Diagonal lemma

In mathematical logic, the diagonal lemma (also known as diagonalization lemma, self-reference lemma[1] or fixed point theorem) establishes the existence of self-referential sentences in certain formal theories of the natural numbers—specifically those theories that are strong enough to represent all computable functions. The sentences whose existence is secured by the diagonal lemma can then, in turn, be used to prove fundamental limitative results such as Gödel's incompleteness theorems and Tarski's undefinability theorem.[2]

Background

Let ${\displaystyle \mathbb {N} }$ be the set of natural numbers. A theory T represents the computable function ${\displaystyle f:\mathbb {N} \rightarrow \mathbb {N} }$ if there exists a "graph" predicate ${\displaystyle \Gamma _{f}(x,y)}$ in the language of T such that for each ${\displaystyle x\in \mathbb {N} }$, T proves

${\displaystyle \forall y\quad \left({}^{\circ }f(x)=y\Leftrightarrow \Gamma _{f}({}^{\circ }x,y)\right)}$.[3]

Here ${\displaystyle {}^{\circ }x}$ is the numeral corresponding to the natural number ${\displaystyle x}$, which is defined to be the closed term 1+ ··· +1 (${\displaystyle x}$ ones), and ${\displaystyle {}^{\circ }f(x)}$ is the numeral corresponding to ${\displaystyle f(x)}$.

The diagonal lemma also requires that there be a systematic way of assigning to every formula θ a natural number #(θ) called its Gödel number. Formulas can then be represented within the theory by the numerals corresponding to their Gödel numbers. For example, θ is represented by °#(θ)

The diagonal lemma applies to theories capable of representing all primitive recursive functions. Such theories include Peano arithmetic and the weaker Robinson arithmetic. A common statement of the lemma (as given below) makes the stronger assumption that the theory can represent all computable functions.

Statement of the lemma

Let T be a first-order theory in the language of arithmetic and capable of representing all computable functions. Let F be a formula in the language with one free variable, then:

Lemma — There is a sentence ${\displaystyle \psi }$ such that ${\displaystyle \psi \iff F(^{\circ }\#(\psi ))}$ is provable in T.[4]

Intuitively, ${\displaystyle \psi }$ is a self-referential sentence saying that ${\displaystyle \psi }$ has the property F. The sentence ${\displaystyle \psi }$ can also be viewed as a fixed point of the operation assigning to each formula ${\displaystyle \theta }$ the sentence ${\displaystyle F(^{\circ }\#(\theta ))}$. The sentence ${\displaystyle \psi }$ constructed in the proof is not literally the same as ${\displaystyle F(^{\circ }\#(\psi ))}$, but is provably equivalent to it in the theory T.

Proof

Let f: N→N be the function defined by:

f(#(θ)) = #(θ(°#(θ)))

for each T-formula θ in one free variable, and f(n) = 0 otherwise. The function f is computable, so there is a formula Γ_f representing f in T. Thus for each formula θ, T proves

(∀y) [Γ_f(°#(θ),y) ↔ y = °f(#(θ))],

which is to say

(∀y) [Γ_f(°#(θ),y) ↔ y = °#(θ(°#(θ)))].

Now define the formula β(z) as:

β(z) = (∀y) [Γ_f(z,y) → F(y)].

Then T proves

β(°#(θ)) ↔ (∀y) [ y = °#(θ(°#(θ))) → F(y)],

which is to say

β(°#(θ)) ↔ F(°#(θ(°#(θ)))).

Now take θ = β and ψ = β(°#(β)), and the previous sentence rewrites to ψ ↔ F(°#(ψ)), which is the desired result.

(The same argument in different terms is given in [Raatikainen (2015a)].)

History

The lemma is called "diagonal" because it bears some resemblance to Cantor's diagonal argument.[5] The terms "diagonal lemma" or "fixed point" do not appear in Kurt Gödel's 1931 article or in Alfred Tarski's 1936 article.

Rudolf Carnap (1934) was the first to prove the general self-referential lemma[6] which says that for any formula F in a theory T satisfying certain conditions, there exists a formula ψ such that ψ ↔ F(°#(ψ)) is provable in T. Carnap's work was phrased in alternate language, as the concept of computable functions was not yet developed in 1934. Mendelson (1997, p. 204) believes that Carnap was the first to state that something like the diagonal lemma was implicit in Gödel's reasoning. Gödel was aware of Carnap's work by 1937.[7]

The diagonal lemma is closely related to Kleene's recursion theorem in computability theory, and their respective proofs are similar.

See also

• Indirect self-reference
• List of fixed point theorems
• Primitive recursive arithmetic
• Self-reference
• Self-referential paradoxes

Notes

1. Hájek, Petr; Pudlák, Pavel (1998) [first printing 1993]. Metamathematics of First-Order Arithmetic. Perspectives in Mathematical Logic (1st ed.). Springer. ISBN 3-540-63648-X. ISSN 0172-6641. In modern texts these results are proved using the well-known diagonalization (or self-reference) lemma, which is already implicit in Gödel's proof.
2. See Boolos and Jeffrey (2002, sec. 15) and Mendelson (1997, Prop. 3.37 and Cor. 3.44 ).
3. For details on representability, see Hinman 2005, p. 316
4. Smullyan (1991, 1994) are standard specialized references. The lemma is Prop. 3.34 in Mendelson (1997), and is covered in many texts on basic mathematical logic, such as Boolos and Jeffrey (1989, sec. 15) and Hinman (2005).
5. See, for example, Gaifman (2006).
6. Kurt Gödel, Collected Works, Volume I: Publications 1929–1936, Oxford University Press, 1986, p. 339.
7. See Gödel's Collected Works, Vol. 1, Oxford University Press, 1986, p. 363, fn 23.

References

• George Boolos and Richard Jeffrey, 1989. Computability and Logic, 3rd ed. Cambridge University Press. ISBN 0-521-38026-X ISBN 0-521-38923-2
• Rudolf Carnap, 1934. Logische Syntax der Sprache. (English translation: 2003. The Logical Syntax of Language. Open Court Publishing.)
• Haim Gaifman, 2006. 'Naming and Diagonalization: From Cantor to Gödel to Kleene'. Logic Journal of the IGPL, 14: 709–728.
• Hinman, Peter, 2005. Fundamentals of Mathematical Logic. A K Peters. ISBN 1-56881-262-0
• Mendelson, Elliott, 1997. Introduction to Mathematical Logic, 4th ed. Chapman & Hall.
• Panu Raatikainen, 2015a. The Diagonalization Lemma. In Stanford Encyclopedia of Philosophy, ed. Zalta. Supplement to Raatikainen (2015b).
• Panu Raatikainen, 2015b. Gödel's Incompleteness Theorems. In Stanford Encyclopedia of Philosophy, ed. Zalta.
• Raymond Smullyan, 1991. Gödel's Incompleteness Theorems. Oxford Univ. Press.
• Raymond Smullyan, 1994. Diagonalization and Self-Reference. Oxford Univ. Press.
• Alfred Tarski (1936). "Der Wahrheitsbegriff in den formalisierten Sprachen" (PDF). Studia Philosophica. 1: 261–405. Archived from the original (PDF) on 9 January 2014. Retrieved 26 June 2013.
  • Alfred Tarski, tr. J. H. Woodger, 1983. "The Concept of Truth in Formalized Languages". English translation of Tarski's 1936 article. In A. Tarski, ed. J. Corcoran, 1983, Logic, Semantics, Metamathematics, Hackett.