c t u r e s , denote by Tht(~) the A t - t h e o r y of

~, i.e.

Tht(R) = {~I~ G Lt,(~,a ) ~ ~ for all (~,a) ~ R].

In case R = [(~,~)}, we write Tht(~,o).

Using 7.1 and 7.2 of [5] we obtain from the preceding theorem:

6.4 Corollary. (11 Suppose that Tht(R ) is decidable. Let R' be the class of
all products of members of ~. Then Tht(R' ) is decidable.

(21 The class of Lt-sentences preserved under finite, the class of Lt-sen-
fences preserved under infinite,and the class of Lt-sentences preserved
under arbitrary products are recursively enumerable.

(Since for any ~ e L t the set {~I~ • ~ ~ ~} is recursively enumerable, (21

is obtained from 7.] in [~].) Note that (3x Px A 3x Qx A Vx(Px ~ ~ Qx)
v m disc) is an Lt-sentence preserved under infinite but not under all finite
products.

6.5 Corollary. Tht((~,o)I ) is decidable for any finite structure (~,~).

In particular, let 2 be {0,1} and take %he discrete topology o on 2. Then

Tht((2,~)I) is decidable.

One can derive the corresponding results for "weak direct products" (direct
sums): Assume that L contains just one constant, say c. We restrict our
 37

attention to s t r u c t u r e s satisfying f c . . . c = c f o r any f e L. The d i r e c t sum

I (W]~) of t o p o l o g i c a l structures (~i,ai) i s defined to be the s u b s t r u c t u r e

of (~ Wi'~ ~i ) (where ~ a. denotes the " b o x " - t o p o l o g y ) w i t h universe

I z

1
{f/f e ~ Ai, f ( i ) = c olmost everywhere}.

I (~i'°i) is a relativized g e n e r a l i z e d product r e l a t i v e to ( ~ ( I ) , F i n ) . It is

possible to prove 6.3 f o r d i r e c t sums, i . e . any ~ e L t is determined in a
direct sum by some ( ~ ' ¢ 1 ' . . . . ~m) with ~i e L t . Since the correspondence
~ ( X , ~ I , . . . , ~ m) is e f f e c t i v e , 6.4 is also t r u e f o r d i r e c t sums.

We leave i t to the reader to formulate and prove a general Lt-Feferman-

Vaught-theorem, which contains the r e s u l ~ on products, sums and d i r e c t sums
as s p e c i a l cases.

"Syntactic characterization" of the sentences preserved by the a l g e b r a i c

operations of t h i s section and by r e l a t e d operations are not known. In p a r t i -
c u l a r t h i s i s t r u e f o r the sentences preserved by products and s u b s t r u c t u r e s
or f o r the sentences preserved by d i r e c t factors; in both cases, easy charac-
terizations f o r kw~ are known.-

By the way we remark t h a t t h e r e i s no c h a r a c t e r i z a t i o n of the kt-sentences

preserved by the i n t e r s e c t i o n (resp.union) of t o p o l o g i e s , i.e. of those

e L t such t h a t

(~,o1) ~ ~ and (~,o2) ~ ~ imply (~'~I n 02) ~

(resp. (~,~I) ~ ~ and (~,a2) k • imply (~,01 u a 2) ~
where a] u a2 i s the coarsest topology c o n t a i n i n g ~1 u 02).

6.6 Exercise. Show t h a t - f o r r e c u r s i v e L - the class of Lt-sentences pre-

served under the i n t e r s e c t i o n (resp. union) of t o p o l o g i e s i s r e c u r s i v e l y
enumerable.

The r e s u l t of Lww t h a t a convex elementary class is closed under the union

of s t r u c t u r e s does not g e n e r a l i z e to Lt, as i t i s shown by the next e x e r -
cise.
 38

6.7 Exercise. For L : {Co,Cl} let ~o : 3×~ co 3Y ~ c I Vz(~ z e X v ~ z ~Y).

Show: (a) Given ($,~) ~ ~o and substructures (~i, ai),(~2,~2) and (~3,o3)
of (~,a)~ i f (~1,al) # ~o' (~2'02) ~ @o and A1 n A2 = A3, then (~3,o3) ~ @o"

(b) There i s o sequence (~n,On) of models of ~o with (~n'°n) c (~n~q'On+l)

such t h a t the union of the (~n, an) ~ . e . the injective limit in the category
of t o p o l o g i c a l spaces) i s not a model of ~ .
0

§ 7 Definability

First we show t h a t some theorems on the explicit definability of relations

generalize from Lww to L t. After that we prove same results on the explicit
definability of topologies. - For simplicity, we assume in this section that
all similarity types are denumerable.

7.1 B e t h ' s theorem. Let T be an L~-theory, L c L' and R ~ L' - L. The

f o l l o w i n g are e q u i v a l e n t :

(i) I f (~,a) ~ T, (~,T) ~ T and ( ~ k,o) ~ ( ~ k,T) then R~ = R~.

(ii) There is o ~(~) ~ Lt such that T b Vx(R~ ~ ~(~)).

t
Since the proof - using the interpolation theorem - is the some as for L~w,
we omit it.

We call on L t - t h e o r y T complete, if f o r any L t - s e n t e c e ~ e i t h e r T k ~ or

t
T ~ .
t

7.2 Svenonius's theorem. Let T be an L~-theory, L c L' and R e L' - L. The

following are equivalent:

(i) If (~,a) ~ T and ~ i s an automorphism of ( ~ L,a), then ~ maps R~

onto i t s e l f (i.e. R~ = {~(a) l~ ~ A , R ~ ] ) -

(ii) There are a f i n i t e number of formulas ml(X) . . . . . mn(~) ~ L t such t h a t

n

T ~ i = I
V V~(R~ ~ ~i(~)).
Proof. (ii) = (i). This is t r i v i a l .
(i) = (ii). Suppose, by c o n t r a d i c t i o n , t h a t (ii) does not hold.
Then
 3g

To := T u {'~ Vx(Rx " ~o(,~))lq0 = cO(,~) e Lt]'

has a t o p o l o g i c a l model. Let T' c L' be any complete extension of T . Since

t o
f o r T' part ( i i ) of Beth's theozem does not hold, theze are models (~,a) and
(~,T) of T' with (~[ L,o) = (@~ L,~) and R~ ~ R~. Choose a denumerable r e -
c u r s i v e l y saturated (weak) model ((~, (k*)~k ~ k'-/. ) ' ; 1 )
of Tht(((~,(k~)k • L, L). ,a)). Since T' is complete, (~,~) - t (@,T) and
N
therefore by 4.7, ((~ L,R ) , a l ) and ( ( ~ L,R*~),~ 1) are homeomozphic. Hence
there i s an automorphism of ( ~ L,~ 1) mapping R~ onto R*~. But R~ @ R*~,
contradicting (i).

In § 8 we show that Chang-Makkai-theorem does not generalize to L t .

Now we s t a r t the study of problems concerning the d e f i n a b i l i t y of topologies.

Suppose that T is an kt-theozy which defines the topology i m p l i c i t l ~ i.e.

(~,o) ~ T and (~,~) ~ T imply o=~.

An a p p l i c a t i o n of the i n t e r p o l a t i o n theorem then shows that each Lt-sentence

is equivalent in T to an k ~ - s e n t e n c e : namely l e t L' be a s i m i l a z i t y type
appropriate for s t r u c t u r e s of the form (@,al,a2), wheze @ is an k - s t r u c t u r e .
Given ~ e L t denote by ~1 resp. ~2 an k~-sentence such that

(~,01,a2) ~ ~i iff (@,a i ) ~ ~.

Since T defines the topology i m p l i c i t J ~ we have for any ~ e L t

T I u T2 b 1 ~ ~ 2 ,
t
where T i = { ~ i l ~ e T}. Therefore for some f i n i t e T c T,
0

~AT 1 ^ 1 ~ (AT 2 ~ 2 ) .
t O 0

Using the interpolation for L~ (see 5.3) we obtain a ~ • L w with

~ A T 1 A 1 ~ ~ and ~ ~ ~ (ATo 2 ~ 2 ) .
t o t

Hence T k ~ ~ ~.
t
We get a "uniform" t r a n s l a t i o n from L t to L~w by the next theorem s t a t i n g
that T defines the topology " e x p l i c i t l y " ( i f T defines i t implicitly).

Given an Lww-formuia ~ ( x , y ) , a structure ~ and a • A, we denote by ~ ( - , a )

the set
 40

m~(.,~) : { b i b ( A,m k m[b,~]},

and by M~ the collection of sets

: { ~ ( ' , ~ ) I ~ ~ A}.

7.3 Definition. Let T be an L t - t h e o r y and @(x,y) an L w w - f o r m u l a . ~ e x p l i c i t l y

d e f i n e s the topology in T , i f f o r any model (~,a) of T we have a = ~ , i.e.
if T ~ basis(~) where

bo~i~(~) : Vx v ~ ( ~ ( x , ~ ) ~ ~x ~ x(V~(z ~ x ~ ~ ( z , ~ ) ) )
^ VxVX~x ~(~(x,~) ^ w(~(z,~)~z ~x))).

7.4 Example. Let L = {<] and l e t T be the theory of l i n e a ~ y ordered ~sets

0
without endpoints, c a r r y l n g the order topology. Thus T contains besides
o
kww-axioms the kt-sentences

VX Vy Vz (y < x < z ~ 3X ) x Vu (U ( X ~ y < u < Z))

Vx VX ~ x 3y 3z (y < x <z AVu (y < u < z "-> U (~ X ) ) .

The Lww-formula @(x,Yl,y 2) = Yl < x < Y2 e x p l i c i t l y defines the topology in

T .
o

I f @(x,y) e x p l i c i t l y defines the topology in T, then to any Lt-sentence

we obtain an e q u i v a l e n t Lww-sentence ~ e l i m i n a t i n g set q u a n t £ f i e r s as i n -
dicated by

3X ~ t . . . t ' ~ X ---~'~ 3 ~ ( ~ ( t , ~ ) A . . . ~ ( t ' , y ) - - - )

VX ~ t . . . t ' ~ X . . . . ~ V y ( ~ ( t , y ) ~ . . . @ ( t ' , y ) - - - ).

Hence
7.5 Theorem. Let T be an L t - t h e o r y and suppose ~ ( x , y ) e x p l i c i t l y defines the
topology in T. Let T ~ be the L w-theory {¢~t~ ~ T ] . Then:

(a) T and T~ u {basls(@)} have the same models.

(b) For any L - s t r u c t u r e ~,

~ T~u {(bas) @} iff (~,~) k T for some topology a on A.

We now prove
 41

7.6 Zie~ier's definability theorem. Given an L t - t h e o r y T the f o l i o w i n g are

equivalent:

(i) T defines the topoiogy i m p l i c i ~

(ii) The topology is explicitly definable in T.

Proof. The proof of (i) from (ii) is easy. - Now, assume (i). Choose a new
unary r e l a t i o n symbol P and a new constant d. F i r s t we show:

There i s a sentence X • (L u [P,d])mw, X : X(P,d) such that f o r any

(i)
model (~,~) of T, any B c A and any a • A, we have

((~,B,a~a) = X iff B i s a (not n e c e s s a r i l y open) neighborhood of a.

To prove (1) l e t ~ be an (L u { P , d ] ) t - s e n t e n c e expressing

"P i s a neighborhood of d".

Since T d e f i n e s the topology i m p l i c i t l y - aiso as (L u { P , d } ) t - t h e o r y - , t h e r e

i s (compare the remarks a f t e r 7.2) a X • (k u {P,d])~m such t h a t T ~ ~ ~ X.

Thus, f o r any k ~ - f o r m u l a ~(z,w)

"if G(-,~) i s a neighborhood of y, then e ( . , w ) ¢ Y"

i s expressed by the L -formuIa

X ( e ( - , w ) , y ) ~ ~ V z ( e ( z , ~ ) ~ z • Y),

where X ( ~ ( ' , w ) , y ) i s obtained from X(P,d) s u b s t i t u t i n g y f o r d and r e p l a c i n g

each formula P~ by ~ ( t , w ) .

Now suppose t h a t ( i i ) does not hold. Then the set

: : T u {y e Y) u { V g ( x ( e ( . , w ) , y ) ~ ~ Vz(e(z,w) ~ z e Y ) ) l e ( z , w ) • L~w]

has a t o p o l o g i c a l model, i n which the i n t e r p r e t a t i o n of Y i s an open s e t .

Otherwise for some ~1 ..... ~n • L~, G i = ei(z,w),
n
T u {y • Y] ~t i I= V 3~(X(ei(.,~),y ) A Vz(ei(z,~ ) ~ z • Y))

and t h e r e f o r e
n
T : Vy V Y ~ y i V: i ~ w ( X ( e i ( ' , w ) , y ) n Vz(Gi(z,~ ) ~ z • Y)).
t
Put
n
e ( z , - W'Vo' . . . ' v n) :: i v: 1 (v ° : v.~ ^ e i ( z , ~ ) ) .
 42

Then i n any model o f T ( w i t h more than one element) each open set c o n t a i n s
w i t h each of i t s p o i n t s a neighborhood of t h i s p o i n t , which i s a " G - s e t " .
Let £ (z,w) be the formula (where ~ i s w,v ° . . . . , v n)

G'(z,~) :: x(e(.,~),z).

Then G ' ( z , ~ ) e x p l i c i t l y d e f i n e s the topology i n T.

Thus, assume • is s a t i s f i a b l e . Let k' be a s i m i l a r i t y type a p p r o p r i a t e f o r

s t r u c t u r e s of the form (~,a1,~2) , where ~ i s an L - s t r u c t u r e . Let X , X ' , . . .
denote set v a r i a b l e s f o r the f i r s t topology, Y , Y ' , . . . set v a r i a b l e s f o r the
second t o p o l o g y . Let T 1 (resp. T2) be a set of k~-sentences c o n t a i n i n g o n l y
set v a r i a b l e s of the f i r s t (resp. second) s o r t such t h a t

(~,~1,a2) # T i iff (~,a i ) # T .

Choose new constants C o , C 1 , . . . , set constants U o , U 1 , . . . ( f o r the f i r s t sort),

and Vo, ~ . . . . . ( f o r the second s o r t ) . The set c o n s t a n t s w i l l be i n t e r p r e t e d i n
models by open sets o f the corresponding t o p o l o g y .

Let T' be the set

T' : T1 u T2 u {c o ~ Vo} u { v w ( x ( e ( . , ~ ) , c o) ~ ~ Vz(G(z,w) ~ z ~ V o ) ) l

G(z,w) E Lww}.

Since • has a model, so does T ' . As usual one can c o n s t r u c t step by step a
sequence

T' c T" c T ' " c . . .

of c o n s i s t e n t sets such t h a t T= : : ~ 1T(n) i s a H i n i t k k a set (see 1 . 4 ) ,

n --

where i n each formula of T~ a l l set v a r i a b l e s and set c o n s t a n t s are of the

same s o r t . We arrange the c o n s t r u c t i o n i n such a way t h a t whenever we add
f o r some constant U ( : Ui ) the formula Co ~ U we also add f o r some new
c o n s t a n t c (= c m) the formulas

(2) c ~ U, ~ c ~ V .
0

This i s p o s s i b l e : namely assume t h a t

(3) {c o e U} c m(n)

has a model. We show t h a t T (n) u [c ~ U} u [~ c ¢ Vo} has a model.

 43

Otherwise

T(n) ~ c E U ~ c ~ V .
0
t
Write Tin) as the union of T1(n) and T2(n) , where T. (n) contains only set
1
variables and set constants of sort i . Then

(^T1(n) ^ c e U) ~ (^T2(n) ~ c e V )
t o
(using the compactness theorem we can replace i n f i n i t e conjunctions by f i n i t e
conjunctions). By the i n t e r p o l a t i o n theorem (see 5.3), we obtain
~(c,~) e (L u {c,~})w~ such that

Tl(n) ~ c e U ~ ~(c,c) and T2(n) k ~(c,~) ~ c e V .

t t o
Since c does not occur in T l ( n ) u T2(n), we have

(4) T (n) ~ Vz(z e U ~ @(z,E))

t
(5) T (n) F Vz(~(z,~) e z ~ V ).
t o

From (4), (3) and (I) we obtain

(6) T(n) ~ X(~(-,~),Co)-

Since {Vx(X(~(',w),c o) ~ ~ Vz(~(z,w) ~ z ~ Vo~} c T(n), we get from (5)

(7) T(n) F ~ X(~(',c),Co)-

t
By (6) and (7), T(n) has no model,a contradiction

Now, l e t (~,T1,~2) be the (weak) term model associated with the Hin~ikka set
T~. Then (~,T~) and (~,T2) are models of T. But by construction (see (2)
and (3)) of T , we know that V° is a 72-open neighborhood of c o which con-
tains no 71-open neighborhood of c o . T h e r e f o r e T 1 ~ T2 and hence, T does
not define the topology implicitIy.

7.7 Remark. Adding in the preceding proof to L' a d i s j o i n t copy of L - Lo,

will obtain:

Let T be an L t - t h e o r y and Lo c L. The following are equivalent:

(i) I f (~,~) ~ T, (~,T) ~ T and ~ L = ~r Lo, then a = T.

0
 44

(ii) There i s an ( L o ) ~ - f o r m u l a , which d e f i n e s e x p l i c i t l y the topology in T.

It is easy to d e r i v e Svenonius theorem f o r t o p o l o g i e s from 7.6 in the same

way as 7.2 was obtained from 7.1, or by a proof s i m i l a r to t h a t of the pre-
ceding theorem where we s t a r t w i t h c complete T' and get f i n a l l y a homeomor-
phism between both t o p o l o g i e s as the union of intended p a r t i a l homeomorphisms
Po c P l c .... Here Pn i s f i x e d a f t e r d e f i n i n g T (n). I t i s u s e f u l to choose
T (n) complete with respect to the language c o n t a i n i n g the f i n i t e l y many con-
stants used so f a r .

In L t a Chang-Nakkai-theorem f o r topologies holds: Given a formula ~ ( x , y , w )

l e t basis(w) be the formula

b a s i s ( ~ ) = Vx V ~ ( ~ ( x , y , ~ ) ~ 3X~ x Vz(z e X ~ ~ ( z , y , ~ ) )
A Vx v x ~ × ~ ( ~ ( × , ~ , ~ ) A V~(~(~,~,~) ~ ~ ~ X~.

Thus the f r e e v a r i a b l e s of basis(~) are among w.

7.8 Theorem. Given an k t - t h e o r y T, the f o l l o w i n g are e q u i v a l e n t :

(i) For every denumerable ~,

I { a l ~ topology on A , ( ~ , a ) ~ T]J< 2 o

(ii) For every model (~,a) of T with denumerable A,

I{~t~ topology on A , ( ~ , a ) ~t ( ~ , T ) } I < 2 o

(iii) There are a f i n i t e number o f k w-formulas ~ l ( x , y , w ) . . . . . ~ r ( X , y , w ) such

that
r
T ~t i =V 13~ b a s i s ( ~ i ) .

Sketch of proof. I t i s easy to prove the i m p l i c a t i o n s (iii) = ( i ) and

(i) = (ii).
(ii) = (iii). Suppose by c o n t r a d i c t i o n , that (iii) does not hold.

Then
T' := T u {Vw m b a s i s ( ~ ) t ~ ( x , ~ , g ) • L~]

has a model. As usual (compare [ 2 ] t [ 1 4 ] ) by a t r e e argument we c o n s t r u c t a

H i n i t k k a set leading to 2 t o p o l o g i e s . As t r e e one can choose (2~,c) (the
set of f i n i t e sequences of O's and 1's ordered by i n c l u s i o n ) . For any branch
 4S

in (2~, C), i . e . f o r = • 2=, we introduce set v a r i a b l e s X~ ,Y . . . . . For

ELt l e t ~= be obtained from ~ by r e p l a c i n g the set v a r i a b l e s by X ,Y , . . . .
We have to d i s t i n g u i s h two cases:
Case 1: There i s an L w-formula ~ ( x , y ) such t h a t

T* := T' u [ ~ 3 ~ V y ( " ~ ( . , y ) open ' ' ~ ~(y,~t~(y,~) • L~}

has a model. Here "~(.,y) open" stands f o r

Vx(~(x,~) ~ ~x~ × V z ( z ~ x ~ ~(z,~))).

Then the c o n s t r u c t i o n i s arranged i n such a way t h a t f o r any d i s t i n c t branches

~,B e 2~ there are constants ~ such t h a t the formulas

"~(.,c) open''~ and ~ "~(.,~) open''~

belong to the Hintikka set (use the interpolation theorem).

Case 2. For every ~(x,y) • L ~ there is an L - f o r m u l a , which we denote by

* f ( y , ~ ) , such t h a t

T' ~ 3~ Vy("~(.,y) open'' ~ ~@(y,~)).

t
Similarly as in the proof of the consistency of @ in 7.6 one can show that
f o r new constans

@* := T' u [x ( X A V~("~(.,~) open' ' ~ ~@(y,c))}

u {Vy(~(x,y) ^ ~(y,~) ~ n Vz(~(z,y) ~ z (X))l@(x,y) ( Lwm}

has a model. When c o n s t r u c t i n g the H i n t i k k a set we handle any two d i f f e r e n t

branches of the t r e e s i m i l a r l y as i n d i c a t e d a f t e r 7.6 f o r the analogue of
Svenonius'theorem.

It i s not d i f f i c u l t for k to d e r i v e from Chang-Makkai's theorem the d e f i -

nability theorems of Beth, Svenonius, Kueker, . . . . We demonstrate t h i s method
f o r kt, d e r i v i n g from 7.8 Svenonius'theorem f o r t o p o l o g i e s and then sketch a
proof of Kuekers theorem f o r t o p o l o g i e s .

We introduce some n o t a t i o n . We w r i t e ~ ~ @ i f ~ and @ are n-isomorphic ( i n

n
the a l g e b r a i c sense). For a e A , ~ denotes the n-lsomorphism type of a in
(cf. [ 6 ] ) . - For ~ ( x , y , w ) e k and any a e A l e t ~0~(-,-,a) be the set of a l l
subsets ~ ( - , ~ , a ) of A, where b e A.
 46

7.9 Theorem. Let T be an L t - t h e o r y . Then the following are equivalent:

(i) For every model (~,a) of T,

I{~I~ topology on A,(9/,~) t (9/,~)}1 = 1 .

(ii) There are f i n i t e l y many kww-formulas ~ l ( x , y ) . . . . , ¢ r ( X , y ) e k such

that
r
T #t i V= 1 b a s i s ( ~ i )

Proof. Suppose that ( i ) holds. Using a compactness argument we may assume

that L is f i n i t e . By 7.8 there are ~01(x,y,5) . . . . . q0r(x,y,w) such that
r
(1) T ~ i V= I 3w basis (~oi).

We show that
for each i = 1 , . . . , r there is an n. such that for any (~,~) ~ T,
1
(2) any a,b • A, we have

if ~ = ~i~(.,-,~) and (~'a) ~n. (~,5),

1
then

~i~(.,-,~) : ~i~(.,-,E) .
Otherwise, applying the compactness theorem and the L~wenheim-Skolem theorem
as in the convergence lemma, we obtain a model (~,a) of T and a,G e A such
that

~ = ~ o i~/( -, - ,~), (~/,~) ~ (9/,E), say ~: (9/,~) ~ (9/,E) and

~i ("-'~) ~ ~i (.,-,5) .

But then, ~: (~/,o) =t (9/,%oi9/(.,_,E)) and o' ~ ~0i

~( .,-,~), contrary to (i).

By (1) and (2) we obtain

n.
T ~t i V ] rbasis(3w(~i("-'w) ^ ~- I(~))).
,oo. O

~/ and a • A
arbitrary

7.10 Theorem. Let T be an L t - t h e o r y and l e t n ~ 1. Then the following are

equivalent:
 47

(i) For every s t r u c t u r e ~,

I{~I~ t o p o l o g y on A,(~,O) ~ T]I ~ n.

(ii) There ore L ~x~- f o r m u l a s X(v I , . . . ,v k) and ~ i ( x , y -, v l , . . ,Vk)

. ., 1 < i ~ n
such that T ~ 3v1...v k X(v I . . . . . Vk) and
t

T ~ VVl...Vk(X~ 1 ~ Vi ~ n b a s i s ( e l ) )

P r o o f . The implication (ii) = (i) is easy to v e r i f y . (i) = (ii). Assume

that (i) holds. By an easy compactness argument, we may assume t h a t L i s
finite and t h a t T = [ ~ ] . 7.8 t e l l s us t h a t There are ~ l ( x , y , ~ ) . . . . . ~ r ( X , y , ~ )
such t h a t

V
(1) ~ 1 ~ i ~ r 3w b a s i s ( ~ i ) .

One can prove that

f o r each i = 1 , . . . , r t h e r e i s an n. such t h a t f o r any (W,a) F

1

(2) and any s t r u c t u r e

~( . , - , a )
if a e A,E e B , ( ~ , a ) n. (@,E) and a = ~ i
1

then (m,~.m(.,~,E))
1
~ m.

Now, f i x any l i n e a r o r d e r i n g on A = {1 . . . . . r } x {1 . . . . , n } . Choose as X i n

(ii) a formula y(w 1. . . . . Wn) e x p r e s s i n g
~i(.,-,w) ~i(',-,w)
" given i e [1, . . . . r } and any w, i f has and

then f o r some (j,l) e A, ~i(-,-,w) : ~(.,-,Wl ) "

Let @ i ( x , y , w l . . . . . Wn) be a formula e x p r e s s i n g

" for all (k,1) e A, i f (k, 1) i s The member i n the o r d e r i n g of A

l e a d i n g to the i - t h distinct t o p o l o g y which i s a model of ~, then

• k(x,y,wl ).

Suppose That L resp. L' is a similarity type appropriate for structures

(~,~) resp. (~,o,~). Suppose that T is an L t! -theory that defines impli-
citly the second topology, i.e.
 48

if (~,~,~)~ T and (~,~,T 2) k T then ~1 = ~2"

Later on we w i l l show t h a t in general the second topology i s not d e f i n a b l e

in T by an k t - f o r m u l a (com~re a l s o S . 8 . 6 ) . But there are also some p o s i t i v e
r e s u l t s i n t h i s case

Ca) I f T defines i m p l i c i t l y the second topology~then there i s a T~ c k t such

that for all (~,a),

(~,a) ~ T~ iff (~,a,~) ~ T f o r some topology ~.

(b) Let k ( i ) be the l o g i c f o r t o p o l o g i c a l s t r u c t u r e s (~,a) obtained from

kww adding a new formation r u l e f o r the l o g i c a l symbol I :

if ~ i s o formula, then I t x ~ i s o formula

(x i s a bounded v a r i a b l e of I t x ~ ) and adding the f o l l o w i n g clause i n the de-

finition of the s a t i s f a c t i o n r e l a t i o n (assume ~ = ~0(x,y) t = t ( y ) )

(~L,e) ~ I t x ~ [ ~ ] iff t ~ [ ~ ] i s an i n t e r i o r point of { b t ( ~ , a ) ~ ~0[b,a~.

Let L ( I ) t be a language f o r s t r u c t u r e s (~I,a,~) (~,~ being topologies on A)

having the symbol I f o r the f i r s t topology and the usual second-order q u a n t i -
f i e r s of k t f o r the second topology. I f T defines i m p l i c i t I v t h e second t o -
pology, then some ~0(x,~) E k ( I ) explicitly defines t h i s topology in T.

§ 8 Lindstr~ms theorem and r e l a t e d l o g i c s .

F i r s t we prove a LindstrSm theorem f o r Lt, i.e. we show t h a t there i s no

l o g i c f o r t o p o l o g i c a l s t r u c t u r e s stronger then Lt, which s a t i s f i e s a com-
pactness theorem and a LSwenheim-Skolem theorem. Then we introduce languages
f o r uniform s t r u c t u r e s , f o r p r o x i m i t y spaces and f o r monotone s t r u c t u r e s and
study t h e i r r e l a t i o n s .

Since f o r t o p o l o g i c a l s t r u c t u r e s the d e f i n i t i o n s of a l o g i c , of the compact-

ness p r o p e r t y , . ° , are the t r i v i a l extensions of the corresponding notions
f o r " c l a s s i c a l " model theory, we sketch them b r i e f l y .

A logic ~ for topological structures is a pair (~,~), where ~ i s u f u n c t i o n

which associates to any many-sorted s i m i l a r i t y type L a class L~ - the class
of L-sentences of ~; and ~ is a binary relation: if ~ , then f o r some
 4g

L, ~ i s a t o p o l o g i c a l L-structure and ~ ~ L~. We then say • i s a model of

~. We assume t h a t ~ s a t i s f i e s some basic p r o p e r t i e s ( e . g . homeomorphic
s t r u c t u r e s are models of the same ~-sentences, ~ has a renaming property,
is closed under Boolean operations . . . . ).
Let ~ t be the l o g i c f o r t o p o l o g i c a l s t r u c t u r e s given by the language L t .
F u r t h e r examples of l o g i c s are given by k2,(kwlw) t , k t ( Q ) .

We say t h a t ~ s a t i s f i e s the compactness theorem, i f any set of_~--sentences

has a model whenever each f i n i t e subset does. ~ s a t i s f i e s the L~wenheim-
Skalem theorem, i f any denumerable set of _~-sentences, t h a t i s s a t i s f i a b l e ,
hasamodel in which a l l universes are denumerable and a l l topologies have
a denumerable basis.

Given l o g i c s ~1 and ~2 f o r t o p o l o g i c a l structures, we say t h a t ~1 is as

strong as ~2' and w r i t e ~1 ~ 2 ' if f o r every ~2-sentence there i s an ~ l -
sentence w i t h the same models. We say t h a t ~1 i s stronger than ~2' i f

~1 ~ ~2 but not ~ 2 ~ ~1"

8.1 Theorem. Let ~ be a l o g i c f o r t o p o l o g i c a l structures with ~ ~ ~t" If

satisfies the compactness theorem and the k~wenheim-Skolem theorem, then
is not stronger than ~ t "

Proof. The proof is e s s e n t i a l l y the same as the proof of kindstr~ms theorem

f o r kww, so t h a t we only sketch the main points of i t .

For ~ e k ~ w e have to show t h a t there is a × e k t with the same models. For

simplicity assume t h a t k is one-sorted. By an a p p l i c a t i o n of the compactness
theorem f o r ~ one can assume t h a t ~ i s ( e s s e n t i a l l y ) an k~-sentence f o r
some f i n i t e L.

Recall t h a t £n 4.5 and 4.11 we defined set, of sentences

o c ~1 c . . . and ~ p = n ~U o n

such t h a t
f o r some...,
(~1,~1) ~tn (~2,~2) iff ((~1,T1) ' (~2,~2), "" •-~ ~ ~ n

f o r some. . . .
(~I,~i) ~tP (~2, T2) iff ((~1,~1),(~2,~2) .... ) ~ ~p

For n ~ 0 put
 SO

~n n
: v{~(~,o)l(~,~) ~ ~}
n
( f o r the d e f i n i t i o n of ~(~,~) see section 4).

Since ~ ~ ~n and ~ ~n+l ~ ~n, i t s u f f i c e s to show t h a t

Thus, assume (~,T) i s a model of [~nln e w}. Then, f o r each n • ® , t h e r e i s

a substructure (~n,an) such t h a t

(~n,an) k ~ and (~n,an) ~tn (g'~) "

Hence fo= each n and some . . .

' "'" n

If (~,~) i s not a model of ~, then we f i n d , using the compactness theorem

and the L~wenheim-Skolem theorem f o r ~, structures (~*,a*) and (~*,o*)
such t h a t

(1) ((~*,a*),(~*,~*) .... ) ~

P
(2) ( ~ * , ~ * ) ~ ~, ( ~ * , ~ * ) i s a model of the negation of ~.

(3) A* and B~ are denumerable and a* and T~ have denumerable bases.

By (1), (~*,a*) and ( ~ * , ~ * ) are p a r t i a l l y homeomozphic and hence by (3),

homeomorphic, but t h i s c o n t r a d i c t s (2).

8.2 Remarks and e x e r c i s e s .

1) Note t h a t the proof e s s e n t i a l l y contains the argumen~of the proof of the

convergence 4.16 ( t h e r e we d i d n ' t need the sets ~n und ~p, since each de-
numerable set of kt-sentences has a denumerable r e c u r s i v e l y saturated model
and so we could apply 4 . 7 ) . Some consequences of the convergence lemma may
be viewed as a p p l i c a t i o n s of 8.1, e . g . : l e t ~ be the l o g i c f o r t o p o l o g i c a l
s t r u c t u r e s having as L-sentences the set of k2-sentences i n v a r i a n t f o r topo-
logies. Since ~ ~ ~t and ~ satisfies the compactness theorem and the
kSwenheim-Skolem theorem, we o b t a i n from 8.1: each k2-sentence i n v a r i a n t
f o r t o p o l o g i e s i s e q u i v a l e n t to an k t - s e n t e n c e (see 4 . t 9 ) . Similarly one
can d e r i v e the k t - i n t e r p o l a t i o n theorem using a more c a r e f u l f o r m u l a t i o n of
 $1

8.1°

2) Let ~ be a logic with ~ ~ ~ t " Suppose that each denumerable set o f _ ~

sentences has a model in which a l l universes are denumerable (but nothing
is required of the t o p o l o g i e s ! ) . Show that ~ s a t i s f i e s the k~wenheim-Skolem
theorem (compare the hint in 4.5).

3) Call a weak s t r u c t u r e (~,~) closed [ f a = ~, i . e . i f a is closed under

unions. S i m i l a r l y for many-sorted weak s t r u c t u r e s . Let • be any f i x e d set
of kt-sentences f o r L : ~ . We r e s t r i c t to many-sorted closed structures,
where a l l sorts are modeh of ~, and look at logics for t h i s class of s t r u c -
tures. Once more denote by ~ t t h e logic induced by the language L t . Prove
the analogue of 8.1, i . e . show that there is no logic for closed models of
• stronger than ~t and s t i l l s a t i s f y i n g the compactness theorem and the
k~wenheim-Skolem theorem,- For ~ = {has} we obtain 8.1, for • = {disc} this
is e s s e n t i a l l y kindstrSmstheorem for kww. For • = @ we obtain that ~t is
a "maximal" logic f o r closed s t r u c t u r e s and f o r • = {haus} we get that ~ t
is also maximal i f we r e s t r i c t to t o p o l o g i c a l structures carrying Hausdorff
topologies.

4) Show that there are logics ~ for t o p o l o g i c a l structures s a t i s f y i n g the

compactness theorem and the LSwenheim-Skolem theorem and such that n e i t h e r
~ ~t nor ~t~ ~. Hint: Let ~ be the logic having for any k,k t as set of
L-sentences of ~, and where

I(~,a) ~ ~ , i f A is i n f i n i t e
C~,o) iff
[(~,{A-UIU e ~}) ~ ~ , i f A is f i n i t e
t
/and s i m i l a r l y for many-sorted s t r u c t u r e s ) .

Show that the~--sentence Vx(Px ~ 3X~ x Vy(y e X ~ Py/) is not equivalent to

an kt-sentence. Show that also for ~ a Lindstr~m theorem holds.

We introduce now a language appropriate for the so c a l l e d monotone s t r u c -

tures. This language for example is useful for the study of uniform spaces
and for the study of such t o p o l o g i c a l structures, where the topology is
determined by the set of neighborhoods of some fixed point (e.g. t o p o l o g i c a l
groups, f i e l d s ....... ).
 52

Assume t h r o u g h o u t t h a t k i s a f i x e d n a t u r a l number ~1. Given a set A, we

call a non-empty set ~ of subsets of Ak, ~ c p(Ak), a monotone system, i f

B e ~ and B c C c Ak imply C e ~.

Given a non-empty set ~ c p(Ak), let

= [CtB c C c Ak f o r some B e ~].

Clearly, ~ i s the l e a s t monotone system c o n t a i n i n g ~.

(~,~) i s c a l l e d a monotone L - s t r u c t u r e , i f ~ i s on L - s t r u c t u r e and N i s a

monotone system. (~,p),(@,u) will always be monotone s t r u c t u r e ~ .

8.3 Examples. (i) (k = 2) If ~ is a uniformity on A (i.e. if (A,~) is a

uniform space), then (A,p) is a monotone structure. (ii) (k = 1) If (W.,a)
i s o t o p o l o g i c a l group and p~ i s the set of neighborhoods o f the u n i t i n
~, then (~,pa) i s a monotone s t r u c t u r e .
k
Let L 2 be the second-order l o g i c d e f i n e d as k2, the set v a r i a b l e s Wo,W1 . . . .
k
now being v a r i a b l e s f o r k - a r y r e l a t i o n s . Thus k 2 has besides the atomic
formulas of kmw the atomic formulas ( t 1 , . . . , t k ) e X. Sometimes we w r i t e
Xtl...t k for ( t 1. . . . . t k ) E X.
k
8.4 Definition. An L2-sentence is called invariant (more precisely, invari-
ant for monotone structures),~for any (W,~) we have

(~,B) ~ ~ iff (~,~) ~ ~ .

k
Thus, when restricting to monotone structures and invariont L2-sentences ,
the compactness theorem and the L6wenheim-Skolem theorem hold.
k
We denote by L k the set of L2-formulas obtained from the atomic formulas
m
by the formation rules of L ~ W and the rules:

(i) If ~ is positive in X, then VX~ is a formula.

(ii) If ~ is negative in X, then 3X~ is o formula.

For example, the class of structures (~,p) where p is a uniformity an A is

2
the class of monotone models of the following set @u of L2-sentences:

• = {VX Vx Xxx,VX VY 3Z Vx Vy(Zxy ~ (Xxy ^ Yxy)),

YX 3Y Vx Vy Vz(Yyx ^ Yyz ~ Xxz)}.

One shows by i n d u c t i o n (compare 2.3)

 53

8.5 Lemma. Every Lk-sentence i s i n v a r i a n t f o r monotone s t r u c t u r e s . The con-

m
verse o f 8.5 i s o b t a i n e d i n the same way as the c o r r e s p o n d i n g r e s u l t f o r Lt
i n s e c t i o n 4:
k
Note t h a t ~ e k 2 i s invarian% i f f it i s preserved under the r e l a t i o n M,
where

(~,@)M(@,?) iff ( ~ , ~ ) and (@,~) are isomorphic.

In p a r t i c u l a r , we have ( f o r k = 1)
o 1 2
(~,~)M(~,?) iff t h e r e are a map ~ and r e l a t i o n s ~ ,~ ,
1 2
,~ c ~ x 7 such t h a t (1), (2) as f o r m u l a t e d
a t the b e g i n n i n g of § 4 hold and
(3) f o r every V • Y t h e r e i s some U e ~ w i t h U 1 V
(4) f o r every U e ~ t h e r e i s some V • ? w i t h U n 2

Now i t should be c l e a r how one can d e f i n e the n o t i o n of p a r t i a l isomorphism,

the back and f o r t h p r o p e r t i e s . , and how one can d e r i v e f o r L k the r e s u l t s
c o r r e s p o n d i n g to those o f § 4 - § 7. I n p a r t i c u l a r , s i n c e the formulas de-
fining the f i n i t e a p p r o x i m a t i o n s of the r e l a t i o n M are k k - f o r m u l a s , one
m
obtains:
k
8.6 Theorem. Each k2-sentence i n v a r i a n t f o r monotone s t r u c t u r e s i s e q u i v a -
- - -- -k
l e n t to an k - s e n t e n c e . - More g e n e r a l l y : Let • c k k. I f ~ i s i n v a r i a n t f o r
m m
models of @ ( i . e . i f (~,~) ~ ~ implies ((~,~) ~ ~ iff (~,~) ~ ~ , then
@k ~ ~ ~ f o r some ~ • L k.
m
8.7 Theorem. Let @ be a set o f kk-sentences. We r e s t r i c t to monotone s t r u c -
m
t u r e s t h a t are models of @. Then t h e r e i s no l o g i c f o r t h i s c l a s s of s t r u c -
t u r e s s t r o n g e r than k k and s t i l l satisfying the compactness theorem and the
m
LSwenheim-Skolem theorem.

8.8 Remarksf examp!es and e x e r c i s e s .

1) (Uniform spaces) a) Taking ~ (the set of k2-sentenceSm axiomatizing

uniform structures, see above) as • i n 8.6 and 8.7, we see t h a t the i n v a r i a n t
sentences f o r u n i f o r m s t r u c t u r e s are - up to the e q u i v a l e n c e - the k2-senten -
m
ces and t h a t L 2 i s a "maximal" l o g i c f o r u n i f o r m s t r u c t u r e s .
m
b) Given a uniform structure (@,~) denote by T the topology induced by ~.
 $4

Show t h a t f o r any ~ • L t t h e r e i s a ~ • L2m such t h a t f o r any u n i f o r m s t r u c -

ture (~,~),
(~,~) ~ ~ iff (~,T) ~ ~ .

Show t h a t t h e r e are u n i f o r m s t r u c t u r e s
( ~ , ~ 1 ) and (~,~2) with discrete
2
= ¢ but not s a t i s f y i n g the same k - s e n t e n c e s .
~1 ~2 m

2) Given any t o p o l o g i c a l group ( ~ , ~ ) denote by ~a the monotone system on A

(for k = 1) c o n s i s t i n g o f the neighborhoods o f the u n i t i n ~. Show t h a t for
any ~ e L t t h e r e i s a ~' • L and t h a t f o r any ~ e L t h e r e i s a $' e Lt
m m
such t h a t f o r any t o p o l o g i c a l group

(~,~) ~ ~ iff (~,~a) ~ ~'

and
(8, a) ~ ~' iff (~,~a) ~ t .

3) ("The c l a s s o f t o p o l o g i c a l structures form~a d e f i n a b l e c l a s s o f montone

structures".) Given a t o p o l o g y a on A l e t a* be the monotone system on A x A
(i.e. k = 2) generated by

{{o}xUla •A,U•o and o • U } .

Since V i s a neighborhood of a i f f [ a } x V E ~*, we have:

a) I f ~ and ~ are t o p o l o g i e s on A w i t h ~* = ~*, then ~ = ~.
b) There i s a sentence tOP • L2 ( f o r L = 0 ) such t h a t f o r any monotone
m
structure (~,~),

( ~ , ~ ) ~ top iff ~ = ~* f o r some t o p o l o g y a on A.

c) For any ~ • k2m t h e r e i s a ~ • k t such t h a t f o r any t o p o l o g i c a l structure

(~,~),
(S,a) k ~ iff (~,o*) ~ ; .

d) For any ~ e L t t h e r e i s a ~ • L 2 such t h a t f o r any t o p o l o g i c a l structure

m
(~,a),
(~,~) k ~ iff (~,o*) ~ ~ .

To show c r e s p . d r e p l a c e set q u a n t i f i e r s i n ~ as i n d i c a t e d by

3X...Xtlt 2 ---~ 3x 3 X ~ x . . . t 1 = x ^ t2 • X ---

resp.

3X~t...t 1 • X ---~-~ 3X(Vx Vz(Xxz ~ x : t ) ^...Xtt I --- ).

 5S

4) Since Lk contains only "unbounded" q u a n t i f i e r s on set v a r i a b l e s , i t i s

m
sometimes e a s i e r to deal w i t h L k than w i t h k t . In many cases one can then
m
t r a n s l a t e the r e s u l t to L t using c and d of the preceding remark. As an
example we sketch a s y n t a c t i c proof of the i n t e r p o l a t i o n
theorem f o r kk:
m
For s i m p l i c i t y take k = 1 and w r i t e k f o r L 1. For a countable set C of
m m
new constants and a countable set U of new set constants l e t L(C,U) 2 be de-
f i n e d as in 1.4 and denote by L(C,U) m the set of "monotone" formulas of
L(C,U) 2. A sequent S is a finite set of k(C,U)2-sentences i n negation nor-
mal form. We say t h a t a sequent S1 i s v a l i d ,and w r i t e ~ S1 i f ~ VS1, i . e .
if any weak s t r u c t u r e i s a model of at l e a s t one sentence in S1. We say t h a t
S1 i s d e r i v a b l e and w r i t e p $1, i f S 1 i s d e r i v a b l e using the f o l l o w i n g
axioms and r u l e s :

Axioms: S,~,m~ where ~ i s atomic (and S , ~ , ~ denotes the sequent

S u {~} u{~ ~}).

Rules: (^) S,cp (v) StcP St~

S, ~ S, (qo v ~,~ S, (qo v ~)
s,'I'b ^
c U
(Vx) (vx) s, Y
S,Vx~ S,VX~

where c resp. ~ does not occur in the conclusion

c U
s, Y
S,3x'cp S,3X~
(=2) S,~ f c l " " C n = c where c does not
(=1) S,~ c = c S occur i n S, f C l . . . c n
S
C
where @ i s atomic or the negation o f an
(=3) S'~Xt atomic formula,and t i s a basic term.
S,¢rc..,~^ t = c

a) Prove the completness theorem, i . e . show t h a t f o r any sequent 5,

p S iff ~ S.

b) Suppose t h a t S1 and S2 are sequents and t h a t Si c Li(c,~)m for

i = 1,2. Let L° = k 1 n k 2. Give a s y n t a c t i c proof ( i . e . a proof on induc-
t i o n on the length of the d e r i v a t i o n of k S1,S 2) of the f o l l o w i n g :
 56

If ~ S1,S 2, then there is a X ~ L°(C,U) m such that

(i) ~ Sl,x and ~ $2, ~ X

(ii) if U ~ U occurs n e g a t i v e l y in X, then U occurs p o s i t i v e l y in S 1,

i f U E U occurs p o s i t i v e l y in X, then U occurs p o s i t i v e l y in S2.

From this derive the interpolation theorem for L .

m

c) Generalize a and b to many-sorted languages, thus obtaining, as indicated

in 5.2, a syntactic proof of the fact that the L2-sentences invarian% for
monotone structures are the L -sentences.
m
d) From b and c derive, using c and d of the preceding remark 8.8.3,the in-
terpolation theorem for L t and the characterization of L t as set of L2-sen-
fences invariant for topologies. - Considering an axiomatization with ap-
propriate rules for bounded quantifiers(similar to that in [4 ]), it is
possible to give a direct syntactic proof of these results for L t.

5) The "natural" generalization to L (= L]) of the Chang-Hakkai theorem

m m
for relations does not hold, i.e. there is an (L u {R])m-theory T such that

(i) for any denumerable L-structure (W,p) (i.e. A is denumerable and

has a denumerable basis) the set {RAI((~,RA),~)~ T] is at most countable.

(ii) t h e r e i s no f i n i t e set of Lm-formulas ~ l ( x , y ) . . . . . ~r(X,y) such t h a t

r
T k i ~ 1 3y Vx(Rx " ~i(x,y)).

Take as T the {R]m-theory saying that R is a minimal set of the monotone

system, i.e.
T = {3X Yx(Xx ~ Rx),VX Vy(Ry ~ Xy)] .

Clearly T satisfies (i). To show t h a t ( i i ) holds take as ~ a monotone

system on N generated by a set of ~l-many pairwise incomparable subsets of
N.
6) Look at s t r u c t u r e s (~,~1,~2) where ~1 and ~2 are monotone systems on
A (for symplicity assume k = 1, i . e . ~1,~2 c P(A)). Let km be the c o r r e s -
ponding "monotone" language. Let X , X 1 , . . . denote set v a r i a b l e s of the f i r ~
sort, Y'YI'"" set v a r i a b l e s of the second s o r t . Suppose ~ ( x ) i s an Lm-
formula c o n t a i n i n g only set v a r i a b l e s of the f i r s t s o r t . Assume t h a t ~ has
the form ~ m 4, where fi is a p r e f i x (possibly containing individual and set
 $7

v a r i a b l e s ) and ~ i s an L - f o r m u l a .
m

Suppose T i s an L - t h e o r y such t h a t
m
T ~ VY ~ Vx(~ e x e y) and T ~ ~ VY 3 x ( x e y ^ ~ ~).

Show: a) T defines i m p l i c i t the second monotone system, namely i f

(W, p l , P 2 ) ~ T then P2 = { B I ( ~ ' P l ) h ~ Vx(@ ~ x e B ) ] .

b) There i s a set T* of k -sentences c o n t a i n i n g only set v a r i a b l e s of the

m
first s o r t such t h a t f o r a l l (~,~)

(~,~) ~ T " iff (~,~,u) p T f o r some u .

Show t h a t the " n a t u r a l " g e n e r a l i z a t i o n to L t of the Chang-Makkai theorem

f o r r e l a t i o n s does not hold. ( H i n t : Look a t s t r u c t u r e s ( ~ , p l , p 2 ) where
Plc A2 and P2 c A are monotone systems, Pl i s closed under i n t e r s e c t i o n s
and P2 = { B I ( ~ ' P l ) ~ VX 3y Vx(~ Uxy ~ x e B)]), and we use b and 5).

7) G e n e r a l i z i n g t o p o l o g i c a l and monotone s t r u c t u r e s , look at s t r u c t u r e s

t h a t have attached to each p o i n t of i t s universe o monotone system, i . e .
s t r u c t u r e s (~,X) where X i s o f u n c t i o n defined on A, and f o r each a e A,
k(a) i s a monotone system on A ( i . e . k(a) c P(A) and X(a) i s monotone).
We c a l l s u c h structures point-monotone s t r u c t u r e s .
If (~,a) i s a t o p o l o g i c a l s t r u c t u r e , let (~,k) be the point-monotone s t r u c -
t u r e defined by

X (a) = [BIB i s a neighborhood of a } .

I f ~ i s an L - s t r u c t u r e and < e L, l e t ( ~ , k A ) be the point-monotone s t r u c -

t u r e given by

k A(a) = [ B l [ b l b <Aa] c B c A].

The language L2. f o r point-monotone s t r u c t u r e s i s b u i l t w i t h the same sym-

bols as k 2. k 2 . - f o r m u l a s beginning w i t h set q u a n t i f i e r s are obtained by the
rule:

i f ~ i s a formula, X a set v a r i a b l e and 1 a term, then

VX(t)~ and 3X(t)~ are formulas.

Define
 58

(~,X) b VX(t) ~(X) iff (~,~ ~[B] for a l l B e X(t~),

and do similarly for 3X(t) ~(X).

D e f i n e the n o t i o n of an L 2 . - s e n t e n c e i n v a r i a n t f o r point-monotone s t r u c t u r e s .
Let Lpm be the set of L 2 . - f o r m u l a s c o n t a i n i n g a q u a n t i f i e r VX(t) ~(X) (resp.
3X(t) ~(X)) only if ~ is positive i n X ( r e s p . ~ i s n e g a t i v e i n X).

a) Show w i t h the corresponding back and f o r t h t e c h n i q u e t h a t the i n v a r i a n t

k 2 . - s e n t e n c e s are, up to e q u i v a l e n c e , the kpm-Sentences.

C a l l (@,X') an e x t e n s i o n of ( ~ , X ) , if ~ c ~ and f o r any a e A,

k(a) = { A ~ C1C e ~ ' ( a ) ] . If f u r t h e r m o r e k(a) c X ' ( a ) for all a e A, then
(B,k') i s c a l l e d an open e x t e n s i o n of ( ~ , k ) . Show

b) I f (~,a) and (@,T) are t o p o l o g i c a l s t r u c t u r e s , then

(~,k T) is an open extension of ( ~ , k ) iff (@,T) is an open

extension of (~,~ in the sense of § 5.

I f ~ and @ are L - s t r u c t u r e s and < e L, then

(~,k B) i s an open e x t e n s i o n o f ( ~ , k A) iff @ i s an e n d - e x t e n s i o n

<
o f ~.

c) Let T be a set of L -sentences. If ~ e L i s closed under open e x t e n -

pm pm
s i o n s , when r e s t r i c t i n g to models of T, then t h e r e i s a ~ e k i n negation
pm
normal form such t h a t T k ~ - ~ and any subformula of ~ b e g i n n i n g w i t h a
universally q u a n t i f i e d v a r i a b l e has the form V x ( x e y ~ ~).

d) Let T be an L - t h e o r y and assume < e L. Suppose t h a t ~ e Lww i s closed

o ~w
under e n d - e x t e n s i o n s f o r models of T . Choose T c k such t h a t
o pm
(~,A~ ~ T iff ~ ~ T and ~= k
O <
A"

Then ~ i s closed under open e x t e n s i o n s f o r models of T. Choose ~ e L as

pm
i n c, i . e . T k ~ ~ $,~ i s i n n e g a t i o n normal form and has o n l y bounded
universal quantifiers on i n d i v i d u a l variables. Let ~ be the L ww-sentence
o b t a i n e d from ~ r e p l a c i n g set q u a n t i f i e r s as i n d i c a t e d by

VX(t)... t' e X --- ~ ... t' < t ---

3X(t)... t' e X--- ~ ... t' < t ....

 sg

Then ~ is r e s t r i c t e d existential and T = ~ ~ ~.

o
e) S i m i l a r l y derive from c the r e s u l t 5.12 for sentences ~ ~ L t preserved
by open extensions.

8) (Proximity-spaces) [¢6] (A,5) is called a proximity space if A is a

non-empty set and 6 is a binary r e l a t i o n on P(A), i . e . 6 c P(A) x P(A),
satisfying (i) - (vi): we w r i t e B6C for (B,C) E 6 and B~C for (B,C) ¢ 6;
read BSC (resp. B~C) as"8 and C are d i s t a n t " (resp. "B and C are proximate")

(i) i f B6C then CSB

(ii) i f BSC and B' c B then B'6C
(iii) i f B15C and B2bC then B1 u B26C
(iv) for every a ~ A, [ a ] ~ [ a ]
iv) ~6A
(vi) i f BSC then there are B',C' such t h a t B c B', C c C', B ' n C' =¢
and B6(A - B') and (A-C')6C.

Call (~,6) a proximity structure if (A,6) is a proximity space.

Given an a r b i t r a r y non-empty 6 c P(A) x P(A), denote by ~ the set

= {(B,C) IB c B' and C c C' f o r some ( B ' , C ' ) E 6}.

If (A,6) i s a proximity space then, by ( i ) and ( i i ) , 6 = S.

We introduce a second-order language L2o appropriate for s t r u c t u r e s (~,6).

This language contains,besides the i n d i v i d u a l variables,the " p a i r s " of se-
cond-order variables (Wll,W21),(W12,W22) . . . . We denote them by (XI,X2),
(Y1,Y2), . . . . Besides the L w-atomic formulas we have in L2o for any term t
and any v a r i a b l e (X1,X 2) the atomic formulas t E X1 and % ~ X2. k2o is
closed under the formation rules of k and:
ww
i f ~ is a formula then V(X1,X 2) ~ and 3(X1,X 2) ~ are formulas.

Let prox be the conjunction of the following L -sentences:

2°

~(i) = V(XI,X2) 3(yi,Y2) (-X 2 c YI" ^ "XI c y2" ) .

~(iii) = V(XI,X2) ¥(YI,Y2) 3(Z1,Z 2) ("X I u YI c Z1" ^ "X 2 n Y2 c Z2- )

~(iv) = V(XI,X 2) Vx(m x ~ X I v ~ x ~ X2)

 60

~(v) = 3(X1,X2) Vx x ~ X2

~(vi) = V(X1'X2) ~(YI'Y2 ) ~(ZI'Z2)(Vx(x (Y2 v x ~ Z2) A "X1 c YI"

^ "X 2 c Z2").

a) Show:
For any (~,8) we have

(W,~) ~ prox iff (~,~) is a proximity s t r u c t u r e .

Let Lp be the set of k2o-formulas containing a q u a n t i f i e r V(XlrX2)~ (resp.

3(X1,X2)~) only i f ~ i s negative in X1 and X2 (resp. ~ i s postive in X1
and X2~. Show:
b) prox "is"
an L -sentence.
P
c) k -sentences are i n v a r i a n t , i . e . i f ~ ~ k then for any (~,6),
p P
(~,6) ~ ~ iff (~,~) ~ ~.

d) When restricting to proximity structures, L is a logic satisfying the

P
compactness and the L6wenheim-Skolem theorem.

In the following we restrict us to structures (W,l) with (~,A) E 5 and

(A,~) E 8. - Given (A,8) let B8 c P(A 2) be the system of sets
B6 = {A~- BxCIB6C}. Show

e) For any (A,81),(A,62) ,

~1 = ~2 iff ~61 = '~82 (where ~ i is the monotone system on A2

generated by 86).
i
f) Let ~ be the L2-sentence
o m

VX ~Y Vx V~(3~ ~ Xxu ^ 3v ~ Xvy) ~ ~ Yxy).

Then, for any monotone s t r u c t u r e (~,~),

(~/,~) ~ ~0o iff ~ = ~6 for some 6 c P(A) x P(A).

m ~p
g) For any cp ~ L (resp. ~ ~ k m) there is a ~ ~ k m (resp. ~ kp) such
P
that for any (~/,8),
iff (~/'~6 ) ~ ~ m and

(~,~) k ~P iff (~l,~6) k ~-

 61

In p a r t i c u l a r , the class of monotone s t r u c t u r e s which are a model of

m .
~o ^ prox zs

{(U,~A~)I(~,6) a p r o x i m i t y s t r u c t u r e } .

h) Using f and g and the corresponding r e s u l t s f o r L show t h a t the i n t e r -

m
p o l a t i o n theorem holds f o r Lp,and when r e s t r i c t i n g to p r o x i m i t y s t r u c t u r e s ,
that k i s a maximal l o g i c s a t i s f y i n g the compactness theorem and the k6wen-
P
heim-Skolem theorem. In p a r t i c u l a r , the i n v a r i a n t L -sentences are, up to
2°
equivalence, the k -sentences.
P
i ) Given a p r o x i m i t y space (A,6) denote by a 6 the topology induced by 6.
Show t h a t f o r any ~ ( k t there i s a ~ E L such t h a t f o r a l l proximity
p
s t r u c t u r e s (~,~),

(~,6) ~ ~ iff (~,~6) ~ ~ .

§ 9 O m i t t i n g types theorem

I f T i s a complete Lww-theory with denumerable L and @(x) -- { ~ i ( x ) l i E w}

i s a type of T, then the o m i t t i n g types theorem f o r k tells us t h a t @ i s
uJ~j
r e a l i z e d in each model of T i f f there i s some ¢(x) such t h a t

(*) T ~ 3x ~(x) and T ~ Vx(~(x) ~ @i(x)} for e l l i • w.

We show t h a t in case T and • consist of L t - f o r m u i ~ s , we cannot f i n d , in

general, a ~ in k t satisfying (*), i.e. the o m i t t i n g types theorem does
not g e n e r a l i z e to kt.Then we prove an o m i t t i n g types theorem f o r the f r a g -
ment L ( I ) (see § . 7 ) of k t -

One method to get a model of T o m i t t i n g a type • consists in enlarging step

by step T to a H i n t i k k a set ~ in such a gay t h a t ~ contains f o r each con-
C
s t a n t c • C (C the set of Henkin constants) a formula m ~ i ~ " If after a
finite number of steps i t i s not p o s s i b l e to c a r r y on t h i s process, then
f o r some c and a f i n i t e number of L t - f o r m u l a s ~ l ( C , C o , . . . , C r , U o, . . , U
. s.) , . .
~n(C,Co . . . . . Cr,U ° . . . . . Us), we have
C
T I= ~I ^ .... ^~n ~ ~ i ~ for all i ¢ • ,
t
and T ~+
 62

n
where ~ = 3x 3Xo...3Xs 3Xo...3Xr i A=1 ~i (x . .Xo'
.. 'xr'Xo'''"Xs)"

But in general ~ ~ Lt, since a set variable X. may occur positively in some
]
¢i"
Note that in ¢I = "X is on partial in~ective function" the set variable X
occurs negatively,and in ~2 = "the domain of X is to whole universe" X
occurs positively. Therefore, 3X(~ 1 ^ ~2 ) is not an Lt-formula. We make
use of this fact to obtain the counterexample presented here.

9.1 Theorem. There is o complete and countable L t - t h e o r y T and a set

• (x) = { ~ i ( x ) l i e w} of kt-formulos such that

a) Each model of T realizes @(x).

b) There is no ~(x) e L t such that

T ~ 3x ~(x) and T ~ Vx (~(x) ~ ~i(x)) for all i e ®.

Proof. Take L = {M,A,B,S,Q,R,f,c} where M,A,B~are unary and O,R,f are

binary.

Let (~, T) be the topological L - s t r u c t u r e given by

C = M~ O A~ 6 B~ O S~ 6 {c ~} with

ME = N, A~--n ~ N A n , B~= n ~ N Bn, S~ = n ~ N (An x Bn) ,

and where, for o J ] n e N, tAnl = ~o' tB2nt = ~o' and IB2n+l I = n+l

QE = {(n,a)la e A }, RE = {(n,b) Ib e Bn},

n

(a,b) for a c An, b e B n

fE(a'b) = c~ otherwise,

and where m is the topology generated by

P(S~) O {{~} u i ~ n U . l ne~}

where P(S C) denotes the power set of S~,and where U. = for odd i , and
1
where U. c S~ is a b i j e c t i o n from A. onto B. for even i .
1 1 1
 63

Put T = T h t ( ( C , T ) ) . - For i e $, l e t ~ i ( x ) = Mx ^ >3

--i y Rxy and put

• (x) : { ~ i ( x ) l i c ®}.
Thus

(1) (E,T) k ~ d ] iff d e N and d i s even.

We show t h a t T and @ s a t i s f y a and b.

b: Suppose by c o n t r a d i c t i o n , t h a t f o r some ~(x) ¢ L t ,

T ~ 3x ~(x) and T ~ Vx(~(x) ~ ~i(x)) for all i ¢ ~.

t t
Then, by ( 1 ) , there i s an even number n ~ N such t h a t

(2) (~,T) ~ ~[n] .

Let m be the rank of the formula ~. Then

(3) ( ( ~ , n ) , T ) :=t (E,2m+I),T)

m+l
We leave i t to the reader to f i n d a sequence ( I1) 1 <- m such t h a t (I l) 1 < m""
((~,n),~) =tm+t ((E, 2m+I),T). - (2) and (3) imply (~;,T) ~ ~[2m+1]. Hence
(~,~) ~ ~2m+1], which c o n t r a d i c t s ( 1 ) .

a: Suppose ( ~ ' , ~ ' ) i s a model of T. We have to show t h a t ( ~ ' , ~ ' ) realizes

@. For m • M ~' put

A ' = {ala e C',QC'ma} and B ' : {blb ¢ C',R mb}.

m m

Since
(@,T) F 3X~c Vy "X~ A x B is a partial injective function
Y Y
from A into B "
Y Y
i.e. since (~,~) k X1, where ~1 i s the Lt-sentence

X 1 = 3X~c Vy Vx 1 V x 2 Vz t Vz2(QYx 1 ^ Qyx2 ^ Ryz 1 ^ Ryz 2

A f x l z 1 c X ^ fx2z 2 ¢ X ~ (x 1 = x 2 ~ z 1 = z2)) I

we have
(~',T') k X1.

Similarly

(E,T) F VX~ c 3y "X~ A x B i s a l e f t - t o t a l relation",

Y Y
 64

i.e. (~,T) k X2 , where X2 i s the L t - s e n t e n c e

X2 = VX~ c 3y Vx(Qyx ~ 3z(Ryz A f x z e X ) ) .

Hence

(~',~') ~ ½.
Since ( ~ ' , ~ ' ) ~ X 1 ^ X2 t h e r e i s f o r some m ¢ M~' a total injective function
from A ' to 8 ' . Since A ' i s i n f i n i t e , so i s B '
m m m m
Hence (~',~') ~ ¢~m].

Let k ( I ) be the "sublanguage" of L t i n t r o d u c e d at the end of § 7, i . e . k(I)

i s obtained from k adding the l o g i c a l symbol I , the f o r m a t i o n r u l e

i f ~ i s a formula, t a term, and x a v a r i a b l e , then I t x ~ i s a formula,

and where I t x ~ i s read as " t l i e s i n the i n t e r i o r o f the set o f x such t h a t

k(I) satisfies an o m i t t i n g types theorem, which we s t a t e i n the form

9.2 L ( I ) - o m i t t i n 9 types theorem. Assume k i s denumerabie. Let T be an k ( I ) -

t h e o r y and Q = { ~ n ( X ) / n e ~} a set of k ( I ) - f o r m u i a s . Suppose t h a t there i s
no k ( I ) - f o r m u l a ~(x) such t h a t T u { 3 x ~ ( x ) } has a t o p o l o g i c a l model and
T ~ V x ( ~ ( x ) ~ ~n(X~ for all n e ~. Then t h e r e i s a denumerabie modeI (~,a)
of T o m i t t i n g Q ( i . e . f o r no a e A, ~ ~ Q[a] h o l d s ) .

Proof. Let C be a countable set of new i n d i v i d u a l c o n s t a n t s . As i n the proof

o f the k -omitting types theorem, we f i n d an (k u C ) ( I ) - t h e o r y T ~, T ~ ~ T,
having a t o p o l o g i c a i model and s a t i s f y i n g :

(1) Given any (k u C ) ( I ) formuIa ~ ( x ) t h e r e i s a c ¢ C such t h a t

(3x ~(x) ~ ~(c)) ¢ T*.

(2) For any c e C there is an n e m such that m On(C) ¢ T *.

Let B* = ( ( ~ , ( c B ) c ¢ C),T) be a model of T. Then A = {cBlc e C} i s the uni=

verse of a s u b s t r u c t u r e ~ of ~.

The subsets of A of the form

C = {cBl~ * ~ Icx~(×)} ,

w i t h ~ ( x ) ¢ (L u C ) ( I ) , are the basis of a t o p o l o g y ~ on A.

 6S

Put ~* = ( ( ~ , ( c B ) c ~ C),o). - By i n d u c t i o n on ~ we show

('~) ~* ~ ~ iff ~* ~ ~.

Then by (2), (~,a) is a model of T o m i t t i n g ¢.

To show (~), we only prove the n o n - t r i v i a l cases:

Assume ~* # 3x $(x), then by (1) , ~* ~ ~(c) f o r some c ¢ C. By i n d u c t i o n

hypothesis, ~* I= ~(c), hence ~* ~ 3x ~ ( x ) .

I f ~* # I c x ~ ( x ) , then c c
~C. Since by i n d u c t i o n hypothesis,

~C c {a ~ AI~* ~ ~ [ o ] } = ~ ,

c
B i s contained in the a - i n t e r i o r of ~ * , i.e. ~* ~ l c x ~ ( x ) .

Now, assume ~* k I c x ¢ ( x ) . Then c

B ¢ ~C c ~ * f o r some (L u C ) ( I ) - f o r m u l a ~(x).
In p a r t i c u l a r , ~* # l c x ~ ( x ) . We show t h a t $* ~ V y ( I y x ~ ( x ) ~ ~(y)) (then we
obtain ~* ~ I c x ~ ( x ) as ~* ~ l c x ~ ( x ) ) . Otherwise ~* # 3y(Iyx~0(x) A ~ ~ ( y ) ) ,
C
i.e. by (1), ~* ~ Idx~0(x) ^ m ~(d) fo~ some d ~ C. Hence d ¢ ~ and
d ¢ ~ . By induction hypothesis d ~ ¢ , which contradicts C c

§ I0 (LI~) t

This section is devoted to the infinitary language ( L ~)t" Let L be a simi-

-- I
Iority type and R a denumerable sequence of new relation symbols. Let
(L w w) 2 be the infinitary extension of L 2. Assume ~ c ((L u [R)~ ~)2 "
DenOte by Mod(3~) the class of topological models of the "E1-se~tence over
) " ~, i.e.
(L ~I ~ 2

Let Modi(3~) be the class of models of the "invariantization" of 3R~,i.e.

Modi(3R~) = { ( ~ , ~ ) l ( ~ , o ' ) k 3R~ f o r some b a s i s a o f T } .

Note t h a t Modi(3R~) = Mod(3R~) in c a s e ~ i s i n v a r i a n t for topological struc-

tures. In p a z t i c u l a r , t h i s is t r u e , if ~ ~ ((L u { R } L I ~ ) t °
 66

Applying methods of Svenonius, Vaugh~ and Makkoi ( i n the form presented in

~0]), we show that the denumerable models in M o d i ( 3 ~ ) ore the models of a
• . i -- .
game sentence whose approxzmotions ore in ( L ~)t" Hence, Mod (3R~) is the
1
i n t e r s e c t i o n of Ml-many elementary ( L
~ ) t - c l a s s e s . The corresponding cover-
1
ing theorem holds. From t h i s we derive in the usual way the ( L ~ ) t - i n t e r p o -
l a t i o n theorem, and prove that the ( L ~)2-sentences invarian% }or topologies
]
are the ( 5 w)t-sentences. We close t h i s section showing how %o extend other
]
results from L t to ( L ~)t" We remark that Scott s isomorphism theorem does
I

not generalize to (L I~) t.

Since our exposition parallels that in [1o], it will be helpful if the reader
is familiar with this paper. All weak structures in this section ore supposed
to be models of bas.

Given ( L ~)2' a countable set C of new constants and a countable set U of

I
new set constants, we extend the notion of a Hintikka set d from finitary to
infinitary logic replacing conditions (ii) and (iii) in 1.4 by its infinitory
analogues:

(ii)* If A@ ¢ ~ then ~ c ~ for all ~ ¢ # .

(iii)* If V~ e ~ then ~ ~ ~ for some ~ e ~ .

As above let R be a denumerable sequence of relation symbols not in L. Put

L' = t u [~}. Suppose ~ e (L'I~) 2 is in negation normal form. Take a count-
able admissible fragment A of ( L ' m)2 containing ~ and L 2. Denote by A(C,U)
the set of sentences obtained from }ormulos in A by replacing free variab-
les (resp. set variables) by constants in C (resp. in U).

]O.1 For any weak structure (@,~) with denumerable 8 u • the following are
equivalent:
(a) (~,~) ~ 3 ~ for some ~ with ~ = ~.
(b) There are a Hintikka set ~ c A(C,~) with ~ e ~, an onto function
1 2
~°:C ~ B, and relations ~ ,~ c H x T satisfying:
(i) if X(vl,...Vn) c L is atomic or the negation of an atomic formula
and c1, . . . . c n e C, then
X(c I ..... Cn) ~ ~ iff ~ ~ X[n°(Cl ) ..... ~°(Cn) ] .
(ii) for any X of the form c e U: X c ~ or ~ X ¢ ~ .
(iii) if U 1 V and c~U ~ ~, then n°(c) c V
 67

if U~2V and u°(c) ¢ V, then c~U c ~ ,

(iv) f o r any c e C and V ~ T with ~°(c) ~ V t h e r e i s a U ~ U such

t h a t ceU e and unlv.

(v) f o r any c e C and U ¢ U w i t h ceU e ~ there is V e T with

n°(c) c V and U~2V.

Proof. First suppose t h a t (a) holds, i . e . ( ~ , a ) ~ 3R~ for some o w i t h a = ~.

We may assume, by a k~wenheim-Skolem argument, t h a t ~ i s denumezable. Choose
interpretations ... of the r e l a t i o n symbols i n R w i t h ((~ . . . . ) , a ) ~ ~. Take
arbitrary onto f u n c t i o n s g: C ~ B and h:U ~ ~ and d e f i n e ~ to be the set of
sentences k(c 1. . . . . Cn,U1, . . . . Ur) c A(C,U) i n n e g a t i o n normal form such t h a t
for X(x] . . . . ,x n. .X.l., . Xr) we have

( ( ~ , . . . ) , a ) ~ X[g(cl) , . . . . g(Cn),h(U1~...,h(Ur) ] .

Then ~ is a Hintikka set containing ~. Since ~ = T we have

(id, l , Q2) :(@,~) ~t (S,T) for some Q 1 ,Q 2 c ~ x T (id being the identity

on B). Put
o 1 1 2 2
u = g, ~ = Q o h, ~ = Q o h
i
(i.e. ~ = {(U,V) Ih(U)QiV} for i = 1,2.)

Then (i) - (v) are fulfilled.

Conversely suppose that ~, o , u ] and 2 satisfying (b) are given. Let

((~.... ),~) be the canonical model of ~. Then (see 1.4) D = {Tic e C] and
a = {OIU ¢ u].In particular, we have (~,s) F 3 ~ . It suffices to show that
(~,~) ~t (~,T); because then there is a ~' with ~' = ? and (~,~') ~ 3 ~ ,
hence (a) holds. To show (~,~) t (~,T) we define Q = (Qo,QI,Q2) with

For c e D let QO(~) = o ( c ) (by (i) and 1.4, QO is well-defined and is an

isomorphism). For i = ],2 set Qi = {(O,V) IU ~iv]. It is easy to show that
9:(~,~ ) ~t (~,~).
Next we express condition (b) ~n (S,T) by a game sentence ~, the meaning of
a game sentence being defined as usual in terms of an infinite two person
game, one played by p l a y e r s V and 3. I n ~, c. and d. range over C, and U.
1 Z 1
and V. aver U. ~ i s d e f i n e d as
1
 68

: Vx V A 3y ° V X m x V A V 3Yo'Yo A V
o c d o o U V k ~ {0,1} 6 ¢ A(C,U) e ¢ A(C, LI)
0 0 o 0 0 0 O

Vx 1 V A 3y I VXl~X 1 V A V 3YI~ Yl A V
c I dI u~ v~ ~ ~ {o,I} 6~ ~ A(C,U) e I ~ A(C,U)

c d U V k 5 ~ ...c d U V k 5 G
ooooooo nn n nn nn
" ' " n < ~ A N(Xo . . . . . Xn'Yo . . . . . Yn'Xo . . . . . Xn'Yil . . . . . Y i r ) °

where Y., ...,Y. d e n o t e t h o s e s e t v a r i a b l e s Y. such t h a t k. -- 1, and whe~

zI I~._ N c o . . . ~ n z z
the f o r m u l a s a r e d e f i n e d as follows:

First let

®n = { ~ } u {c i ~ U.l i z % n} u {d i c V i l i % n and k.z = I }

u {9d.1 c V i l i ~ n and k . l : O } u { e ° . . . . . en}.

There a r e two cases. E i t h e r e v e r y one o f the c o n d i t i o n s (i) - (vi) below i s

C ..o~
o n
satisfied (case 1) o r not (case 2 ) . In case 2, we put N ='~X = X
0 0

I n case 1, we put
C ...~
N ° n= A{~I~ e L 2 i s on a t o m i c or negated atomic f o r m u l a ,

= ~(Xo .... ' Xn'Y o . ." . . Yn' x÷

o''" "'x+n . . Y~I'
. . ,Y~), and
r

~(c o ..... Cn,d o .... ' dn,U o, "" ",Un,Vil ''" .,V i ) ~ ® n } "
r

The c o n d i t i o n s a r e as f o l l o w s :

(i) For no a t o m i c X, b o t h X and ~ Y b e l o n g t o ® .

n

(ii) If 6 c ® and 6 :V~ or 6 : 3x¢ o r 6 = 3X~,then

n n n n n
c
~n e ~ or e n = ~ f o r some c ¢ C, o r e n = @~
U f o r some U ¢ U.

(iii) If 6 ¢ ®n' but

n

6 c ~ f o r some qJ such t h a t A~ e ®
n n

or 6 = ~c f o r some ~ such t h a t Vx~ e @

n x n

or 6 n = ~U f o r some @ such t h a t VX~ c ®n

or n ~ ~ where ~ i s atomic and t = c, x e ®n f o r some b a s i c t ,

then ® = 6 .
n n
 69

(iv) If 6 = c = c, then @ = 6 ,
n n n

(v) If neither 5n ~ ~n nor ~ 6n c ~n and (Sn = X(c 1 . . . . . c s) w i t h atomic

Ms( v l ,) . . ._, v ~ Lww)_ or 5n= c ~ U, then £ = 6 or @ = m 5 I

n n n n
(vi) If 6n = t = t f o r some basic t end none of (iii) t ( i v ) , ( v ) i s the
case, then e = t = c f o r some c.
n

Now, for any weak model (~,T) of bas with denumeroble B u T, we have

t&2 (@,T) k { iff (~,~) s a t i s f i e s i O . l (b).

1 2
Indeed, assume f i r s t that (~,t) s a t i s f i e s 40.1 ( b ) . Choose ~, n °, ~ and
o 1 2
w i t h the p r o p e r t i e s listed t h e r e . But then using ~, n ,~ ,~ , i t i s easy to
o b t a i n a winning s t r a t e g y f o r 3.

Conversely, suppose t h a t (~,~) # @ ,and l e t us f i x a winning s t r a t e g y of 3.

Let the s t r a t e g y of 3 be p i t t e d a g a i n s t a p l a y of V i n which V chooses

an( f o r x n) I dn, Kn ( f o r Xn) , Vn and 6n r

such t h a t
B = {Onln6¢~?,C = {dnln ~ m},

{ ( a , K ) Ia ¢ B,K c T,a C K} = { ( a n , K n ) I n ~ w}

cx~ = ~dn,Vn) tn ~ ~}, A(C,U) = {~ntn ~ ®} ,

and such t h a t each element o f those sets occurs i n f i n i t e l y o f t e n in the
corresponding enumeration. Let ~n' b n ( f o r yn ), Un, kn, Hn ( f o r Yn ) and E)n
be the choices of 3.

Put

= {~} u {entn E ®},

o
= {(Cn,an)ln c w} u {(dn, b n ) l n c w},

1 = {(Un,Kn)in ¢ ~} and 2 = {(Vn,Hn) In e w and k n = 1}.

o 1 2 ]isted in
It i s easy t o v e ~ i f y that ~, ~ , = , ~ satisfy the c o n d i t i o n s
o.1 (b).
10.1 and t0,2 yield

10.3 For any weak model (@,T) of bas w i t h denumerable B u ~, we have

 70

(~,T) ~ ¢ iff (~,a) k 3 ~ f o r some a with ~ = ~.

Ne d e f i n e as usual the a p p r o x i m a t l o m o f ¢: Given c d ...k ~ G and

0 O n n n

i<-- n + 1 d e n o t e by s i t h e s e q u e n c e C o d o o . . k i _ i g i _ t ~ i _ l . B7 i n d u c t i o n on t h e
ordinal ~ define ~ sn as f o l l o w s :
c~

s s.
cn : A N z
0 /
l<_i_<n
s
n = Vx V A VX ~ x V A V 3YnDYn
~+1 n c d 3Yn n n U V k e {0,1}
n n n n n

A V
~snc dnUnVnk 6nGn n n
6 G
n n

S S
n = A
~n for a limit =.
~<=

Note t h a t f o r countable ~, ~ n is an (L w ~ ) t - f o r m u l a . In p a r t i c u l a r , is
an (k w w)t-sentence. We w r i t e ~ for 1 ~ and c a l l • the ~ - t h
approxzmation of ~.

Denote by ~' the consequence r e l a t i o n over denumerable weak models. Vaught

has shown ( c f . ~0]):

¢0.4 (1) k ~ ~ ¢ for all ~.

(2) ~' ~ ~ ^ ~
< ~I
(3) If ~ i s any sentence in (L~lw) 2 f o r some LID L, then ~' • *

implies t h a t ~ ~ ~ f o r some ~ < ~1"

We s t a t e some consequences of ~ 4 . Recall t h a t by the d e f i n i t i o n a topolo-

gical structure (~,~) i s denumerable, i f B u a i s denumerable f o r some basis
a of ~.

10.5 Theorem. Suppose t h a t ; ~ ((L u {R~wl=) 2. Denote by HodZ(3~) the class

of models.

Modi(3~) = ~,T)I(~,T) topological s t r u c t u r e and

(~,a) ~ 3 ~ f o r some basis ~ of ~}.
 71

Then, over denumerable models, Hodi(3RO) is the i n t e r s e c t i o n of ~]-many

(Lw w)t-elementary classes. In particuZar, i f • i t s e l f is on ((L u { ~ =)t
sentence, then over models Hod(3Ro) resp. Mod(VR~) is the i n t e r s e c t i o n resp.
1
union of ~l-many (Lwtw)t-elementary classes.

Proof. Suppose (@,~) i s o denumerable t o p o l o g i c a l s t r u c t u r e . We have

(@,a) ~ 3R~ for some a with ~ = T
iff (@,t) # • (bye&3)
iff (~,~) ~ @ for all ~ < ~ (by 40.4 (2))
Hence, over denumerabZe models, Modi(3~O) = n< ~1 Mod(e ).

10~ C o r o l l a r y . ( i ) Over denumezable models, the class of compact t o p o l o g i c a l

spaces i s the union of ~l-many (~,~w)~___eiementary classes.
/
(ii) Over denumerabte models, the class of connected t o p o l o g i c a l spaces i s
the union of ~l-many ( ~ l W ) t - e l e m e n t a r y classes.

(iii) Let (@,~) be a denumerable t o p o l o g i c a l s t r u c t u r e . The t o p o l o g i c a l s t r u c -

tures that are homeomorphic to (~,~) are the denumerabie s t r u c t u r e s i n the
i n t e r s e c t i o n of ~l-many (L w ~)t-elementary classes. In p a r t i c u l a r , any two
]
( L i b ) t - e q u i v a l e n t denumeraBte structures are homeomorphlc.

Proof. ( i ) and ( i i ) are immediate by the preceding. For ( i i i ) , let

• e ( L =)2 be the " c l a s s i c a ~ Scott sentence of the two-sorted s t r u c t u r e
1
(8,ao)fOr some denumerable basis ~o of ~. Then Modi(~) = {(~,~)}(~,~) topoto-
gical structure, (~,~) =t ( @ , ~
i i 2
~&7 Lem.m£. Assume ~ ¢ (L w.w)2 for i = 1,2~ and suppose that • is i n -
v a r i a n t for t o p o l o g i c a l s t r u c t u r e s . Put L = L 1 n L 2"

If ~ I ~ 02, then ~t 01 ~ ~ and ~t ~ ~ 02 for some ~ ¢ ( L I ~ ) t .

Proof. Let @ be the game sentence associated with 3(R)R e L 1 - L~ ( w . i . o . g .

we can assume that L 1 - L only contains r e t a t i o n symbols),By~O.3 and the i n -
variance of 02 we have #' @ ~ 02 . Hence, by parts (1) and (3) of~0,4 we have
01 ~ @ and ~ ~t 2
c~
~ f o r some ~.
t ~ t
As a c o r o l l a r y we obtain
i i
!~8 (_~Ltw) t - i n t e r p o l a t i o n theorem. Assume • e ( L l w ) t for i = 1,2 and l e t
 72

L : L 1 n L2.

I f ~t 01 ~ 2 , then Ht 01 ~ ? and ~t ~ ~ 2 f o r some ~ e (Lwl~) t o

From I0.7, we get for 01 = 2 =• and k I = L2 = L:

1:0.9 Theorem. I f • e ( L w)2 i s i n v a r i a n t f o r t o p o l o g i e s , then • i s e q u i v a l e n t

- - 1
in t o p o l o g i c a l s t r u c t u r e s to an (k l ~ ) t - s e n t e n c e .

10.10 Remarks and e x e r c i s e s .

1) The r e s u l t s of t h i s section are t r u e f o r a r b i t r a r y weak s t r u c t u r e s . In

particular, the i n t e r p o l a t i o n theorem holds f o r ~ instead of
k , and any
t
i n v a r i a n t (L w m)2-sentence i s e q u i v a l e n t to an (L w w)t-sentence. But we should
1 1
remark, t h a t zn case we do not r e s t r i c t to models of bas, the game sentenc~
associated with a formula 3R@ has a more complex p r e f i x .

2) For a t o p o l o g i c a l space (A,a) denote by An the n - t h d e r i v a t e of A:

A° = A

A~+1 = set of a l l accumulation points of An

An = ~ A~ for limit n .

Show t h a t f o r denumerable (A,a) one has:

(A,~) i s compact iff (i) A~ i s f i n i t e f o r some n < ~1

(ii) for limit B~any U e o,

A~Uimplies A? c U f o r some ? <

(iii) f o r any n and U e o,

if An+l c U then An - U is finite.

For any o r d i n a l n ~ 1 d e f i n e ¢p~ by i n d u c t i o n ,

1
• : V 3Xl'"3Xn VU1~Xl'"VUn ~ Xn Vz(z c U1v...vz e Un) ,
n

n+l n
0 = X 3x1'''3Xn VUI~ x1""VUn~Xn OUI,...,U n

n
where OU1,...,U n i s the formula obtained f r o m ~ ° ( r e p l a c i n g any s u b f o r -

mula Vxx by Vx(x e U l v . . . v x e Un v X)

 73

= ~ ~ ~ for limit ~.

Note t h a t for ~ < ~1' ~°~ i s an (L l ~ ) t - s e n t e n c e . Show t h a t for a denumerable

(A,a) one has:
O~
(A,a) i s compact and Ac~ i s f i n i t e iff (A,o) k ~0

Hence, when r e s t r i c t i n g to denumerable t o p o l o g i c a l spaces, the class of com-

pact spaces is [ ~ < ~ Mod(~0~), i . e . we get a more "concrete" r e p r e s e n t a t i o n
1
of t h i s class as union of ~l-many k t - c l a s s e s as in4O.6 ( i ) .

3) Let ; be a denumerable basis of a denumerable t o p o l o g i c a l s t r u c t u r e (~,a).

0
For any o r d i n a l ~, define ~ ( ~ , c ) extending in the obvious way the d e f i n i -
n
t i o n of ~(~,ao ) (see §.4). o r~ o t ~ < ~. l , ~ (~~ , a o ) is an ( k l ~ ) t _ f o r m u l a .
I t i s easy to show t h a t the class ~ of t o p o l o g i c a l s t r u c t u r e s homeomorphic
to (~,~) i s the class of denumerable models in ~ ~ ~1 Mod(~(.~'ao), ) .

Thus we get a more "concrete" r e p r e s e n t a t i o n " of R as the i n t e r s e c t i o n of

~]-many classes than in 10.6(iii). In particular, as remarked there, any
two ( L w)t-equivalent denumerable structures are homeomorphic. Note that
this is]also true for uncountable L: namely, if L is uncountable and (~,~) a
denumerable L-structure, then there is a countable L' c L such that for each
k e t - L', k B l•s ( E,w l ~ ) t - d e f z n a b l e in ~ L'. -

Show that Scott's isomorphism theorem does not generalize to Lt: there is a
denumerable structure, which cannot be characterized, within the denumerable
structures, up to homeomorphism by an ( L ~)t-sentence. (Hint: It suffices
to find o structure of the form (A,7,~) ~ithout Scott sentence, where A is
countable, T is~topalogy an A and ~ is a monotone system closed under inter-
sections. Take as (A,T) the set of rational numbers with its topology and
let u have a basis [Snl n • w} with A = Bo D B I D... , where B.1 ~ ~ is
perfect and nowhere dense in Bi_ 1 and ~B.z = @" Show that for all ~ < ~1'
there is a ~ such that (A,~,v) ~t (A,7,~) but (A,?,v) ~t (A,T,~)
-- i - .
4) Note t h a t for ~ e ((L u {R}~ ~)2' Mad (3R~) ~s a PC - c l a s s over
1 1
(L l ~ ) t , i f in the d e f i n i t i o n of PC 1- c l a s s we a l l o w a d d i t i o n a l universes
(compare 4 . 5 ) . In p a r t i c u l a r , i f ~ has only i n f i n i t e models, then
Modi(~E~) = Mod(~$~) for some ((L u {5})~1 ~ s e n t e n c e ~.
 74

5) Give a " s y n t a c t i c " proof of the (L w ) t - i n t e r p o l a t i o n theorem and of 10.9

1
in the way indicated in 8.8.4(extending the axioms and rules to the i n f i n i -
tary language>.

6) Prove the e f f e c t i v e (= admissible) versions of the above theorems.

Finally, we remark that by the above methods, using the appropriate game sen-
tences, i t is possible to generalize the preservation theorems of section 5
to (L w ~)t" Let us sketch the r e s u l t for sentences preserved under extensions.
Call alsentence ~ e (L w w) t in negation normal form e x i s t e n t i a l , i f i t does
1
not contain any u n i v e r s a l l y q u a n t i f i e d i n d i v i d u a l v a r i a b l e .

Suppose ~ is a ((L u {~]~ ) t - s e n t e n c e . Then for any weak model (@,T) of ba_~s
t
with denumerable B u T, we have

(~,a) ~ 3 ~ for some (~,~) with (@,~) D (~,~) iff (@,T) ~ ~e ,

where ~e is obtained from the game sentence • deleting in the p r e f i x a l l
ports Vx V , changing YX~x to VX~y n and changing in the correspon-
nc n n
ding way th~ matrix of @.

The approximations of ~e are existential. In particular, one obtains that

an ( L ~)t-sentence preserved under extensions is equivalent to on existen-
I
tiol sentence.
H i s t o r i c a l remarks

§ 2 L t ( f o r L = ~) was introduced by T.A. McKee in his papez~[12], [13]~

§ 3 The notion of an i n v a r i a n t sentence is due to McKee. Compactness, com-

pleteness and kSwenheim-Skolem theorem are due to S. Garavaglia [ 7 ] ,
[8], [9].

§ 4 For 4.19 see also Garavaglia [8] and P. Bankston [ 1 ] . The proof of
4.19 is e s s e n t i a l l y from [ 9 ] . - 4.20 ( f o r L = ~) was proved by McKee
[13].

§ 5 5.13 is due to Garavaglia [ 9 ] .

§ 6 In [9] is proved that Lt-equivalence is preserved under d i r e c t products

with box-topology.

§ 8 A number of r e s u l t s about uniform spaces and proximity spaces are due

to g. Strobel [ 1 5 ] .

§ 9 The omitting types theorem for k ( I ) was f i r s t proved in Makowsky-Ziegler

[11].

§ 10 McKee proved in [13], that countable, L -elementary equivalent topo-

~1 •
l o g i c a l spaces are isomorphic.

A number of our theorems are also proved in [ 9 ] . Note that some of them were
announced in [17].

The main part of the r e s u l t s not c r e d i t e d to other authors in the above are
due to the second author. The main part of r e s u l t s due to the f i r s t author
are in §§ 4,6,10.
 References

[1] P. Bankston: Topological Ultraproducts, Ph.D. Thesis, Univ. of

Wisconsin (1976)

[2] J. Barwise: Admissible sets and s t r u c t u r e s , B e r l i n (1975)

[3] C.C. Chang - H.J. K e i s l e r : Model theory, Amsterdam (1974)

[4] S. feferman: Persistent and i n v a r i a n t formulas for outer extensions,

Comp. Math. 20 (1966), pp. 29-52

[5] S. feferman - R.L. Vaught: The f i r s t - o r d e r properties of algebraic

systems, Fund. Math. 47 (1959), pp. 57-103

[6] J. flum: F i r s t - o r d e r logic and i t s extensions, i n : Logic Conference,

Kiel, Lecture Notes in Math. 499, 248-310

[7] S. Garavaglia: Completeness for t o p o l o g i c a l s t r u c t u r e s , Notices AMS,

75T - E36 (1975)

[8] S. Garavaglia: A t o p o l o g i c a l ultrapower theorem, Notices AMS, 75T - £79

(1975)

[9] S. Oaravaglia: Model theory of t o p o l o g i c a l structures, Annals of Math.

Logic 14 (1978),pp. 13-37

[10] M. Makkai: Admissible sets and i n f i n i t a r y l o g i c , i n : Handbook of

mathematical l o g i c , Amsterdam (1977), 233-281

[11] J.A. Makowsky - M. Z i e g l e r : A language for t o p o l o g i c a l s t r u c t u r e s with

an i n t e r i o r operator, Archiv f u r math. kogik (to appear)

[12] T.A. McKee: I n f i n i t a r y logic and t o p o l o g i c a l homeomorphisms, Z e i t -

s c h r i f t fur math. kogik und Grundl. der Math; 21 (1975),
405-408

[13] T.A. McKee: Sentences preserved between equivalent t o p o l o g i c a l bases,

Zeitschrift fur math. Logik und Grundl. der Math. 22 (1976),
79-84

[14] J.S. S c h i i p f : Toward model theory through recursive s a t u r a t i o n , Journ.

of Symb. Logic 43 (1978), 183-206
 77

[15] J. Strobe1: Lindstr~m-S~tze in Spzachen fur monotone Strukturen.

Diplomarbeit, TU B e r l i n (1978)

[16] S. W i l l i a r d : General topology, Reading,(1970)

[17] M. Z i e g l e r : A language for t o p o l o g i c a l structures which s a t i s f i e s a

kindstrBm theorem, B u l l . Ames. Math. Soc. 82 (1976), 568-570
§ 1 Topologlcal spa,,ces

In t h i s section we study the expressive power of Lt foz topological spaces

(A,~), i . e . for L = ~. We want to determine the elementary types of a l l tapo-
l o g i c a l spaces. (Two topological structures are of the same elementary type,
i f they are Lt-equivalent).

We cannot achieve t h i s aim, i f (Ae~) is not a T3-space. For as we show in

pazt A, the theory of a l l topological spaces, which s a t i s f y (e.g. only) the
separation axiom T2, is h e r e d i t a r i l y undecidable. But a good knowledge of the
elementazy types of a l l T2-spaces should provide a d e c i d a b i l i t y pzocedure.

In p a r t e we prove that the theory of T3-spaces is decidable by i n t e r p r e t i n g

countable T3-spaces in "~-trees" in such a way that Lt-sentences translate to
monadic sentences. Then we use Rabin's result that the monadic theory of ~-
trees is decidable (1.24).

The determination of the elementary types of a l l T3-spaces is done in part C

(1.34;1.41). As an application we get - without using Rabln's result - a de-
cislon procedure.

Part D contains two appllcatlans of the type analysls in C. We characterize:

1) the T3-spaces with f i n i t e l y axlamatizable theory (1.45),

2) the ~o-Categorlcal T3-spaces (1.53).

A.Separatlonaxigms.

We noted dn 5-§ ~ that T2 (= hausdorff) Qnd T3 (= hausdorff + regular)

are expresslbie by Lt-sentences. Before we w i l l s t a r t the study of separation
axioms between T2 and T3, l e t us remark that 7 and T1 also beiong to Lt:
0

Vx Vy(x = y v (~X~ x ~ y e X) v ~ Y ~ y ~ x e Y))

Vx Vy(x = y v ( ~ X ~ x ~ y e X))

We begin with an example.

1.1 Example. The theory of T -spaces is h e r e d i t a r i l y undecldable.

O

Terminology: An Lt-theory T is decidable, i f there is an e f f e c t i v e procedure

which decides whether any given Lt-sentence holds in a l l topological models
 7g

of T. T is h e r e d i t a r i l y undecidabie, i f every subtheory T' c {wIT ~ ~} is

%
undecidabIe. We assume here, k to be f i n i t e . In the above exampie, k is empty.

Proof. We show that the theory of p a r t i a l orderings is interpretable over the

theory of To-spaces. That means, that there are kt-formuias U ( x ) , ~ ( x , y ) , and
for every p a r t i a I order ( B ~ ) there is a To-space (A,~) s . t .
( B E ) ~ ( u ( A ' ~ ) , ~ ( A ' ~ ) ) . From t h i s and the fact that the theory of p a r t i a l
orderings is h e r e d i t a r i I y undecidabie, our cIaim foIiows as in ~ . - Set

U(x) = x = x and e ( x , y ) = VX~ x y • X.

I f ( B ~ ) is a p a r t i a l order, set (A,~) = (B,~<), where ~< has the basis

[{xlb~ x } l b e B}.

1.2 Exercise. a) The class of spaces of the form (B,~<) can be axiomatized
by an Lt-sentence.
b) The L -theory of a l l monotone structures is h e r e d i t a r i l y undecidable
m
(L = ~).

~< is not T1, i f ~ is n o n - t r i v i a l . Thus we have to use another i n t e r p r e t a t i o n

in the following ~xample (which strengthens 1.1).

1.3 Exampie. The theory of Tl-spaces is h e r e d i t a r i l y undecidable.

Proof. A graph is a set together with a r e f l e x i v e and symmetric binary re-

lation. I t has no isolated points, i f every element is related to another
one. The theory of graphs without isolated points is h e r e d i t a r i l y undecidab-
le ~8]. We i n t e r p r e t i t over the theory of Tl-spaces by

U(x) = ~y(-~x = y ^ ~(x,y)) , ~(x,y) = ~ 3 X ~ x 3Y~y Xn Y =

(In the sequel we t a c i t l y w i l l use abbreviations as Xn Y = ~ for

Vx(x e X ~ ~ x e Y)). - We leave i t to the reader to find enough Tl-spaces
which are not T2, and to complete the proof.

1.3 also follows from the next example.

1.4 Example. The theory of T2-spaces is h e r e d i t a r i l y undecidable.

Proof. We i n t e r p r e t the theory of graphs without isolated points over the

 80

theory of T2~spaces:

U(x) : x : y ^ e(x,y))

~ ( x , y ) = m 3X9 x 3Y~ y ~ n ? = ~ , i.e. "x and y cannot be se-

parated by closed neighborhoods".

In order to c o n s t r u c t s u i t a b l e T2-spaces we use the f o l l o w i n g lemma.

1.5 Lemma. a) There i s a T3-space ( A ' , a ' ) with two decreasing sequences

(Ui)i e ~' (Vi) i e w of open sets s a t i s f y i n g

O. n 9. ~ ~ , U A V. = ~ and fq U. = ~ 9. : ~ .

b) There is a T2-space (C,T) with exactly one pair of distinct points a,b,
which are not separable by closed neighborhoods.

Proof. a): Take for A' the Euclidean plane R 2 with its natural topology and
set
U.z = { ( x ' y ) I Y > O,x> i}, Vi = { ( x , y ) l y < O , x > i].

b): Let A' be as in a) and set C = A' ~ { a , b } .

T = { O c CIO~ A' E a ' , if a ~ 0 then U. c 0 f o r s~me i , if b e 0 then

1

V. c 0 f o r same i } .
1

To prove 1.4, l e t (B,R) be a graph without i s o l a t e d p o i n t s . For every p a i r

(a,b) R with a ~ b we choose a T2-space Cab s.t. a and b i s the o n l y
p a i r of d i s t i n c t p o i n t s , which i s not separable by closed neighborhoods.
We can assume t h a t Cab ~ Cod = { a , b } ~ { c , d ] . I f we put A =
(a,b) y R-idCab
and
= { O c A I O n Cab open in Cab for all a,b},

we have
(B,R) ~ ( u ( A ' ~ ) , e ( A ' ~ ) ) .

A ~ 2 , 5 - s p a c e i s , by d e f i n i t i o n , a space, where any two d i s t i n c t points can

be separated by closed neighborhhood$o In our l a s t example we made use of T2-
spaces, which are not T2,5-spaces. The question whether the theory of T2, 5-
spaces i s decidable led to the f o l l o w i n g d e f i n i t i o n .
 81

1.6 D e f i n i t i o n . Let (A,~) be a t o p o l o g i c a l space.

a) For a l l o r d i n a l s ~ and subsets B of A the set ~ i s defined by the f o l l -
owing recursion:

~o B ; ~l ~ if k is a limit ordinal;

~+1 = { a i ~ ~ ~ ~ for every neighborhood U of a}.

Finally set ~ = LJ

b) (A,~) is e-.s.e.parated (oo-sepa..ra..%.ed),if {a] = {a] ({a} = {a}).

The following properties are easy %0 check

I) In regular spaces, we have ~ = B. Thus T3-spaces arena-separated.

2) ~ ~ ~ implies B~ c ~ . In particular (for 8 ~ ~), ~-separa±ed spaces

ore ~-separa%ed.

3) ~--Z-~
8 =~ u~ .

4) (A,~) i s (~+2)-separa%ed iff any a,b e A, a ~ b, can be separated

by ~-neighborhoods, i.e. iff there are U,V e ~ s.t. a • U, b • V,

Thus
T 1 = 1-separated, T2 = 2-separated, T2, 5 = 3-sepozated.

1.7 Remark. Given (A,~) l e t T be the f i n e s t r e g u l a r topology w i t h ~ c a.

Then f o r B c A, ~ = ~-closure of B ( c f . [26]).

1.8 Lemma. For ~ ~ m, ~-sepcratedness i s k t - a x i o m a t i z a b l e . (This i s no% %rue

f o r ~ > ~, c f . 1.14).

Proof. Define ~ ° ( X , x ) = x • X,

n+l(x,x) = VY~x ~y(~n(x,y) ^ n(y,y)).

Thus "n-separated" i s axioma%ized by

Vx V y ( ~ ? { x } , y ) ~ x : y) and "m-separated" by { " n - s e p a r a t e d " I n • ~ } . "w-

separated" i s no~ f i n i t e l y a x i o m a t i z a b l e ( t h e r e are n-separated spaces which
ore not ( n + t ) - s e p a r a t e d , c f . 1 . t 3 ) .

The main r e s u l t of t h i s p a r t i s
 82

1.9 Theorem. The theory of n-separated spaces i s h e r i d i % a r i l y undecidable f o r

every n < w.

We w i l l prove t h i s i n t e r p r e t i n g graphs in n-separated spaces. This cannot be

done i n w-separated spaces ( c f . 1.14 b).

1.10 Problem. Is the t h e o r y of w-separated spaces decidable?

We start the proof of 1.9 with some d e f i n i t i o n s .

A system i s a p a i r ~ = ( A , ( Ani ) n • w , i • i ) , where the A~

z are non-empty subsets

of A, A~ c A?+1 and where A? ~ A? = ~ i m p l i e s A~ ~ A~+1 = ~ .

z z z z z !
As an example take a basis { A i l i ¢ I } , - A i ~ ~, of a topology a on A ,and put
A~ = A~ ( i n the sense of 1 . 6 ) .
1 1

: (B'(B~)n ¢ w,j e j ) extends ~ = (A,(A~) n ~ w , i ¢ I ) ' i f A c B , I c J,

A~ = B~ ~ A and if A~ n An._ = ~ implies B~ n B~. = ~. - A condition

1 1 1 1 1 1

p = P(Xl, .... Xk,V I ..... Vl)- is a finite set of ~xpressions of the form

x • Xn ,x ~ Xn or Xn ~ Xm =~.
r ~ r ~ ~
S S r S

Given a system ~ = ( A ' ( A in) n • w , i ~ i ) ' al . . . . 'ak ~ A, Zl

" . . . . ' Z" l • I s a t i s f y
the c o n d i t i o n p, i f a l l expressions of p are t r u e when i n t e r p r e t i n g x resp.
S

Xn by a resp. A~ . We w r i t e ~ ~ P ( a l , . . . , a k , i l , . . . , i l ) .
S l
S S
i s generic, i f f o r every system ~ which extends ~, every c o n d i t i o n
p(x 1 . . . . . Xk,~ 1 . . . . . V l ) , a l l a 1 . . . . . ak e A, i l , . . . . i ! e I ( ~ k, ~ < 1) the
f o l l o w i n g holds: I f there are b k + l , . . . , b k e B, and il+l,...,i 1 • J s.t.
~ p(a 1 . . . . ,bk, i l , . . . . i l ) , the~ there are a k + l , . . . , a k • A, and
if+ I ..... i I • I s.t. ~ ~ p(a I .... ,ak,i1,..?,il).

1.tl Lemma. Every denumerable system can be extended to a denumerable generic

system ~ .

Proof. We construct ~ as the "union" of an ascending sequence of denumerable

systems. This i s a standard procedure to obtain " e x i s t e n t i a l l y closed" s t r u c -
tures ( c f . [2¢]).(We remark t h a t ~ i s u n i q u e l y determined.)

1.12 Lemma. Let ~ be generic and l e t ~ be the topology on A with subbasis

{A;ti • I}. Then
 83

e) (A,~) is w-separated.

b) For every n there are two decreasing sequences (Ui)i e '(Vi)i e W

of open s u b s e t s s a t i s f y i n g

t) On.+1 n ~Tn+1 ~f~

1 Z

2) On n
1 1

3) r~ 0 n+2 C~ 9 n+2
i e~ ~ = Jew L =,~

Proof. Let ~ and ~ be as in 1 . 1 2 .

Claim 1. An+l An+l A~ A~ and

Zl lk !1 &k
A~ n . . . a A~ # ~ imply An n . . . n An # .
zI zk zI i k

Proof: Set B = A 6 {b}, J = I and

I A~1 u {b}, if i ~ {11 I . . . , ~ k ] , m>- - n

Bm
i = A~1 otherwise.
t

is a system• From our assumption f o l l o w s t h a t ~ extends ~. b , i l , . . . , &

s a t i s f y the c o n d i t i o n p ( X , ~ l , . . . . ~k ) = {x ~ X.~l
n i • = . , x e XW'k}
n •
-
By gene-
rici@y of ~, p also i s s a t i s f i e d by a , i l , . • . , ~ k f o r some - a ~ A.

Then a E A~ n . . . n A~
11 Zk

Claim 2: If a ~ An+lzl , t h e r e is an i2 s.t. a ~ A~z2 and AnZl n Anz2 = ~ .

Proof: Choose new elements, and set 8 = A u { b i l i e I},

J = I u { i } , Bm) = {o} u {~la e Am+l

i ] and
Am Am+I
i u {hi] , if ~ z

i
A~l , otherwise .

is a system, which extends ~ • Since a e Bt and B? n = ~ , the

] z1 J
existence of i 2 f o l l o w s by g e n e r i c i t y .
 84

Claim 3: A° ... ~ A° ~ ~ implies A°. .,~ ... ,~ A ° " : A n rt . .. ,~ A n

11 1k 11 1k 11 1k
T h i s i s proved by an easy i n d u c t i o n on n u s i n g c l a i m 1 and c l a i m 2.

We are now i n a p o s i t i o n to prove a ) : Suppose a % (~' e A. We l o o k at the

O i n
system @ d e f i n e d i n the p r o o f of c l a i m 2. Since a E B., a ~ B., we have
.o , . .n --n ] ]r--ln An
a e A., a ~ A. for some i e I. T h e r e f o r e , a' % [a} , since laJ c ..
1 1 l

This shows {a] n : {a].

For the proof of b) we f i x n.

Claim 4: Suppose a e A, A ° n .... ~ A° ~: ~ ,

11 1k

A° . ~ ... n A°. * and An+In ... n A.n+1~n .o. /I An +I , j~ .

±1 Zk 11 -11 &k

Then t h e r e are ik+l' &+l ~ I s.t. A? ,~ ... ,~ A? ,~,

11 lk+ 1
A0. n . ..,q Ao. , ~, A.n+l
. ~ ... ~ An+l tl An+In . . . n An+1 ,
-11 5~k+1 11 lk+ 1 ±I ~k+l
An r~ An = j~, a ~ An+2 and o ~ An+2 ,

lk+l /4<+1 lk+l ~k+l

proof: We d e f i n e an e x t e n s i o n @ of ~/ by

B : A O {b,b,c} , a = I 6 {i,~},

and for i ~ I

sT = AT u cT
1 1 1

where C.m c [b,_b,c} and

3=

c ' Cm iff m > n and i ~ { i 1 . . . . . i k , J 1. . . . . i k]

1

b ~ cmz iff i e {i 1,...,ik},

_b ~ Cmz iff i e (il,.o.,ik] .

=J[b] if m _< n
Bm.
1
k{b,c] if m > n ,

f
:J{_b} if m < n
Bm
J- L{b,c] if m> n .
 8s

We have b ~ B~ B~ B;, B° B~ B~
Zl $k - !I ~ "'" &k 1
Bn+1. Bn+I Bn+I n Bn+I n . . ~ _n+l Bn n Bn :#
c • 11 n ... n Zk ~ ] ! 1 " ~ ' i ] '

a ~ B~+2 and a ~ Bn+2 . Our claim f o l l o w s from the g e n e r l c i t y of ~.

] 1

To prove b) we choose an enumeration {ak}k • w of A. Using claim 4 we con-

s t r u c t two sequences il,i2,... ; ~1,$2 . . . . of elements of I s.t.

A°. A°. A° A° # ~ An+l An+l .n+l .n+l

, • n... n n ~. n...nA, f~,
Zl lk ~1 n Zl Zk &l -~k
An n An : ~' a k I A"+2 and .n+2
a k ~ A. . - Set Uk : A~ n ... n A~
zk zk zk &k Zl Zk+l
and Vk = A° a ... n A° .
!1 !k+1
1.13 Lemma. There i s an (n+2)-separated space (C,T) with e x a c t l y one p a i r
of d i s t i n c t points a,b, which ore not separable by (n+l)-neighborhoods.

Proof. Let (A,¢) be as i n 1 . ] 2 and set C = A 6 {a,b},

T : { O c ClO n A ~ ~, i f a • 0 then U. c 0 f o r some i • w,

1
if b e 0 then V.z c 0 f o r same i • ~ } .

The lemma f o l l o w s from 1 ) - 3) below which are proved by i n d u c t i o n on m ~ n+l.

1) 0m ( w . r . t . T ) = 0m ( w . r . % . c ) f o r a l l sufficiently small neighborhoods

U o f any c • A.

2) {a} u U. m : {a} u 0 m (w.r.t.~)

z i
3) {b} u V. m = {b} u (w.r.t.o)
1

Proof of theorem 1.9: We i n t e r p r e t the t h e o r y of graphs w i t h o u t i s o l a t e d

p o i n t s over the t h e o r y of (n+2)-separated spaces using the formulas

U(x) = 3 y ( ~ x = y A @ ( x , y ) )
G ( x , y ) : " x and y are not separable by (n+l)-neighborhoods" (see 1 . 8 ) .

We now proceed as in the proof of 1.4, where we used 1.5 b) instead of

1.13. I± i s h e l p f u l to prove by i n d u c t i o n on m~ n+ 1 t h a t f o r any c e A
and a l l sufficiently small neighborhoods U of c,
 86

Om(w.r.t.c) = U U n Cab m (w.r.t.Tab)

(o,b) R

We r e t u r n to our problem 1.10. The Following theorem shows t h a t i t may be

hard to prove the u n d e c i d a b i l i t y of the t h e o r y of w-separated spaces.

1.14 Theorem. a) A t o p o l o g i c a l space i s w-separated i f f it is Lt-equivalent

to a space where every two points can be separated by clopen neighborhoods
(and which i s t h e r e f o r e ~ - s e p a r a t e d ) .

In f a c t every denumerable r e c u r s i v e l y saturated w-separated space has t h i s

p r o p e r t y . (As a l r e a d y i n d i c a t e d in I . § 4, we c a l l a t o p o l o g i c a l s t r u c t u r e
(~,~) r e c u r s i v e Z y saturated, if For some basis 8 of ~ the two-sorted s t r u c -
ture (~,~) i s r e c u r s i v e l y s a t u r a t e d . )

b) With respect to the theory of w-separated spaces every L t - f o r m u l a

~(Xl,...,Xn) i s e q u i v a l e n t to a boolean combination of formulas of the form

x i : x . ), ¢(x i) .

Proof. a) I t i s e a s i l y shown by i n d u c t i o n t h a t ~ = U For any clopen U and

every ~. Whence spaces where any two points can be separated by clopen neigh-
borhoods are oo-separated.

Every space i s L t - e q u i v a t e n t to a denumerable r e c u r s i v e l y saturated space

(A,~)o Suppose t h a t (A,~) i s w-separated. We show t h a t (A,~) i s ~ - s e p a r a t e d .
Let 8 be a basis of ~, f o r which (A,B) i s a r e c u r s i v e l y saturated two-sorted
structure. I f U • B and a % ~, there i s , f o r every n, a neighborhood V • 8
of a s.t. ~n 0 n = ~. 8y saturatedness, there i s V • 8 which contains
a and s a t i s f i e s vnn 0n = ~ For a l l n • w, i . e . ~n ~ = ~. This shows
= ~+l. The proof of [a} = ~ } w = {~}w+t ( f o r any a e A) i s s i m i l a r .
From t h i s f o l l o w s by i n d u c t i o n t h a t ~ = 0~ and {a} = ~a} m = ~a}~ holds
f o r a l l e ~ w. - Let p,q e A, p ¢ q. To separate p and q by a clopen s e t , we
only will use t h a t ~ } ~ [T} ~ = ~, and t h a t A = { a l l i e w} i s denumerable.

Set Po = { p } ' Qo = {q} and suppose t h a t P i , Q i with ~ ~

. .z z = ~ have a l r e a d y
been defined.

Case 1. ai ~ ~ . Then, For a l l ~, there i s a V e a s.t. a. e V ,

~n ~. = ~. Choose V s.t. V = V for arbitrarily large ~. Then

 87

~ n ~ i = ~" Set Pi+l = P'I u V and Qi+l = o''l

Case 2: a. ~ ~ . . Then a { i~" and as in the f i r s t case, we f i n d a. ~ V e B

i i i i

s.t. ~ n ~ = ~ and set Pi+l = p'l and Qi+l = Q'I u V.

U P. i s a clopen set which separates p and q.

1.15 E x e r c i s e . Let ( ~ , ~ ) be a t o p o l o g i c a l s t r u c t u r e and B,C c A. Then,

n ~ = ~ iff there i s a t o p o l o g i c a l s t r u c t u r e ((~',B',C'),~') such
that ((~',B',C'),c') ~ t ( ( ~ , B , C ) , ~ ) and B' and C' can be separated by a
clopen s e t .

Proof o~ 1.14 b). A standard compactness argument shows t h a t i t s u f f i c e s to

prove:

Any two n - t u p l e s a 1 , . . . , a n • A, b1 , . . . , b n e B s a t i s f y i n g the same formulas

of the form xi = xi, ¢(xi) in w-separated spaces (A,~) and (B,~) s a t i s f y
the same formulas ~ ( X l , . . . , X n ) .

We can assume t h a t f o r some bases ~ of ~ and 8 of ~ , t h e p a i r ( ( A , e ) , ( B , 8 ) )

i s a denumerable r e c u r s i v e l y saturated weak s t r u c t u r e . Then (A,~) and (B,~)
are homeomorphic and w i l l be i d e n t i f i e d , (A,~) = (B,B). We may assume t h a t
a 1 , . . . , a n are d i s t i n c t . Then b l , . o . , b n must be d i s t i n c t too. Whether a.1 = b.]
or not causes a l o t of cases.

We t r e a t onZy a t y p i c a l example:

n=6

a2 = b l , a3 = b2, a 1 = b3, a5 = b4, a i ~ b.] otherwlse.

By a) we f i n d d i s i o i n t clopen sets U i , U ' , U " s . t . a i • Ui, 5 5 • U' and

b6 • U". Since a. and b. s a t i s f y the same Lt-formuZas, we f i n d an automor-
1 1
phism f . of (A,a) which maps a. on b . .
1 1 1

We set

v1=u I ° f 1(u 2 . (u3)),

v2= f1(Vl), v3=f2(v2),
- I
V4 = U4 n f4](U5 n (U'))
 88

v s : re(v4), v' = fs(V5),

v 6 : u 6 ~ f~1(u"), v": %(v 6) .

V1 . . . . . V6,V,V' are d i s i o i n t neighborhoods of a l , . . . , a 6 , b 5 , b 6. The union of

the f u n c t i o n s

fl r V1, f2 ~ V2' fTlf21 ~ v3, f4 F v 4, f5 I v 5, f41fs-1 I V', f6 ~ V6'

r~ 1 ~v, id FA~(Vlu...uV Cuv uV)

is an automorphism of (A,~) mapping a l ~ . . . ~ a 6 onto b 1 . . . . . b6. Therefore,

these two 6 - t u p l e s s a t i s f y the same formulas ~(Xl,...~x6).

1.16 Exercises. a) Every uniform s t r u c t u r e

is k 2 - e q u i v a l e n t to a uniform
m
structure (~,~)~where any two points can be separated by a uniform open set
B (i.e. there is N e ~ s.t. a e B implies N(a) c B).
b) Prove the r e s u l t corresponding to 1.14 b) f o r uniform spaces.
c) Show t h a t in p r o x i m i t y spaces the r e l a t i o n

x ~ y iff ](X,Y) (x ~ X A y ~ Y A Vz(z e X v z e Y)

may be n o n - t r i v i a l . (It is open whether the t h e r y of p r o x i m i t y spaces is de-

cidable).

B The d e c i d a b i l i t y of the theory of T3-spaces.

In a c e r t a i n sense T 3 is the strongest separation axiom which is e x p r e s s i b l e

in L t : A To-topology i s c a l l e d O-dimensional, if i t has a basis of clopen
sets. We have

1.17 Theorem. A t o p o l o g i c a l structure is T 3 i f f it is L t - e q u i v a l e n t to a O-

dimensional t o p o l o g i c a l structure. - In any denumerable T 3 - s t r u c t u r e d i s i o i n t
closed sets can be separated by clopen sets.

Proof. In T3-spaces , we have ~ = B. In p a r t i c u l a r , if P and Q are closed

and d i s i o i n t , then P-004 ~ = ~. The proof of 1.14 shows t h a t P and Q can
be separated by a clopen set, i f the universe is countable.

O-dimensional spaces are T 3. Thus every space L t - e q u i v a l e n t to a O-dimensio-

nal space is T 3.
 89

Now l e t (~,~) be a T 3 - s t r u c t u r e . I f L i s denumerable, we f i n d a denumerable

T3-structure (@,T) Lt-equivalent to (~,~). By our first remar~T is O-dlmen-
s i o n a l . - If L is uncountable, let (B,T) be w]-saturated and Lt-equivalent
to (~,~). We want to show that T is O-dimenslonal. Let U be an open neighbor-
hood of b e B. By regularity there exists a sequence U o U o U] o... of
o
open neighborhoods of b s.t. 0i+ I c Ui . i ~ m U.z = i /~
• ~ 0.l is closed,
and - by the next lemma - open.

I.]8 Lemma. Let (8,T) be ~1-saturated. Then T is closed under countable

intersections.

Proof. Choose a basis B s.t. the two-sorted structure (8,8) is w]-saturated.

Suppose O. e T and b e . /~ 0.. Choose neighborhoods V.e 8 with b e Vi/
I i•~ i i
~C 0 i . The type
{c o • X} u {Vx(× • X ~ x • Cl) I I • ~}

is finitely satisfiable in ((B,b,Vo,VI,...),8) •

Whence there is a V • 8 with b ~ V and Vc V. c O. for i = 0,1,2, ....
l l
Therefore, . /~ O. is open.
i•~ I
].]9 Exerclse. Give a finite a×iomotizatian of the class of all topological
spaces which are L t - e q u l v a l e n t to a space with a basks ~ s . t . C,D e ~ i m p l i e s
C c D or D c C or C n D = ~.

By the L~wenheim-Skolem theorem it is enough to know the elementary proper-

ties of all denumerable spaces. We use the following presentation of the de-
numerable T3-spaces.

1.20 Definition. An ~-tree is a denumerable partial ordering (T,~), where

all sets [blb s a], a e T, are finite and linearly ordered by ~.

i
 go

We will use the notations:

C(a) = { b i a s b] , the "cone" of a,

N(a) = { b l V x ( x ~ a- x< b)], the immediate successors of b.

We d e f i n e a topology T< on T using the sets

U (a) = {a} u U{C(b)Ib ~ N(a) - A}

A
where A is a finite subset of N(a), as a basis of the neighborhoods of a. T
is a T3-topology wlth the denumerable basis { U ( a ) l a e T, A finite] of clopen
sets.

1.21 Theorem. Every denumerable T3-space is homeomorphic to a space of the

form ( T , ~ ) , where (T,<) is an w-tree.

Proof. Let (T,T)be a denumerable T3-space. We want to find an w-tree structure

on T s.t. T = T • First fix an enumeration of T. Then we construct a set
of non-empty clopen subsets of T s.t.

i) (~,D) is an w-tree with smallest element T,

ii) if aA is the first element of A E %, then there are clopen sets
A = 8o ~ 81 m "'" forming a basis of the neighborhoods of aA s.t.
the immediate successors of A are iust those differences B i - Bi+ I ,
which are not empty.

Ai~ aA yields a bliection from % onto T. D e f i n e ~ by

aA ~ a B iff A D B

Then T = ~<. Note t h a t A i s the cone of aA.

1.22 C o r o l l a r y . A l l denumerable T3-spaces without i s o l a t e d points are homeo-

morphlc %o ( 0 , 7 < ) , the t o p o l o g i c a l space of the r a t i o n a l s with the order t o -
pology.

Proof. The c o n s t r u c t i o n in 1.21 y i e l d s a t r e e with a s m a l l e s t element. In

case the t o p o l o g i c a l space has no i s o l a t e d p o i n t s , every point has countably
many immediate successors. 8u% a l l such w - t r e e s are homeomorphic.

1.23 Exercises. a) Show: (T,T_<) i s compact iff (T,~) has no i n f i n i t e path

and o n l y a f i n i t e number of minimal elements.
b) Every denumerable T3-topology i s induced by a l i n e a r o r d e r i n g .
 gl

c) Deduce 1.24 below from b) and the d e c i d a b i l i t y of the theory of l i n e a r

orderingso ( c f . [ 1 3 ] ) .

1.24 Theorem. The theory of T3-spaces is decidable.

Proof. By [17] the weak second order theory T of a l l w-trees is decidable,

W
i.e.
T w = Thu2{((T,~),Pm(T)) I(T,<) w-tree]

is decidoble. (P (T) denotes the set of finite subsets of T). - We assign to

every Lt-sentence ~ an L~-sentence ~ (L = ~, L' = [S}) s.%.

(T,T<) ~ ~ iff ((T,~),P (T)) ~ $ .

_

To obtain ~ we replace in ~ the set q u o n t i f i e r s as indicated by (Q = ~,V)

. . . QX t ... s • x ... ~ ... Qx . . . Ux(t) ... ,

where UX(%) is

(t ~ S A VX(X • X A x~ s ~ ×~ t)) .

Then, we have by 1.21 and the L~wenheim-Skolem theorem

holds in a l l T3-spaces iff ~ e T .

W

1.25 Corollary. The theory of T3-spaces with unary relations is decidable.

Proof. The weak second order theory of w-trees with unary relations is deci-
dable [17].

1.26 Exercises. a) I t is well known that a formula P(P1. . . . . Pn) of propo-

s i t i o n a l calculus is i n t u l t i o n i s t i c a l l y valid i f f in every T3-space p is sa-
t i s f i e d by a l l sequences 0 1 , . . . , 0 n of open sets (where the connectives are
interpreted in the Heyting-algebra of open sets). Show that the set of in-
% u i o n l s t i c a l l y valid formulas is decidable.
b) Show that the theory of regular spaces is decidable.

t 2 ~ corresponds in c l a s s i c a l model theory to the d e c i d a b i l i t y of the theory of

universes with unary r e l a t i o n s , which is easy %o prove. The classical result
that the theory of universes with a unary functions is decidable ( c f . [17])
has only the following negative counterpart.
 g2

1.27 Remark. The Lt-theory of all two-sorted topological structures

((A,~),(8,T),f), where ~ and T are T 3 and f:A ~ B is continuous, open and
suriective , is hereditarily undecidable.

Proof. We interprete the theory of graphs without isolated points over the
theory in discussion. The formulas are

U(x) = 3y(~ y = x ^ e ( x , y ) ) ,

e ( x , y ) = VX~ x VYg y 3 x 1 ] x 2 3 Yl 9 y2(~ x 1 = x 2 A m Yl = Y2 A Yl e Y

A Y2 • Y A x I ~ X A x2 e X A f(x 1) = f(x 2) = f(yl ) = f(y2)).

I f (C,R) has no i s o l a t e d points and, say, i s denumerable, choose an enumera-

t i o n ( ( a l , b i ) 1i • ~) of R, where every p a i r occurs i n f i n i t e l y many times.
i d bi
Take new elements cb, for b e C, i ~ ~, s.t. c ai = d ai for a ¢ {ai,bi}
are the o n l y equalities.
0 [ck d bi 1
C b~C

...............
iiilii:
i

s~tA--c o {Cblb,c,i "~}o{d Ibo C,i~ ~ . L e t ~ be the topology, wher~ ollc~d~

are isolated, and the sets [b} u A, where
•
b • C and where A is coflnite in
[c~I i • ~} u [d li • w}/ form a basis of the neighborhoods of b. Let B be
i i
the partition [C} u [b U e {Cb'db}I i e w], f the pro)ection and T the quo-
tient topology. Then L~I = C and e ~/ = R.

Note t h a t a continuous map f y i e l d s an e q u l v a i e n c e r e l a t i o n ~ with closed

classes: x ~ y iff f(x) = f(y). Hence, the t h e o r y of a l l T 3 - t o p o i o g i c a i
s t r u c t u r e s ( ( A , ~ ) , = ) , w h e r e ~ i s an equivalence r e l a t i o n w i t h closed classes
is hereditarily undecidable.
 g3

We conclude part B with another application of our tree method.

1.28 Theorem. The theory of hausdorff uniform spaces is decidable.

(~/e mean the k 2 - t h e o r y o f hausdorff uniform spaces, see p. 53).
m

Proof. We c a l l a non-empty subset A of an u - t r e e ( T , s ) good, i f every point

of T has e x a c t l y one immediate successor which does not belong to A. T h e n , f o r
every a • A, t h e r e i s a unique path Xa (= maximal l i n e a r l y ordered subset)
with

AC(o) a
={o}

The equivalence r e l a t i o n s Un,

Un = { ( a ' b ) l I xan Xbl ~ n}

f o r n • m, form a basis o f a h a u s d o r f f u n i f o r m i t y V(T,<,A ) on A.

1.29 kemmo. Every hausdorff uniform space i s k 2 - e q u i v a l e n t to a uniform

m

space of the form (A,V(T,<,A))

, _ where A is a good subset of some ~-tree T.

Proof. Let ( 8 , v ) be an a r b i t r a r y hausdorff uniform space. Take a weak s t r u c -

t u r e (8',8') L2-equivalent
2 to (B,v) and Wl-saturated. B is the basis of a
uniformity v', which is closed under countable intersections, v' also has
a basis 8" consisting of equivalence relations. For, let N e ~', then
O
there is a sequence N D N I D N 2 D... of elements of v' s.t..
O
Ni+ I o N-Ii+I c N i. i/~• ~Ni • v' is on equivalence relation.

Now choose a denumerable weak structure (A,~) with (A,~) ~2 (8',8"). If

is the monotone system generated by =, we haye L2 (A,~) ~2 (8,v).

kr.
has a descending basis A2 = U D U1 ~... of equivalence r e l a t i o n s . Since
O

is hausdorff, we f i n d a sequence A° c A 1 c... s.t. A = . U A. and

1 E W 1

A. i s a t r a n s v e r s a l set f o r U.. The p a i r s (a/U , i ) with the o r d e r i n g defined

1 1 .
by z

z ]
iff } and b• a/u.
i

form an u - t r e e (T,<). I f we i d e n t i f y a e A with ( ° / U . , i ) , where

a e Ai - Ai_ t, A becomes a good subset of (T,<) and 1
"V(T~,A) = ~ •
 g4

We return to the proof of 1.28. I t s u f f i c e s to decide, i f an L2-sentence

m
holds in a l l (A,~(T,~,A)).

A subset X of the w-tree T is bounded , i f the set of numbers

h(x) = l { t l t ~ x}I with x ~ X are bounded. Let Pb(T) be the set of o i l
bounded subsets of T. In [12] i t is shown that

ThL~({((T,~,A),Pb(T))] (T,~) w-tree, A c T})

i s decidable (L' = ~ , A } ) . 1.28 i s proved, i f

(1) "A i s good" is expressible in ((Te~,A),Pb(T)) by an L~-sentence.

(ii) f o r every L2-sentence ~ we can e f f e c t i v e l y find an L~-sentence ~ s.t.

m
f o r any ~ - t r e e (T,<) and any good subset A of T, we have

(A,~(T,<eA)) ~ ~ iff ((T,~,A),Pb(T)) ~ ~.

( i ) is c l e a r . - ( i l ) : F i x a good A c T. For S c T set

US = { ( a , b ) l X a
~ Xb~ S}. Since % ~ Xa is expressible by

t~ a v (a < t A ( V x ( x ~ t A a< x) ~ ~ A x ) ) ,

and (a,b) e US by

~x(~ x e S A x e Xa ^ x e Xb),

2
there i s f o r every L2-sentence ~ an L~-sentence ~ s.t.

(A,{UsIS ~ Pb(T)}) ~ ~ iff ((T,~,A),Pb(T)) b ~.

But the US, S e Pb(T), form a basis of ~(T,~,A)"

Whence
(A,V(T,<,A)) ~ ~ iff ((T,~,A),Pb(T)) ~ ~.

f o r a l l L2-sentences ~ .
m

1.30 Exercises. a) Prove the d e c i d a b i l i t y of the theory of uniform spaces.

b) The theory of s t r u c t u r e s of the form (A,~,m), where c and T are T3-topo-
l o g i e s , is h e r e d i t a r i l y undecidable.
 g5

C. The elementary types ' of T3-spaces

Let (A,~) be a t o p o l o g i c a l space. We p a r t i t i o n A in classes of points of the

some "n-~ype". A l l points have %he some O-type. a and b are of %he same ( n + l ) -
type, i f they are accumulation points of the same n-types. More p r e c i s e l y ,

1.31 D e f i n i t i o n . We d e f i n e the set ~ o f n-types by i n d u c t i o n ,

n

~o = [ * } and ~n+l = P(~n ).

Let ~ = n U
• w ~ n . - The n-type of a e A, t n ( a ) , i s defined i n d u c t i v e l y by

t
O
(a) = . ,

%+1(a) in every neighborhood of a t h e r e i s b ~ a

with in(b) = ~].
Sometimes we w r i t e tn(A,a) or tn((A,~a) to s t r e s s the dependence of i n ( a )
upon (A,~).

There are two 1-types, ~ and [ ~ ] . A p o i n t has 1-type ~ iff i% i s i s o l a t e d . -

A point a has 2-type ~ i f f a is i s o l a t e d . I f a i s not isoiated~ a has 2-type
[[*}} or {~] or {{~},~} according as a i s o n l y an accumulation p o i n t
of %he set of accumulation points or only of the set of i s o l a t e d p o i n t s or
of both s e t s .

For m ~ n, %he n-type of a determines the m-type of a: I f we d e f i n e f o r ~ e

and s e w the s-type (~)s by (~)o = ~ and (~)s+l = [ ( ~ ) s 18 ~ ~ } ' we can
prove,for m ~ n, t h a t (±n(a))m = tm(a).

This gives r l s e %o a t r e e s t r u c t u r e ~ on the " d l s ] o i n t union" of the ~n:

~ 8 iff ~ e ~m' 8 ¢ ~n' m~ n and ~ = (8) m.

({*)]
/
I
\/
:Eo
 96

1.32 Remarks. a) The t r e e i u s t c o n s i d e r e d has no maximal p o i n t s : For ~ e

m

and m< n there is B e %n with ~ = (~)m"

b) The ~n' s are not disioint. But if ~ ~ %m ~ ~n and m < n, then we have
= (~)m (see c). Thus, "a is of type ~" is unambiguously defined.
c) The whole picture is: Let ~ e ~ and assume that
m

(i) ~ c o n t a i n s * . Then ~ ~ ~n for m % n.

(ii) ~ does not c o n t a i n * . Then f o r a l l n> m and 8 e %

n

(8) = ~ iff @: ~ .
m

d) If U is an open subspace o f A and a e U, we have t n (A,a) : t n (U,a).

We want t o c h a r a c t e r i z e up t o L t - e q u i v a I e n c e a T3mspace 5y the t y p e s o f i t s

points.

1.33 D e f i n i t i o n . Given n ~ ~ and any t o p o l o g i c a l space (A,=), we d e f i n e the

function ~ ) : 2~ ~ w u {m} by
n n

K~A'~)(~) = number of a E A with tn(a ) = ~ .

If the topology ~ is understood, then we shall not mention it explicitly.-

By 1.32 b ) , KA = UKA is a function on %.
n

1.34 Theorem. Two T3-spaces ( A , ~ ) and (B,T) are L - e q u i v a l e n t t i f f KA = KB.

P r o o f . For one d i r e c t i o n , we d e f i n e formulas o) such t h a t f o r any space

(A,~) and a e A,

(A,~) ~ ~ [ a ] iff tn(A,~) : ~ .

Put m.(%) = v °
0
= Vo and f o r ~ e ~n+l '

=v
~n+l"'lVo)" = B ~e ~ V X ~ V o 3Vl(V 1 e X A ~ V1 o ^ mB
n( ))A
vl

A ",c~
=vx~% ~Vl(V 1 ~ x A ~ v 1 =v o
^mn(v
~ 1
)).
8 e~ n

Whence
 97

~n(~) > k iff (A,,) ~ 3Vo... 3Vk_1(i/~< k cpn(vo) A i/~ i ~ vi : vi)"

Therefore, (A,~)=t (B,T) implies KA = KB .

n n

For the proof of the other direction we need the following lemma.

1.35 Lemma. Let ~ be an ordinal and (R)

a family of symmetric re-
~ <
lotions between (possibly empty) topological spaces (A,o], . . . . am) wlth a
f i n i t e set of distinguished points. Suppose that whenever

(A,al,...,Om)R (B,b], ....bm) and ~' <

conditions l) and 2) are satisfied.

I) For all am+1 e A ~ {al,...,am} there is bm+1 e B s.t.

(A,al, .... am+l ) r , (B,bI .... ,bm+l) .

2) For every i : 1 , . . . , m and every neighborhood U' of a. there are

1
clopen sets U and V s.%.
a.z e Uc U'x{al, "'"~i'''"am} (ai omitted), b.z e Vc Bx{b],"'"~i' "'"bm}'
A ."
(axU,a 1 .... ,a i . . . . . am)r ,(B,V,bI . . . . . bi,...,bm) and (U,ai)r ,(V, bi).
t
Then (A, o l , . . . , a m ) ~ (B,b],...,bm) , if (A,al,...,a)R (B, b l , . . . , b m ) holds
m
for all ~ < ~. (For the definition of ~ see 1.4.9) .

Proof. For ~ < ~ let I be the set of all triples

({ (o ii,bi) )li<_ k,j = 1, ....mi},{~/eUs u i, i u s vi)Isc {0, "'" ,k]] '

i vi)l s {o, .,k}}),
{(iusu,ius ..

where (U1)~ ~ k is a clopen p a r t i t i o n of A,

( v i ) i _< k is a clopen p a r t i t i o n of B and

(U i, a il , . . . , a ~ . ) R (vi, bil , . . .,b~. ) for i< k.

1 1

It is easy to see that ( I ) < ~ has the properties (forthl), (bockl),

(forth*) and (back*) (see p. ]6, ]9).

Our conclusion follows from the fact that

 98

(A, al, .... am)R (B, bl,...,bm) implies ({(ai,bi)Ii : l , . . . . m},

{(A,B),(~,~)}, {(A,B)~,~)}) • I .

We apply 1.35 for ~ = m and define (Rn) n < • by

(A,Ol,...,am)Ro(B, bl, .... bm) iff A,B ore (possibly empty) T3-spaces
with clopen bases, and a i # ai, b i % b i for i # i,

(A,al,...,am)Rn+l(B,b I . . . . . bm) i f f (A,aI .... ,am)Ro(B,bl,...,bm),

~,(A, ai) :{n(B, bi) for i : l,...,m

and ~nln + m + 1 : K~In + m + l

(here fIm denotes the function m i n ( f ( x ) , m ) ) .

Then Rn+1CRn.Suppose (A,aI . . . . ,am)Rn+l(B,bI . . . . . bm) • We want to prove I),2)

of 1.35 for ~ = n+l, ~' = n.

1) Let am+l • A X { a l , . . . , a m } . Let k be %he number of indices i • {l . . . . ,m}

s.%. %n(a i ) = tn(am+ 1) = ~. Then KA(~)n > k, and therefore K~(~) > k. Since
in(el) = ~ iff tn(bi) = ~, there is b 1 e B-{b I .... ,bm} with tn(bm+ I) = ~.
We have (A,a 1 . . . . . am+1 )R n (S,b,,
C ' . . . . bn+l ) ' for in-1 is determined by t n land
K~_llr is determined by Knit.

2) Let U' be a neighborhood of a.. We always find a clopen neighborhood U of

1

al, U c U' s.t,

a) ainU for ],i , and if n > 0

b) c e U',{al} implies %n_](c) e tn(Oi) ,

C) ~n_l(~)=oo implies ~nZ](e)> n+m.

If we choose the neighborhood V in B in the same way, we have

(AxU'al' . . . . ai . . . . 'am)Rn(B"V'bl . . . . . b i ' . . . . bin) and (U,ai)Rn(V, b i ) . For we
have for example,
%n.l(U,a i) = (tn(A,ai))n_ 1 = (tn(B, bi))n_ 1 = tn_l(V, bi)) ,

and KU
n_lln + m, ~n _-Ul l n + m resp. KV B-V + m are completely
n_lln + m, Kn_lln
I

determined by %n(ai) and ~n_lln + m + 1 resp. i n ( h i ) and K~_lln + m + 1.

More precisely, a), b) and c) imply:

 gg

f
~, if ~ ~ tn(ai)
KUn-1(~) = 1, if ~ = %-1(°i ) ~ %(°i )
O, otherwise .

I KAn-l(~)In + m , if~ ~ tn_l(ai)

KAn-U(e) I n +m =

k(~n-l(~)ln + m + 1)- 1, otherwise.

Now we complete the proof of 1.34 as follows. Suppose KA = KB. By 1.17 there
are T~-spaces A' and B' wlth clopen bases s.t. A' t A and B' t B.
Since- KA' = KB', we have A'R B' for all n <~. Thus, by 1.35, A' = t B',
n
and by 1.4.13 A' t B'.

1.36 Remarks and exercises, a) We have shown t h a t A~t2 n + k + l B implies

~nlk = K~Ik ,and t h a t ~nln + 1 = K~ln + 1 implies A n+2 B.
n
b) The formulas ~ are (equivalent t o ) A-formulas. Compare 1.5.13 and 1.32 d).
n
Also t h e ~ and the formulas "Kn (~) ~ k" are equivalent to L ( I ) - f o r m u l a s
(defined on p. 48). For "B ~ t n + l ( X ) " may be expressed by ~ I x y ( ~ ( y ) ~ x =y).

c) Show that in T3-spaces every El-sentence ¢ is equivalent to a d l s i u n c t i o n

of sentences of the farm "Knln + 1 = h~ I t is possible to obtain t h i s sen-
fences in an e f f e c t i v e way by r e t r a c i n g the proof of 1.34.

d) Show t h a t in T3-spacesevery Lt-formuta ¢ ( x 1 . . . . . Xn) is equivalent to a

dls~unction of formulas of the form "Kn n + 1 = h", "~n(Xi) = = " , x i = x~,
X. = Xo.
1 j
Compare 1.14 b). I t is not true t h a t in w-separated spaces every Lt-formula
~(Xl,...,Xn) is equivalent to a boolean combination of sentences, A-formulas
~ ( x i ) and e q u a l i t i e s x.1 = x .j .

e) Show that in T3-spaces every A-formula ~ ( x ) is equivalent ~o a formula

of the form " t (x) e s", where sc % .
n n
f ) Let S(@) denote the Stone space of the Boolean algebra @. Show that
S(@) s t S(@') implies @ SL @', but the converse does not hold in general.

We want to determine, what n-types can occur in T3-spaces. For example,

 100

{{~]} • %3 can never be the 3 - t y p e o f a p o i n t a, because, i f a i s accumula-

t i o n p o i n t of p o i n t s of type [ ~ ] , it must a l s o be accumulation p o i n t o f i s o -
lated points. (lt i s not c l e a r i f the n o n - r e a l i z a b l i t y of a type always has
such a simple reason.)

First we g i v e a general method t o c o n s t r u c t T3-spaces. Let ( A , ~ ) be a T 3-

space. I f 8c A and a i s an accumulation p o i n t o f 8, we w r i t e 8 ~ a. B ~ C
means t h a t B ~ c f o r a l l c ~ C. B ~ C means B ~ c for all c e C.

1.37 Definition. A partition (Ap)p • p of A i s good, i f

(I) A ~ A or A ~ A f o r 011 p,q • P.

P q p q
(2) U{Aptp E P, A p ~ A q ] ~ Aq for aii q ~ P.

For finite P, (2) follows from (I). A ~ A

induces a transitive binary rela-
q P
tion on P. Note that A isinf~ite, if there is o q e P with A ~ A .
P P q
1.38 Lemma. Let ~ be a transitive binary relation on P. Suppose that
K:P~ {nln~ I] u {w] is a function with K(p) = ~ for non-minimal elements
p (i.e. %here is q e P with q ~ p). Then there is o T3-space (A,~) and a
good partition (Ap)p eP of A s.±.

A P ~ Aq iff q~p and ~Ap~r = ~(p)

for all p,q • P. For denumerable P, we f i n d o denumerable ( A , ~ ) .

We c a l l (A,o) a ( P t ~ K ) - s p a c e or, more b r i e f l y , o (P,~-space.

Proof. We c o n s t r u c t d i s j o i n t sets A n f o r p e P and n • w by i n d u c t i o n on

P
n. Choose A°P s . t . IA ~ I = K ( p ) . Zf f o r n • w, a l l Ap,
n p • P, are d e f i n e d ,
choose i n f i n i t e disioint sets A n for q • P, o ~ ~ p An . Set
q,a p p

A.+I
q
= O{A~,o I a ~ ~nP and p ~q f o r some p } .

T = p e~J
P An
p has an ~-tree s~-~ucture ~ ( b u t i s p o s s i b l y uncountable) d e f i n e d b~
n E LU
for a • A n: N(a) = immedla%e successors of a = ~J. An e
p p ~ q q,a
We set ( A , ~ ) = (T,T<) and A = U An.
_ p new p
The next iemma shows t h a t the elementary type e f ( A , ~ ) i s de%ermined by
(P,<,K).
1.39 D e f i n i t i o n . Let ~ be a t r a n s i t i v e relation on P. D e f i n e Sn:P ~ %n by
 101

So(p) = * , Sn+l(p) = { S n ( q ) l P < ( q ] "

Sometimes we w r i t e Sn(P,q) for Sn(P). Note %hat the remarks 1.32 hold
f o r s n instead of t n ; e.g. if m~ n then Sm(p) = (Sn(P))m" And
Sn(P,p) : sn (~qlq ~P,p ~q},P).

1.40 Lemma. Let (A,~) be a (P,~K)-spoce with the good partition (Ap)p E P"
Then
a) in(a)__ = Sn(p)__ for p ~ P and a e A @

P
b) ~n(~) = Sn(P)E= ~K(P) for ~ ~ %n "

The proof by induction on n is eas~

Our problem, what types occur in T3-spaces , i s solved by:

1.41 Theorem. For any function h: ~ + w u {~] t h e following are equivalent:

n

(i) There is a T3-spoce (A,~) ~ith ~ = h .

n

(ii) There is a transitive relation ~ o n

v = b ~ ~nlh(~)* O}
s.t. f o r a l l ~ ~ v , ~ : { ( ~ ) n _ 1 1 B ~ v , ~ < d , ond non-minimal im-
plies h(e) = =%

Proof. Assume ( i i ) . Set (P,~ = (V,<~ and K = hl v .

Choose - using 1.38 - a ( P , ~ K ) - s p o c e ( A , ~ ) . We compute KA: By the assumption
n
on ~, we have

(e)m+l = {(e)ml~~ B} f o r m < n.

Using t h i s we obtain by i n d u c t i o n

sin+ 1 ( ~ ) = {Sm(~)t~ < ~ } = {(B)mI~ <B} = (~)m+l •

Whence s (~) = ~ and
n

K(~) h(~).
~(~) = Sn(~)~= ~ =
On the o t h e r hand, l e t (A,~) be a T3-space , and ~n = h . We denote by A the
c~
set of points of type ~. We d e f i n e the b i n a r y r e l a t i o n k- on %' by

k- 8 iff A -~ a f o r some a. e A .
B
 102

Claim 1. ~ : {(8)n_11~ ~ 8}-

Proof: Clearly, ~ ~ B implies (8)n_ I e ~ . C o n v e r s e l y , i f 7 • ~ : tn(a),

then we have A ~ ~ . But

A :U{%I(Sln I : B thus A a, ( 8 ) n _ 1 : ? f o r some 8 e ~n"

C l a i m 2. ~ ~ 8 implies ~ c ~.

P r o o f : Assume A ~ a, a e A and ? e 8. Then A ~ A , t h e r e f o r e A ~ a,

8 ? 8 ?
i.e. y e~.

Denote by • t h e transitive c l o s u r e o f ~ on W.

Claim 3.{(~)n_11~ b 8} : {(~)n_]l~< e}.

P r o o f . The inclusion c is clear, s i n c e ~ ~ 8 implies ~ <8. If ~ <8, then
t h e r e i s a sequence ~ l , . . . , ~ k s.t. ~ b el ~'"~ ek b 8. Then

(8)n_] e ~k c . . . c ~1 c ~ .

By c l a i m s ] and 3, we have ~ = {(8)n_11= K ~ } . I f ~ e W i s not m i n i m a l ,

t h e r e i s a 8 w l t h 8 b = . Thus A has an a c c u m u l a t i o n p o i n t i n A and
8
h(~):tA1 :~.

As a corollary we obtain for ~ ~ ~n the equivalence of (1) - ( i l i ) :

(i) ? i s t h e t y p e o f a p o i n t o f some T3-space .

(ii) There i s a s e t W w i t h ~ e W c %n' and a t r a n s i t i v e relation •on V

s.%. ~ = { ( 8 ) n _ 1 I ~ <~8} for all~ eW.

(iii) There is a (finite) transitive relation (P,~ s.%. y = Sn(P) for

some p e P.

Theorem 1.41 yields a decision procedure for the theory of T3-space:

Let ~ be given. Look for functions hl,...,hk:~ n ~ {O,...,n+1} s.t.

(A,o) ~ ~ iff ~In + I e {5,...,hk} (cf. 1.36 c)

Set Wi : { ~ l h i ( ~ ) ~ O} and Ui = { ~ l h i ( ~ ) : n + 1}.

Then ~ i s s a t i s f i a b l e iff f o r some i t h e r e i s a t r a n s i t i v e relation <on V.

1

s.t. f o r a l l ~ e Wi,
 103

= { ( 8 ) n- - 11~ • 8 } and ~ e U. f o r non-minimal ~.

In a s i m i l a r way, one obtains decision procedures f o r the theory of regular

spaces or f o r the theory of T3-spaces with unary r e l a t i o n s .

1.42 Remarks and exercises.

a) 1.41 also holds (with the same proof) f o r Tl-spaces.

b) Show that very T3-space (A,~) is L~ equivalent to a T3-space with a good

partltlon.There are two proofs:

1) Set L' = [ ~ } . The proof of 1.41 shows that

Tht((A,~)) u '~ is a good equivalence relation"
is finitely satisfiable.

2) We con assume that (A,~) is recurslvely saturated and define = by

o ~ b iff tn(O) = t n ( b ) for all n e ~ .

c) Determine the elementary types of all structures (A,Vl,...,~k) , where ~i

is a filter on A, and prove the decidability of the corresponding theo~y(cf.
p. 56).

D F i n i t e l Z axiomatizable and ~ - c a t e g o r i c a l T3-spaces.

' O

1.43 Deflntlon. Let (A,~) be a T3-space. The w-type of a point a e A is the

sequence t(a) = (tn(a))n e w" (A,~) is of finite tZRg, if [t(o)la e A} is
finite.

Note that (A,~) is of f i n i t e type i f f f o r some n e w, t (a) = tn(b) implies

n

tm (a) = tm(b ) f o r a l l m e m and o,b e A. Consequently, if (A,~) is of

finite type, every space L t - e q e i v a l e n t to (A,~) i s of f i n i t e type too.

1.44 Lemmo. (A,~) i s of f i n i t e type iff (A,~) has a f i n i t e good p a r t i t i o n .

Proof. I f (Ap)p • P is a good p a r t i t i o n and , o n P is defined by

q ~p iff Ap ~ Aq,

then we have t ( a ) = (Sn(P)) n e w = s(p) for o • A .

P
Thus {t(o)Io ~ W} is f i n i t e , if P is.

Conversely, l e t (A,~) be of f i n i t e type. Choose n e ~ s.t. t ( a ) only

 104

depends on t (a). Set P : {tn(a)la ( A}, and A :

n
{altn(a) : ~}. This a good
partition, since AB ~ a is equivalent to B e tn+l(a ).

Note that under the hypothesis and notations of the second part of the proof,
t
i f (B,T) ~ (A,~) the sets B ={bltn(b ) = ~} for ~ • P yield o good parti-
tion of (B,T). We hove

BB e B iff A ~ A and I .BI : 'e'IAl"

The followlng exercise shows that in the above proof i t is enough to choose
n~ 21{t(a)la e A}I - I .

E×erclse. Show that f o r a l l t r a n s i t i v e r e l a t i o n s (P,<~ and (Q,K)

and for n~ IPI + IQI - l ,

Sn(P, p) = Sn(Q,q) implies Sn+l(P,p) = Sn+l(Q,q)

(use induction on I PI + IQI).

We c a l l o t o p o l o g i c a l s t r u c t u r e (~,a) [ $ n i t e l y axiomatizabi~, i f l'h%((~,~
is f l n l t e l y axiomatizable.

1.45 Theorem. The f i n i t e l y axiomatizable T3-spaces are iust the (P,<~K)-

spaces, where P is f i n i t e and where K(p) is f i n i t e f o r any minimal element
p ~ P.

Pro.of. Let (A,~) be a (P,<,K)-space with f i n i t e P and K(p) f i n i t e foz mini-

mal p ~ P. Then (A,~) is of f i n i t e type. Choose n large enough__ s.%. i n ( a )
de¢ermlnes t ( o ) f o r a • A° We introduce the notations
m = ~n ( ~ ) '
+I
W : {e • ~n+ilm < ~ } and U : {~ • %n+iIm : ~}. (A,e) is a model of the
f i n i t e theory

T = "T3 + /) W K ~) = m +
e e
K"" (~)
U n+l
0,,.

We want %0 show %hat a l l models of T ore Lt-equivalen¢. By 1o40 and 1.34 i t

is enough to show %ha% a i i models (B,T) of T are ~ / , ~ ,K )-spaces, where
V = {e E ~n+l I% ~ 0}, K~(e) = m and e~B iff (B)n • ~.
We have
KB (~) ~ 0 iff e • %'.
n+l

Thus (B) is a p a r t i t i o n of B, where B = { b l t n + l ( b ) = ~ } .

 105

Let b e B . Then, B ~ b iff (B)n e ~. For, i f B ~ b, then, clearly,

B
(B)n , ~ . A n d i f (~) ,~, then there i s o y , Y ~ i t h ( : ) n =(B)n andB ~b
(cf. proof of 1.41, claim I ) . But any ~ E RV is determined by (~)n" T~us
y = B and BB ~ b.
I t remains to show that I B I = m . This follows immediately from (B,T) ~ T,
i f m < ~. I f m = ~, there i s a p e P with Sn+l(p) = e and K(p) = ~. p i s
not minimal, so t h e r e i s a q e P with q ~ ( p . But now (~)n Sn+l
and t h e r e f o r e B ~ B Thus B must be i n f i n i t e . Note t h a t K*(~) i s
. ~ . 0+1
finite, if ~ z s ~ -mznzmal.

Conversely, suppose t h a t (A,~) i s f i n i t e l y a x i o m a t i z a b l e . Using 1.34 we see

t h a t there i s a n e ~ s.t.

(B,T) iff K_BI

n
n + I : _In + 1.
n

By 1.41 there i s o t r a n s i t i v e relation ~on

= {~l~n(~) , O} s.t. ~ = {(B)n_11~ ~8,8 ¢ V} and ~n(~) = ~ f o r non-

minimal ~.

1.38 y i e l d s a (V,~,h)-space ( B , T ) , where

I n + I(~) , if ~ is minimal
h(~)
[~ , otherwise

The proof of ] .41 shows t h a t KB : h. Whence (B,7) _ t

n
(A,~). Now we apply
the f i r s t p a r t of our proof to (B,T) and conclude t h a t (A,~) i s of the r e -
qulred form.

As a c o r o l l a r y we o b t a i n from the preceding proof t h a t every sentence, which

is satisfiable in a T3-space, aZso i s s a t i s f i e d in a f i n i t e l y axiomatizable
space.

1.46 E x e r c i s e . Let ~ b e t r a n s i t i v e on P and n ~ 2tP 1 . Then f o r any p o i n t a

of a T3-space (A,a),

t n ( a ) = Sn(p) implies t n + l ( a ) = Sn+l(p) .

Whether a ( P , ~ K ) - s p o c e and a (F~,<~,K*)-space are L t - e q u l v a l e n t can be seen

(using 1.40 and 1.45) by a computation, which may be r a t h e r long. To make i t
e a s i e r we introduce the f o l l o w i n g concept:
 106

t.47 Definition. Let < b e a t r a n s i t i v e r e l a t i o n on P. (P, ~) i s normal, i f

for all p,q • P, p ~ q, one of the f o l l o w i n g four p r o p e r t i e s (1) - (4) hold.

(1) q ~q, q ~p, p ~p

(2) p ~Lp, p ~ q , q <~q

(3) p ~r, q ~r f o r some r # p

(4) q <r, p ~Cr f o r some r ~ q .

The f o l l o w i n g p i c t u r e gives an example of a normal (P,~). For d i s t i n c t p

and q, we have p < q iff we can reach q from p on ascending l i n e s . A point
p i s marked by © iff p < p.

Note t h a t in a normal P every f i n a l segment Q c p ( i . e . q e Q and q < p

imply p e Q) is normal too.

I.~8 Lemma. Let P be finite and < transitive on P.

Then
(P,~ i s normal iff s(p) = s(q) i m p l i e s p = q f o r a l l p, q • P.
(as i n 1.43, s(p) denotes (Sn(P)) n e ~)"

Proof. Let (P,<) be normal. We show

(*) if s(p) = s(q) then p = q
by i n d u c t i o n on Ipt + tql,where Ipl = l { r t p < r , p + r}l.Assume s(p) = s(q).We
show t h a t none of (1) - ( 4 ) of 1.47 hold, thus o b t a i n i n g p = q.To show t h a t (1)
of 1.47 f a i l s assume t h a t q ~ q and p <p.Then Sn(p) e Sn+l(p ) = Sn+l(q ) f o r
all n.Since P i s f i n i t e , there i s a t with q < t and s ( t ) = s(p).We h a v e l t l < l q J
and hence, p = t by i n d u c t i o n . Thus (1) i s f a l s e . B y the same reasons,(2) does
not hold. For (3), assume p < r f o r some r ~ p. As above, there i s t with
q <t and s ( t ) = s(r). By i n d u c t i o n hypothesis, t = r and t h e r e f o r e (3)
 107

falls. S i m i l a r l y one shows that (4) does not hold.

Conversely, assume that ( * ) holds. Let p,q e P, p ~ q. Choose the smallest m

s.t. Sm+l(p) , Sm+l(q). W . l . o . g . suppose Sm+l(p) ¢ Sm+l(q). Then there is
an r with p < r and Sm(r) ~ Sm+l ( q ) . We have q ~ r . Thus (3) holds or r = p.
In the l a t t e r case, we have Sm(r ) = Sm(q) and therefore, q ~ q. This shows
that (1) holds.

1.49 Theorem. Every space (A,~) o f f i n i t e type is a ( P , ~ K ) - s p a c e f o r a

finite normal (P,<O. (P,<,K) is uniquely determined by Tht((A,~)) .

Proof. Let (A,~) be of f i n i t e type and l e t ( A ) ¢ ~V be the good p a r t i t i o n

we used in the proof of 1.44 .
Define ~ on RV by

~ ~ iff A ~ A .

Then ~V,~) i s normal, since f o r a e A

(X

Sn(V,~) : tnCO) : ~.

I f (A,~) i s a ( P * , ~ , K * ) - s p a c e , we can find ~ , ~ K ) by

V = {Sn(P) I P e P*}

Sn(p)<~ iff p~q for someq~ P*wlth Sn(q)=

-- ~ K*(p) .
K(e) Sn(P)

I f (P*,<*) is nozmal and n is large enough

Sn(P*,-)- P* -~ ~/

y i e l d s on isomorphism of ( P * , < * , K * ) onto (V,<,K). But (V/-~,K) is unlquely

determined By Tht((A,cT)). - Note that i f (P,<~ is normal, there is iust one
partitlon (Ap)p ~ p, which turns (A,~) into a (P,<)-space-
A : { a l t ( a ) = s(p)}.
P

1.50 Exercises. a) Let (P,<) and (Q,<) be normal with smallest element p
resp. q. Then Sn(P) = Sn(q) for some n > 21PI impZies (P,~)~ (Q,~).
b) Pn = {O,l . . . . ,n} wlth ~'n = {(0,0)} u { ( i , i ) l O _ < i < i ~ n} is normal. Put
a n = S2n(Pn,O). Show that f o r every set Fc w there is a T3-space A with
 108

•2n(en) 0 iff n E F.

Thus there are 2 o complete t h e o r i e s of T3-spoces.

c) There are 2 o d i s t i n c t ~-types t ( a ) of elements of T3-spaces.

d) Let (P,<) be f i n i t e and normal. A ( P , ~ K ) - s p a c e i s f i n i t e l y oxiomatizable

iff K(R) is finite for minimal p e p.

e) Every finitely axiomatizable T3-spoce is Lt-equivalent to the Stone space

of a Boolean algebra.
H i n t : Let (A,o) be a (P.<)-space. C a l l a clopen U c A p-small i f f
(A q n U • ~ p ~ q ) . I f we c o n s t r u c t A from (P,<,K) as i n 1.38 and use the
basis given in 1.20 we get a basis ~ of ~ c o n s i s t i n g of small sets s . t . the
d i f f e r e n c e of any two elements of ~ i s a f i n i t e disjoint union of elements of
~. Let ~ be the Boolean algebra generated by ~. Then S(~) ~t (A,o), i f
(P,4, K) i s as in 1.45, and p < q < p i m p l i e s p = q.

1.51 Definition. An infinite topological structure (W,~) is ~ -categorical ,

--O
if all denumerable topological structures (@,T), which are Lt-equivalent to
(W,o), are homeomorphic.

Examples of ~ - c a t e g o r i c a l s t r u c t u r e s : (a) ( ( ~ , < ) , ~ ) , the s t r u c t u r e of the

O
reals with its ordering and its topology. (b) (Q,o), the rationals with its
topology (cf. 1.22). (c) Infinite discrete spaces. (d) Infinite T3-spaces wi~
points only of ~ype ~ or { { * } , ~ } . (e) 5 t r u c t u r e s of the form ( A , o , T ) , where
and ~ are T3-topologies on the i n f i n i t e set A, which are r e l a t i v e l y prime, i . e .

+ U e o and ~ ~ V e ~ imply ~ • Un V.

( f ) S t r u c t u r e s of the form ( ( A , B ) , c ) , where ~ i s a T3-topology w i t h o u t i s o -

l a t e d p o i n t s and B c A i s p e r f e c t and nowhere dense ( c f . p. 73).

1.52 D e f i n i t i o n . A transitive r e l a t i o n < on P i s dense, i f for all p,q • P

with p ~ q there i s an r e p s.t. p < r < q.

Examples of normal
and dense (P,<) are
 109

and the f i n a l segments O , ~ and ~

(where points with p • p ere marked by O).

1.53 Theorem. The ~ o - C a t e g e r i c a l T3-spaces are l u s t the (P,<~-spaces, where

(P,<) i s f i n i t e and dense. - Let (A,~) be a (P,~)-space with f i n i t e and nor-
mal ( P , < ) . Then (A,~) i s ~ - c a t e g o r i c a l iff (P,<) i s dense.
o
We d i v i d e the proof in four p a r t s .
I . ket (P*,<*) be f i n i t e and dense and K*:P* ~ w u {~}. Then a l l denumerable
(P*,•*,K*)-spaces are homeomorphic.
Proof: We d e f i n e a r e l a t i o n R between ( p o s s i b l y e m p t y ) t o p o l o g i c a l spaces
(A,al,...,am) with a f i n i t e number of d i s t i n g u i s h e d p o i n t s :

( A , a l , . . . . am)R(B, b I . . . . ,bm) iff

a) a.z ~ a.] and b.z # b.] f o r i % i- A,B are ( p o s s i b l y

empty) T3-~paces with clopen bases.

b) For some f i n i t e and dense ( P , • ) and K:P~ ~ u {oo}, A and

B are (P,<,K)-spaces with good p a r t i t i o n s (Ap)p • p rasp.
(B) with the property
ppeP
a.z • A p iff b.z • Bp.

(We allow P = ~).

We show that R satisfies analogues of the back and forth properties of I .35.
Suppose (A,a I . . . . . am)R(B, b l , . . . . bm) and l e t ( P , < , K ) , ( A p ) p • p and (Bp)p • p
be as above.

1) For a l l am+1 e A ~ { a l , . . . , a m } there is a bm+1 • B s . t .

(A,a I . . . . ,am+ 1 )R(B, bl, . . . . bm+1 ).

This holds simply because IApI = IBpl = K(p).

2) For all i and every neighborhood U' of a. there are clopen sets U and V
l
s.%.

a.z • U c U ' \ { a 1 . . . . . a i , . . . . am}, b i e V c S".{b 1 . . . . " ~ i ' . . . . bm}'

(A~U'al' .... ai .... 'am)R(B~V'bl' .... ~i,...,bm) and (U,ai)R(V, bi) .

To prove 2) assume t h a t a i e Aq, and choose U and V small enough s.t.

 110

q <p implies Ap\U % ~ and ~xV % ~

q C p implies A n(U\[oi] ) : ~ and B

P P
Set Qo : {Plq < P } u ( q } . (Ap /~ U)p • Q resp. (Bp V)p e Q are good
0
partitions of U resp. V. Define K o by
0

, if p : q and q 4~ p.

Then U and V are (Qo,~Ko)-Spaces , and (U,ai)R(V, b i ) holds. Now set

{ p , i f ~(q) > ]
Q1 :
p\[q} , otherwise .

(A;U)p e % and (BXV)pl., e Q1 are good p a r t i t i o n s of (A\U) resp. (B\V).

Suppose q <p. There is an element r s.t. q <~r< p. Since ( A ; U ) ~ ( A ~ U )

and A \ U $ ~, A \ U i s i n f i n i t e . S i m i l a r l y , B \ U is i n f i n i t e . This shows
r p p
t h a t A\U and B\V are (Ql,<,K1)-spaces , where

IK(p) , if p,q
K](p) = ~K(p) - 1, if p = q and q e QI"

Now, i f A and B are denumerable (P*,<*,K*)-spaces, then ARB ( c f . 1 . ] 7 ) .

1.35 ( o r more preclseZy the proof of ] . 3 5 ) shows t h a t A =% B. Thus A = B (by
I 4.3 ( b ) ) . P

II. Let ( P * , < * ) be f i n i t e and dense. Then every ( P * , ~ ) - s p a c e is ~ -co%egorl-

O
cal.

Proof: ( o f . the proof of ] . 4 9 ) . Let B and C be denumerabie spaces L t - e q u i -

v a i e n t to the (P*,<*,K*)-space A. Then B end C ore (W,~,K)-spaces, where ( f o r
large enoughn)
V = {Sn(p)Tp e P*} ,

Sn(P) < ~ iff p<* q f o r some q ¢ P* wlth Sn(q) = ~,

= K*(p) .
snCP)Z:

I% remains %0 show t h a t (V,<) i s dense. Then, by I , B ~ C. But i f

 111

Sn(P) ~ Sn(q) , p < * q, then there is r • P with p~?~ r ~ q. Then

Sn(P) < Sn(r) ~ Sn(q).

III. ~o-Categorical T3-spaces ore of finite type.

Proof: If we take any standard proof of the R~Nardzewski theorem (e.g.

D0], p. 100), and replace the omitting types theorem by I 9.2, we obtain:

Let T be a denumerable L ( I ) - t h e o r y . I f there are i n f i n i t e l y many modulo T

non-equivalent L(I)-formulas ~(x)~then there is a type ~(x) of L(t)-formula%
which is realized in some model of T and omitted in another one.

Now take as T the L ( I ) - t h e o r y o f a T3-space (A,o), which is not of f i n i t e typ~

There are i n f i n i t e l y many modulo T non-equivalent L(I)-formulas of the form
"tn(X ) = ~" ( c f . 1.36 b). Therefore we obtain a type ~(x) of L(I)-formulas,
which is realized in (B,T) and omitted in (C,Q),where both spaces are denu-
merable models of T.

To f i n i s h the proof of I I I we need the following lemma (which by the way

shows that "T3" is not expressible by an L(1)-sentence).

1.54 Lemma. Let (~,~) be a denumerable T1-structure. Then there is a T 3-

topology ~ D ~ with a denumerable basis s.t. the elements of A satisfy in
(~,~) and in (A,~) the same L(1)-formulas.

Proof:,, Let (Ai) i E m be a l i s t of a l l L ( I ) - d e f i n a b l e subsets of A. Take a T3-

topology ~ ~ ~ with denumerable basis s . t . for a l l i ¢ m~

~ - i n t e r i o r of A.1 = i - i n t e r i o r Of A.1 (cf. [5 ]).

Now the assertion of the lemma is easily obtained by induction on L(1)-for-
mulas.

Proof of I I I (continued). T and Q are T], for "TI" can be expressed by

Vx Ixy m x = y. I f we choose ~ ~ T and ~ D Q according to the lemma, then
(B,~) and (C,~) s t i l l are L(1)-equivalent to (A,~), (B,~) ~ (C,~), since
is realized in (B,T) and omitted in (C,C).But ( c f . 1.36 b) K(A'~) = K(B'¥):
K(c'C) and thos, t (B,;) t (c,C). Therefore is not -categorl-
a

cal.

IV. Let (P,<) be finlte, normal, and not dense. Then no (P,<)-space i s ~ -
O
categorical.
 1~2

(Note that I - IV together with 1.49 prove the ~heorem°)

Proof: Let (A,~) be the (P,~K)-space constructed in the proof of 1.38. Let
T,< and A (for p e P) be as in that proof. Choose p,q e P, p Kq, s.t.
P
there is no r with p < r and r ~q. Then, f o r any a e A ,
P
a~ b and b e A implies b e N(a).
q

Thus (U~(a)\U~(a))~ n A is finite for every finite & (cf. 1.20).

q
Since P is finite and normal, we hove, for sufficiently large n,
Ar = {altn(a) = Sn(r)]" Therefore (A,o) satisfies the following (Lwlm)t- sen-
tence
: ~X(tn(X) = Sn(P) A ~X)x VY~x "{YlY e XxY A in(y) : Sn(q)}
is finite") .

Let (C,?) be on Wl-saturated weak s t r u c t u r e with (C,?) ~ (A,~). (C,~) does

not s a t i s f y ~. For, i f tn(C ) = Sn(p) then c is an accumulation
2 point of
points of type Sn(q). Let U e ? be a neighborhood of c. Then there are a r b i -
trarily large finite sets of the form {d I ~ ~ U'V, t n ( d ) = Sn(q)}, where
c e V ~ ?. Hence t h i s set is i n f i n i t e f o r some V ~ ? wlth c ~ V.

By the L~wenheim-Skolem theorem t h e r e is a denumerable (D,Q) with

t
(D,Q) ~ t (C,~) and (D,Q) ~ ~. Then (D,Q) ~ .(A,~) but
(D,Q) ~t (A,~).

t . 5 5 E x e r c i s e s . a) Given an i n f i n i t e T3-space (A,~) which i s not ~ o - C a t e g o r i -

c a l , t h e r e are 4enumerable spaces (B,T) and (C,Q) L t - e q u l v a l e n t to (A,a)
anda6 B s.t. for noc C,t(B, 6 ) : t ( C , c ) .

b) Characterize the ~o-Categ°rical structures of the form ((A, Bi,...,Bn),~),

where B.z c A and ~ is a T3-topology.

c) We call (A,~) locally-finlte, i f every point has an open neighborhood of

finite type. (P,<) is locally finite, i f { q l p < q } is finite for every p.

Prove:
1) The analogues of 1.44 and 1.49 f o r l o c a l f i n i t e n e s s .

2) I f (P,<) i s l o c a l l y finite and dense and K : P ~ w u { ~ ] , then a l l denumer-

 113

able (P,~K)-spaces are homeomorphic. This density is a nece=~ary condition,

in case that (P,~0 is normal. We c a l l such denumerable spaces dense spaces.

3) There is a unique dense space containing a l t dense spaces as open sub-

spaces.

d) Give a complete axiomatization of (R,~), where ~ is the natural uniformi-

ty on the reals. Show that (R,v) ~k2 (Q,vlQ)-
m

§ 2 Top01ogical abelian 9roups.

The class of a l l topological abelian groups is axiomatizable in Lt,L = { ~ % - }

(of. I § 2). I t was shown in [7,23 ] that the k x - t h e o r y of abelian groups
is decidable. Moreover, a l l elementary types ( i . e . a l l complete k w-theories
of abelian groups) have been characterized. We want to study the correspond-
ing problems for topological abelian groups.

In t h i s section a l l groups are supposed to be abelian. We denote groups by

A,B,... , thus, in general, not mentioning the group operations.

Let B be a subgroup of the group A. {a + Bla e A} is the basis of a group

topology • on A. The ~-closure of {O} is B. Therefore we can i n t e r p r e t the
theory of a l l pairs (A,B) consisting of an abelian group A and a d i s t i n g -
uished subgroup B over the theory of topological groups. The f i r s t theory is
h e r e d i t a r i l y undecidable (see [ 2 ]~hence so i s the theoryof topoJogicalgroq0~

The main results of t h i s section are (see 2.3 for d e f i n i t i o n s ) :

(2.8) The theory of l o c a l l y pure and torsionfree topological groups is de-

cidable.

(2.11) The theory of algebraically complete topological groups is decidable.

(2.14) The theory of hausdorff topological groups is h e r e d i t a r i l y undecidab-

le.
 114

2.1 Remark. [ ~ ] contains a complete a n a l y s i s of the ( L t - ) e l e m e n t a r y types of

locally pure, t o r s i o n f r e e t o p o l o g i c a l groups. Moreover, the f o l l o w i n g two
u n d e c i d a b i l i t y r e s u l t s are proved: The t h e o r y of hausdorff and l o c a l l y pure
t o p o l o g i c a l groups and the t h e o r y of h a u s d o r f f , t o r s i o n f r e e and d i v i s i b l e
groups are h e r e d i t a r i l y undecidable (both r e s u l t s i m p l y 2 . 1 4 ) . Also compare
the s e c t i o n about t o p o l o g i c a l groups in ~ . q ] .

The topology T of a t o p o l o g i c a l group (A,~) ( = ( ( A , O , + , - ) , T ) ) i s determined by

the neighborhood f i l t e r v of O:
a +v i s the neighborhood f i l t e r of a. Therefore we i d e n t i f y (A,¢) and ( A , v )
and use km f o r ( A , v ) instead of k t f o r (A,~) ( c f . 1.8.8b 2). - Note t h a t a
monotone system v on a group A turns A i n t o a t o p o l o g i c a l group i f f the
f o l l o w i n g L -sentences hold in ( A , v ) :
m

VX VY 3Z Zc X n y
VX OeX
vx 3Y y - y c ~

If v is a filter with a basis consisting of subgroups of A, then (A,v)

satisfies these axioms. In fact, a monotone structure (B,~) is a topological
group iff it is L -equivalent to such on (A,v). For we have
m
2.2 Lemma. An Wl-saturoted topological group has a basis consisting of sub-
groups.

Proof. Suppose t h a t ( A , v ) i s an Wl-saturoted t o p o l o g i c a l group, i . e . that

(A,~) i s an w l - s a t u r a t e d two-sorted s t r u c t u r e f o r some basis ~ of~.v is
closed under countable intersections (cf. 1.18). Now, for every U e vl we
obtain - using the axioms of a t o p o l o g i c a l group - a sequence Uo~ UI D . . .
s.t.U.z • ~ and Ui+ 1 . Ui+ 1 c U.z c U. Then i[)w__ Ui i s a subgroup of A
and ~ U. e v .
ie~ z
2.3 Definition. A topological group (A,v) is locally p4re, if for every
n ~ 0 the following L -sentence holds in (A,v):
m
VX ]Y Vx ] y ( n ' x , Y ~ (y e X ^ ny = nx)).

An a l g e b r a i c a l l y .co.mple.%.e group is a l o c a l l y pure group, which s a t i s f i e s for

each n > O,
Yx(VX ~y ny - x e X ~ ~ y ny = x ) .
 115

For t o r s i o n f r e e groups, l o c a l pureness i s n o t h i n g else than c o n t i n u i t y

of ( p a r t i a l ) division by n ( f o r n ~ 0 ) . A l g e b r a i c completeness means besides
being l o c a l l y pure t h a t nA i s closed f o r every n > O. A l o c a l l y pure group
with a countable basis is algebraically complete iff it is pure in its com-
pletion (we will not use this fact). (B is a Rule subgroup of A iff
n ~ = B ~ nA for a l l n ~ ] ) .

I f v is a f i l t e r with a basis consisting of pure subgroups of A, then (A,v)

i s l o c a l l y pure.

2.4 Lemmo. An Wl-saturated l o c a l l y pure group has a basis consisting of pure

subgroups.

Proof. Let (A,v) be an wl-saturoted l o c a l l y pure group. Choose a basis e of

s . t . (A,e) is an wi-saturated two-sorted structure. For every U e v there
is a sequence (Ui) i e w s.t. U i e ~, Ui+ 1 - Ui+ I c U.1 c U and
n A n Ui+ 1 c nU. for n < i. ~ U. i s a pure subgroup of A w i t h
i - i e w 1
U e v. For, if n o e ~
i e w i i w Ui, then the type
• (x) = {nx = nc ^ x e Cili e w} is finitely satisfiable in ((A,(Ui) i e w,S)~X).
Choose b satisfying ~. Then no = nb and b e ~ U. e
i w i

2.5 Examples. a) A group with the indiscrete (= trivial) resp. discrete to-
pology is locally pure resp. algebraically complete.
b) (Z,vz) , where v Z has the basis [n Zln > 0} is locally pure (but the nZ
are not pure in Z).
c)The direct sum of locally pure resp. algebraically complete groups (with the
t o p o l o g y induced by the product topology) is locally pure resp. alg. complete.

2.6 Lemma. An ~]-soturated locally pure group has o unique decomposition

(D,%) • (B,~), where k is the indiscrete topology on D , and where (B,~) is
hausdoYff, locally pure and ~]-saturated.

Proof. Given on ~l-saturoted locally pure group (A,v~D = ~ } is a pure sub-

group (since (A,v) is locally pure) and is ~]-saturated, since it is definabl~
Whence D i s a direct factor ( c f . [ ? ] ) . Now set (B,~) = (A,v)/D.

2.7 Lemma. (A,v) is o hausdorff, l o c a l l y pure and torsionfree group i f f

there is o linearly ordered group (B,<) s.t. (A,v) ~L (B,v<), where v<
m
 116

is the o r d e r - t o p o l o g y .
(Note t h a t (Z,v Z) i s hausdorff, locally pure and t o r s i o n f r e e , but vZ i s not
induced by an o r d e r i n g ) .

Proof. A l i n e a r l y ordered group i s l o c a l l y pure (since nx e(-nb, nb) implies

x e (-b,b)).
Now assume t h a t (A,~) i s hausdorff, locally pure and t o r s i o n f r e e . Choose an
wl-saturated topological group (C,~) with (C,~) ~L
(A,~). ~ has a basis ?
m
of pure subgroups. Let (B,~) be a weak denumerable s t r u c t u r e w i t h
(B,~) EL~9 (C,?). Then (B,~) ~ km(A'~)" ~ has a descending basis
B = U° ~ U 1 D . . . of pure subgroups. B/U is t o r s i o n f r e e and t h e r e f o r e
( B / u / < i ) i s a l i n e a r l y ordered group f o r some l i n e a r order ~ . Since
M U. = {0}, f o r b e B,b ~ O,I(b) is w e l l - d e f i n e d by the requirement
i e ~ z
that
b e Ul(b ) \ U l ( b ) + 1 .

An easy calculation shows that

b <c iff b ~ c, b + Ui(b_ c <1(b-c) c + Ui(b_c)

defines a linear ordering < on B. (B,<) is a linearly ordered group. We

have v< = ~, since Ul(b) c (-b,b) c Ul(b) _ I for b > O.

2.8 Theorem. The theory of locally pure and torsionfree groups is decidable.

Proof. The theory of linearly ordered groups is decidable [ 9 ]. Since

every L -sentence about the order topology can be translated into an L' -sen-
m ww
tence about the order (where L' = L u {<]), the L -theory of a l l groups
m
with order topology is decidable. Whence, by 2.7, the theory of a l l haus-
dorff, locally pure and torsionfree groups is decidable.

On the other hand the theory of torsionfree groups with the indiscrete topo-
logy (which essentially is the L -theory of torsionfree groups) is decidable
~w
[~]
From these two facts, we obtain the decidability of the theory of locally
pure and torsionfree groups using 2.6 and the results on direct sums of
i§6.
 117

2.9 C o r o l l a r y . The L - t h e o r y of the group of r a t i o n a l s with i t s n a t u r a l

m
topology i s axiomatized by

"torsionfree, divisible, ~ {O}, hausdorff and l o c a l l y pure".

Proof. A l l d i v i s i b l e and ordered groups are L' - e q u i v a l e n t [-19] (~vhere

LUW
L' : L u {<}).

2.10 Exercise. Prove the completeness of the axiom system of 2.9 by the
f o l l o w i n g q u a n t i f i e r e l i m i n a t i o n method: Show by i n d u c t i o n on ~, t h a t every
km-formula ~ ( X l , . . . , X n , X 1 , . . . , X m) i s " e q u i v a l e n t " ' t o a q u a n t i f i e r f r e e formu.
lo~ ~(x 1. . . . . X n , X l , . . . , X m) in the sense t h a t f o r a l l models (A,v) of our
axioms, any a l , . . . , a n ~ A and any d i v i s i b l e subgroups A I , . . . , A m e v with
A ~A 1 ~...~Am, we have

(A,~) ~ ( ~ ~) [a I . . . . . an,A1,...,Am]

(use m l - s a t u r a t e d ( A , v ) ) .

2.11 Theorem. The theory of a l g e b r a i c a l l y complete groups i s decidable.

Proof. By 2.6 and the r e s u l t s of I § 6, i t i s enough to prove the f o l l o w i n g

1emma.

2.12 Lemma. (A,v) i s a hausdorff, a l g e b r a i c a l l y complete group i f f it is

km-equivalent to a d i r e c t sum i ~ I ( B i ' 6 i ) of groups with the d i s c r e t e t o -
pology.

Proof. By 2.5, one d i r e c t i o n i s t r i v i a l . - Now l e t (A,v) be hausdorff and

a l g e b r a i c a l l y complete. Choose an ~ l - s a t u r a t e d s t r u c t u r e (C,X) with
(C,k) ~k ( A , v ) . Then X has a basis ? c o n s i s t i n g of pure subgroups. - F i x
c • C m and V e ?.c i s contained in a denumerable pure subgroup P of C
(cf.[~ ] ) . Since nC i s closed f o r n e w and X i s closed under countable
intersections~we f i n d a s u f f i c i e n t l y small U • ? s.t. U c V, U q P = {O},
and such t h a t f o r a l l n e ~ and b • P

b ¢nC implies (b + U) ~ nC = ~ .

Then the direct sum U + P is pure in C. Let ~ be the set of a l l pure sub-
groups of C. We just have proved:

For a l l c c C and V c ? t h e r e are P c n and U ¢ ?

(*)
s.t. c c p, U c V, U r~ P = {0} and U + P ¢ n.
 118

Now l e t ( C * , ? * , n * ) be an ~ l - s a t u r a t e d t h r e e - s o r t e d s t r u c t u r e w i t h
( C * , ? * , ~ * ) ~L2 ( C , ? , ~ ) . A l l groups i n y* u ~* are pure. ( * ) holds i n
(C*,y*,~*), i f we replace C,?,~ by C*,y*,~*. But for P ~ ~* and U ~ ?*,
P + U i s again an Wl-saturated group, and hence a direct factor of C * , i f
P + U ~ ~*. Thus, i f Q denotes the set of s l l subgroups of C*, we have:

For a l l c e C* and V e ?* there are Q c Q and U e ?*

(**)
s.t. c ~ Q, U c V and C* = U • Q.

Finally, choose a denumerable (B, 8,o) with (B,~,~) ~L_ ( C * , ? * , q ) . Then

(B,B) ~L (A,~), ~ and ~ c o n s i s t of subgroups and ( * * ) ~ o l d s f o r 8,8, a.
m
Suppose B = { b i t i ~ w} and ~ = { V i l i ~ w}. We c o n s t r u c t , by i n d u c t i o n , a
basis (Ui) i c w of ~ with Ui ¢ ~ and B = Uo D UI ~ U2 ~ . . . and comple-
ments B i , Ui = Ui+ 1 • B..
1
Suppose U.1 has a l r e a d y been defined and l e t c be
the U.-componentz of b.z in the decomposition C = Ui • B i _ l e . . . e B o . Using
( * * ) we f i n d subgroups Q c ~ and Ui+ 1 ~ 8 s.t. c ~ Q, Ui+ 1 c U. n V.
and B = Ui+ 1 • Q. Set B.z = Q n U..z Then Ui = Bi • U i + l , c c Bi and
b i c B.e...eBz o" In particular, we have U i = B i • Bi+ I • Bi+2 e . . . . Hence
(B,~) = i ~ w (Bi'6i)r where 5. is the discrete topology on B.. This com-
i I
p l e t e s the proof of 2.11 and 2.12.

To prove our last theorem we need the following lemma.

2.13 Lemma. Suppose B i s a denumerable group. Let H be the d i r e c t sum of

countably many n o n - t r i v i a l t o r s i o n f r e e groups. Then there i s a hausdorff
topology on B • H w i t h respect to which H i s a dense subset.

Proof. Let {bnln c w} be an enumeration of B, and suppose t h a t

H = .• G . where G . are n o n - t r i v i a l and t o r s i o n f r e e . Take
n ~ ® n,z n,z
gn, i c G n , i ~ { 0 } . Define the subgroup U.z of B • H by

U.z = subgroup generated by {b n - gn, j l J >- i , n c ~}.

Then { U i t i e w} i s the basis of a topology w i t h the desired p r o p e r t i e s .

2.14 Remark. One can prove t h a t f o r a l l countable subgroups C of a given

group A the f o l l o w i n g are e q u i v a l e n t .

(i) There i s a hausdorff topology on A s.t. C i s a dense subset of A.

 119

(ii) Every decomposition C = i ~= l(ci + CEni]) (.here C[n] = {clnc = O}

y i e l d s a decomposition A = i ~= 1(~i + A["i])"

2.15 Theorem. The theory of hausdorff t o p o l o g i c a l groups i s h e r e d i t a r i l y un-

decidable.
Q
Proof. Let p be o prime number and q = p~. By [ 2 - ] the theory of a l l pairs
(A,B), where B i s a subgroup of the group A and q . A = {0}, is hereditarily
undecidable. We show t h a t in case A i s denumerable there i s a hausdorff topo-
l o g i c a l group (C,p) s . t .

(A,B) ~ (C/qc, q-C/qc) .

Then the theory of those p a i r s i s i n t e r p r e t a b l e over the theory of hausdorff

t o p o l o g i c a l groups/ thus t h i s theory is h e r e d i t a r i l y undecidable too.

So, l e t (A,B) with denumerable A be given and l e t H be the d i r e c t sum of

countable many copies of Q. There i s a hausdorff topology v on B • H w i t h
respect to which H i s a dense subset (see 2 . 1 3 ) . Use v as basis of hausdorff
topology ~ of C = A • H. Then, with respect to ~, H = B • H. We hove
qC = H, C/H = A and H/H ~ B.
 120

§ 3 Topological fields

This s e c t i o n c o n s i s t s of t h r e e p o r t s :

In part A we c h a r a c t e r i z e s e v e r a l L t - e l e m e n t a r y classes R of f i e l d s with a

topology (e.g. locally bounded f i e l d s ) by theorems of the f o l l o w i n g k i n d :

"(K,T) ~ R iff (K,T) is Lt-equivalent to a field with a topology

given in certain simple manner (e.g. by a subring of K)"

In port B we consider fields with a topology given by a valuation ring (or an

ordering). We introduce Lt-axiom systems T s.t.

"(K,T) b T iff (K,T) is Lt-equivalent to a field with a valuation

topology (an order topology)".

For valuation rings, T will be the theory of V-topological fields. We give

two applications.

Finally, in part C, we determine the Lt-theory of the field of real numbers

and the field of complex numbers with their natural topology.

A. C h a r a c t e r i z a t i o n of t o p o l o g i c a l f i e l d s .

Let K ( = ( K , + , - , . , 0 , 1 ) ) be a f i e l d and T a t o p o l o g y on K.

? is a ring topology, if T is hausdorff, n o n - d i s c r e t e and + , - , . are c o n t i n -

uous. As i n the case of t o p o l o g i c a l a b e l i a n groups, T i s determined by the
filter v of neighborhoods of 0.

We i d e n t i f y (K,T) and (K,v) and use L f o r (K,v) i n s t e a d of L t f o r ( K , T ) .

' m

Let v be o monotone system on the f i e l d K. v i s a r i n g t o p o l o g y , if the

f o l l o w i n g L -sentences hold i n ( K , v ) :
m
(0) VX VY 3Z Z c Xn Y
(1) Vx ~ 0 3X x ~ X
(2) vx {0}~x
(3) VX 3Y Y - Y c X
(4) VX 3Y Y • Y c X
(5) VX Vx 3Y xYc X.

A ring topology v is a field topology (and (K,v) is a topological f i e l d ) , i f

 121

-1
x ~ x is continuous. T h i s means t h a t in addition to (0) - (5) the f o l l o w i n g
axiom (6) h o l d s :

(6) YX ~Y (1 + y ) - I c t + X.

A subset S o f K i s bounded (w.r.t.v), if for every U ~ v there is a V e v

s.t. V . S c U. A r i n g topology v is locally bounded, i f v c o n t a i n s a bound-
ed s e t . T h i s can be expressed by the L - s e n t e n c e :
m

(7) ~X VY 3Z Z • X c y .

Let R be a p r o p e r s u b r i n g o f K ( u n d e r s t o o d t o c o n t a i n 1) s . t . K i s the quo-

tient field Quot(R) o f R. As i t is easily seen, the set of a l l non-zero
ideals of R i s a l o c a l l y bounded r i n g t o p o l o g y v R o f K (v R i s h a u s d o r f f ,
s i n c e R i s not a f i e l d ; (5) h o l d s because K = Q u o t ( R ) ; R i s bounded).
We c a l l v R a standard locally bounded t o p o l o g y .

If in addition R isa local ring (i.e. R o n l y has one maximal i d e a l H), v R i s

a field topology. ((6) h o l d s because ( l + x N ) -1 c ( l + x H ) for all x c R).
In this case we c a l l v R a standard locally bounded f i e l d topology.

Let v be a f i l t e r which i s the u n i o n o f s t a n d a r d l o c a l l y bounded ( f i e l d ) to-

pologies. Then v i s a r i n g (field) topology. We c a l l such a v a standard
(field) topology.

3.1 kemma. Let K be 9 f i e l d and v a monotone system on K which i s c l o s e d

under c o u n t a b l e i n t e r s e c t i o n s . If v is a (locally bounded) r i n g (field) to-
pology, then v is a standard (locally bounded) ( f i e l d ) topology.

Proof. Choose an e n u m e r a t i o n { f i ~ c N} o f the prime f i e l d F o f K . - Let Uo ~ v

be g i v e n . Using ( 1 ) , (3), (4), (5) we c o n s t r u c t , by i n d u c t i o n , a sequence
U DU 1 ~U 2 D... o f elements o f v s.t.
o

- 1 ¢ U1, Ui+ 1 - Ui+ 1 c U i , Ui+ 1 Ui+ 1 c U i , { f o , f l . . . . , f i } . Ui+ 1 c U i .

( I n the case t h a t v i s a f i e l d t o p o l o g y we choose - u s i n g (6) - the sequence

)-1
i n such a way t h a t in addition (1 + Ui+ 1 c 1 + U.z)"

The i n t e r s e c t i o n J = i G wUi belongs t o v and s a t i s f i e s

- 1 ~ J, J - J c J, g . J c J, F • J c J (and (t + j ) - I c 1 + J i n the
case o f a f i e l d topology).
 122

R = F + J i s a proper subring of K and - by (2) - J i s a non-zero i d e a l of

R. ( I f (1 + j ) - I c 1 + J and f + j c R'J, tnen
if + j)-I = f-l(1 + f-lj)-I ~ F • (1 + j ) - I c R. This shows t h a t R \ J con-
s i s t s of units, i.e. R is local).

We show that Ouot(R) = K. Let b be an arbitrary element of K. Choose V ¢

w i t h bV c R and c c (V n R ) \ { O } . Then b = ~, where a = bc ~ R.

Thus VR i s a standard l o c a l l y bounded ( f i e l d ) topology. Since every V ~ ~R

contains a p r i n c i p a l i d e a l aR, a ~ O, which belongs to v (by ( 5 ) ) , we have
VR c v. - U was an a r b i t r a r y element of v. U belongs to v R and thus we have
0 0
shown t h a t v i s the union of t o p o l o g i e s of the form VR' i . e . v i s a standard
(field) topology.

Now suppose that v is locally bounded. We start the above construction with o
bounded U e v. Then J ¢ v R is bounded (w.r.t.~). Let W ~ ~. There is V c v
0
with VJ c W. Choose a c V\{O]. T h e n ~ J c W; this shows that W e ~R and v R =

3.2 Remark. We have shown t h a t a f i e l d topology closed under countable i n t e r -

sections has a basis c o n s i s t i n g of maximal i d e a l s of l o c a l r i n g s R ~ K with
vR c v and Quot(R) = K.

3.3 Theorem. Let v be a monotone system on the f i e l d K. v i s a ( l o c a l l y

bounded) r i n g ( f i e l d ) topology i f f (K,v) i s L - e q u i v a l e n t to (F,~), where
m
i s a standard ( l o c a l l y bounded) ( f i e l d ) topology on F.

Proof. This f o l l o w s from 3.1 and the f a c t t h a t ~ i s closed under countable

intersection% if ~ is a filter (i.e. (0) holds) and (F,~) i s ~ l - s a t u r a t e d
(cf. 1.18)~

3.4 E x e r c i s e . Let K be a f i e l d . A condition is a finite set P ( X l , . . . , X n) of

"formulas" of the form a e X. Ca c K), V X l . . . x k ~ Xi ~ h ( X l , . . . , x k) e X.
z )
(where h i s a polynomial w i t h c o e f f i c i e n t s i n K), which i s s a t i s f i e d by some
sets U. ~ P(K) with 0 c U.. We w r i t e ~ • ~ if p l a y e r I has a winning
1 1
s t r a t e g y i n the f o l l o w i n g game: Players I and I I by turns choose the elements
of a sequence Po c P l c P2 c . . . of c o n d i t i o n s . I wins i f i ~ NPi i s s a t i s f i e d
by a sequence (Ui)i ~ N s.t. 0 ~ U.1 and (K,[Uili ~ N}) ~ ~.

Show: a) I f K i s countable, then there i s ~ c P(K) s.t.

for all L -sentences ~,
m
 123

(K,ot) I:: ~o iff ~ H- cp.

b) ~ ~ " r i n g topology, not l o c a l l y bounded".

B. Valued and ordered f i e l d s .

-1
A subring A of K is a valuation ring, if A • K and i f x • A or x • A
holds for all x • K. Then we c a l l vA a valuation topology.

Let A be a v a l u a t i o n r i n g of K. M = { x ] x -1 ~ A] i s the s e t o f n o n - u n i t s of
A. C l e a r l y , AM c M. Suppose x , y ~ M and e.g. xy -1 ~ A. Then x + y ~ M
would i m p l y y - l = (x + y ) - ] ( 1 + xy - 1 ) ~ A. We c o n c l u d e t h a t A i s a l o c a l ring
w i t h maximal i d e a l M. T h e r e f o r e v A i s a f i e l d topology.

3.5 Remark. (cf.[4]). A valuation is a surjective map v : K ~ £ u { ~ ] ,

where F i s a n o n - t r i v i a l o r d e r e d a b e l i a n group, which s a t i s f i e s

v(x) : ® iff x : O
v(xy) : v(x) + v(y) (where g + ~ : = + g = ~ + ~ : =)
v(x + y) % max{v(x),v(y)] (where g < =) .

Valuation r i n g s are j u s t the r i n g s of the form A = { x l v ( x ) ~ O]. A d e t e r -

mines v up t o a n a t u r a l isomorphism. A b a s i s o f YA i s g i v e n by

U = {xlv(x) >9}, where g • F .

g
3.6 Theorem. (K,v)
is L -equivalent to a field with a valuation topology
m
iff v is a V-topology, i.e. a ring topology which satisfies

(8) VX 3Y Vx Vy (x ~ X A y ~ X ~ xy ~ Y ) .

Proof. Let A be a v a l u a t i o n ring. [aMfa ~ A \ { O } ] f o r m s a b a s i s of v A. Thus

the sequence o f i m p l i c a t i o n s
x , y ~ aM = ax -1 , ay -1 e A ~ a2(xy)-I • A = xy ~ a2M

shows t h a t v A is a V-topology.

Conversely, assume that v is a V-topology. Choose (F,~) Lm-equivalent to

(K,v) s.t. ~ is closed under countable intersections. - Let U • ~. Since
O
is a V-topology, we can construct a sequence U D U] ~ U 2 ~... of elements
O

of ~ s . t .

1 ~ U1, Ui+ 1 + Ui+ I c U i , Ui+ 1 • Ui+ 1 c U i and s.t.

x,y ~ U i implies xy ~ Ui+ ].

 124

The i n t e r s e c t i o n H = i~ Ui belongs to ~ and s a t i s f i e s

1 ~ M, M + H c H, H - M c H, x,y ~ M = xy ~ H.

Set A = {xl× -I ~ M}.

I t i s easy to see t h a t ± 1 e A, A ~ K, AA c A and x e A or x

-I e A for
all x e K. - Suppose x , y e A. We want to show t h a t x + y e A. We can assume
t h a t xy -1 4 H (otherwise yx -1 ~ M). Since x y - l ( 1 - x(x+y) -1) = x(x+y) -1,
x(x+y) -1 e H would imply (1 - x(x+y) -1) e H and 1 e H. Therefore
x(x+y) -1 ~ H and (as x -1 ~ H) (x+y) -1 ~ H, i . e . x + y e A. - Hence A i s
a v a l u a t i o n r i n g w i t h m~ximal i d e a l H e ~.

Clearly v A c p. We f i n i s h the proof showing t h a t ~ = ~ implies ~ = ~,

whenever ~ i s a r i n g topology and E i s a V-topology ( " V - t o p o l o g i e s are
minimal r i n g t o p o l o g i e s " ) .

let U e E. Choose V e ~ and U' e ~ s.t. 1 ~ V" V and s . t . x,y ~ U a V

i m p l i e s xy ~ U'. Take a e U ' \ { O } . Then a V c U - and U e ~ - f o r x e V
implies x -1 ~ V, and hence a x e U.

3.7 Remarks and e x e r c i s e s .

(a) We have shown t h a t every V-topology v, which i s closed under countable

i n t e r s e c t i o n s has a basis c o n s i s t i n 9 of maximal i d e a l s of v a l u a t i o n r i n g s
A with v : VA-

(b) I t i s shown i n [~Z] t h a t the f i e l d s w i t h V-topology are j u s t the

f i e l d s w i t h v a l u a t i o n topology and the s u b f i e l d s of C w i t h t h e i r n a t u r a l t o -
pology. This leads to another proof of 3.6, since the topology of a s u b f i e l d
of C i s not closed under countable i n t e r s e c t i o n s .

(c) Prove 3.6 using 3.3 and the f a c t t h a t every subring of K, which i s not
a f i e l d , i s contained in a v a l u a t i o n r i n g of K.

(d) Show: (K,v) i s a V - t o p o l o g i c a l f i e l d iff f o r every t o p o l o g i c a l f i e l d

(F,~) km-equivalent to ( K , v ) , ~ i s a minimal r i n g topology (use ( c ) ) .

As an a p p l i c a t i o n we prove two well-known theorems about V - t o p o l o g i e s .

3.8 (Approximation theorem). Let v l ' ' ' " V n be d i f f e r e n t V - t o p o l o g i c a l on

K. Suppose V. E ~. and a. f K f o r i : 1 , . . . , n . Then there i s an element
1 1 1
bEK s.t.
 125

b - a 1 ¢ V1,...,b - a n c Vn

P r o o f . Let k be the monotone language appropriage for structures of type

m
(K, v l , . . . , v n) and denote by Xi,Yi,... the v a r i a b l e s ranging over v i-
In t h i s language i t i s e x p r e s s i b l e t h a t the v. a r e d i f f e r e n t V-topologies.
1
Ne have t o show t h a t (K, v l , . . . , V m ) i s a model o f t h e f o l l o w i n g Lm-sentence

VX1VX2...VX Vxl...Vx 3y (y - x] e X l ^ . . . ^ y - x ¢ X ).
n n n n

We can assume t h a t a l l v. are c l o s e d under c o u n t a b l e i n t e r s e c t i o n s and t h a t

z
v i = VA. holds f o r some v a l u a t i o n r i n g s A..z

Ne quote the a p p r o x i m a t i o n theorem f o r v a l u a t i o n rings

Suppose B I , . . . , B n are pairwise independent valuation rings, N1,...,N n

non-zero ideals of BI,...,B n and b l , . . . , b n ~ K. Then t h e r e i s an
element b ¢ K s.t. b - a 1 ¢ Nt,...,b - an e Nn.

Thus, i t remains to show t h a t the A. are i n d e p e n d e n t , i.e. t h a t no v a l u a t i o n

1
r i n g B c o n t a i n s two o f t h e A i . But A i , A j c B i m p l i e s v B c VA , V A . . Hence,
v B : VA. = VA. and t h e r e f o r e i : j. z j
z j
3.9 Continuity of r o o t s . Let v be a V - t o p o l o g y on K, U ¢ v and o ] , . . . , a n ¢ K.
Then t h e r e i s V e v s.t. for all b],...,b n

n n
i~1 ( x - a i ) - i ~ l (x-bi) Cv[x] impliesai-b~(i)=u,1~i~n,
f o r o permutationnr o f 1 , . . . , n .

(where V [ X ] denotes the set of p o l y n o m i a l s w i t h c o e f f i c i e n t s in V).

Proof. For e v e r y n we have t o show t h a t (K,v) satisfies a certain Lm-state-

ment. We can assume t h a t v i s c l o s e d under c o u n t a b l e i n t e r s e c t i o n s . We f i n d
a valuation ring A with maximal ideal M ¢ v s.t. M c
-1
U\{o I ,...,a n
-1}.
n n
Then i ~ l ( X n - a i ) = f ¢ A[X~. Ne set V : H. f - i =~ 1 (x - b i ) ¢ H[X] im-
plies g : i ~ 1 (X - b i ) e A[X] and b] . . . . ,b n ¢ A, s i n c e A i s i n t e g r a l l y
closed. We have g ~ f (mad H) and thus a 1 ~ b r(1),...,a n ~ h~(n ) (mad H)
f o r some p e r m u t a t i o n - r r .

An ordering of K is a linear order < satisfying the axioms

Vx V y ( x < y -* x + z < y + z) and Vx Vy(O < x ^ O < y ~ O < xy).

 I26

Denote by v < t h e monotone system g e n e r a t e d by t h e open i n t e r v a l s

(-a,a) = {xl-a <x <a} where 0 < a . v<is a t o p o l o g y . We c a l l ~< an o r d e r
topology.

3.10 Remark. O r d e r i n g s c o r r e s p o n d t o " p o s i t i v e cones" P via the definitions

P = [xtO~ x} resp. x ~ y iff y - x ~ P. By d e f i n i t i o n , P is a positive
cone iff P + p c p, pp c p , p n -P = {0} and P u -P = K.

3.11 Theorem. A topological field (K,v)

is L -equivalent to a field with
m
order topology iff v i s a V - t o p o l o g y which s a t i s f i e s f o r e v e r y n ¢ N
2 2
(9) 3X VXl...Vx n xI +...+ xn ~-i+ X"

Proof. Taking as X the set (-I, I) we see that an order topology satisfies (91
Conversely, assume that ~ is a V-topology and that (9) holds for every n.
Choose (F,p) Lm-equivalent to (K,v) with ~ closed under countable intersec-
tions. For every n there is a U ¢ p s.t. -I + U does not contain a sum
n n
of n squares. By 3.7 (a) there is a valuation ring A with maximal ideal M

s.t. p = VA and M c i ~ U.

Set Q = {i ~
= 1 (I + m')x'21
s. z n ~ N, mi ~ M, x i c K]. Then 1 + M c Q, K2 c Q
and

a) Q + Q c Q, Q • Q c Q

b) -1 ~ Q.
x.
To see b), suppose -1 = i ~= 1 (1 + m i ) x i 2" We can assume t h a t _~z ¢ A f o r
xI
i = 1,...,n. Then

Xl + i = 2 x 1" = -1 - i = l m i ( ¢ - M,

which c o n t r a d i c t s the c h o i c e o f M.

Now let P be a maximal extension of Q which satisfies a) and b). We show

that P is a positive cone. Since ~2 c P, p c P~ -P implies ! c P and
I P
-1 = -p • - ~ P. Whence Pn -P = {0}. Let x ~ K. Since x 2 ~ P the sets
P
QI = P+ xP and Q2 = P- xP satisfy a). O I or Q2 also must satisfy b). For
otherwise we have -1 = Pl + xql = P2- xq2 with pirq i e P. This implies

-(ql + q2 ) = Plq2 + P2ql hence ql + q2 = O, which implies ql = q2 = O,

and -I = PI' a contradiction. Thus P = QI or P = Q2' i.e. x c P or x e -P.
We have shown t h a t K = P u -P.
 127

By ( x ~ y iff y - x ~ P) we obtain an o r d e r i n g of K with M c ( - 1 , 1 ) .

v < c v A i m p l i e s v< = ~.

3.12 Remarks (see [15],[16 ]).

(a) There are V - t o p o l o g i e s which s a t i s f y (9) but are not order t o p o l o g i e s .

(b) A PC-class R of monotone s t r u c t u r e s i s the class of L-reducts of an L ' -

m
theory T where L c L ' . - Note t h a t then ( ~ , v ) ~ Th(~) iff (~,v) is L -
m
e q u i v a l e n t to some (~,~) ~ R.

I f T i s r e c u r s i v e l y enumerable, then Th(R) (which i s {~ e LmlT F ~ } ) a l s o i s

r e c u r s i v e l y enumerable. The classes of f i e l d s w i t h standard ( l o c a l l y bounded
field) topology, non-minimal r i n g topology, v a l u a t i o n topology and order t o -
pology are PC-classes. We gave e x p l i c i t a x i o m a t i z a t i o n s of the r e s p e c t i v e
Th(R). -
For a l o t of natural classes R of V-topological f i e l d s , Th(R) is not recursi-
r e l y enumerable. E.g. the class of subfields of C or the class of f i e l d s with
a topology induced by an absolute value.

C. Real and complex numbers.

Let q be the n a t u r a l topology of the f i e l d R of r e a l numbers. The f i e l d s e l e -

m e n t a r i l y e q u i v a l e n t to R are j u s t the r e a l closed f i e l d s . Since the (unique)
ordering of r e a l closed f i e l d s and henceforth t h e i r order topology are ele -
mentarily definable, the f i e l d s (K,v) km-equivalent to (R,Q) are j u s t the
r e a l closed f i e l d s with order topology v . This class i s a x i o m a t i z a b l e by a
set of k -sentences. We give another d e s c r i p t i o n of t h i s c l a s s .
m
3.13 Theorem.(K,v) i s k e q u i v a l e n t to (R,Q) iff K i s r e a l closed, v i s a
m
V-topology, and

(10) (K,v) # 3X Vx x2 ¢ - I + X.

Proof. One direction is t r i v i a l . On the other hand l e t K be real closed, l e t

v be a V-topology and suppose (I0) holds. Since sums of squares are squares,
(9) holds and by 3.11 (K,v) is L -equivalent to (F,v<), where < is an or -

' m

dering of F. F is real closed, thus < is the unique ordering of F. Hence,

(F,<) and (R,<) are elementarily equivalent. This implies
 128

(F,v<) ~L (R,v<) : (R,Q).

m

Finally, we give an oxioma¢iza¢ion of the Lm-theory of (CrT), where 7 i s the

n a t u r a l topology of the f i e l d C of complex numbers.

3.14 Theorem. (K,v) i s L - e q u i v a l e n t to (C, 7) iff K is an a l g e b r a i c a l l y

m
closed f i e l d of c h a r a c t e r i s t i c 0 and v i s a V-topology.

Proof. Since 7 i s a V-topology, one d i r e c t i o n is c l e a r . For the converse we

first note t h a t every (K,v), where K i s a l g e b r a i c a l l y closed and of cha-
racteristic O, and where v i s a V-topology, i s Lm-equivalent to a f i e l d (F,VA),
where A i s a v a l u a t i o n r i n g w i t h residue class f i e l d A/M of c h a r a c t e r i s t i c O .
To obtain t h i s r e s u l t take (F,~) Lm-equivalen¢ ¢o (K,v) w i t h ~ closed under
countable i n t e r s e c t i o n s . There i s U 6 ~ s.C. U n N = [ 0 ] . Now choose
A s.t. ~ = VA and Mc U .

By a r e s u l t of Robinson [ ] all structures (F,A) of the above form are ele-

mentarily equivalent. Since VA is d e f i n a b l e in terms of A, any two (F,v A) are
L-eqivalent. Hence, any two (K,v) w i t h K a l g e b r a i c a l l y closed of c h a r a c t e r -
istic 0 and v a V-topology are L - e q u i v a l e n t .
m

3 . t 5 C o r o l l a r 7. The Lm-¢heory of (C, 7) i s decidable.

3.16 E x e r c i s e . Derive the d e c i d a b i l i t y of (C, 7) by an i n t e r p r e t a t i o n in (R,<).

 129

§ 4 Topological vector spaces.

A topological vector space is a two-sorted topological structure

((K,v),(V,~))
(more p r e c i s e l y ( ( ( K , + , - , - , O , 1 ) , v ) , ( ( V , + , - , O , ) , ~ ) , o ) ) where the f i r s t struc-
ture is a topological field, the second s t r u c t u r e i s a hausdorff t o p o l o g i c a l
o b e l i a n group, V i s a v e c t o r space over K, and where the s c a l a r m u l t i p l i c a -
t i o n o:K x V ~ V i s continuous.v and ~ are the neighborhood f i l t e r s of the
corresponding zero elements.

Let L denote the monotone language a p p r o p r i a t e f o r t o p o l o g i c a l v e c t o r

m
spaces. We use the f o l l o w i n g symbols as v a r i a b l e s

~,~,... f o r v a r i a b l e s ranging over K~

A,B,... for variables ranging over V,
x,y,.., f o r v a r i a b l e s ranging over V~
X,Y,... f o r v a r i a b l e s ranging over ~.
~hus, given K and V and monotone systems v and ~ on K resp. V , ( ( K , ~ ) , ( V , ~ ) )
i s a t o p o l o g i c a l v e c t o r space i f f (K,v) i s a t o p o l o g i c a l f i e l d , ( V , ~ ) is a
hausdorff t o p o l o g i c a l a b e l i a n group, V i s a v e c t o r space over K and
((K,v),(V,~)) i s a model of
(1) VX Vx 3A Ax c X.
(2) VX V~ 3Y ~Y c X.
(3) VX ~'~ 3Y A Y c X.

This shows t h a t the class of t o p o l o g i c a l v e c t o r spaces can be axiomatized by

finitely many L -sentences.
m

Let ((K,v),(V,~)) be a topological vector space. A subset 5 of V is bounded,

if f o r every U e ~ there i s a W e v s.t. W5 c U. - ((K,v),(V,~)) is
l o c a l l y bounded, i f ~ contains a bounded element, i . e . if ((K,v),(%~)) is a
model of

(4) 3X VY 3A A X c y .

Let TLB denote the theory of locally bounded v e c t o r spaces. We have no r e -

s u l t s f o r non-bounded v e c t o r spaces. In t h i s s e c t i o n we consider four types
of s t r u c t u r e s (which occur i n mathematics) and describe t h e i r topological
 130

properties:
l o c a l l y bounded r e a l v e c t o r spaces,
l o c a l l y bounded r e a l v e c t o r spaces with a d i s t i n g u i s h e d subspace,
Banach spaces with l i n e a r mappings,
dual p a i r s of normal spaces.

A. L o c a l l y bounded r e a l v e c t o r spaces.

We introduce the theory TR axiomatized by

TLB ,''K i s a r e a l closed f i e l d with i t s order topology ( c f . 3.13)" ,

and f o r n = O, 1 , 2 . . . the axiom

(5) ?X 3Y ?x 1 "" .Vx n Vy ~ (x 1' ' ' ' ' X n > 3x

(x e X n (Xl,...,Xn,Y > A(x + Y n (x I . . . . . Xn))= ~) •

Here (x1,...,Xn~ denotes the subspace spanned by X l , . . . , x n.

4.1 Theorem. a) Every 1ocally bounded real vector space is a model of TR-
b) Two models of TR are Lm-equivalent i f f they have the same dimension.

4.2 Remark. We do not distinguish i n f i n i t e dimensions. Any i n f i n i t e dimen-

sional vector space has dimension ~.

Proof of 4.1 a~: Let (V,~) be a l o c a l l y bounded real vector space. We have
to show that (5) holds. In real vector spaces, f i n i t e dimensional subspaces
are closed. Thus we are don% i f for every UI e ~ we can exhibit an U2 e
s.t.
f o r any closed subspace H c V, and any v ~ H there i s
u e U1 ~ (H + ( v ) ) s.t. (u + U2) ~ H = ~ .
Given U] we choose a bounded open U2 with - 2U2 c U1.
Put b = sup{~t(-~U 2) ~ (v + H) = ~ } . Then, we have 0 < b (since 0 ~ v + H,
v + H i s closed and U2 i s bounded), b < = (by (1)) and (-bU 2) n (v + H):
(since U2 i s open). There i s w e (-2bU 2) n (v + H). Set u = b - l w . Then
u ( -2U 2 c U1 and (u + U2) n H = ~ (since (-bU 2) ~ (w + H) = ~).

4.3 Remark. For normed v e c t o r spaces (5) i s an immediate consequence of

Riesz'lemma.
Riesz'lemma : Given a closed subspace H, v e H and a > 0 there i s
 131

i s u e H + <v) s.t. tlull = 1 and i n f {llu - u ' l l t u' e H} > 1 - a .

For the p r o o f o f b) we d e t e r m i n e the s a t u r a t e d models o f T R.

4.4 Definition. An e u c l i d e a n v e c t o r space i s a v e c t o r space V over a r e a l

closed field K together with a euclidean (= p o s i t i v e definite symmetric
bilinear) form ( , ). For a e K, a > O, denote by Ba the b a l l

Ba : [ v e v l l l v t l ~ a ] (where ilvlI = V ~ - ~ 1

{BotO > O] i s the b a s i s of a monotone system ~. (V,p) is a locally bounded

topological vector space. We c a l l (V,~) a e u c l i d e a n t o p o l o g i c a l vector
space.
4.5 Lemma. ( ( K , v ) , ( V , ~ ) ) is a model of TR i f f it is Lm-equivalent to a
euclidean t o p o l o g i c a l vector space.

Proof. of 4.1 b): Let ( K i , V i , ( , ) ) , i = 1,2 be euclidean vector spaces of

the same dimension. Denote by v. resp. ~. the corresponding topologies on
1 1
K. resp. V.. Since KI and K2 are elementarily equivalent there are eu-
i 1
clidean vector spaces (K, V I , ( , ) ) , i = 1,2, over the same f i e l d K s.t.

( K i , V i , ( , )) z (K,V~,( , )) i = 1,2 .

Furthermore we can assume t h a t the ( K , V ~ , ( , )) are denumerable. But t h e n ,

the (K,V~( , )) have o r t h o n o r m a l bases and hence, a r e i s o m o r p h i c b e i n g o f
the same d i m e n s i o n . T h i s shows

(KI,VI,( , ) ~ (K2,V2,~ , ) ) ,

which implies ( ( K I , V I ) , ( V I , ~ I ) ) ~L ((K2'v2)'(V2'~2))"

m
Proof of 4.5: F i r s t we show t h a t any euclidean t o p o l o g i c a l vector space
( ( K , v , ) , ( V , ~ ) ) i s a model of TR . Note that any f i n i t e dimensional subspace
F of V gives r i s e to an orthogonol decomposition

V=FeF ~

where F~ : [ x I ( x , y ) = 0 f o r a l l y e F}.

To show (5) suppose that Ul = Ba is given. Put U2 = { x l l l x l l < a}. Then, for
v ~ F we only have to choose u e F~ h (F + <v)) of lenghth a t o get

u e U1 and (u + U2) n F = ~ .
 132

Now assume t h a t ( ( K , v , ) , ( V , # ) ) i s a model of T R. We proceed to an Wl-satura-

ted Lm-equivalent s t r u c t u r e ((KI,Vl),(VI~I)). Since #1 is closed under
countabte i n t e r s e c t i o n s we f i n d a bounded U1 e #1 and ~c U1 s . t . f o r any
finite dimensional F and any v ~ F there i s u e U1 ~ (F + (v~) with
(u + O) ~ F = ~. There i s H1 e vl w i t h H1U1 + N I U I + . . . c O.

Since Vl i s closed undez countable i n t e r s e c t i o n s , we can assume t h a t H 1 is

the maximal idea[ of a v a t u a t i o n r i n g (3.7 a ) ) .

Let (((K2, H2 ) , v 2 ) , ( ( V 2 , U 2 , D 2 ) , p . 2 ) ) be denumerable and k*-equivalentm to

(((KI,M1),vl),((V1,U1,D1),#2)) f o r the corresponding L*, where
D 1 = H1U 1 + H1U1 + . . . . ((K2,v2),V2,#2)) will t u r n out to be e u c l i d e a n .

Let V l , V 2 , . o.
be a basis of V2. Set F i =~Vl, ""
.,vi>. We choose u.1 e IJ2nF i
s.t. (u i + D2) n Fi_ 1 = ~. Then U l , U 2 , . . . is a basis of V2, and we have
f o r any a l , . . . , a n e K.

a 1 , . . . , a n e H2 iff a l U l + . ..+anU n e D2.

For, a 1 , . . . , a n e H2 implies a ] u l + . . . + a n U n e H2U2+...4442U2 c D2.

Foz the converse note t h a t F.1 = <Ul, . . . , u i ~ . Hence, i f a l u l + . . . + o u n e D2,

n

then we o b t a i n step by step

(%*o lD2) rn_ l*¢;a b 2 D2;anl A2;on'M 2

(since H2 i s the maximal i d e a l of a v a l u a t i o n r i n g A 2 ) ; a l U l + . . . a n _ l U n _ l e D2
etc. .

Now d e f i n e the euclidean form ( , ) in such a way t h a t ( o i ) i • • i s an o r t h o -

normal basis. We f i n i s h the proof showing t h a t ( , ) induces ~2" Choose
a,b e K2, o,b > O, s . t . [ - a , a ] c H2 c [ - b , b ] . Given U e ~2 we have r~D 2 c U
f o r some c > O. Then Bca c U, f o r a l u l + . . . + a n U n e Bca implies a i e I - c o , c a ] .
-1
Conversely~f.!f c > O. i s given, then we have cb D2 c Bc, f o r a l , . . . , a n e H2
implies ~a12+..+an2 e N2.

4.6 Remark. Note t h a t , b y the same proof, we obtain f o r any model

( ( K , v ) , ( V , ~ ) , P 1 , . . . . Pn ) of T R w i t h a d d i t i o n a l predicates P 1 , . . . , P n on
(k u { P 1 , . . . , P } ) m - e q u i v a l e n t denumezabie s t r u c t u r e ((K',v'),(V',~'),P~,..
...,P') wheze ( ( K ' , v ' ) , ( V ' , ~ ' ) i s an euclidean v e c t o r space.
n

4.7 C o r o l l a r y . TR is decidable. The k - t h e o r y of any l o c a l l y bounded r e a l

m
 133

vector space is decidable.

4.8 E x e r c i s e . Let Tv be the theory TR where the axioms "K i s r e a l closed

w i t h i t s order topology" i s replaced by "K i s a f i e l d with a V - t o p o l o g y " .
Show:
a) Every l o c a l l y bounded v e c t o r space over a complete f i e l d with an absolute
value i s a model of TV.
(I l : K e P~-O i s an absolute value, i f f o r any a, b e K, lat = 0 i f f a = O;
la + bl ~ laI + l b l ; Iobl = l a / I b l and i f t ~ takes a r b i t r a r i l y small p o s i -
t i v e values ([4])).

b) Two models ((Ki,vi),(Vi,~i)), i = 1,2, of T V are tm-equivalent iff K I ~ K 2

and V I and V 2 have the same dimension.

c) A structure is a model of T V iff it is Lm-equivalent to a structure of

the form
((K,v),( i ~ zK,~))
where (K,v) is a V-topological field and {BwIW • v] is a basis of ~ where

BW = i ~ IW"
Hint: a), b) and one direction of c) can be proved like 4.1 a), b) and the
corresponding direction of 4.5. It remains to show that the structures
described in (c) satisfy (5):

This is clear in case K = R or K = C (by the Riesz lemma for (complex)

normal vector spaces). From this, the validity of (5) follows for all sub-
fields of C. It remains the case that ~ is a valuation topology VA of a
valuation ring A of K (cf. ~Z ]). Then (5) holds in the form:

For any finite dimensional F c V and any v ~ F there is

u e BAn (F + <v>) s . t . (u + BM) h r = ~ ,

(where M denotes the maximal ideal of A).

This is easily shown incase that F is generated by "axis vectors" (ai) i e I

where a. % 0 for exactly one i e I. The general case can be reduced to
1
this situation, for the "Elementarteilersatz" for valuation rings implies
that every finite sequence of linearly independent vectors can be mapped
to a sequence of axis vectors by an K-automorphism of V which preserves BA
(and hence 8M). (cf. [ 3 ] , [ 4 ] . )
 134

B L o c a l l y bounded r e a l v e c t o r spaces w i t h a d i s t i n g u i s h e d subspac e.

In t h i s p a r t we look a t s t r u c t u r e s

((K,v),((V,H),#))

where H i s a subspace of the t o p o l o g i c a l v e c t o r space ( ( K , v ) , ( V , # ) ) . Thus

we add to L o unary predicate symbol P. Put L' = L u {P}.

Let TC be the theory axiomatized by

TR ,"P i s a subspace"

and the k'-sentences

m

(6) VX 3Y Vx I . . .Vx n Vy ~ P +<Xl, . . . ,Xn}3X

(x e X n (P + <x1. . . . . Xn,Y ) A (x + Y) n (P + <x1. . . . . Xn}) =

where n = 0,1 . . . . ).

4.9 Theorem. a) Every l o c a l l y bounded r e a l v e c t o r space with a d i s t i n g -

uished closed subspace i s a model of TC-

b) Two models ( ( K i , v i ) , ( ( V i , H i ) , # i ) ) , i = 1,2, of TC are L'-equivalent i f f

m

dim H1 = dim H2 and dim V1/H 1 = dim V2/H2

(where d i m . . , denotes the dimension of . . . ).

Proof. The proof of a) i s s i m i l a r to t h a t of 4.1 a) and uses the f a c t t h a t

in r e a l t o p o l o g i c a l v e c t o r spaces v H + ( V l , . . . , V n ~ i s closed whenever H i s
closed.
Part b) i s obtained from the next lemma i n a s i m i l a r way as 4.1 b) from 4.5.

4.10 Lemma. ( ( K , v ) , ( ( V , H ) , # ) ) i s a model of TC i f f it i s L'-equivalentm to

a euclidean t o p o l o g i c a l v e c t o r space with a d i s t i n g u i s h e d subspace which
has an orthogonal complement w . r . t , the given euclidean form. (A s i m i l a r
remark as 4.6 a p p l i e s . )

Proof. For one d i r e c t i o n argue as i n the proof of 4.5 and note t h a t

H + ( V l , . . . , v n} has an orthogonal complement whenever H has an orthonogaI
complement.
 135

Let ( ( K , v ) , ( ( V , H ) , ~ ) ) be a model of TC. By (6), H is closed and the quotient

space ((K,v),(V/H,~/H)) is a model of TR. Let ~ :V ~ V/H be the natural
projection. Applying twice 4.5 (and 4.6) we obtain a denumerable model
((Kl,Vl),((Vl,H1),~l) , (V2,~2),f 1) L~-equivalent to ((K,v),((V,H),~),
(V/H,~/H),f) ( f o r s u i t a b l e L*), where ~1 and ~2 are induced by euclidean
forms ( , )1 and ( , )2 fl is an open map, thus there is an ¢ > 0 s.t.

B21 c f(B~)

(where Bi6 is the 6 - b a l l defined by ( , ) i ) .

Let ( u i ) i < k where k ~ w be an orthonormal basis of V2. Choose
v i ~ f~l(ui) n B~. Then the l i n e a r map g:V 2 ~ V 1 with g(u i ) = v i is con-
tinuous and f0g = id. Thus (VI,~ 1) is the t o p o l o g i c a l d i r e c t sum of H1 and
V3 = rg(g) equipped with t h e i r respective subspace topologies (and where
rg(g) denotes the range of g). Now we define the euclidean form ( , ) on V 1
in such a way that via id • g

(H1, ( , ) l ) e (V2, ( , )2) ~ (Vl, ( , ) ) .

Then ( , ) induces ~1 and H has the orthogonal complement V3.

4.11 Exercise. Let TVC be the theory T C where the axioms "K i s real closed
with i t s order topology" are replaced by "K is V - t o p o l o g i c a l " . Show
a) Every l o c a l l y bounded vector space over a complete f i e l d with on abso-
lute value together with a closed subspace is a model of TVC"
b) Two models ( ( K . , v . ) , ( ( V . , H . ) , ~ . ) ) of T,,~ are Lm-equivalent i f f K1 ~ K2,
I i V i i i v v~

dim H1 = dzm H2 and dzm

• " ~
1/H 1 = dzm
" ¥2
/H 2 .

c) A s t r u c t u r e is a model of TVC i f f it is k'-equivalentm to a s t r u c t u r e of

the form
( ( K , v ) , ( ( i ~ iK, i ~ j K ) , p ) ) ,

where J c I and where (K,v) and p are as in 4.8 c ) .

Now we look at dense subspaces. Let TD be the L'-tfleorYm axiomatized by

TR and "P is a dense subspace" .

4.12 Theorem. Two models ( ( K i , v i ) , ( ( V i , H i ) , # i ) ) , i = 1,2, of TD are

equivalent i f f dim H 1 = dim H2 and dim V1/H 1 = dim V2/H2.
 136

4.13 Remark. Let ( ( K , v ) , ( V , ~ ) ) be a euclidean t o p o l o g i c a l v e c t o r space with

a countable orthonormal basis Uo, U l , . . . (w.r.t. the given b i l i n e a r form).
Suppose t h a t the sequence ( a i ) i e w of s c a l a r s converges to 0 e K. Then,
f o r n ~ 1, the set {u ° + o i u j l i • ~ , i < j ~ i + n} generates a dense sub-
space H with dim V/H = n. S i m i l a r l y one obtains a dense subspace with i n f i -
n i t e codimension.

Theorem 4.12 (as 4.1b) f o l l o w s from 4.5 (and 4.6) and the f o l l o w i n g lemma.

4.14 Lemma. Let (Vi~ , ) ) , i = 1,2, be two euclidean v e c t o r spaces over K

of countable dimension. Suppose Ht and H~ are dense (w.r.t the topology
" V ~ V
induced by ( , )) subspoces with dim 1/H 1 = dim 2/H 2 .
Then ( V 1 , H I , ( , )) and (V2,H2,( , )) are isomorphic.

Proof. We need the f o l l o w i n g f a c t about a ~ense subspace H i n a euclidean

vector space (V,( , ) ) :

If F is a finite dimensional subspace and v e V,

then H ~q (v + Fz) i s dense i n v + F~.

Proof: Let V l , . . . v n be an orthonormal basis of F. The orthogonal p r o j e c t i o n

1
from V to F maps H onto F. Hence there are U l , . . . , u n e H s . t " v.z - u.z e F ,
i.e. (ui,v j) = (vi,v j) = 8ij. Now suppose a > O. Choose g e H w i t h
IIv - gll < o. By S c h w a r z ' i n e q u a l i t y , l ~ i l < a where ~ i = ( v i ' v - g)" Set
h = g + e l U l + . . . + ~ n U n. Then h e H n (v + Fz) and jjv - hll < a(1 + Ilulll÷..
• ..+ll Unll ) •
For the proof of 4.14 we assume f i r s t t h a t dim Vi/H.z = n < ~. Choose o r t h o -
normal p l , . . . , p n e V 1 and q l , . . . , q n e V2 linearly independent modulo H1
zesp. H2. We c o n s t r u c t bases U l , U 2 , . . . and V l , V 2 , . . . of H1 resp. H2 s . t .
for i,j ~ 1 and r = 1,...,n

(*) ( u i , Pr) = ( v i , q r ) and ( u i , uj ) = ( v i , v j ) .

Then the l i n e a r map given by u i v.1 ( i ~ 1) and Pr ~ qr (1 ~ r ~ n) w i l l

y i e l d the desired isomorphism. The i n d u c t i v e d e f i n i t i o n of the elements of
the bases uses the f a c t :

Suppose u 1, . . . , u m e H1 and v l , . . . , v m e H2 satisfy (*)

and l e t Um+1 e H1. Then there i s Vm+1 e H2 s.t.
 137

U l , . . . , U m + 1 and v 1. . . . ,Vm+1 satisfy (*).

To e s t a b l i s h t h i s , we set b i = (um+t,ui) , c r = (Um+l,Pr) and

G1 = {x • V l l ( x , u i ) = b i , (x,p r) = Cr for i = 1. . . . ,m; r = 1 , . . . , n }

G2 = {x • V21(x,v i) = bi, (x,q r) = Cr for i = 1 , . . . , m ; r = 1,...,n} .

We can assume that um+1 ~ <Ul,...,Um>. Then Um+t ¢ (u t . . . . ,Um, P l , . . . , p n >

and hence Um+1 is not perpendicular to G1.Thus, the distance from 0 to G1
is smaller than IlUm+lll. This distance can be computed from the b i , C r , ( U i , Pr)
and ( u i , u j ) . Hence by ( * ) , G2 has the some distance from O. Since H~n G2 is
dense in G2, we find h e H2~ G2 s.t. Ilhll ~ 11am+ill. But the dimension of the
a f f i n e space H2n G2 is > O. Hence H2n G2 also contains an element Vm+1 with
IlVm+lft = Ilum+lll.
In case that the dimension of V i / H i is i n f i n i t e , we construct simultaneously
four sequences

Pl,P2,--- , Ul,U2,... • V1

ql,q2,.. , , Vl,V2,.. . e V2

s.t. Ul,U2,... and Vl,V 2 . . . . form bases of H1 resp. H2, p l , P 2 , . . .

and q l , q 2 , . . , are orthonormal,

Pl + HI'P2 + H I ' " " and ql + H2'q2 + H2' . . . are bases of V1 /H 1 resp.

V2/H2, and such that (*) holds.

This can be done using the following fact which is easy to prove:

Let H be a subspace o f V , u 1, . . . ,u m e H and p l , . . . , p n e V.

Given p e V there is Pn+l e V s.t.
<Pl' . . . . Pn'p> + H = ~Pl' . . . . Pn'Pn+l ~ + H and
Pn+l i s orthogonal to p l , . . . , P n , U l , . . . , U m .

Again the desired isomorphism is given by u.1 ~ v.1 ( i ~ 1) and Pr ~ qr

(r~ 1).
The following theorem summarizes the preceding results.

Let T5 be the theory obtained from T R adding the axiom "P is a subspace"
and, for n ¢ =, the L'-sentence
m
 138

(7) VX 3Y VxI. . .Vxn Vy ~ P + {x I ,. .. ,xn}~x

(x e X ~ (P + (Xl,...,Xn, Y}) A (x + Y) n (P + <xl, . . . . Xn) ) = ~)

(where P denotes the closure of P).

4.15 Theorem. a) Every locally bounded real vector space with a disting-
uished subspace is a model of TS.

b) Two models ( ( K i , v i ) , ( ( V i , H i ) , U i ) ) , i = 1,2, of TS are L'-equivalentm iff

dim H1 = dim H2, dim F]I/HI = dim R2/H 2 and dim V1/H 1 = dim V2/B2 .

Proof. Part o) follows from 4.9 a), since ((K,v),((V,H),p)) is a model of

TS i f f ((K,v),((V,R),p)) is a model of TC-

One d i r e c t i o n of b) is easy. Now assume that ((Ki,'Ji),((Vi,Hi),~i)) ,

i = 1,2q ore models of TS and have the "some dimensions". By 4.10 there are
denumerable euclidean vector spaces ( ( K , v ) , ( ( V j , H j ) , p j ) ) , j = 3,4, s.t.

((Ki'vi)' ((Vi'Hi)'Pi)) =-L' ((K,v), ((Vi+2, Hi+2),~i+2))

m
and s . t .for j = 3,4, R. has an orthogonol complement G. ( w . r . t the given
] ]
form ( , ) j ) . Since dim G3 = dim G4, we have

(G3'( ' )3 ) ~K (G4' ( ' )4 )

(where . . . =K ...... means that the spaces . . . and . _ _ a r e K-isomorphic).

Since dim H3 = dim H4, dim R3/H 3 = dim R4/H4 and H) is dense in F]~, we have
by 4.14,

(R3'H3'( ' )3 ) =K (R4'H4' ( ' )4 ) "

Putting corresponding isomorphisms together, we see that

(V3'H3'( ' )3 ) =K (V4'H4' ( ' )4 ) "

Hence
((K~),((V3,H3),#3)) = ((K,v),((V4,H4),#4)) .

4.16 Corollary. TS is decidable.

4.17 Remark. We do not know a version of 4.12 for V-topological fields.

 139

C Banach spaces with l i n e a r mappings.

We look at s t r u c t u r e s of the form

((K,~),(v,~),(v+,~+),f)
+ +,,
where (V,#) and (V ,# ) are t o p o l o g i c a l vector spaces over the same topo-
l o g i c a l f i e l d (K,v) and where f:V ~ V ' i s a l i n e a r map. For the correspond-
ing L" l e t TM be the L"-theary expressing that
g m

(i) ( ( K , v ) , ( ( V , k e z ( f ) ) , # ) # TC

(where k e r ( f ) denotes the kernel of f ) .

(ii) ((K,v),((V+,rg(f)),#+)) # TC

(iii) f:V ~ V+is c o n t i n u a = and linear, and open as a map from V to

rg(f).

4.18 Theorem. a) Every continuous l i n e a r map between Banach spaces with

closed range gives r i s e to a model of TM-

b) Two models ( ( K i , ~ i ) , ( V i , u i ) , ( V i + , # i + ) , f i), i = 1,2, are L"-equivalentm i f f

dim k e r ( f 1) = dim k e r ( f 2 ) , dim r g ( f 1) = dim r g ( f 2) and

V+ V+
dim 1 / r g ( f l ) = dim 2 / z g ( f 2 ) .

Proof. a) By the open mapping theorem any such map (as a map to i t s range)
is open. Since the kernel is closed, the assertion follows from 4.9 a).
b) One d i r e c t i o n is c l e a r . For the other d i r e c t i o n we argue as follows:

Let ( ( K , v ) , ( V , ~ ) , ( V + , # + ) , f) be a model of TH-

By 4.10 there is an L " - e q u i v a l e n t denumerable s t r u c t u r e
m

((Ko,Vo)~Vo,~o),(V~,#~),fo) ,
where p and ~+ are induced by euclidean forms ( , ) and ( , )+, and where
0 0
k e r ( f ) and im(f ) have orthogonal complements G and G+.
0 0
Being open and continuous f y i e l d s a K-isomorphism of the t o p o l o g i c a l vector
spaces G and r g ( f o ) . Whence, i f ( ' )+o is the orthogonal sum of ( , )+IG +
and the image of ( , ) l G , t h e n ( )+ again induces ~+
' 0 O*
But now a denumerable s t r u c t u r e

(K,(V,O,( , )),(V÷,O÷,( , )+),f) ,

 140

where
(V,( , )) and (V+,( , )+) ore euclidean vector spaces over K,
f: V ~ V + is K-linear,
V = G @ ker(f), V + = G + • re(f) (orthogonal direct sum)
fiG preserves ( , ) ,

is determined up to isomorphism by K, dim ker(f), dim re(f) and dim G +.

4.19 Remarks. a) An analogue result holds for continuous maps between

"Banach spaces" over complete fields with an absolute value.

b) We have no results for continuous linear maps between Banach spaces

without the assumption that the range is closed.

c) 4.18 says: All elementary properties of continuous, linear maps between

Banach spaces with closed range can be elementarily derived from the Riesz e
lemma and the open mapping theorem.

D. Dual p a i r s of normed spaces.

Let (v, II II) be a r e a l normed v e c t o r space. Denote by (v',llll') the dual v e c t o r

space with i t s canonical norm

llftt = sup gf(u>llu ~ V,H u it = 1}.

Let [ , ] : V x V' ~ R be the canonical b i l i n e a r form and p and p' the t o p o l o -

gies induced by ILII resp. III1'

We w i l l show t h a t the k * - t h e o r y ( f o r the corresponding L*) of such a dual

m
pair
((R,Q), (V,~), ( V ' , ~ ' ) , [,])

i s determined by the dimension of V.

In the language L+ we use the f a l l o w i n g v a r i a b l e s

m
xl,x2,.., as v a r i a b l e s f o r elements of V

XI,X2,... as v a r i a b l e s f o r elements of

yl,Y2,.., as v a r i a b l e s f o r elements of V'

 141

Y 1 , Y 2 , . . . as variables for elements of ~ ' .

Let TDp be an L*-m theory s . t . the models of TDp are ~ust the s t r u c t u r e s of
the form

((K,v),(V,~),(V+,~+),[,]) ,

where ((K,v),(V,~) and ((K,v),(V+,~+)) are models of TR,[,]:V x V+ ~ K is

b i l i n e a r and continuous and where the following axioms hold for n = O, 1 , 2 , . . .

(8) VX VY 3A Vx1...VXn+l(Xn+I ¢ (x I . . . . . Xn)

3x 3y(x • X n(x I . . . . ,Xnel> A [ x , y ] = I A [Xl,Y ] . . . . . [Xn,Y ] = OAAycY)

(9) VY VX 3A Vyl...VYn+l(Yn+ 1 ~ (Yl . . . . 'Yn ~

3y 3x(y • Y n ( y l , . . . , y n + 1} ^ Ix, y] = I A [ x , ~ ] . . . . . [X, Yn] : O A A x c X ) .

4.20 Theorem. a) Every dual pair belonging to a r e a l normed vector space is

a model of TDp.

b) Two models ((Ki,~i),(Vi,~i) , ( V+i , ~ i+) , [ , ] ~ ) , i : 1,2, of TDp are L~-equiv-

alent iff dim V 1 = dim V2.

Proof. a) Let (v, llII) be a real harmed vector space. To prove (8), suppose
that w . l . o . g .
B = {xlllxll -.< a} and B' = [ y l l l y l l ' < a} are given f o r x resp. Y.
a 22 a
O O
Take as A the set ( - ~ , ~ ) . We show that i t s a t i s f i e s (8).Let Un+1 ~ ~ . . . . ,Un~
be given. Choose u e ( u l , . . . , U n + l ~ by Riesz' lemm0 s . t . u e Ba and

(u + B ~ . r3 (u 1. . . . . Un~ = ~. Then the l i n e a r f u n c t i o n a l g: ( u l , . . . , U n + l ) -* R

with g(u 1) . . . . . g(u n) = O, g(u) = 1 has a norm-< a" 2 The Hahn-Banach theorem
2
y i e l d s v e V' s . t . [ u l , v ] . . . . . [Un,V ] = O, r u , v ] = 1 and Ilvll <- We have
22 a
(-~,~)v
a a = B'=.

For the proof of (9) we proceed s i m i l a r l y . Let X,Y and A be as above and
suppose v l , . . . . Yn+l e V',Vn+ 1 ~ ~vl . . . . . Vn ~ are given. By Riesz' lemma we
get v e ~ v l , . . . , V n ~ s.t. v • Ba and (v + B2 ) n (V I , . . . , v n ~ = O. Now
H e l l y ' s theorem states: ~a
 142

Given Ol, . . . . a n + l , b , c ~ R,b,c > 0 and ~1' . . . . ~n+l ~ V'

with
Ibla1+...+bn+]an+11 ~ bNb1~1+...+bn+1~n+li i' for all bl,...,bn+ I ~ R,

there is u E V s.t. [u,~i] = a i (i = 1..... n+]) and !!uil~ b + c (cf. [27]

p. 109. The proof given there works for arbitrary normed spaces).
3 I -
Put a 1. . . . . a n = O, an+ 1 = 1, b = 2aa and c = 2~a and ~1 = Vl . . . . 'Vn = Vn

and ~n+l = v .

Then we can a p p l y H e l l y ' s theorem and o b t a i n u EV s.t.

[U,Vl] ..... [U,Vn] = O, [ u , v ] = 1 and llul/ ~ ~a "

Part b) of the theorem w i l l follow immediately from the lemma:

4.21 Lemma. A s t r u c t u r e i s a model of TDp iff it i s L*-equivalentm to a

(denumerable) s t T u c t u r e ((K,~),(V,~),(V+,~+),[,]), where ((K,v),(V,~)) and
((K,~,),(V+,~+)) are euclidean topological vector spaces with euclidean forms
( , ) resp. ( , )+, and where [,] is d e f i n e d by

[Zai ui'Zbi ~i] = ~a.b.

-

I I

for suitable orthonormal bases u l , u 2 , . . , and vl,v2,.., of V resp. V+.

Proof. First let ((K,v),(V,~),(V+,~+),[,]) be as above.[,] is continuous

since l[u,v]L ~ IIoHLLv!I
+

It is enough to prove (8). Take as X,Y and A the sets 8a,B ~ resp. (- a2, a2).
Given u I ..... Un+ ] ¢ V, Un+ ] ~ <u I..... Un> choose u ' (u I..... Un+1> ortho-
gonal to (u l , . . . , u n > and of l e n g t h a. Suppose u = Za.5..z
1 Set
v = i 2(Zai~i). Then [ u l , v ] . . . . . [Un,V] = O, [u,v] = I, llvll + = ~ and
a

(_ a2, a 2 ) v E 8+.
a

Now suppose t h a t ((K,v),(V,u),(V+,~) i s an - Wl-Saturated - model of TDp.

Let W ~ ~ be bounded. Choose bounded U ~ ~ and U+ ~ ~+ s.t.

[u,v] ~ W for all u ~ U, v ~ U + .

There is W 1 ~ ~ small enough s.t.

 143

for all Un+ 1 #<u I . . . . ,Un} t h e r e are u • U n <u 1 . . . . . Un+l } and

v e V+ s.t. [Ul,V ] ..... [Un,V ] = O , [ u , v ] = 1 and W l V e U+,

and
for all Vn+ 1 ~<v 1 . . . . . Vn} t h e r e are v eU ~ n <v 1. . . . . V n + l ) and

u • V s.t. [u,vl] ..... [U,Vn] = O , [ u , v ] = 1 and WlV , U.

1
Pick a • WI\{O } and choose a v a l u a t i o n ring A c K s.t. ~ = VA, ~ • A and
W c A. Let D ( r e s p . D+) be the A-module generated by U ( r e s p . U+). Since
and m+ are closed under c o u n t a b l e i n t e r s e c t i o n s , D and D+ are bounded and we
have
[u,v] e A for all u • D, v • D+,

for all Un+ 1 ¢ <Ul, . . . . Un) theme are u e D n (Ul, . . . . Un+l)

and v • D+ s.t. [ul,v ] ..... [Un,V ] = O , [ u , v ] = I ,

and
for all Vn+ 1 <Vl, . . . . Vn) t h e r e are v e D+ n < V l , . . . V n + l )

and u • D s.t. [u,vl] ..... [U,Vn] = O , [ u , v ] = 1.

Now we proceed to a denumerable structure L"-equivalent to

m
(((K,A),v),((V,D),~),((V+,D+),m+)), which we denote i n the same way.

We are going to constmuct two bases U l , U 2 , . . . and V l , V 2 , . . . of V resp. V+

s.t.

(*) u.z • D, v.1 • D+' [ui'vj] = 6i=

Let u l , . . . , U n • V and Vl,...,v n • V+ be given s.t. ( * ) holds. Given
e V (or ~ e V), we have to extend the sequences i n such a way ~hat
• <u1 . . . . . Un+l~ (or ~ e <v1 . . . . . Vn+l~). We o n l y look a t the case ~ • V
( s i n c e the s i t u a t i o n is symmetric).

There i s n o t h i n g to be proved i f ~ e ~Ul,...,Un~.

Thus, we assume ~ ~ <u1 . . . . . Un~. Then t h e r e i s u e D n (u 1 . . . . . Un,U~ and

Vn+ 1 e D+ s.t.

[Ul,Vn+l] ..... [Un,Vn.l] = O, [ U , V n + l ] = 1.

 144

We set Un+1 = u - ([u,vl]ul+...+[U,Vn]Un). Then (*) holds and

• <Ul, . . . , U n + l ~ .

Choose the euclidean forms ( , ) and ( , )+ s.t. Ul,U2,... resp. v l ; v 2 ~ . .

are orthonormal. I t remains to show t h a t the t o p o l o g i e s induced by these
forms, ore ~ resp. ~+.

First note t h a t we have [ - b , b ] c A c [ - c , c ~ f o r some b,c > O. Given d > O,

/

we have cH D c Bd. For ~aiu i • D implies a. = [ ~ a i u i , v j ] e A and

J
~ • A. Conversel%given U1 • ~ choose e > 0 s . t . eD c U1. Then
1

Bbe c U1, since ~ - ~ "~ z be implies l a i l ~ be and Za.x.zz e b e D.

4.22 Remarks. a) 4.21 can be g e n e r a l i z e d to a r b i t r a r y V-topological fields

(see 4 . 8 ) . But i t i s not c l e a r what is the g e n e r a l i z a t i o n of 4.20a.
b) Note t h a t in models of TDp,~+ i s uniquely determined by ~. This i s a
s p e c i a l case of 1 . 8 . 8 . 6 since

W VX 3A ¥y((Vx ~ X [ x , y ] ~ A) ~ y E Y)

3X YA 3Y Vy(y e y ~ Vx ¢ X [ x , y ] ~ A)

f o i i o w from TDp.

I t is easy to see t h a t ~+ i s not e x p l i c i t l y d e f i n a b l e from ~ ( c f . 1.7.6).

Historical remarks

§ 1 The r e s u l t s of t h i s section are due to the second author, t.23 b can be

derived from [ 1 4 ] . Theorem 1.24 also follows from [10].
1.9 (with a s i m i l a r proof) was independently found by L. Heindorf, who
also has proved some r e s u l t s on decidable non-T 3 spaces. 1.50 e) is due
to Heindorf. [1] contains c a t e g o r i c i t y r e s u l t s for L~weak monadic
second order q u a n t i f i e r s . 1.55 d) is due to J. Strobel, who determines
the L -elementary theories of a l o t of uniform spaces and proximity
m
spaces.

§ 2 2.8 and 2.14 are f i r s t proved in [ 6 ] . The proofs given in t h i s book

and 2.11 are due to the second author.

§ 3 The r e s u l t s of t h i s section are taken from [ 1 5 ] . V - t o p o l o g i c a l fields

were introduced in [11]. 3.8 was f i r s t proved in [25] (by a related
method).

§ 4 A l l theorems are taken from [24], which o r i g i n a t e d in work of the sec-

ond author.4.14 can be derived from [28]. The given proofs and the
axiomatization of TDp are due to the second author.
 References

[1] G. Ahlbrand: Endlich axiomatisierbare Theorien voq T3-RUumen, Diplom-

arbeit, Freiburg (1979).

[2] W. Baur: Undecidability of the theory of abelian ~roups with a subgroup,

Proc. AMS 55 (1976),pp. 125-128.

[3] N. Bourbaki: A19@bre (Modules sur les anneaux principaux), Paris (1964).

[4] N. Bourbaki: Alg@bre commutative (Valuations), Paris (1964).

[5] Charlotte N. Burger: Some remarks on countable topological spaces.

Seminarreport, FU Berlin (1971).

[6] G. Cherlin, P. Schmitt: Decidability of topological abelian groups,

(1979) to appear.

[7] P.C. Eklof, E.R. Fischer: The elementary theory of abelian groups,
Annals math. logic 4 (1972), pp. 115-171.

[8] L. Fuchs: I n f i n i t e abelian groups, Vol. I, New York (1970).

[9] Y. Gurevich: Expanded theory of ordered abelian groups, Annals of math.

logic t 2 (1977), pp. 193-228.

[10] Y. Gurevich: Monadic theory of order and topology, Israel J. of Math. 27

(1977), pp. 299-319.

[11] I. Kaplansky: Topological methods in valuation theory, Duke Math.J.

14 (1947), pp. 527-541.

[12] H.J. Kowalsky, H. DUrbaum:Arithmetlsche Kennzeichnunq van K6rpertopolo-

glen, d. reine angew. Math. 191 (1953), pp. 135-152.

[13] H. k~uchli, J. keonhard: On the elementary theory of linear order,

Fund. Math. 59, pp. 109-116.

[14] I . k . Lynn: Linearly orderable spaces, Trans. AMS t13 (1964),

pp. 189-218.

[15] A. Prestel, M. Ziegler: Model-theoretic methods in the theory of

topologicgl fieldsr g. reine angewandte Math. 299/300
(1978), pp. 318-341.
 147

[16] A. Prestel, H. Z i e g l e r : Non axiomatizable classes of V-topological

f i e l d s , to appear.
[17] M.O. Rabin: D e c i d a b i l i t y of second-order theories and automata on
infinite trees, Trans. AMS. 141, (1969), pp. 1-35.
[18] M.O. Rabin: A simple method for u n d e c i d a b i l i t y proofs and some a p p l i -
cations, in B a r - H i l l e l (Ed.) Logic, Meth. and P h i l . (1965),
pp. 58-68.

[19] A. Robinson: Complete theories, Amsterdam (1956).

[201G.E. Sacks: Saturated Model Theory, Reading (1972).

[21] W.R. Scott: A l g e b r a i c a l l y closed groups, Proc. Amer. Math. Sac.

(1951), pp. 118-121.

[22] D. Seese: D e c i d a b i l i t y of ~-trees with bounded sets, in p r i n t .

[23] W. Szmielew: Elementary properties of abelian groups, Fund. Math. 41

(1955), pp. 203-271.

[24] V. Sperschneider: Modelltheorie topologischer Vektorr~ume. D i s s e r t a t i o n

Freburg, in preparation.

[25] A.L. Stone: Nonstandard analysis in t o p o l o g i c a l algebra, in A p p l i -

cations of Model Theory to Algebra, Analysis and P r o b a b i l i t y ,
New York (1969), pp. 285-300.

[26] J.P. Thomas: Associted regular spaces, Canadian Journal 20, (1968),
pp. 1087-1092.

[27] K. Yosida: Functional Analysis, Berlin (1964).

[28] H. Gross: Eine Bemerkun9 zu dichten Unterr~umen r e e l l e r quadratischer '

R~ume, Comm. Math. Helv. 4~5 (1970), pp. 472-493.
 Subject index

a p p r o x i m a t i o n theorem 124 Helly's theorem 142

Hintikka set 3
Banach space 139 homeomorphic, partially 14
B e t h ' s theorem 38 - , ~-partially 18
Boolean a l g e b r a 99 homeomorphism 12
bounded 121,129 - , partial 13

-categorical 108 interpolation theorem 25,71

o
interpretable 79
Chang-Hakkai theorem 44,56
i n v a r i a n t 3, 72
compactness theorem 8
- f o r monotone s t r u c t u r e s 52
complete t h e o r y 38
- for topologies 3
completeness theorem 8
continuous 6
convergence lemma 22 Keisler-Shelah ultraproduct
theorem 23
decidable 78 Kuekers theorem 45, 46
definability, explizit 40
, implicit 39
language, f i r s t - o r d e r 1
d e r i v a b l e 55
- , L t 5
dual pair 140
- , Lm 52,54
Ehrenfeucht-Fra£ss~
- , many-sorted 10
theorem 21
- , second-order 1
E h r e n f e u c h t game 15
LindstrSm theorem 48,49,51
e x t e n s i o n I dense 27
l o c a l l y bounded 121,129
- , end- 58
k~wenheim-Skolem-theorem 8,49,51
- , open 27
logic 48
Lt-equivalence 12
Feferman-Vaught
theorem 37
map, closed 12
f i e l d , t o p o l o g i c a l 120
- , open 7
f i e l d of complex
numbers 128
- - r e a l numbers 127 negation normal form 5
f i e l d t o p o l o g y 120 negative in 5
f i n i t e l y a x i o m a t i z a b l e 104
formula, e x i s t e n t i a l 27
o m i t t i n g types 61,64
- , d-existential 29
open mapping theorem 140
- , universal 27
$ - f o z ~ u l a 30
~ - f o r m u l a 30 partially homeomorphic 14
n - f o r m u l a 30 ~- 18
partition, good 100
PC-class 16,127
group, a l g e b r a . i c a l l y
positive in 5
complete 114
preservation theorems 27,74
- , l o c a l l y pure 114
product, topological 31
- , t o p o l o g i c a l 7,54
propositional calculus, intuitionistic 91
- , t o p o l o g i c a l a b e l i a n 113
 149

R i e s z ' lemma 130 v a l i d 55

r i n g t o p o l o g y 120 v a l u a t i o n 123
r e l a t i o n , dense 108 v a l u a t i o n r i n g 123
- , normal 106 v e c t o r space, e u c l i d e a n 131
- - , t o p o l o g i c a l 129
S c o t t ' s isomorphism theorem 73
sequent 55 Ziegler's definability theorem 41
space, compact 8 , 7 1 , 7 2
- , connected 8,71
- , l o c a l l y f i n i t e 112
- , normal 8
- , u - s e p a r a t e d 81
- , T 78
0
- , T1 78,79

- , T2, 5 80

- , T3 78,88
- , t o p o l o g i c a l 77
- , u n i f o r m 52, 92
structure, denumerable 8
- , monotone 52
- , p o i n t - m o n o t o n e 57
- , p r o x i m i t y 59, 88
- , s a t u r a t e d 17,86
- , T 3 with u n a r y r e l a t i o n s 103

- , topological 1,11
- , uniform 52,88,92
- , weak 1
sum, d i r e c t 37
- , t o p o l o g i c a l 32
Svenonius theorem 38,45,46

term, basic 3
term model 3
t o p o l o g y , f i e l d t20
- , o r d e r t26
V - t o p o l o g y 123
- , v a l u a t i o n 123
t o p o l o g i c a l model t h e o r y 7
u>-tree 89
two c a r d i n a l theorem 9
type, f i n i t e 103
n - t y p e 95
~ - t y p e 103

undecidable, h e r i d i t a r i l y 79
 Index of symbols

L2 1 L- 52
m
(~i, a) 1 L (= L1m) 52
m
2
g~ 81
~,5 5
~ 95
kt 5 n

~%,'", xT,'"' YL'") ~ t (a)

n
95
bas 6 t (A,a) 95
n
haus 6
(~)n 95
re~ 6
disc 6 K(A' ~) 96
n
%riv 6
,,u .....
(P,<,K) 100
(L~) t 9 "oR t21
(LI~) t 9
Lt(Q) 10
((~,~),(%~),...) 11
__t 12
= 12
( o, I, 2): ( ~ , a ) t (~,T) 13
I: (~,o) =tD(~,T) 14
F

(~'~l'''"an) 26

n(~i,~ i) 32
I
g(~i,ei) 32
I
~(.,a) 4o
w 4O
L(I) 48
Itx~ 48
(~,~) 52
52

Lk2 52
 Errata

page l i n e read for

8 19 ...regular and H a u s d o r f f . . . . . . regular ..,
15 22 ~ = (... p = (...

18 6 ...p = ({(a i . . . . . . . p = ([ai,...

23 26 ..,with ~t m ~ ~. . . . with ~ m ~ ~.
28 11 ...be universal and p o s i t i v e . . . . . . be p o s i t i v e . . .

39 19 ...any m G kt ... any ~ ~ k t

40 3 • = [... m = {...

40 5 ...~ = ~ . . . . . . a =

57 12 ...¥X 3y V x ( m Xxy . . . . . . VX 3y V x ( m U x y . . .
60 l a s t (~,6) k ~P . . . (~,~) ~ ~P . . .

65 11 ...~* ~ Icxm(x) . . . . . . ~* ~ Icx~(x)...

68 l a s t then £ = 6 . then ® = 6 .
n n n n
71 3 ...over denumeroble models . . . . . . over models...

90 3 ...successors of a . . . . successors of b.

91 11 ...Ux(t,s) . . . . . . UX(t)...

91 12 ...Ux(t,s) . . . . . . Ux(t)...
143 26 ...u e D n (u 1 . . . . . U n , ~ ~. . . . . . u e D n
{ul,..., Un, U~...
50 20 ...each satisfiable denumerable ... each d e n u m e r a b l e

The reference for the work of Heindorf (compare "Historical remarks" p.145)
is :
Heindorf, L.: Entscheidungsprobleme topologischer RUume, Humboldt Universit~t
Berlin (1979).