Book

Effective Descriptive Set Theory
Alain Louveau
LATEX document created the 20th of June 2013.
March 14, 2016

Contents
1 Recursivity on ω 1
1.1 Recursive functions and sets . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1.1 Definition of recursive functions . . . . . . . . . . . . . . . . . . . 1
1.1.2 Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
1.1.3 Sets and relations . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.1.4 Recursive sets, closure properties . . . . . . . . . . . . . . . . . . 4
1.1.5 Recursive graphs. Definition by cases . . . . . . . . . . . . . . . . 5
1.1.6 Canonical bijections . . . . . . . . . . . . . . . . . . . . . . . . . 6
1.1.7 Codings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.1.8 Coding of Q . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.1.9 Coding of ω ăω . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.1.10 More recursions . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
1.2 Σ01 sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.2.1 Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.2.2 Closure properties . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.2.3 Σ01 versus ∆01 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.2.4 Recursively enumerable sets . . . . . . . . . . . . . . . . . . . . . 10
1.3 Kleene’s Enumeration Theorem . . . . . . . . . . . . . . . . . . . . . . . 11
1.3.1 The theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
1.3.2 First reduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
1.3.3 Coding recursive functions . . . . . . . . . . . . . . . . . . . . . . 12
1.3.4 Complexity of the set of codes . . . . . . . . . . . . . . . . . . . . 13
1.3.5 The coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
1.3.6 End of the proof . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
1.4 Hierarchy and recursion theorems . . . . . . . . . . . . . . . . . . . . . . 17
1.4.1 The hierarchy theorem . . . . . . . . . . . . . . . . . . . . . . . . 17
1.4.2 Good universal sets for Σ01 . . . . . . . . . . . . . . . . . . . . . . 17
1.4.3 Uniformities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
1.4.4 The S-m-n theorem . . . . . . . . . . . . . . . . . . . . . . . . . 19
1.4.5 The recursion theorem . . . . . . . . . . . . . . . . . . . . . . . . 19
1.4.6 The uniform recursion theorem . . . . . . . . . . . . . . . . . . . 20
1.4.7 Σ01 operators on ω . . . . . . . . . . . . . . . . . . . . . . . . . . 21
1.5 Relativization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
1.5.1 Recursively closed families . . . . . . . . . . . . . . . . . . . . . . 23
1.5.2 ∆01 pαq and Σ01 pαq . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
1.5.3 Relativizing the enumeration theorem . . . . . . . . . . . . . . . 23
1.5.4 A counterexample . . . . . . . . . . . . . . . . . . . . . . . . . . 24
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1.5.5 Relativization in this book . . . . . . . . . . . . . . . . . . . . . . 24
2 Metrizable separable and recursive spaces 25

2.1 Metrizable separable and Polish spaces . . . . . . . . . . . . . . . . . . . 25
2.1.1 Distances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
2.1.2 Separability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
2.1.3 Products and subspaces . . . . . . . . . . . . . . . . . . . . . . . 26
2.1.4 Complete spaces, Polish spaces . . . . . . . . . . . . . . . . . . . 26
2.1.6 r0, 1sω is universal . . . . . . . . . . . . . . . . . . . . . . . . . . 27
2.2 Recursively presented space . . . . . . . . . . . . . . . . . . . . . . . . . 27
2.2.1 Recursive presentations . . . . . . . . . . . . . . . . . . . . . . . 28
2.2.2 Closure properties, relativization . . . . . . . . . . . . . . . . . . 28
2.2.3 Presentations of specific spaces . . . . . . . . . . . . . . . . . . . 28
2.2.4 Presentation of products . . . . . . . . . . . . . . . . . . . . . . . 29
2.3 Basic spaces, and recursivity in basic spaces . . . . . . . . . . . . . . . . 30
2.3.1 Basic spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
2.3.2 Subspaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
2.3.3 Products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
2.3.4 Σ01 sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
2.3.6 Separation of variables . . . . . . . . . . . . . . . . . . . . . . . . 34
2.3.7 Recursive functions . . . . . . . . . . . . . . . . . . . . . . . . . . 34
2.3.8 Closure of Σ01 by substitutions . . . . . . . . . . . . . . . . . . . . 35
2.3.9 Recursive functions in product spaces . . . . . . . . . . . . . . . 35
2.3.10 Recursive isomorphisms . . . . . . . . . . . . . . . . . . . . . . . 36
2.4 Recursive spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
2.4.1 Recursively presented spaces are basic . . . . . . . . . . . . . . . 37
2.4.2 The case of specific spaces . . . . . . . . . . . . . . . . . . . . . . 37
2.4.3 Recursive and Polish recursive spaces . . . . . . . . . . . . . . . . 37
2.4.4 Recursive regularity . . . . . . . . . . . . . . . . . . . . . . . . . 38
2.4.5 Recursive spaces are recursively regular . . . . . . . . . . . . . . 38
2.4.6 The Urysohn-Tychonoff theorem . . . . . . . . . . . . . . . . . . 40
2.4.7 Effective normality . . . . . . . . . . . . . . . . . . . . . . . . . . 40
2.4.8 Effective Urysohn theorem . . . . . . . . . . . . . . . . . . . . . . 42
2.4.9 Proof the Urysohn-Tychonoff theorem . . . . . . . . . . . . . . . 44
2.4.10 Effective topology and bases . . . . . . . . . . . . . . . . . . . . . 45
3 Borel and analytic sets. The Kleene classes. 47

3.1 Borel and analytic sets in metrizable separable spaces . . . . . . . . . . 47
3.1.1 Borel sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
3.1.2 The Borel hierarchy . . . . . . . . . . . . . . . . . . . . . . . . . 47
3.1.3 The inclusion diagram . . . . . . . . . . . . . . . . . . . . . . . . 47
3.1.4 Borel sets in subspaces . . . . . . . . . . . . . . . . . . . . . . . . 48
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3.1.5 The Baire space . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48

3.1.6 Analytic and coanalytic set . . . . . . . . . . . . . . . . . . . . . 48
3.1.8 Projective sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
3.2 The Kleene classes in recursive spaces . . . . . . . . . . . . . . . . . . . 50
3.2.1 The arithmetical hierarchy . . . . . . . . . . . . . . . . . . . . . . 50
3.2.3 The inclusion diagram . . . . . . . . . . . . . . . . . . . . . . . . 52
3.2.4 Σ11 and Π11 sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
3.2.6 The Kleene classes . . . . . . . . . . . . . . . . . . . . . . . . . . 53
3.3 Universal sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
3.3.1 Universal Σ01 sets for open sets . . . . . . . . . . . . . . . . . . . 53
3.3.2 Universal sets for topological classes . . . . . . . . . . . . . . . . 54
3.3.3 Boldface = topological . . . . . . . . . . . . . . . . . . . . . . . . 55
3.3.4 The hierarchy theorem on ω ω . . . . . . . . . . . . . . . . . . . . 55
3.3.5 The hierarchy for Borel sets . . . . . . . . . . . . . . . . . . . . . 56
3.3.6 Universal sets for the Kleene classes . . . . . . . . . . . . . . . . 56
3.3.7 Relativization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
3.3.8 The hierarchy theorem on ω . . . . . . . . . . . . . . . . . . . . . 57
3.3.9 Good universal sets . . . . . . . . . . . . . . . . . . . . . . . . . . 58
3.3.10 Fixed point theorems . . . . . . . . . . . . . . . . . . . . . . . . . 59
3.4 Borel and Γ-recursive functions . . . . . . . . . . . . . . . . . . . . . . . 59
3.4.1 Borel functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
3.4.3 Γ-measurable functions . . . . . . . . . . . . . . . . . . . . . . . . 60
3.4.4 Closure properties of bianalytic functions . . . . . . . . . . . . . 60
3.4.5 Γ-recursive functions . . . . . . . . . . . . . . . . . . . . . . . . . 60
3.4.6 Composition with recursive functions . . . . . . . . . . . . . . . . 61
3.4.7 ∆11 -recursive functions . . . . . . . . . . . . . . . . . . . . . . . . 61
3.4.8 Uniformities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
3.4.9 An extension theorem . . . . . . . . . . . . . . . . . . . . . . . . 62
3.4.10 A theorem of Lavrentiev . . . . . . . . . . . . . . . . . . . . . . . 63
3.5 Special recursive spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
3.5.1 Γ-absolute sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
3.5.2 Characterization of Polish recursive spaces . . . . . . . . . . . . . 64
3.5.3 Polish recursive implies Π02 -absolute . . . . . . . . . . . . . . . . 64
3.5.4 Some lemmas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
3.5.5 Proof of Theorem 3.5.1 . . . . . . . . . . . . . . . . . . . . . . . . 66
3.5.6 Π02 -absolute spaces . . . . . . . . . . . . . . . . . . . . . . . . . . 66
3.5.7 Compactness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
3.5.8 The transfer theorem to ω ω . . . . . . . . . . . . . . . . . . . . . 67
3.5.9 0-dimensional recursive spaces . . . . . . . . . . . . . . . . . . . . 68
3.5.10 Suslin recursive spaces . . . . . . . . . . . . . . . . . . . . . . . . 69
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3.5.11 Recursive images . . . . . . . . . . . . . . . . . . . . . . . . . . . 71

3.5.12 Luzin recursive spaces . . . . . . . . . . . . . . . . . . . . . . . . 71
3.5.13 B-sets and B-functions . . . . . . . . . . . . . . . . . . . . . . . . 72
3.5.14 Extension of B-functions . . . . . . . . . . . . . . . . . . . . . . . 72
3.5.16 B-sets and functions . . . . . . . . . . . . . . . . . . . . . . . . . 73
4 Structural properties of Σ11 and Π11 sets in recursive spaces 75

4.1 Suslin’s operation A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
4.1.1 Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
4.1.2 Closure under A . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
4.1.3 Trees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
4.1.4 Suslin scheme and Trees . . . . . . . . . . . . . . . . . . . . . . . 77
4.1.5 Pruning of trees . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
4.1.6 Approximations of A . . . . . . . . . . . . . . . . . . . . . . . . . 78
4.1.7 Spilrajn-Marczewski’s Theorem . . . . . . . . . . . . . . . . . . . 79
4.1.8 Normal form for Σ11 sets . . . . . . . . . . . . . . . . . . . . . . . 80
4.1.9 Operation A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
4.1.10 Normal form for Σ11 sets . . . . . . . . . . . . . . . . . . . . . . . 81
4.2 Coding the ordinals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
4.2.1 Wellorderings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
4.2.2 LO and WO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
4.2.3 Complexity of ď on WO . . . . . . . . . . . . . . . . . . . . . . . 84
4.2.4 Complexity of ordinal arithmetic . . . . . . . . . . . . . . . . . . 85
4.2.5 The Brouwer-Kleene ordering on trees . . . . . . . . . . . . . . . 86
4.3 The representation theorem for Π11 sets . . . . . . . . . . . . . . . . . . . 87
4.3.1 Representation Theorem for Π11 sets . . . . . . . . . . . . . . . . 87
4.3.2 Π11 prewellorderings . . . . . . . . . . . . . . . . . . . . . . . . . . 88
4.3.3 Π11 -ranks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
4.3.4 The ω-Uniformization Theorem . . . . . . . . . . . . . . . . . . . 89
4.3.5 Kuratowski’s reduction theorem . . . . . . . . . . . . . . . . . . . 90
4.3.6 Separation for Σ11 sets . . . . . . . . . . . . . . . . . . . . . . . . 90
4.3.7 Inseparable Π11 sets . . . . . . . . . . . . . . . . . . . . . . . . . . 90
4.4 Boundedness theorems . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
4.4.1 Recursive ordinals . . . . . . . . . . . . . . . . . . . . . . . . . . 91
4.4.2 Boundedness for WO . . . . . . . . . . . . . . . . . . . . . . . . . 91
4.4.3 Suslin’s theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
4.4.4 Wellfounded relations . . . . . . . . . . . . . . . . . . . . . . . . 94
4.4.5 Domain of wellfoundedness . . . . . . . . . . . . . . . . . . . . . 95
4.4.6 The Kunen-Martin theorem . . . . . . . . . . . . . . . . . . . . . 96
4.4.7 Boundedness for Π11 ranks . . . . . . . . . . . . . . . . . . . . . . 96
4.4.8 Criterion for Borelness . . . . . . . . . . . . . . . . . . . . . . . . 97
4.5 Π11 monotone inductions and Σ11 derivations . . . . . . . . . . . . . . . . 97
4.5.1 Π11 on Π11 operators . . . . . . . . . . . . . . . . . . . . . . . . . 97
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4.5.2 Inductions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
4.5.3 Moschovakis’ theorem . . . . . . . . . . . . . . . . . . . . . . . . 99
4.5.4 Σ11 derivations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
4.5.5 Complexity of the stages of an induction . . . . . . . . . . . . . . 101
4.6 Reflection theorems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
4.6.1 First reflection theorem . . . . . . . . . . . . . . . . . . . . . . . 103
4.6.2 Second reflection theorem . . . . . . . . . . . . . . . . . . . . . . 104
4.6.3 Burgess’ reflection theorem . . . . . . . . . . . . . . . . . . . . . 106
4.6.4 Approximating Σ11 equivalence relations . . . . . . . . . . . . . . 106
5 Uniformizations 107
5.1 ∆11 points and uniformization by ∆11 -recursive functions . . . . . . . . . 107
5.1.1 Coding of ∆11 and B-sets . . . . . . . . . . . . . . . . . . . . . . . 107
5.1.2 Γ-recursive points . . . . . . . . . . . . . . . . . . . . . . . . . . . 108
5.1.3 Coding of ∆11 -recursive points . . . . . . . . . . . . . . . . . . . . 110
5.1.4 Co-Suslin and closure under D∆ . . . . . . . . . . . . . . . . . . . 110
5.1.5 ∆11 -uniformization theorem . . . . . . . . . . . . . . . . . . . . . 111
5.1.6 Characterization of ∆11 -recursive functions . . . . . . . . . . . . . 112
5.1.7 One-to-one ∆11 -recursive functions in co-Suslin spaces . . . . . . . 112
5.1.8 Counterexamples in co-Suslin spaces . . . . . . . . . . . . . . . . 113
5.1.9 Complexity of α P ∆11 , α P ∆11 pβq . . . . . . . . . . . . . . . . . . 113
5.1.10 Antibasis, anti-uniformization . . . . . . . . . . . . . . . . . . . . 114
5.1.11 Spector-Gandy Theorem for Π11 . . . . . . . . . . . . . . . . . . . 115
5.1.12 One-to-one recursive images of Π01 sets in ω ω . . . . . . . . . . . 117
5.2 Coding Borel sets. HYP sets and the Suslin-Kleene Theorem . . . . . . 118
5.2.1 Coding of Borel sets . . . . . . . . . . . . . . . . . . . . . . . . . 118
5.2.2 HYP sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
5.2.3 The Suslin-Kleene theorem . . . . . . . . . . . . . . . . . . . . . 119
5.2.4 A “constructive” proof of Suslin’s Theorem 4.4.6 . . . . . . . . . . 120
5.2.5 The case of ω ω . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
5.2.6 The general case . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
5.2.7 B “ HYP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127
5.2.8 The hyperarithmetical hierarchy . . . . . . . . . . . . . . . . . . 127
5.3 Complements on ω1CK and the ω1CK´α . . . . . . . . . . . . . . . . . . . 129
5.3.1 Complexity of WOωCK . . . . . . . . . . . . . . . . . . . . . . . . 129
1
5.3.2 Kleene’s O . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130
5.3.3 ω1CK as the domain of wellfoundedness of a recursive ordering . . 131
5.3.4 Complexity of ω1CK´α ď ω1CK´β . . . . . . . . . . . . . . . . . . . 132
5.3.5 Spector’s criterion . . . . . . . . . . . . . . . . . . . . . . . . . . 133
5.3.6 Basis result for Σ11 sets . . . . . . . . . . . . . . . . . . . . . . . . 133
5.4 Uniformization of Σ11 sets and Π11 sets . . . . . . . . . . . . . . . . . . . 135
5.4.1 BorpΣ11 q . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
5.4.2 C-sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
5.4.3 The Jankov-Von Neumann theorem . . . . . . . . . . . . . . . . . 137
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5.4.4 Basis theorem for Π11 . . . . . . . . . . . . . . . . . . . . . . . . . 137

5.4.5 The Kondo-Addison theorem . . . . . . . . . . . . . . . . . . . . 139
5.4.6 Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
5.5 Natural Π11 sets, natural Π11 ranks . . . . . . . . . . . . . . . . . . . . . . 139
5.5.1 Cantor’s diagonal . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
5.5.2 The completeness method . . . . . . . . . . . . . . . . . . . . . . 140
5.5.3 @ universal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141
5.5.4 Representation of Π02 . . . . . . . . . . . . . . . . . . . . . . . . . 141
5.5.5 Pointwise converging sequences . . . . . . . . . . . . . . . . . . . 142
5.5.6 Other examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143
5.5.7 Hurewicz theorems . . . . . . . . . . . . . . . . . . . . . . . . . . 143
5.5.8 WF . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145
5.5.9 Mazurkiewicz’ theorem . . . . . . . . . . . . . . . . . . . . . . . . 146
5.5.10 Kaufman’s example . . . . . . . . . . . . . . . . . . . . . . . . . 147
5.5.11 The rank argument . . . . . . . . . . . . . . . . . . . . . . . . . . 149
5.5.12 Computation of Π11 -ranks . . . . . . . . . . . . . . . . . . . . . . 149
5.5.13 Borel inductions on ω . . . . . . . . . . . . . . . . . . . . . . . . 151
5.5.14 Examples of uses: height of trees . . . . . . . . . . . . . . . . . . 152
6 Infinite Games 153

6.1 Determinacy of games . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
6.1.1 Games . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
6.1.2 The Gale-Stewart theorem . . . . . . . . . . . . . . . . . . . . . . 154
6.1.3 The strategic basis theorem . . . . . . . . . . . . . . . . . . . . . 155
6.1.4 The Gurevich-Harrington theorem . . . . . . . . . . . . . . . . . 156
6.1.5 Martin’s theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . 159
6.1.6 Unraveling games . . . . . . . . . . . . . . . . . . . . . . . . . . . 160
6.1.7 Unraveling of closed games . . . . . . . . . . . . . . . . . . . . . 160
6.1.8 Proof of Martin’s theorem . . . . . . . . . . . . . . . . . . . . . . 163
6.1.9 More determinacy . . . . . . . . . . . . . . . . . . . . . . . . . . 163
6.2 Baire spaces and the Baire property . . . . . . . . . . . . . . . . . . . . 164
6.2.1 Meager sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164
6.2.2 Baire spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164
6.2.3 Choquet games . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
6.2.4 Choquet spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
6.2.5 Choquet versus Polish . . . . . . . . . . . . . . . . . . . . . . . . 167
6.2.6 The Gandy-Harrington topology . . . . . . . . . . . . . . . . . . 169
6.2.7 The Baire property . . . . . . . . . . . . . . . . . . . . . . . . . . 171
6.2.8 The Ulam-Kuratowski theorem . . . . . . . . . . . . . . . . . . . 172
6.2.9 Computation of “Borel is meager” . . . . . . . . . . . . . . . . . . 173
6.2.10 BP-measurable functions . . . . . . . . . . . . . . . . . . . . . . . 174
6.2.11 The Banach-Mazur Game . . . . . . . . . . . . . . . . . . . . . . 174
6.2.12 Computation of “Σ11 is meager” . . . . . . . . . . . . . . . . . . . 178
6.2.13 Thomason-Hinman’s basis result . . . . . . . . . . . . . . . . . . 180
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Contents
6.3 The perfect set property . . . . . . . . . . . . . . . . . . . . . . . . . . . 180

6.3.1 Cantor’s theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . 180
6.3.2 The Cantor-Bendixson derivation . . . . . . . . . . . . . . . . . . 181
6.3.3 The perfect set theorem . . . . . . . . . . . . . . . . . . . . . . . 181
6.3.4 Σ11 and Borel sets with countable sections . . . . . . . . . . . . . 182
6.3.5 The ˚-game on 2ω . . . . . . . . . . . . . . . . . . . . . . . . . . 183
6.3.6 C1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185
7 Borel Hierarchies 187

7.1 The Borel hierarchy Σ0ξ , Π0ξ , ∆0ξ . . . . . . . . . . . . . . . . . . . . . . 187
7.1.1 Σ0ξ -ranks on Σ0ξ . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187
7.1.2 Differences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188
7.1.3 Hausdorff’s theorem . . . . . . . . . . . . . . . . . . . . . . . . . 190
7.1.4 Kuratowski’s transfer theorem . . . . . . . . . . . . . . . . . . . . 192
7.1.5 The Hausdorff–Kuratowski theorem . . . . . . . . . . . . . . . . 194
7.1.6 Dη pΣ0ξ q-ranks on Dη pΣ0ξ q . . . . . . . . . . . . . . . . . . . . . . 195
7.1.7 Wadge’s theorem for ∆0λ . . . . . . . . . . . . . . . . . . . . . . . 196
7.1.8 Louveau’s theorem . . . . . . . . . . . . . . . . . . . . . . . . . . 198
7.1.9 Borel sets in product spaces . . . . . . . . . . . . . . . . . . . . . 201
7.2 Complements on low-level Borel classes . . . . . . . . . . . . . . . . . . . 203
7.2.1 Bases of Π01 sets . . . . . . . . . . . . . . . . . . . . . . . . . . . 203
7.2.2 Borel sets with closed sections . . . . . . . . . . . . . . . . . . . . 204
7.2.3 The Kuratowski–Ryll–Nardjewski theorem . . . . . . . . . . . . . 205
7.2.4 Burgess’ theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . 206
7.2.5 Bases for compact sets . . . . . . . . . . . . . . . . . . . . . . . . 206
7.2.6 Bases for σ-compact sets . . . . . . . . . . . . . . . . . . . . . . . 209
7.2.7 Hurewicz’s characterization of Polish spaces . . . . . . . . . . . . 209
7.2.8 Polish continuous images of Polish spaces . . . . . . . . . . . . . 211
7.3 The Wadge hierarchy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212
7.3.1 Wadge classes and the Wadge ordering . . . . . . . . . . . . . . . 212
7.3.2 Wadge games . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214
7.3.3 Analyzing the self-dual classes . . . . . . . . . . . . . . . . . . . . 218
7.3.4 Analyzing the non-self-dual classes . . . . . . . . . . . . . . . . . 220
7.3.5 Expansions of classes . . . . . . . . . . . . . . . . . . . . . . . . . 221
7.3.6 Separated differences and the end of the analysis . . . . . . . . . 223
7.3.7 Hausdorff’s operations . . . . . . . . . . . . . . . . . . . . . . . . 227
7.3.8 Ramifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230
7.3.9 Separation games . . . . . . . . . . . . . . . . . . . . . . . . . . . 234
7.3.10 Extending Hurewicz’s theorem . . . . . . . . . . . . . . . . . . . 238
7.4 The Baire hierarchy of functions . . . . . . . . . . . . . . . . . . . . . . 239
7.4.1 Baire class ξ functions . . . . . . . . . . . . . . . . . . . . . . . . 239
7.4.2 Pointwise convergence . . . . . . . . . . . . . . . . . . . . . . . . 240
7.4.3 The Lebesgue–Hausdorff theorem . . . . . . . . . . . . . . . . . . 241
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Contents
7.4.4 The case of Baire class 1 functions . . . . . . . . . . . . . . . . . 243

7.4.5 Baire’s characterization of Baire class 1 functions . . . . . . . . . 244
List of Symbols 245
Index 249
x
Liste des Corrections
Rectification of the proof? – R . . . . . . . . . . . . . . . . . . . . . . . . . . 21
fixing of recursive arguments – YP . . . . . . . . . . . . . . . . . . . . . . . . 36
strange to use this here and define it later on – R . . . . . . . . . . . . . . . . 38
a little bit too quick – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
Here isn’t Hausdorff, or at least T1 , necessary? (See Kechris for instance) – R 40
ref missing – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
by fixing of recursive argument – YP . . . . . . . . . . . . . . . . . . . . . . . 51
this seems too vague to me. – YP . . . . . . . . . . . . . . . . . . . . . . . . . 51
agreed – R . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
Σ01 Ď Σ02 – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
This is because Γpαq is closed under fixing of recursive-in-α arguments in ω ω .
– YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
editing – R . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
Notation to be fixed? – R . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
just let Apn, pq Ø DkBpn, p, kq with B recursive in ω 3 and let ϕpnq “
pminl Bpn, plq0 , plq1 qq0 – YP . . . . . . . . . . . . . . . . . . . . . . . . . 65
is it in the same sense as for a lightface class? – YP . . . . . . . . . . . . . . 66
cf Subsection 2.4.6 and proof of Theorem 2.4.4 – YP . . . . . . . . . . . . . . 67
recursively embedded? – R . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
rec.emb.? – R . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
def? – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
def? – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
L:ϕpα, xq ă ϕpα, yq – R . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
added – R . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
Pb with index, end of first line. – R . . . . . . . . . . . . . . . . . . . . . . . 102
Corrected until this point. – R . . . . . . . . . . . . . . . . . . . . . . . . . . 106
added – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
veut-il dire α recursive and α P D1 ? – YP . . . . . . . . . . . . . . . . . . . . 107
maladroit? – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
il faut choisir entre Suslin-recursive et Suslin recursive. – YP . . . . . . . . . 110
Spector est souligné dans le manuscrit... – YP . . . . . . . . . . . . . . . . . . 111
ajoutÈ – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
L: is – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
ajoutÈ – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
ajoutÈ – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
we did not explain what antibasis means – YP . . . . . . . . . . . . . . . . . 114
ajoutÈ – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
xi
L says by Theorem 3.5.6, but I’d rather say – YP . . . . . . . . . . . . . . . . 115

maladroit – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
on pourrait noter plus tÙt que si ϕ est recursive alors Graphpf q is Π01 . Est-ce
fait? ϕ : X Ñ Y with Y recursive space, f pxq ‰ y Ø DnDiDkpDf px, nq ^
Spi, nq^Df px, iq^T pi, n, kq^y P VkY q where S, T witness Y is recursively
regular is a Σ01 definition of the complement of Graphpf q. – YP . . . . . 115
ajoutÈ – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116
utilise-t-il la rÈciproque de Theorem 4.4.3, mais on ne l’a pas montrÈe...,
a-t-on: for every ξ ă ω1CK´α that WOξ “ tβ | |β| ď ξu is ∆11 pαq?
by induction? ce serait le relativisÈ de la preuve du Thm de Suslin
Theorem 4.4.6. – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
I changed the operators so that they are inductive and the notations to facil-
itate (?) the reading. – YP . . . . . . . . . . . . . . . . . . . . . . . . . 119
precisely, how do we apply Moschovakis’ theorem? – YP . . . . . . . . . . . . 119
pour moi, c’est plutÙt la version boldface de Theorem 4.1.7 (ii) – YP . . . . . 120
L: p rT0 s – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
this is S72 – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
rÈf ajoutÈ – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
L: the transfer theorem 3.5.8 – YP . . . . . . . . . . . . . . . . . . . . . . . . 124
Once again, A˚0 “ jX ´1
pA0 q is Σ11 in X
p since jX : Xp Ñ X is recursive and A0
1
is Σ1 in X, but X p is Σ in ω by Theorem 3.5.11, so A˚ is Σ1 in ω ω – YP124
1 ω
1 0 1
ajoutÈ – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
L: e0 instead of e – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
pas trËs clair pour moi... – YP . . . . . . . . . . . . . . . . . . . . . . . . . . 126
L:∆0ξ pαq “ Σ0ξ pαq X Π0ξ – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
trop rapide pour moi! – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
I’d at least say: – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
rÈf manquante – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
L: p.192 – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130
ajoutÈ – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
comment montre-t-on qu’un tel ensemble existe? – YP . . . . . . . . . . . . . 131
ajoutÈ, correspondance fermÈs-arbres – YP . . . . . . . . . . . . . . . . . . . 131
ajoutÈ – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
L: RzDpRq – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
ajoutÈ – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
j’ai un doute – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
ajoutÈ – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
ajoutÈ “code de” – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
rÈf manquante – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
ajoutÈ – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
rÈf modifiÈe – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
pas clair pour moi – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
ajout – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141
xii
ajout – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
L: ϕn : 2ω Ñ Cp2ω q – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
ne manque-t-il pas qqch ici? – YP . . . . . . . . . . . . . . . . . . . . . . . . 143
définition?? – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143
L: clopen – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
I am missing something here... and if Wα˚ “ H – YP . . . . . . . . . . . . . . 144
ref missing – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
α ď β Ø α´1 p1q Ď β ´1 p1q – YP . . . . . . . . . . . . . . . . . . . . . . . . . . 144
oversight – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
encore? – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
L: @η – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
ajout – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
where ¨ denotes the usual product in R – YP . . . . . . . . . . . . . . . . . . 148
L: consists to – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149
L:Granting this – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150
ajout – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150
since txu is ∆11 pxq and included in Φ8 pAq there is ξ ă ω1CK´x with x P Φξ pAq.
– YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150
take A Ď X ˆ ω to be H, then for n0 P ω we have Φ8 pHqn0 “ P is Π11 .
Now ψpx, nq “ inftξ : px, nq P Φξ pHqu is a Π11 -rank by Theorem 5.5.11,
hence so is ϕpxq “ ψpx, n0 q. – YP . . . . . . . . . . . . . . . . . . . . . . 151
pas encore dÈfini – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152
regular tree again... pruned tree? – YP . . . . . . . . . . . . . . . . . . . . . . 153
regular again – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
regular! – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
un peu cavalier... – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154
regular – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155
regular – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155
regular – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155
really? – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156
regular? – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157
regular? – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157
sensé? – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157
je pense... – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157
L: relative – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158
regular? – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158
missing reference – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159
bien jouÈ! – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159
reference? – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 160
regular? – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 160
regular? – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 160
regular – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161
L: i ă l, i ă 2m – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161
L: n – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163
xiii
regular – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163
L: πn8 pAnn q – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163
citations added – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164
Une autre Arlésienne – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164
def? – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164
Reference missing – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169
Reference missing – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169
rendu explicite l’utilisation de l’hypothèse – K . . . . . . . . . . . . . . . . . . 181
citation added – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183
Not sure about the reference – K . . . . . . . . . . . . . . . . . . . . . . . . . 186
I think this should be stated as a result on metrizable separable spaces. – YP 188
ref to Kuratowski’s book – YP . . . . . . . . . . . . . . . . . . . . . . . . . . 189
?? – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190
In fact, Theorem 5.1.8 only gives ∆11 , and one needs Suslin’s Theorem 4.4.6
to get Borel. – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192
really? – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192
really? – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 194
the sequence Wpαq1 , η 1 ă η, is not increasing in general, no? is it a problem?
ϕpη 1 q
– YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195
It is not increasing in general indeed, but it’s not a problem, you take the
intersections. – K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195
really? – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195
in fact under @ă – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 196
ref missing – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 196
really? – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
separable metrizable? – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
réf – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198
the proof was in fact left to the reader – YP . . . . . . . . . . . . . . . . . . . 198
ref missing – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201
I can’t see that right now – YP . . . . . . . . . . . . . . . . . . . . . . . . . . 202
ref missing – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202
remark that the projection π : F Ñ X is a bijection and F is Polish! – YP . . 203
ref missing – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203
added – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204
weird, no? ∆11 -measurable, or simply bianalytic? – YP . . . . . . . . . . . . . 204
why not Suslin space? Alain wrote Suslin space and then rectified to Suslin
recursive space, but I am not sure why... – YP . . . . . . . . . . . . . . 204
again, ∆11 -measurable, or simply bianalytic function – YP . . . . . . . . . . . 206
Alain says ∆11 -uniformization, but? – YP . . . . . . . . . . . . . . . . . . . . 208
Polish space? I don’t understand how Alain chooses to state a theorem for
recursive spaces or just spaces... – YP . . . . . . . . . . . . . . . . . . . 210
xiv
a bit fast! And I think U is not countable in general! However, in fact U is

Ť downard closed, i.e. if V is open and V Ď U Xˆω
also P U, then V P U. So
ω
U is equal to the union of the basic open sets Vn which are in U,
and hence belongs to U. – YP . . . . . . . . . . . . . . . . . . . . . . . . 210
since we would then have U Ď U0 by maximality of U0 , a contradiction with
F0 X U “ H. – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210
it means without isolated points, right? old terminology, I think. Have we
defined this before? Btw it’s not exactly what we’ve said before, is it
clear that it implies that it contains a closed subset homeomorphic to
D0 ? – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210
verify this ref – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211
really? :-) – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211
ref missing – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211
terminology! I choose to call them pointclasses – YP . . . . . . . . . . . . . . 213
I chose to denote by ΓrAs the Wadge class generated by A, since we already
denote by ΓpXq the restriction of Γ to some space X. – YP . . . . . . . 213
We could refer to Theorem 4.3.1 for example. But is any Σ11 -complete set for
the Borel reduction a complete set for continuous reduction? – YP . . . 213
Maybe this should be said outside of the proof – YP . . . . . . . . . . . . . . 214
This proof is inspired by a game tableau, the argument was not clear to me
until I was able to draw it... And BTW it could be simplified using the
Ramsey property and the shift. Also there is Jacques’s proof via game
that if such a point α exists then A is non-self-dual. – YP . . . . . . . . 218
réf – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 220
réf – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 220
réf – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 220
This case does not make sense, does it? – YP . . . . . . . . . . . . . . . . . . 223
I don’t see why. This follows for nsd Wadge classes from the next assertion –
YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223
I don’t see it – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225
réf manquante – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230
ref missing – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 234
ref missing – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237
ref missing – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 238
ref missing – YP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 238
xv
1 Recursivity on ω
1.1 Recursive functions and sets
1.1.1 Definition of recursive functions
Throughout the book, ω “ t0, 1, 2, . . .u denotes the set of natural numbers, denoted by
letters i, j, k, l, n, m, p, q . . .. As usually in Set Theory, a natural number is the set of its
predecessors, i.e. n “ t0, 1, . . . , n ´ 1u; and in particular 0 “ H is the empty set. For
k ě 1, the Cartesian product ω k is identified with the set of functions from k to ω, or
sequences of natural numbers of length k, and we write its elements x̄ “ px0 , . . . , xk´1 q.
In this chapter we consider functions with domain one of the ω k ’s, k ě 1, and values
in ω.
Definition 1.1.1. The set Rec of recursive functions is defined as the least set of
functions (from some ω k to ω) satisfying the following clauses
(1) The constant function with value n, Ckn : ω k Ñ ω, is recursive;
(2) For n ă k, the projection function Pkn px̄q “ xn on the nth factor is recursive;
(3) The successor function Spnq “ n ` 1 is recursive;
(4) (closure under composition) If f : ω k Ñ ω is recursive and g0 , . . . , gn´1 : ω k Ñ ω

are recursive, so is h “ f pg0 , . . . , gn´1 q : ω k Ñ ω defined by hpx̄q “ f pg0 px̄q, . . . , gn´1 px̄qq;
(5) (closure under primitive recursion) If n0 P ω, and g : ω 2 Ñ ω is recursive, so is

f : ω Ñ ω defined by #
f p0q “ n0
f pn ` 1q “ gpn, f pnqq
Similarly if f0 : ω k Ñ ω and g : ω k`2 Ñ ω are recursive, so is f : ω k`1 Ñ ω

defined by
#
f p0, x̄q “ f0 px̄q
f pn ` 1, x̄q “ gpn, f pn, x̄q, x̄q
(6) (closure under minimization) If g : ω k`1 Ñ ω is recursive, and if moreover

for all x̄ P ω k there is n such that gpn, x̄q “ 0, then f : ω k Ñ ω defined by
f px̄q “ least n pgpn, x̄q “ 0q is recursive too.
1
1 Recursivity on ω
In this definition, clauses (1), (2) and (3) correspond to choosing some very simple
functions at the beginning (we could have put more functions, and the set chosen
here is minimal, which will be useful in later work). And clauses (4), (5) and (6)
correspond to closing under some operations on functions. The intuitive content is that
of computability: these three operations allow to compute the value of the new function
from (a finite set of) values of the old ones. So all recursive functions are computable.
The converse, that computable functions are recursive, is known as Church’s thesis.
There is now a lot of evidence for this metamathematical statement: Till now all
mathematical definition which have been proposed to capture the notion of computable
function have led to the same class Rec.
In this book, our point of view will be very far from computability. For us, the
preceding definition simply isolates a nice countable set of functions, with remarkable
closure properties, rich enough to account for, or encode, most mathematical construc-
tions.
1.1.2 Examples
In the sequel, we will need to know that many functions are recursive. Some of them
are listed below.
Proposition 1.1.2.
(i) If x̄ P ω k , ȳ P ω l and f : ω k Ñ ω is recursive, gpx̄, ȳq “ f px̄q is recursive.
(ii) If π is a permutation of k and f : ω k Ñ ω is recursive,
gpx0 , . . . , xk´1 q “ f pxπp0q , . . . , xπpk´1q q
is recursive.
(iii) Addition : ω 2 Ñ ω, Multiplication : ω 2 Ñ ω and Exponentiation : ω 2 Ñ ω (with
say 00 “ 1) are recursive.
(iv) The predecessor function
#
0 if n “ 0
n´1“
n´1 if n ą 0
the characteristic function
#
1 if n “ 0
1t0u pnq “
0 if n ą 0
the subtraction function : ω 2 Ñ ω
#
0 if n ă k
n´k “
n´k if n ě k
the characteristic functions of ď, ă, “ : ω 2 Ñ ω are all recursive.
2
Proof. (i) and (ii) are by using projections and composition.
(iii) is by using the following recursions

#
n`0“n
n ` pm ` 1q “ Spn ` mq
#
n¨0“0
n ¨ pm ` 1q “ pn ¨ mq ` n
#
n0 “ 1
nk`1 “ nk ¨ n
(iv)
#
0´1“0
n`1´1“n
#
n´0“n
n ´ pm ` 1q “ pn ´ mq ´ 1
#
1t0u p0q “ 1
1t0u pn ` 1q “ 0
and
1ď pm, nq “ 1t0u pm ´ nq
1ă pm, nq “ 1 ´ 1ď pn, mq
1“ pm, nq “ 1ď pm, nq ¨ 1ď pn, mq. %
1.1.3 Sets and relations

As a matter of notations for sets, we will interchangeably use the set theoretic x P P ,
and the syntactic notation for relations P pxq. Similarly, for operations on sets, we will
use both notations, e.g. x P A X B Ø Apxq ^ Bpxq, and similarly with union and _,
or with x R A and Apxq.
The set-theoretic operations Dď , @ď and D0 , @0 are defined for subsets A of spaces
X ˆ ω, by
px, nq P Dď A ÐÑ Dm ď n px, mq P A
ď
px, nq P @ A ÐÑ @m ď n px, mq P A
and
x P D0 A ÐÑ Dm px, mq P A
0
xP@ A ÐÑ @m px, mq P A.
3
1 Recursivity on ω
If we view a subset A of X ˆ ω as a sequence pAn q of subsets X, where An “

tx : px, nq P Au, then D0 corresponds to countable union, and @0 to countable in-
tersection. The (less commonly considered) operations Dď and @ď correspond Ť to the
operations
Ş which associate to a sequence pA n q the monotone sequences p A
mďn m qnPω
and p mďn Am qnPω . However all the operations we consider are unary operations on
sets.
If now Γ, Γ1 are classes of sets, we define
Γ ^ Γ1 “ tA ^ B : A P Γ, B P Γ1 u
Γ “ t A : A P Γu
D Γ “ tD0 A : A P Γu, etc.
0
for all operations on sets.
1.1.4 Recursive sets, closure properties

A subset P of ω k is recursive, or ∆01 , if its characteristic function 1P : ω k Ñ ω is
recursive.
Proposition 1.1.3.
(i) For all k ě 1, ∆01 contains H, ω k , the finite subsets of ω k , and in ω 2 the sets ď,
ă, “.
(ii) ∆01 is closed under ^, _, Dď , @ď and .
(iii) ∆01 is closed under substitutions by recursive functions: If Apx0 , . . . , xk q is recur-

sive and f0 , . . . , fk´1 : ω n Ñ ω are recursive,
Bpx0 , . . . , xn´1 q ÐÑ Apf0 px0 , . . . , xn´1 q, . . . , fk´1 px0 , . . . , xn´1 qq
is recursive too.
Proof. We did the case of ď, ă, and “ in Proposition 1.1.2. For H and ω k , the
characteristic functions are constants. We will prove it for finite sets ate the end.
For (ii), note that 1A^B “ 1A ¨ 1B , 1A_B “ 1A ` 1B ´ 1A^B and 1 A “ 1 ´ 1A .
We prove the closure under Dď . Let A Ď ω k ˆ ω be recursive. Note that
px̄, nq P Dď A ÐÑ Dm ď n Apx̄, mq
ÐÑ Dm ď n p1 ´ 1A qpx̄, mq “ 0.
` ˘
Let then ϕpx̄, nq “ least p 1ď pp, nq ¨ p1 ´ 1A qpx̄, pq “ 0 . As for each x̄, n there is such
a p (for instance p “ n ` 1 works!), ϕ is recursive by minimization, and one gets
1Dď A px̄, nq “ 1ď pϕpx̄, nq, nq
so Dď A is recursive too.
4
Closure under @ď follows, as @ď “ Dď .

For (iii), just note that 1B “ 1A pf0 , . . . , fk´1 q.
Finally to prove that finite sets are recursive, it is enough to do it for singletons, by
closure under _. And one has
x̄ P tpn0 , . . . , nk´1 qu ÐÑ px0 “ n0 q ^ ¨ ¨ ¨ ^ pxk´1 “ nk´1 q
which is recursive by closure under ^, as “ is recursive, and we can fix integers argu-
ments — a particular case of (iii). %
1.1.5 Recursive graphs. Definition by cases

The preceding proposition is extremely useful in proving that certain sets are recursive,
and we will use it freely in the sequel. For showing that a set is recursive, we will often
only give the relevant syntactic definition of this set, and leave to the reader the veri-
fication that using the given definition and the closure properties of Proposition 1.1.3,
one gets that the set is recursive.
E.g., to show that the relation n divides m is recursive in ω 2 , note that n divides m
Ø n ‰ 0 and Dq ď m pm “ n¨qq. Formally, one should note that this is obtained, using
^, from n ‰ 0 and Dq ď m pm “ n ¨ qq. The first is obtained from n “ p by fixing of
arguments and , the second from m “ k by recursive substitution of multiplication,
and closure under Dď . So n divides m is recursive.
Proposition 1.1.3 can also be applied for functions, because of the following useful
proposition
Proposition 1.1.4. A function f : ω k Ñ ω is recursive iff its graph Graphpf qpx̄, nq Ø

f px̄q “ n is recursive in ω k`1 .
Proof. If f is recursive, Graphpf q is recursive by substitution into “. And if Graphpf q

is recursive, one has
f px̄q “ least p pp1 ´ 1Graphpf q qpx̄, pq “ 0q
so f is recursive, by minimization. %
As an application, let us note the following
Corollary 1.1.5 (Definition by cases). If A0 , . . . , An´1 form a partition of ω k into

recursive sets, and f0 , . . . , fn´1 are recursive functions : ω k Ñ ω, the function f defined
by
f px̄q “ fi px̄q, if x̄ P Ai
is recursive.
Proof. Use closure under ^ and _ to show that Graphpf q recursive. %
5
1 Recursivity on ω
1.1.6 Canonical bijections

Proposition 1.1.6. There is, for each k ě 2, a recursive bijection ϕk : ω k Ñ ω, such
that for i “ 0, . . . , k ´ 1, ψki pnq “ Pki pϕ´1 i
k pnqq is also recursive, with ψk pnq ď n.
i
Moreover, the relation ψk pnq “ p is recursive in ω . 4
Proof. There are many of them. Pick a simple one between ω 2 and ω, e.g.
ϕ2 pn, pq “ 2n p2p ` 1q ´ 1
with inverses
ψ20 pkq “ largest n p2n divides k ` 1q

ˆ ˙
1 k`1
and ψ2 pkq “ integer part 0 .
2ψ2 pkq`1
Clearly ϕ2 is recursive. For ψ20 , note that
ψ20 pkq “ p ÐÑ Dq ď k pq ¨ 2p “ k ` 1 ^ @r ď k pr ¨ 2p`1 ‰ rqq
and for ψ21

0
ψ21 pkq “ p ÐÑ 2ψ2 pkq ¨ p2p ` 1q “ k ` 1.
By induction, define for x̄ P ω k
ϕk`1 px̄, xq “ ϕ2 pϕk px̄q, xq
so that
k
ψk`1 ppq “ ψ21 ppq
i
and ψk`1 ppq “ ψki pψ20 ppqq.
These functions clearly work. %
From now on, we will fix once and for all such bijections between ω k and ω, and
to simplify notations, we will omit indexes and denote them ambiguously with brackets
(x y : ω k Ñ ω) and parentheses, so that pxn0 , . . . , nk´1 yqi “ ni , and n “ xpnq0 , . . . , pnqk´1 y.
So in expressions like xn0 , xn1 , n2 y , n3 y the brackets have different meanings, but this
should not be a problem.
Note that using these bijections, all recursive notions of sets and functions can be
transferred to the set ω, by noting that P Ď ω k is recursive iff tn : P ppnq0 , . . . , pnqk´1 qu
is recursive, and that f : ω k Ñ ω is recursive iff g : ω Ñ ω defined by gpnq “
f ppnq0 , . . . , pnqk´1 q is recursive.
6
1.1.7 Codings
If one wants to extend recursivity notions to other countable sets, one can use the
method of coding. Is D is a countable set, a coding of D (by ω) is a function ρ : ω D
surjective onto D. If d P D, any n P ω with ρpnq “ d is called a code for d. If now A
is a subset of Dk , its set of codes is
tpn0 , . . . , nk´1 q : pρpn0 q, . . . , ρpnk´1 qq P Au,
and A is recursive in the codes if this set is recursive in ω k — and similarly with
functions, by considering their graphs.
Of course when dealing with natural structures, we want the coding ρ to be chosen
carefully, so that the relations and functions defined on D become recursive in the
codes.
Two countable structures play an important role in this book: the field Q of rational
numbers, and the structure ω ăω of finite sequences of numbers. So we fix once and for
all nice codings for them.
1.1.8 Coding of Q
We define a map q : ω Ñ Q by
pnq1
qpnq “ qn “ p´1qpnq0 .
pnq2 ` 1
Clearly q is onto Q, so is a coding of Q; and by writing down explicitly the definitions,
the reader can easily check the following
Proposition 1.1.7. The relations of equality, the natural ordering, the singletons, the
closed and the open intervals in Q are all recursive in the codes. Similarly addition,
multiplication, subtraction, absolute value and division (we say pq “ 0 if q “ 0) are all
recursive in the codes.
Remark 1.1.8. We may also need codings of subsets #of Q, e.g. of Q X r0, 1s. As
0 if qn R r0, 1s
tn : qn P r0, 1su is recursive, we can e.g. take q1n “ so that the
qn otherwise
restrictions of the preceding relations and functions will again be recursive in the codes.
1.1.9 Coding of ω ăω
For any set X, X ăω denotes, the set of finite sequences from X, i.e. the set of functions
from some natural number k into X. The domain k is called the length lhpsq of the se-
quence s, and the value at i ă k is denoted spiq or si . So we denote s “ psp0q, . . . , spk ´
1qq or ps0 , . . . , sk´1 q, with the convention that for k “ 0, this notation represents the
empty sequence (denoted by H). For i ď lhpsq, si “ psp0q, . . . , spi ´ 1qq and we denote
by sa x “ psp0q, . . . , spk ´ 1q, xq and sa t “ psp0q, . . . , spk ´ 1q, tp0q, . . . , tpl ´ 1qq the
concatenation operations. And we say that s Ď t, or t extends s, if s “ tlhpsq .
7
1 Recursivity on ω
Suppose now X “ ω, and define a coding s : ω Ñ ω ăω by

` ˘
spnq “ sn “ ppnq1 q0 , . . . , ppnq1 qpnq0 ´1 ,
i.e. by considering first n as a pair ppnq0 , pnq1 q and then pnq1 as an pnq0 -tuple, using
the appropriate brackets. So any n “ x0, ky codes the empty sequence, x1, ky codes
pkq, and for p ě 2 xp, ky codes ppkq0 , . . . , pkqp´1 q. We can also define a bracket function
: ω ăω Ñ ω by xHy “ x0, 0y, xpkqy “ x1, ky, and xpk0 , . . . , kp´1 qy “ xp, xk0 , . . . , kp´1 yy
which satisfies sxty “ t for all t P ω ăω . So s is a coding of ω ăω .
Proposition 1.1.9. The following relations are recursive in the codes
(i) s Ď t, s “ t;
(ii) lhpsq “ k, i ă lhpsq ^ spiq “ k, i ď lhpsq ^ t “ si ;
(iii) t “ sa m, u “ sa t, s P 2ăω .
Proof. is very easy, and left to the reader. %
Note that the remark at the end of Subsection 1.1.8 can be made here too. For
example, if we want a coding of 2ăω , we can define s2 : ω Ñ 2ăω by
#
2 spnq if spnq P 2ăω
s pnq “ .
H otherwise
Then the same relations as in the proposition, when restricted to 2ăω are recursive in
the codes for this coding.
1.1.10 More recursions

Using the coding of finite sequences, we can state the following result, which extends
closure under primitive recursion to more elaborate recursions, where the value f pn, x̄q
depends on all values f pi, x̄q for i ă n, or when two functions are defined simultaneously
by recursion.
Proposition 1.1.10.
(i) Suppose h : ω k`2 Ñ ω is recursive, and f : ω k`1 Ñ ω is defined by
f pn, x̄q “ hpn, xf p0, x̄q, . . . , f pn ´ 1, x̄qy , x̄q.
Then f is recursive.
(ii) Let f0 , g0 : ω k Ñ ω and h0 , h1 : ω k`3 Ñ ω be recursive, and define by simultane-
ous recursion
f p0, x̄q “ f0 px̄q

gp0, x̄q “ g0 px̄q
8
1.2 Σ01 sets
and
f pn ` 1, x̄q “ h0 pn, f pn, x̄q, gpn, x̄q, x̄q

gpn ` 1, x̄q “ g0 pn, f pn, x̄q, gpn, x̄q, x̄q.
Then f and g : ω k`1 Ñ ω are recursive.
Proof.
(i) Let θ be the recursive function such that
θpn, pq “ xsn p0q, . . . , sn plh sn ´ 1q, py
and define gpn, x̄q “ xf p0, x̄q, . . . , f pn ´ 1, x̄qy. Then g is defined by primitive
recursion by
gp0, x̄q “ x0, 0y

and gpn ` 1, x̄q “ θpgpn, xq, hpn, gpn, x̄q, x̄qq
hence g is recursive. And so is f pn, x̄q “ sgpn`1,x̄q pnq.
(ii) Define ϕpn, x̄q “ xf pn, x̄q, gpn, x̄qy. Then ϕ is defined by
#
ϕp0, x̄q “ xf0 px̄q, g0 px̄qy
ϕpn ` 1, x̄q “ xh0 pn, pϕpn, x̄qq0 , pϕpn, x̄qq1 , x̄q, h1 pn, pϕpn, x̄qq0 , pϕpn, x̄qq1 , x̄qy
by primitive recursion, so ϕ is recursive, and hence so are f and g. %
1.2 Σ01 sets

1.2.1 Definition
A subset of ω k is Σ01 , or semirecursive, if there is a recursive subset B of ω k`1 such
that A “ D0 B, i.e.
x̄ P A ÐÑ Dn px̄, nq P B.
The class of semirecursive sets is denoted by Σ01 .
1.2.2 Closure properties

Proposition 1.2.1.
(i) Every recursive set is Σ01 .
(ii) Σ01 is closed under ^, _, Dď , @ď , and substitution by recursive functions.
(iii) Σ01 is closed under D0 .
9
1 Recursivity on ω
(So compared with the closure properties of ∆01 , note that D0 has been added, but
disappeared).
Proof. (i) If A is recursive in ω k so is Bpx̄, nq Ø Apx̄q in ω k`1 . And A “ D0 B.

For (ii) and (iii), the closure properties follow from those of ∆01 , together with the
following equivalences
Dn pB1 px̄, nq _ B2 px̄, nqq ÐÑ Dn B1 px̄, nq _ Dn B2 px̄, nq

Dn B1 px̄, nq ^ Dn B2 px̄, nq ÐÑ Dp pB1 px̄, ppq0 q ^ B2 px̄, ppq1 qq
Dm ď n Dp Bpx̄, m, pq ÐÑ Dp pDm ď n Bpx̄, m, pqq
@m ď n Dp Bpx̄, m, pq ÐÑ Dq pplh sq “ n ` 1q ^ @m ď n Bpx̄, m, sq pmqqq
Dn Dp Bpx̄, n, pq ÐÑ Dq Bpx̄, pqq1 , pqq1 q. %
1.2.3 Σ01 versus ∆01

Proposition 1.2.2.
(i) A set A Ď ω k is ∆01 iffA and A are Σ01 .
(ii) A function f : ω k Ñ ω is recursive iff its graph Graphpf q is semirecursive.
Proof. (i) If A is recursive, so is A. By Proposition 1.2.1 (i), both A and A are

Σ01 . Conversely if A and A are Σ01 there are recursive B and C such that
x̄ P A ÐÑ Dn Bpx̄, nq
and x̄ R A ÐÑ Dn Cpx̄, nq.
The set B YC is recursive, and moreover for any x̄ P ω k there is an n with px̄, nq P
B Y C so ϕpx̄q “ least n ppx̄, nq P B Y Cq is recursive, and x̄ P A Ø Bpx̄, ϕpx̄qq so
A is ∆01 .
(ii) If f is recursive, its graph is recursive, so Graphpf q is Σ01 . Conversely if Graphpf q

is Σ01 , note that
px̄, nq R Graphpf q ÐÑ Dpppx̄, pq P Graphpf q ^ p ‰ nq
is Σ01 by Proposition 1.2.1. So by (i) Graphpf q is ∆01 hence f is recursive. %
1.2.4 Recursively enumerable sets

Proposition 1.2.3.
(i) If f : ω k Ñ ω is recursive and A Ď ω k is Σ01 , f pAq is Σ01 .
(ii) Conversely if A Ď ω is Σ01 and A ‰ H, then A “ f pωq for some recursive

f : ω Ñ ω.
10
1.3 Kleene’s Enumeration Theorem
Proof. (i) Let B “ f pAq. Then
nPB ÐÑ Dx0 Dx1 ¨ ¨ ¨ Dxk´1 px̄ P A ^ f px̄q “ nq
so B is Σ01 by Propositions 1.2.1 and 1.2.2.
(ii) Write Apnq Ø Dp Bpn, pq with B ∆01 in ω 2 , and let n0 P A. Define

#
pkq0 if ppkq0 , pkq1 q P B
ϕpkq “
n0 otherwise.
Clearly ϕ is recursive, and ϕpωq “ A. %
This proposition explains why the Σ01 subsets of ω are also called the recursively
enumerable sets. Note that if A is infinite, the enumeration can be chosen one-to-one,
but not monotone unless A is ∆01 .

In this section, we establish a fundamental result of Kleene about the class Σ01 . The
result will be very important in this book, but not its proof, and the reader may very
well skip it.
1.3.1 The theorem

Theorem 1.3.1. There exists a Σ01 set G Ď ω 2 such that for every Σ01 set A Ď ω,
there is an integer eA with
nPA ÐÑ peA , nq P G.
(So the Σ01 subsets of ω are exactly the sections of G. Such a set G is called universal
for Σ01 subsets of ω).
1.3.2 First reduction

We claim that it is enough to find a Σ01 set G‹ in ω 2 such that if f : ω k Ñ ω is recursive,
one can find ef P ω such that
f px0 , . . . , xk´1 q “ n ÐÑ pef , xx0 , . . . , xk´1 , nyq P G‹ .
For suppose G‹ has been defined, and let
pe, xq P G ÐÑ Dnpe, xx, n, 1yq P G‹ .
Clearly G is Σ01 . Now if A Ď ω is Σ01 , then for some recursive B Ď ω 2 x P A Ø

Dnpx, nq P B.
11
1 Recursivity on ω
As 1B is recursive, there is an integer eA such that
px, nq P B ÐÑ 1B px, nq “ 1 ÐÑ peA , xx, n, 1yq P G‹ .
Then
xPA ÐÑ Dn px, nq P B
ÐÑ Dn peA , xx, n, 1yq P G‹
ÐÑ peA , xq P G
as desired.
1.3.3 Coding recursive functions

How to encode recursive functions? Recall that the set Rec was defined in Subsec-
tion 1.1.1 as the least set containing certain functions (those of clauses (1),(2),(3)) and
closed under certain operations (those of clauses (4),(5),(6)). So if we start with these
functions and perform all the operations a finite number of times, we get the set Rec.
So the coding should give us (i) which clauses has been used (ii) in case of (1),(2),(3),
which function it is, (iii) in case of (4),(5),(6), on which function the operation is ap-
plied at least through their own codes, (iv) for technical reasons, we also encode the
arity of the function in the code. In the coding which follows, codes will be sequences
of length ě 2, the first value gives the clause, the second the arity, and the remaining,
the rest of the information.
It should be clear that if the encoding is reasonable enough, the conditions for being
such a code will be recursive, with one difficulty: the minimization operation is not
defined on all recursive functions, as we imposed that the result be itself everywhere
defined. And this cannot be seen on codes in a Σ01 way. To overcome this difficulty one
only forgets the restriction. This leads to also encoding objects which are not recursive
functions (they are called partial recursive functions for obvious reasons). But this
doesn’t matter, as long as the encoding is Σ01 and all recursive functions have been
coded.
Formally, we use the coding s of ω ăω .
Definition 1.3.2. The set C of codes is the least set of numbers satisfying
(1) If
(1a) lh sn “ 3 and sn p0q “ 1, sn p1q ě 1
then n P C. [n “ x1, k, py codes Ckp : ω k Ñ ω]
(2) If
(2a) lh sn “ 3 and sn p0q “ 2, sn p2q ă sn p1q
then n P C. [n “ x2, k, py codes Ppk : ω k Ñ ω]
(3) If
12
(3a) lh sn “ 2 and sn p0q “ 3, sn p1q “ 1

then n P C. [n “ x3, 1y codes S : ω Ñ ω]
(4) If both
(4a) lh sn ą 3, sn p0q “ 4, and @p p1 ď p ă lh sn Ñ lh ssn ppq ě 2q, ssn p2q p1q “
lh sn ´ 3 and @p p2 ă p ă lh sn Ñ ssn ppq p1q “ sn p1qq
(4b) @p p2 ď p ă lh sn Ñ sn ppq P Cq
then n P C. [we wrote formally that if sn “ p4, k, p, q0 , . . . , ql´1 q and p already
codes f : ω l Ñ ω, and q0 , . . . , ql´1 code g0 , . . . , gl´1 : ω k Ñ ω, then n codes a
function : ω k Ñ ω — we of course want it to code f pg0 , . . . , gl´1 q]
(5) If both
(5a) lh sn “ 4 and sn p0q “ 5 and lh sn p2q ě 2 and lh sn p3q ě 2 and sn p1q “
ssn p2q p1q ` 1 and ssn p3q p1q “ ssn p2q p1q ` 2
`
(5b) sn p3q P C and ˘ either sn p2q P C or lh sn p2q “ 3 and ssn p2q p0q “ 0 and
ssn p2q p1q “ 0
then n P C. [again we wrote formally that if sn “ p5, k ` 1, p, qq and q already
encoding a function g : ω k`2 Ñ ω and p either of form x0, 0, n0 y or already
encoding a function f0 : ω k Ñ ω, then codes a function f : ω k`1 Ñ ω — we have
in mind the function obtained by primitive recursion from pn0 , gq or pf0 , gq]
(6) If both
(6a) lh sn “ 3 and sn p0q “ 6 and lh sn p2q ě 2 and ssn p2q p1q “ sn p1q ` 1 ě 2
(6b) sn p2q P C
then n P C. [if sn “ p6, k, pq and p already codes g : ω k`1 Ñ ω, then n codes
f : ω k Ñ ω. Here we have in mind the function obtained by minimization from
g, if it does exist.]
1.3.4 Complexity of the set of codes

Lemma 1.3.3. The set C is Σ01 in ω.
Proof. Say that a number n is well-formed if it satisfies one of the clauses (1a), (2a),
(3a), (4a), (5a) or (6a) of Definition 1.3.2. Clearly the set of all well formed numbers
is recursive. If now n is well formed, define its set of predecessors by
$
’
’ H if sn p0q “ 1, 2 or 3,
’
’
&tsn ppq : 2 ď p ď lh sn u if sn p0q “ 4,
’
’
P pnq “ tsn p3qu if sn p0q “ 5 and ssn p2q p0q “ 0,
’
tsn p2q, sn p3qu if sn p0q “ 5 and ssn p2q p0q ě 1,
’
’
’
’
’
if sn p0q “ 6.
%
tsn p2qu
13
1 Recursivity on ω
Clearly the relation n is well-formed and k P P pnq is recursive.

Say that p is a program if the sequence sp has length ě 1, and for all j ă lh sp : sp pjq
is a well-formed number and all the elements k of P psp pjqq are among the numbers
sp piq, i ă j.
By its very definition, the relation p is a program is recursive. So to prove the lemma,
it is enough to prove that
nPC ÐÑ Dp pp is a program and sp plh sp ´ 1q “ nq.
Direction Ð is by induction on lh sp . If the length is 1, so sp p0q “ n is well-formed,

and P pnq must be empty, so sn p0q “ 1, 2 or 3, and n satisfies clauses (1a), (2a) or (3a).
But this implies n P C. If now the result is known for all programs of length ď k and
lh sp “ k ` 1, then we know that n is well-formed, and by induction that P pnq Ď C.
But this easily implies that n P C.
For direction Ñ, it is enough to prove that the set of n’s satisfying the right-hand
side property satisfies all clauses (1)–(6), for then it must contain C. Writing down
programs for clauses (1), (2), (3) is immediate. And for clauses (4), (5), (6), one just
concatenates the programs for the elements of P pnq. Let us do (6) for example. So we
start with n such that sn “ p6, k, qq, with q satisfying the right-hand side, and such
that sq p1q “ k ` 1. Let then p be a program of length l ě 1 with q “ sp pl ´ 1q. Choose
r so that sr “ sq a n, and check that sr is a program of length l ` 1 with sr plq “ n. The
other cases are similar, and left to the reader. %
1.3.5 The coding

We now want to associate, to each n P C, a subset G˚n of ω (which intuitively codes
the graph of the function coded by n). This is defined by induction by
(1) If sn “ p1, k, lq,
m P G˚n ÐÑ ppmq0 , . . . , pmqk´1 , pmqk q P Graph Ckl

(i.e. pmqk “ l)
(2) If sn “ p2, k, lq,
m P G˚n ÐÑ ppmq0 , . . . , pmqk´1 , pmqk q P Graph Pkl

(i.e. pmqk “ pmql )
(3) If sn “ p3, 1q,
m P G˚n ÐÑ ppmq0 , pmq1 q P Graph S

(i.e. pmq1 “ pmq0 ` 1)
14
(4) If sn “ p4, k, p, q0 , . . . , ql´1 q,

`
m P G˚n ÐÑ Dm0 , . . . ml´1 xm0 , . . . , ml´1 , pmqk y P G˚p
˘
and @i ă l xpmq0 , . . . , pmqk´1 , mi y P G˚qi .
(5) If sn “ p5, 1, x0, 0, ky , pq,

“
m P G˚n ÐÑ Dq0 , . . . qpmq0 ´1 q0 “ k
^ @i ă pmq0 ´ 1 xi, qi , qi`1 y P G˚p
@ D ‰
^ pmq0 ´ 1, qpmq0 ´1 , pmq1 P G˚p ,
and if sn “ p5, k ` 1, p0 , pq,

“
m P G˚n ÐÑ Dq0 , . . . qpmq0 ´1 xpmq1 , . . . , pmqk , q0 y P G˚p0
^ @i ă pmq0 ´ 1 xi, qi , pmq1 , . . . , pmqk , qi`1 y P G˚p
@ D ‰
^ pmq0 ´ 1, qpmq0 ´1 , pmq1 , . . . , pmqk , pmqk`1 P G˚p .
(6) If sn “ p6, k, pq,

“
m P G˚n ÐÑ Dq0 , . . . qpmqk ´1 @i ă pmqk pqi ‰ 0
^ xi, pmq0 , . . . , pmqk´1 , qi y P G˚p q
‰
^ xpmqk , pmq0 , . . . , pmqk´1 , 0y P G˚p .
The preceding definition is a bit informal; one should define a set of pairs pn, G˚n q
as the least with the preceding properties, and check that indeed for each n there is
exactly one G˚n , given by the above.
1.3.6 End of the proof

To finish the proof of Theorem 1.3.1, it is enough prove the following:
Lemma 1.3.4.
(i) G˚ “ tpn, mq : m P G˚n u is Σ01 .
(ii) if f : ω k Ñ ω is recursive, there is an n P C with sn p1q “ k such that
f pm0 , . . . , mk´1 q “ mk Ø xm0 , . . . , mk´1 , mk y P G˚n .
15
1 Recursivity on ω
Proof. Fact (ii) is easy: Consider the family of recursive functions which satisfy the
conclusion of (ii). It clearly contains the constants, the projections and the successor
function. And it is easy to verify, by the very form of Subsection 1.3.5, that it is closed
under composition, primitive recursion and minimization. So it contains all recursive
functions.
The proof of fact (i) is quite analogous to the proof given in Subsection 1.3.4 that
C is Σ01 . So we only sketch it.
Suppose we are given a pair pn, mq with n P C, and some number q. We define a
notion of predecessor P pn, m, qq as follows:
– If sn p0q “ 1, 2 or 3, P pn, m, qq “ H.
– If sn “ p4, k, p, q0 , . . . , ql´1 q, P pn, m, qq consists of all pairs
pqi , xpmq0 , . . . , pmqk´1 , pqqi yq for i ă l,

together with pp, xpqq0 , . . . , pqql´1 , pmqk yq.
– If sn “ p5, 1, x0, 0, p0 y , pq, P pn, m, qq is ω 2 if pqq0 ‰ p0 and if pqq0 “ p0 , consists

of the pairs
pp, xi, pqqi , pqqi`1 yq for i ă pmq0 ´ 1,

@ D
and pp, pmq0 ´ 1, pqqpmq0 ´1 , pmq1 q.
– If sn “ p5, k ` 1, p0 , pq for k ě 1, P pn, m, qq consists of the pairs
pp0 , xpmq1 , . . . , pmqk , pqq0 yq,

pp, xi, pqqi , pmq1 , . . . , pmqk , pqqi`1 yq for i ă pmq0 ´ 1,
@ D
and pp, pmq0 ´ 1, pqqpmq0 ´1 , pmq1 , . . . , pmqk , pmqk`1 q.
– If sn “ p6, k, pq, P pn, m, qq is ω 2 if one of the pqqi ’s, for i ă pmqk , is 0, and
otherwise consists of the pairs
pp, xi, pmq0 , . . . , pmqk´1 , pqqi yq for i ă pmqk ,

and pp, xpmqk , pmq0 , . . . , pmqk´1 , 0yq.
From this definition, one easily checks that n P C^pi, jq P P pn, m, qq is Σ01 in ω 5 . Define
then a computation c as a number coding a sequence sc “ pxn0 , m0 y , . . . , xnk , mk yq of
length ě 1, with the property that for j ď k nj P C and there is a q such that for all ele-
ments pr, sq P P pnj , mj , qq, the number xr, sy is among xn0 , m0 y , xn1 , m1 y , . . . , xnj´1 , mj´1 y.
The set of computations is again clearly Σ01 , so to finish the proof, it is enough to prove
that
pn, mq P G˚ ÐÑ Dc pc is a computation and xn, my “ sc plh sc ´ 1qq .
16
1.4 Hierarchy and recursion theorems
For direction Ñ, one consider the set of pairs pn, G˚n q for which n P C and the right-
hand side is satisfied, and easily show that it satisfies (1)–(6) of Subsection 1.3.5, by
concatenation of the computations.
For direction Ð, one argues by induction on the length of the sequence sc , and
by examination of conditions (1)–(6) of Subsection 1.3.5, one easily checks that the
hypothesis on the predecessor set is exactly what is needed to get them. Details are
left to the reader. %

This section is devoted to applications of the Enumeration Theorem 1.3.1.
1.4.1 The hierarchy theorem

Theorem 1.4.1 (The hierarchy theorem). There exists on ω a Σ01 non recursive set.
Hence ∆01 is not closed under D0 , and Σ01 is not closed under .
Proof. One uses a method known as “Cantor’s diagonal method”. Let G be the Σ01
subset of ω 2 universal for all Σ01 subsets of ω, and define
∆ “ tn : pn, nq P Gu.
Clearly ∆ is Σ01 in ω, and we claim it is not recursive. Otherwise ∆ would be Σ01 in

ω, hence for some e we would have
nP ∆ ÐÑ Gpe, nq,
but for n “ e this would give e R ∆ Ø Gpe, eq Ø e P ∆, a contradiction which finishes

the proof. %
1.4.2 Good universal sets for Σ01

The enumeration theorem provides a coding ρ of the Σ01 subsets of ω by integers, by
setting ρpnq “ Gn . And this coding is such that membership is Σ01 in the codes,
i.e. m P Gn is Σ01 . Suppose now A Ď ω 2 is Σ01 , so that for each n P ω its section
An “ tm : pn, mq P Au is Σ01 in ω. As G is universal, one can find for each n a number
ϕpnq such that m P An Ø m P Gϕpnq . But we have no a priori information about the
choice function ϕ. The next result says that by choosing carefully the universal set,
one can pick ϕ recursive.
Theorem 1.4.2. For each k ě 1 there exists a Σ01 set W k Ď ω k`1 such that if A Ď ω k`1
is Σ01 , there exists a recursive function fA : ω Ñ ω such that for all n and x̄ P ω k
Apn, x̄q ÐÑ W k pfA pnq, x̄q.
Such a set W k is called a good universal set for Σ01 subsets of ω k .
17
1 Recursivity on ω
Proof. Note that indeed a set W k with this property is universal for Σ01 subsets of ω k ,
for if B Ď ω k`1 is Σ01 , consider Apn, x̄q Ø Bpx̄q, and apply the property to A.
To get W k , we start with the universal set G, and define
pn, x0 , . . . , xk´1 q P W k ÐÑ ppnq0 , xpnq1 , x0 , . . . , xk´1 yq P G.
This W k is clearly Σ01 . We check that it works. Suppose A is Σ01 in ω k`1 , and define
Bppq ÐÑ Apppq0 , . . . , ppqk q.
B is Σ01 in ω, so for some e, p P B Ø pe, pq P G. Let fA pnq “ xe, ny. Clearly fA is

recursive, and moreover
Apn, x0 , . . . , xk´1 q ÐÑ Bpxn, x0 , . . . , xk´1 yq

ÐÑ Gpe, xn, x0 , . . . , xk´1 yq
ÐÑ W k pxe, ny , x0 , . . . , xk´1 q
ÐÑ W k pfA pnq, x0 , . . . , xk´1 q
as desired. %
From now on, we fix once and for all the codings of Σ01 subsets of the ω k ’s as given
by the good universal sets W k , and denote Wnk (Wn for k “ 1) the nth Σ01 set in this
enumeration.
1.4.3 Uniformities
Theorem 1.4.2, despite its simplicity, is the key to many important results, for it allows
to infer uniform results from a priori non uniform ones. As an example, let us prove
Proposition 1.4.3. The closure properties of Σ01 by ^, _, Dď , @ď , D0 are all uniform

in the codes, i.e.:
(i) there exist recursive f^k , f_k ; ω 2 Ñ ω such that
Wnk X Wm
k
“ Wfk^ pn,mq ,
Wnk Y Wm
k
“ Wfk_ pn,mq .
(ii) there exist recursive fDkď , f@kď : ω Ñ ω such that
Dm ď p Wnk`1 px̄, mq ÐÑ Wfk`1

k px̄, pq
Dď pnq
@m ď p Wnk`1 px̄, mq ÐÑ Wfk`1

k px̄, pq
@ď pnq
18
(iii) there exists a recursive fDk0 : ω Ñ ω such that
Dm Wnk`1 px̄, mq ÐÑ Wfkk pnq

px̄q.
D0
Proof. They are all similar.

k X W k . A is Σ0 in ω k`1 so for some recursive f
For (i), define App, x̄q Ø x̄ P Wppq 0 ppq1 1
App, x̄q ÐÑ W k pf ppq, x̄q.
The case of _ is similar.

For (ii) and (iii), just note that the left-hand sides define Σ01 relations in ω k`2 and
ω k`1 respectively, and apply Theorem 1.4.2. %
1.4.4 The S-m-n theorem

Among these “uniform” results one can obtain from Theorem 1.4.2, one deserves a
special attention, for it gives the uniformity between the various W k ’s. For historical
reasons, it is called Kleene’s S-m-n theorem.
n : ω m`1 Ñ ω
Theorem 1.4.4. For all m, n ě 1 there exists a recursive function Sm
m
such that for all x̄ P ω , ȳ P ω n
pk, x̄, ȳq P W m`n ÐÑ n

pSm pk, x̄q, ȳq P W n .
Proof. Define
App, ȳq ÐÑ W m`n pppq0 , ppq1 , . . . , ppqm , ȳq.
A is Σ01 in ω m`1 , so for some f : ω Ñ ω
App, ȳq ÐÑ W n pf ppq, ȳq.

n “ f pxk, x , . . . , x
We can take Sm 0 m´1 yq. %
1.4.5 The recursion theorem

Theorem 1.4.5 (Kleene’s Recursion Theorem). Let A Ď ω k`1 be Σ01 . There is an
integer e such that
Ae “ Wek ,
i.e. for all x̄ P ω k , pe, x̄q P A Ø pe, x̄q P W k .
Proof. This is an elaboration on the diagonal method, which looks rather magic.
Let S1k : ω 2 Ñ ω be the S ´ 1 ´ k function of Theorem 1.4.4, and define for x̄ P ω k
Bpn, x̄q ÐÑ ApS1k pn, nq, x̄q.
19
1 Recursivity on ω
As A is Σ01 , so is B, hence for some eB one has
Bpn, x̄q ÐÑ W k`1 peB , n, x̄q.
Let e “ S1k peB , eB q. We claim e works, as
Ape, x̄q ÐÑ ApS1k peB , eB q, x̄q by definition of e

ÐÑ BpeB , x̄q by definition of B
k`1
ÐÑ W peB , eB , x̄q by choice of eB
ÐÑ W k pS1k peB , eB q, x̄q by the property of S1k
ÐÑ W k pe, xq as desired. %
1.4.6 The uniform recursion theorem

It is also sometimes useful to have a uniform version of the preceding result, i.e. if n
is a code for A (as a Σ01 subset of ω k`1 ) to get the fixed-point e recursively in n.
Theorem 1.4.6. Given k ě 1, there exists a recursive function ϕ : ω Ñ ω such that

if A “ Wnk`1 , then ϕpnq satisfies
k
Aϕpnq “ Wϕpnq .
Proof. is magic again. We consider the S-2-k function S2k , which satisfies W k`2 pm, n, p, x̄q Ø
W k pS2k pm, n, pq, x̄q, and define B Ď ω k`2 by
Bpn, m, x̄q ÐÑ W k`1 pn, S2k pm, n, mq, x̄q.
As B is Σ01 , there is eB such that
Bpn, m, x̄q ÐÑ W k`2 peB , n, m, x̄q.
Define ϕpnq “ S2k peB , n, eB q. This is recursive, and we check that it works: If n is a
code for A Ď ω k`1 , one has
Apϕpnq, x̄q ÐÑ W k`1 pn, ϕpnq, x̄q as n is a code for A

k`1
ÐÑ W pn, S2k peB , n, eB q, x̄q by definition of ϕ
ÐÑ Bpn, eB , x̄q by definition of B
ÐÑ W k`2 peB , n, eB , x̄q by choice of eB
k
ÐÑ W pS2k peB , n, eB q, x̄q by the property of S2k
ÐÑ W k pϕpnq, xq as desired. %
20
1.4.7 Σ01 operators on ω

Let us give an important application of the recursion theorem. If Φ is a function
associating to each Σ01 subset A of ω another Σ01 subset of ω, we say that Φ is uniformly
Σ01 , or Σ01 in the codes, if the relation n P ΦpWm q is Σ01 in ω 2 . Given such a Φ, we can
iterate it and define Φ0 pAqŤ “n A, Φ
n`1 pAq “ ΦpΦn pAqq, as clearly by induction each
n 0 8
Φ pAq is Σ1 . Let Φ “ n Φ pAq.
Theorem 1.4.7. Let Φ be uniformly Σ01 .
(i) Φ is monotone, i.e. if A Ď B are Σ01 , ΦpAq Ď ΦpBq.
(ii) ΦpAq “ tΦpBq : B Ď A, B finiteu for any Σ01 set A.

Ť
(iii) Φ8 pHq is Σ01 in ω, and ΦpΦ8 pHqq “ Φ8 pHq, so that Φ admits a fixed-point;
and moreover Φ8 pHq is the least fixed-point of Φ.
Proof. (i) Let A and B be Σ01 , with A Ď B. Let k P ΦpAq. We want to show that
k P ΦpBq.
Define a Σ01 set C in ω 2 by
pp, qq P C ÐÑ q P A _ pq P B ^ k P ΦpWp qq
and by the recursion theorem, pick e such that Ce “ We . We claim that k P

ΦpCe q, and that Ce “ B — which clearly is enough to get (i). To see this, suppose
that k R ΦpCe q, so k R ΦpWe q. Then by definition of C, one gets Ce “ A, and
k R ΦpAq, a contradiction. So k P ΦpCe q. But then by definition of C, Ce “ B,
as desired.
(ii) We may assume that A ‰ H, otherwise the conclusion is trivial. Let f : ω Ñ ω be

a recursive enumeration of A, given by Proposition 1.2.3, and define p P Apqq Ø
Dm ď q pf pmq “ pq. This relation is recursive, and the sets Apqq are finite, with
union A.
Fix now k P ΦpAq. We want to prove that for some q, k P ΦpApqq q. Define
B “ tm : k P ΦpWm qu. B is Σ01 and non empty, so is enumerated by some
recursive function g : ω Ñ ω, and we define B pqq “ tm : Di ď q pgpiq “ mqu.
Rectification of the
Louveau has written: proof? – R
Set pm, pq P C Ø p P A and (if q is least with p P Apqq , m R B pqq ). One has
´ ¯
pm, pq P C ÐÑ Dq p P Apqq ^ @r ă q pp R Aprq _ m R B pqq q
but this way for all m we have A Ď C pmq , indeed for all p P A it is enough to
choose q minimal such that p P Apqq . This will ruin the end of the proof.
Instead if one goes simply for
21
1 Recursivity on ω
Set ´ ¯
pm, pq P C ÐÑ Dq p P Apqq ^ m R B pqq
it seems to me that the rest of the proof goes on smoothly. – R

and as the relation in parentheses is ∆01 , C is Σ01 in ω 2 . So by the recursion
theorem there is an e with Ce “ We .
First we claim that e P B, i.e. that k P ΦpCe q. For suppose not. Then for all q,
e R B pqq , and by definition of C
p P Ce ÐÑ Dq pp P Apqq q, i.e. Ce “ A.
As k P ΦpAq, this is impossible.

P B, and hence for some q0 , e P B pq0 q . But then, by definition of C,
So e Ť
Ce Ď qăq0 Apqq Ď Apq0 q , hence by (i) k P ΦpCe q Ď ΦpApq0 q q and we are done.
(iii) Let An “ Φn pHq. AsŤH “ Φ0 pHq Ď Φ1 pHq, one gets by induction using (i) that
An Ď An`1 Ď A8 “ n An .
We first show that the relation k P An is Σ01 . To see this, note that as k P ΦpWn q
is Σ01 in ω 2 , we can find by Theorem 1.4.2 a recursive function ϕ : ω Ñ ω such
that ΦpWn q “ Wϕpnq . Let n0 P ω be such that Wn0 “ H, and define f : ω Ñ ω
by
f p0q “n0
f pn ` 1q “ϕpf pnqq.
Clearly f is recursive, and k P An Ø k P Wf pnq is Σ01 .

So k P A8 Ø Dn pk P An q is Σ01 too. As An Ď A8 , An`1 “ ΦpAn q Ď ΦpA8 q and
finally A8 Ď ΦpA8 q. To see the converse, let k P ΦpA8 q. By (ii), k P ΦpBq for
some finite B Ď A8 . But as the sequence An is increasing, B Ď An for some n,
and k P ΦpBq Ď ΦpAn q “ An`1 Ď A8 , so finally A8 “ ΦpA8 q.
For the last statement, note that any fixed-point C contains H, hence by induc-
tion contains each An , and A8 is the least fixed-point of Φ. %
1.5 Relativization
In this section we introduce the easy but important notion of relativization of the re-
cursive notions we introduced in the previous sections, in order to include any function
(or set of functions) we want to study. As we said in Section 1.1 our goal is not Re-
cursion Theory, but Descriptive Set Theory, and we want a machinery which enables
us to study all functions and all subsets of the ω k ’s (and much more, of course).
22
1.5 Relativization
1.5.1 Recursively closed families

A family Φ of functions with domain one of the ω k ’s and values in ω is recursively
closed if it satisfies clauses (1)–(6) in Definition 1.1.1, i.e. it contains the constants,
the projections and the successor function, and it is closed under composition, primi-
tive recursion, and minimization. So the family Rec of recursive function is the least
recursively closed family.
Given any family Φ, there is clearly a least recursively closed family containing it,
that we call its recursive closure, and denote it by RecpΦq (in case Φ “ tαu, where
α : ω Ñ ω, we denote it by Recpαq, and its elements are called the recursive-in-α
functions). Clearly if Φ is countable, RecpΦq is countable too.
1.5.2 ∆01 pαq and Σ01 pαq

In our study of the family Rec in Sections 1.1 and 1.2, we never used the fact that Rec
was the least recursively closed family, as the reader can easily check.
It follows that if we define
∆01 pΦq “ tA : 1A P RecpΦqu
and
Σ01 pΦq “ D0 ∆01 pΦq,
all results proved in Sections 1.1 and 1.2 for Rec, ∆01 and Σ01 are valid for RecpΦq,
∆01 pΦq and Σ01 pΦq for any family Φ. (Again for Φ “ tαu, one usually writes ∆01 pαq and
Σ01 pαq instead of ∆01 ptαuq and Σ01 ptαuq).
1.5.3 Relativizing the enumeration theorem

In Section 1.3, we of course used the definition of Rec to prove Kleene’s enumeration
theorem. There is no hope to prove a similar result if Φ is uncountable, and even if Φ
is countable, Kleene’s theorem may fail, as we will see in Subsection 1.5.4. However,
the result still holds for Σ01 pαq:
Theorem 1.5.1 (Kleene). Let α : ω Ñ ω be given. Then there exists a Σ01 pαq set
G Ď ω 2 which is universal for all Σ01 pαq subsets of ω.
It follows from this result that all results proved in Sections 1.3 and 1.4 for Rec,
∆01 and Σ01 are true for Recpαq, ∆01 pαq and Σ01 pαq for all α — we will say that they
relativize to α.
The proof of Theorem 1.5.1 is a trivial modification of the proof presented in Sec-
tion 1.3: One just adds a seventh clause which correspond to the function α, and is
treated the way we treated the function S.
23
1 Recursivity on ω
1.5.4 A counterexample
We now give an example of a countable family Φ for which the enumeration theorem
fails for Σ01 pΦq.
Define a sequence pfn q of functions : ω 2 Ñ ω, inductively, by
f0 “ 1W , where W is the good universal set for Σ01 subsets of ω, and

fn`1 “ 1W pnq , where W pnq is the good universal set for Σ01 pfn q subsets of ω.
Let Φ “ tfn : n P ωu. We check that Φ is such a counterexample.

Clearly by definition fn P Recpfn`1 q. And by the Hierarchy Theorem 1.4.1 (rela-
tivized to fn ) fn`1 R Recpfn q, so Ť Φn “ Recpfn q is a strictly increasing sequence
Ť of
recursively closed families. And n Φn is recursively closed, hence RecpΦq “ n Φn .
But then if A is Σ01 pΦq, there is an n such that A P Σ01 pΦn q and then A is ∆01 pfn`1 q.
So Σ01 pΦq “ ∆01 pΦq, i.e. the hierarchy theorem fails for Φ, and a fortiori the enumeration
theorem must fail.
Note that practically, this failure doesn’t matter much, because for any countable
family Φ, there is an α : ω Ñ ω such that RecpΦq Ď Recpαq: First replace each
f : ω k Ñ ω in Φ by f˜ : ω Ñ ω defined by f˜pnq “ f ppnq0 , . . . , pnqk´1 q, then enumerate
the set tf˜ : f P Φu as xfñ : n P ωy, and let αpnq “ f˜pnq0 ppnq1 q. One immediately checks
that all fñ ’s, hence all fn ’s, are recursive-in-α.
1.5.5 Relativization in this book

Throughout the book, we will concentrate mainly on the class Rec, and on the (many)classes
in (many)spaces that we will define from the class Rec in the next chapters.
But the only properties of Rec we will use are the ones that we established in
Sections 1.1 to 1.4. So all the results in the book will automatically be true for Recpαq
and the classes and spaces which can be defined from it.
We will seldom bother writing down explicitly the relativized-to-α results, although
we will often use them: Adding everywhere the symbols pαq would not help under-
standing the ideas, and would be notationally awkward. But the reader must consider
these relativized-to-α statements as part of the book, for they play a fundamental rôle:
as we will see in Chapter 3, they are the bridge between the classical and the effective
approaches to Descriptive Set Theory.
24
2 Metrizable separable and recursive
spaces
In this chapter we introduce the spaces which will serve as frame for developing De-
scriptive Set Theory, both from the topological and recursivity points of view.
2.1 Metrizable separable and Polish spaces

2.1.1 Distances
A distance d on a set X is a non negative function d : X 2 Ñ R such that
(1) dpx, yq “ 0 ÐÑ x “ y;
(2) dpx, yq ď dpx, zq ` dpy, zq for all x, y, z in X (the triangular inequality).
The structure pX, dq is called a metric space, and is canonically given a topology,
namely the one generated by the open balls Bpx, rq “ ty P X : dpx, yq ă ru, where x
varies over X and r over R` .
A topological space is called metrizable if some distance on X define its topology.
Such a distance is said to be compatible with the topological space X.
Note that if d is a distance on X, so is d1 px, yq “ inftdpx, yq, 1u, so that a metrizable
space always has a compatible bounded by 1 distance.
2.1.2 Separability
A topological space X is separable if it admits a countable dense subset, and is second-
countable if its topology has a countable basis. Although these notions are different in
general, they coincide for metrizable spaces: Clearly any topological second-countable
space is separable (by picking a point of X in each set of the basis). Conversely if X
is metrizable, d is a compatible distance and D is a countable dense set, the countable
family of open balls with center in D and rational radius is a basis for the topology.
Metrizable (or equivalently second-countable) spaces will be our topological frame
in this book (although some of the results could be generalized in a wider context—
usually depending on the result).
25
2 Metrizable separable and recursive spaces
2.1.3 Products and subspaces

Proposition 2.1.1.
(i) Every subspace of a metrizable separable space is metrizable separable (with the
induced topology).
ś
(ii) If pXn qnPω is a sequence of metrizable separable spaces, its product X “ n Xn
(with the product topology) is metrizable separable.
Proof. (i) If d is a compatible metric on X, the restriction of d to any subset Y of X

is a compatible metric on Y . Moreover second-countability is clearly hereditary
(separability is not, in arbitrary topological spaces!).
(ii) Let dn be a compatible distanceśon Xn which is bounded by 1, and define for

x̄ “ pxn qnPω and ȳ “ pyn qnPω in n Xn
ÿ
dpx̄, ȳq “ 2ń dn pxn , yn q.
n
One easily check that d is a distance on X which defines the product topology.
Moreover if Cn is countable dense in Xn , and cn is a fixed member of Cn (we
assume here that the Xn ’s are non empty), the set C of sequences x̄ “ pxn q such
that
– @n xn P Cn , and
– for all but finitely many n’s xn “ cn ,
forms a countable dense set in X. This proves (ii). %
2.1.4 Complete spaces, Polish spaces

A Cauchy sequence in a metric space pX, dq is a sequence pxn q such that
lim dpxn , xm q “ 0.
n,mÑ8
The metric space pX, dq is complete if every Cauchy sequence converges to some
(necessarily unique) point of X.
Any metric space can be embedded in a (unique up to isometry) complete metric
space Xp as a dense subspace. Xp is called the completion of X.
A metrizable separable space X is called Polish if for some compatible distance d on
X, pX, dq is metric complete.
Familiar examples of Polish spaces are ω (with the discrete topology — a complete
compatible distance is dpn, mq “ 0 if n “ m, and 1 if n ‰ m); R and r0, 1s with the
usual topology (the usual distance is complete).
26
2.2 Recursively presented space

Proposition 2.1.2. (i) If Y is a closed subset of a Polish space X, Y is Polish.
ś
(ii) If pXn qn is a sequence of Polish spaces, n Xn is Polish.
Proof. (i) If d is a complete compatible distance for X, it works also for Y .
(ii) If dn is a complete compatible 1
ř ń 1 distance on Xn , note that dn “ inftdn , 1u is also
complete. And d “ n 2 dn is complete compatible for X. %
So in particular the Cantor space 2ω of all sequences of 0’s and 1’s, the Baire space
ωω ,the Hilbert cube r0, 1sω , and Rω , are all Polish spaces for their usual product
topologies.
2.1.6 r0, 1sω is universal

It follows from the existence of completions that any metrizable separable space is a
subspace of some Polish space. This can be made more precise:
Proposition 2.1.3. Every separable metrizable space is homeomorphic to a subspace
of the Hilbert cube r0, 1sω .
Proof. Let X be metrizable separable, d a compatible, bounded by 1 distance, and
D “ tdn : n P ωu a countable dense subset in X.
Define for each n ϕn pxq “ dpx, dn q, and let
ϕpxq “ pϕn pxqqnPω .
We claim ϕ is a homeomorphism between X and its image ϕpXq in r0, 1sω .
As the distance d is continuous on X 2 , ϕ is clearly continuous. If now x and y are
distinct, then dpx, yq ą 0. By density, there is an n with dpx, dn q ă 21 dpx, yq, and by
the triangular inequality dpy, dn q ą 12 dpx, yq. So ϕ is one-to-one. Finally we must show
that if U is open in X, ϕpU q is open in ϕpXq. It is enough to do it for open balls of
form Bpdn , rq, and one has
ϕpBpdn , rqq “ ϕpXq X tȳ P r0, 1sω : yn ă ru
so ϕpBpdn , rqq is open in ϕpXq and we are done. %

In order to extend recursive notions from the space ω to metrizable separable spaces,
we will have to consider more structure than simply topology. There are basically
two ways to proceed: One is to first put a recursivity structure on metric spaces, and
then forget the metric. The second way is to directly work with the topology and a
countable basis for it. Both ways have their own advantages, so it is useful to present
both approaches. And their essential equivalence then appears as an effective analog
of a classical metrization theorem of Urysohn and Tychonoff.
27
2.2.1 Recursive presentations

Let pX, dq be a separable metric space, and r “ prn qnPω an enumeration (possibly with
repetitions) of a dense subset of X. We say that pd, rq is a recursive presentation of X
if the set A Ď ω 4 defined by
pm, n, k, lq P A ÐÑ qk ă dprm , rn q ă ql
is Σ01 , where q “ pqk qkPω denotes the canonical enumeration of Q.
The structure pX, d, rq is then called a recursively presented space. If moreover pX, dq
is complete, pX, d, rq is called a Polish recursively presented space, in abbreviation
Polish r.p. space.
The notion and terminology are due to Moschovakis, who uses them as main frame
in his monograph [Mos80]. Note that it would in fact be more adequate to call them
complete metric recursively presented spaces, as the complete distance is part of the
structure.
2.2.2 Closure properties, relativization

Note that if pd, rq is a recursive presentation of a metric space X, it is also a recursive
presentation for any metric space Y in which X is metrically embedded as a dense
subset, in particular for its completion X. p So every recursively presented space is a
subspace of a Polish r.p. space.
It is also a recursive presentation for any subspace Y of X which contains the se-
quence prn qnPω . In particular, if pX, d, rq is a Polish r.p. space and A Ď ω 4 is the
associated Σ01 relation, then A entirely determines X up to isometry. For clearly A
determines a distance d1 on ω, and the completion of pω, d1 q is isometric to pX, dq. This
implies that there are only countably many types of Polish r.p. spaces. And as the
number of types of complete separable metric spaces is uncountable, this says that the
recursivity condition is a true restriction.
However this restriction is inessential, for two reasons. First, most usual complete
separable metric spaces do admit a recursive presentation.
Secondly, if pX, dq is an arbitrary metric separable space and prn q is any enumeration
of some countable dense set in X, we can always pick an α P ω ω such that the associated
relation A becomes Σ01 rαs. Then pX, d, rq becomes a recursively-in-α presented space,
with the obvious definition. In other words, the restriction can be avoided by the
relativization process, and so is inessential.
2.2.3 Presentations of specific spaces

Let us give now specific presentations for some usual spaces. in the sequel, when consid-
ering these spaces as Polish r.p. spaces, we will always consider that the presentations
are the ones given below, without saying it explicitly.
On the space ω, we consider the distance dpn, mq “ 1 if n ‰ m, and 0 if n “ m.
pω, dq is complete metric. Define rpnq “ n. One gets
Apm, n, k, lq ÐÑ pm “ n ^ qk ă 0 ă ql q _ pm ‰ n ^ qk ă 1 ă ql q,
28
which is clearly recursive in ω 4 . So pω, d, rq is Polish r.p.

For the space R, the usual distance dpx, y, q “ |x ´ y| is complete, and for r we
choose the canonical enumeration q of Q. As Apm, n, k, lq Ø qk ă |qm ´ qn | ă ql is
recursive, pR, d, qq is Polish r.p. (this also gives a recursive presentation of Q).
For e.g. r0, 1s, we cannot use the preceding presentation of R. But we can replace q
by the canonical enumeration q1 of Q X r0, 1s, and get that pr0, 1s, d, q1 q is Polish r.p.
A similar method would yield a recursive presentation for any subset X of R such that
tn : qn P Xu is Σ01 in ω — by composing with a recursive enumeration of this set.
2.2.4 Presentation of products

For the product spaces ω ω , r0, 1sω , Rω , 2ω , we use the following
Proposition 2.2.1. Let pXi , di , ri qiPω be r.p. (resp. Polish r.p.) spaces with associated
relation Ai . Assume
(F) Bpi, m, n, k, lq ÐÑ Ai pm, n, k, lq

´ ¯
i
ÐÑ qk ă di prm , rni q ă ql
is Σ01 in ω 5 . ś
Then if we define on X “ i Xi a distance d by
ÿ
dpx̄, ȳq “ 2í ¨ inft1, di pxi , yi qu
i
and rpnq “ prin qiPω by #

ri psn piqq for i ă lh sn
rin “
ri p0q for i ě lh sn ,
then pX, d, rq is a r.p space (resp. Polish r.p. space). In particular, if for all i
pXi , di , ri q “ pX0 , d0 , r0 q, then condition (F) is automatically fulfilled, and one gets a
recursive presentation for X “ X0ω .
Proof. By Propositions 2.1.1 and 2.1.2 we already know that pX, dq is metric (resp.
complete metric), moreover as r enumerate all elements x̄ in X such that @i xi P ri pωq
and for all but finitely many i’s xi “ ri p0q, rpωq is dense in X. So it remains to
compute the complexity of the relation Apm, n, k, lq associated to pX, d, rq. But one
29
easily checks that
qk ă dprpmq, rpnqq ă ql ÐÑ Du, v, n1 , m1

”
plh su “ lh sv “ lh sn1 “ lh sm1 “ suptlh sn , lh sm uq
` ˘
^ sn Ď sn1 and @iplh sn ď i ă lh sn1 Ñ sn1 piq “ 0q
` ˘
^ sm Ď sm1 and @iplh sm ď i ă lh sm1 Ñ sm1 piq “ 0q
ÿ
^ pqk ă qsu piq q
iălh su
ÿ
^p qsv piq ă ql q
iălh sv
˘ı
^ @i ă lh su qsu piq ă inftdprsi , rsi
`
1 piq 1 piq
q, 1u ă qsv piq
n m
so that, by condition (F), A is Σ01 . %
Again, the recursive presentations given by the preceding proposition for ω ω , Rω ,

r0, 1sω , will from now on be the canonical representations for these spaces.
2.3 Basic spaces, and recursivity in basic spaces

2.3.1 Basic spaces
In the preceding section, we defined what an “effective metric” is, using an enumeration
of a countable dense set. In this section, we want to define what an “effective topology”
is, and this time we will use an enumeration of a countable basis of the topology.
A basic space is a structure pX, pVn qnPω q where X is a second-countable topological
space, pVn qnPω is an enumeration (possibly with repetitions) of a countable basis of the
topology of X, and moreover there is a Σ01 relation Rpm, n, pq in ω 3 such that
x P Vm X Vn ÐÑ Dp px P Vp ^ Rpm, n, pqq.
In the sequel, we will most of the time speak of “the basic space X”, the basis being
understood, and denoted pVnX q or simply pVn q if there is no risk of confusion. We will
also refer to the Σ01 relation R as the “witness” that X is basic.
Note that we didn’t say anything about the emptiness or non-emptiness of the Vn ’s.
It will be crucial in the sequel to make no such a priori commitment.
2.3.2 Subspaces
A basic subspace of a basic space X is a structure pY, pVnY qnPω q where Y is a subset
of X with the induced topology and for each n VnY “ VnX X Y . This is indeed a basic
space, as witnessed by the same relation R.
This possibility of considering substructures is the main difference between this ap-
proach and the one in Section 2.2, based on enumerating countable dense sets.
30
2.3.3 Products
Proposition 2.3.1. ś(i) Let pX0 , pVn0 qnPω q, . . . , pXk´1 , pVnk´1 qnPω q be basic spaces.
We endow X “ k´1 i“0 Xi with a structure of basic space by defining
k´1
ź
VnX “ i
Vpnqi
.
i“0
(ii) Similarly, if pXp , pVnp qnPω q is a sequence of basic spaces, as witnessed by Rp , and
if moreover the relation
Spp, m, n, kq ÐÑ Rp pm, n, kq
is Σ01 in ω 4 , we define a structure of basic space on X “

ś
p Xp by
ź ź
VnX “ Vsin piq ˆ Xi .
iălh sn iělh sn
This is done in particular for each X ω , where X is a basic space, as in this case
the condition above is automatically fulfilled.
Proof. For (i), let R0 , . . . , Rk´1 witness that X0 , . . . , Xk´1 are basic. One has
x̄ P VnX X VmX i
ÐÑ @i ă k xi P Vpnqi
i
X Vpmqi
X
`
ÐÑ Dp x̄ P Vp ^ Rppnq0 , pmq0 , ppq0 q
˘
^ . . . ^ Rppnqk´1 , pmqk´1 , ppqk´1 q ,
So the Σ01 relation
Rpm, n, pq ÐÑ Rppnq0 , pmq0 , ppq0 q ^ . . . ^ Rppnqk´1 , pmqk´1 , ppqk´1 q
witnesses that X is basic.

The proof for (ii) is very similar. One easily checks that if one defines
R˚ pm, n, pq ÐÑ plh sm ď lh sn “ lh sp q
^ @i ă lh sm Spi, sm piq, sn piq, sp piqq
` ˘
^ @i lh sm ď i ă lh sn Ñ sp piq “ sn piq
0 ˚ ˚
ś Σ1 relation Rpm, n, pq Ø R pm, n, pq_R pn, m, pq witnesses that the product
then the
X “ Xp is basic. %
31
2.3.4 Σ01 sets

From now on, we consider the space ω as a basic space, with the natural enumeration
Vnω “ tnu. Using Proposition 2.3.1, this provides a canonical basic structure for each
product X ˆ ω, when X is a basic space.
We now introduce the fundamental notion of “effective topology” for a basic space
X.
Definition 2.3.2. A subset A of a basic space X is called Σ01 or effectively open in X

if for some Σ01 subset A˚ of ω one has A “ nPA˚ VnX , i.e. if
Ť
xPA ÐÑ Dn px P VnX ^ A˚ pnqq.
We let Σ01 pXq be the (countable) family of all effectively open subsets of X, and
refer to it as its effective topology.
Note that the effective topology of the basic space ω, by the definition above, is
exactly the family of Σ01 sets as defined in Chapter 1, so that our notation is not
ambiguous for this space. The same remark applies for the product spaces ω k , viewed
as basic spaces.

By considering A˚ “ H, ω, tnu, one gets immediately that for every basic space X,
the empty set, X itself, and each VnX in the basis are all Σ01 sets. And as clearly all Σ01
sets are open, one gets that the effective topology is a countable subset of the topology,
which generates it.
Proposition 2.3.3. (i) Σ01 is closed under ^, _.
(ii) Σ01 is closed under Dď , @ď and D0 , i.e. for every basic space X, and A Σ01 in
X ˆ ω (with its product structure) the subsets Dď A, @ď A of X ˆ ω and D0 A of
X, defined respectively by
px, nq P Dď A ÐÑ Dm ď n px, mq P A,
ď
px, nq P @ A ÐÑ @m ď n px, mq P A,
0
and xPD A ÐÑ Dn px, nq P A,
are Σ01 too.
Proof. (i) Let A0 , A1 be Σ01 in X, so that for some Σ01 sets A˚0 , A˚1
x P A0 ÐÑ Dn px P Vn ^ A˚0 pnqq
and x P A1 ÐÑ Dn px P Vn ^ A˚1 pnqq .
Trivially one gets
x P A0 Y A1 ÐÑ Dn rx P Vn ^ pA˚0 pnq _ A˚1 pnqqs
32
so Σ01 is closed under _.

One also has
x P A0 X A1 ÐÑ Dn px P Vn X Vm ^ A˚0 pnq ^ A˚1 pnqq
ÐÑ Dp rx P Vp ^ Dn Dm pA˚0 pnq ^ A˚1 pmq ^ Rpm, n, pqqs
where R witnesses that X is basic. By the closure of Σ01 subsets of ω, Proposi-
tion 1.2.1, we get the result. Of course, the condition we imposed on basic spaces
was designed to get this result. One can check that with our new terminology,
this condition could be rephrased as “the relation x P Vn X Vn is Σ01 in X ˆ ω ˆ ω”.
(ii) Let A be Σ01 in X ˆ ω, so that for some Σ01 A˚ Ď ω
px, nq P A ÐÑ Dp px, nq P VpXˆω ^ A˚ ppq
` ˘
´ ¯
X ˚
ÐÑ Dp x P Vppq 0
^ ppq 1 “ n ^ A ppq
X
` ˚
˘
ÐÑ Dk x P Vk ^ A pxk, nyq
by the definition of the basis of X ˆ ω.
So one gets
ÐÑ Dk x P VkX ^ Dm ď n A˚ pxk, myq
` ˘
px, nq P Dď A
and px, nq P D0 A ÐÑ Dk x P VkX ^ Dn A˚ pxk, nyq
` ˘
which give the result, by the closure properties of the Σ01 subsets of ω.
For @ď , note that using the witnessing relation R for X, one can write
@m ă lh sn x P VsX X
` ˘ ` ˘
n pmq ÐÑ Dp x P Vp ^ Bpp, nq
where Bpp, nq is the Σ01 relation defined by
Bpp, nq ÐÑ lh sn “ 0
_ plh sn “ 1 ^ sn p0q “ pq
´ “
_ lh sn ě 2 ^ Dl lh sl “ lh sn ´ 1 ^ Rpsn p0q, sn p1q, sl p0qq
^ @i ă lh sl ´ 1 Rpsl piq, sn pi ` 2q, sl pi ` 1qq
‰¯
^ p “ sl plh sl ´ 1q .
But then one gets

px, nq P @ď A ÐÑ @m ď n Dk px P Vk ^ A˚ pxk, myqq
ÐÑ Dp lh sp “ n ` 1 ^ @m ď n x P VsX
`
p pmq
˘
^ @m ď n A˚ pxsp pmq, myq
ÐÑ Dp x P VpX ^ lh sp “ n ` 1 ^ Bpp, nq
`
˘
^ @m ď n A˚ pxsp pmq, myq
so that @ď A is Σ01 in X ˆ ω. %
33
2.3.6 Separation of variables

When computing complexities of sets in product spaces, the following proposition is
useful
Proposition 2.3.4. (i) If X, Y are basic spaces, a subset A of X ˆ Y is Σ01 iff for
some Σ01 relation B in ω 2
px, yq P A ÐÑ Dp Dq x P VpX ^ y P VqY ^ Bpp, qq
` ˘
and similarly for products X0 ˆ ¨ ¨ ¨ ˆ Xk´1 .

(ii) In particular, A Ď X ˆ ω k is Σ01 iff for some Σ01 relation B Ď ω k`1
px, n0 , . . . , nk´1 q P A ÐÑ Dp x P VpX ^ Bpp, n0 , . . . , nk´1 q .
` ˘
Proof. (ii)
´ follows immediately from
¯ (i). For (i), note that if A˚ is such that px, yq P
A Ø Dk px, yq P VkXˆY ^ A˚ pkq then by definition of VkXˆY
px, yq P A ÐÑ Dp Dq x P VpX ^ y P VqY ^ A˚ pxp, qyq .

` ˘
If A˚ is Σ01 , so is Bpp, qq Ø A˚ pxp, qyq, and conversely if B is Σ01 , so is A˚ pnq Ø

Bppnq0 , pnq1 q. This proves (i) for a product of two spaces. The general case is similar.
%
As immediate consequences of this proposition, the class Σ01 is closed under permu-
tation or addition of variables, and fixing of integers argument (i.e. if A Ď X ˆ ω is
Σ01 so are its sections An “ tx P X : px, nq P Xu)— this comes directly from the same
properties for Σ01 subsets of the ω k ’s. Also the relations x P Vn , x P VnX X VmX , are Σ01
in X ˆ ω and X ˆ ω 2 respectively.
2.3.7 Recursive functions

Let X and Y be two basic spaces. A function f : X Ñ Y is recursive if its diagram
Df , defined by
px, nq P Df ÐÑ f pxq P VnY
is Σ01 in X ˆ ω.
Note that if f : X Ñ Y is recursive, then in particular for each n
f ´1 pVnY q “ tx P X : px, nq P Df u
is Σ01 in X, hence is open. So a recursive function is continuous. But note that we ask
more than simply that f ´1 pVnY q is Σ01 for each n: we want it uniformly in n.
Note also that for functions f : X Ñ ω, the diagram Df coincides with the graph of
f . It follows by Proposition 1.2.2 that for f : ω k Ñ ω, the above definition gives the
class of recursive functions, as defined in Chapter 1.
As simple examples of recursive functions, one easily checks that the identity : X Ñ
X, the projections : X0 ˆX1 Ñ X0 and X0 ˆX1 Ñ X1 , the symmetry : X ˆY Ñ Y ˆX,
the diagonal function δ : X Ñ X ˆ X (δpxq “ px, xq) are all recursive.
34
2.3.8 Closure of Σ01 by substitutions

Proposition 2.3.5. Let f : X Ñ Y be recursive, and A be a Σ01 subset of Y . Then
f ´1 pAq is Σ01 in X.
Proof. For some Σ01 A˚ Ď ω one has
Dp y P VpY ^ A˚ ppq .
` ˘
yPA ÐÑ
Then one gets
ÐÑ Dp f pxq P VpY ^ A˚ ppq
` ˘
x P f ´1 pAq
ÐÑ Dp ppx, pq P Df ^ A˚ ppqq
which is Σ01 in X by the closure properties of Σ01 . %
2.3.9 Recursive functions in product spaces

Proposition 2.3.6.
śk´1
(i) A function f : X Ñ 0 Xi is recursive iff its projection pi ˝ f : X Ñ Xi are
all recursive.
(ii) a function f : X Ñ Y ω is recursive iff g : X ˆ ω Ñ Y defined by
gpx, nq “ pn ˝ f pxq is recursive,
where pn is the projection on the nth factor.
In particular, f : X Ñ ω ω is recursive iff
gpx, nq “ f pxqpnq
is recursive : X ˆ ω Ñ ω.
Proof. For (i), note that
pi ˝ f pxq P VnXi ÐÑ Dn0 , . . . , ni´1 , ni`1 , . . . , nk´1
ś
` Xi ˘
f pxq P Vxn0 ,...,n i´1 ,ni`1 ,...,nk´1 y
and
X
ś
Xi X0
f pxq P Vn ÐÑ p0 ˝ f pxq P Vpnq 0
^ ¨ ¨ ¨ ^ pk´1 ˝ f pxq P Vpnqk´1
k´1
.
These equivalences easily imply the result.
For (ii) one has
´ ω
¯
pi ˝ f pxq P VnY ÐÑ Dk lh sk ą i and sk piq “ n and f pxq P VkY
and
ω
f pxq P VnY ÐÑ @i ă sn gpx, iq P VsYn piq
` ˘
and these equivalences again imply the result. %
35
fixing of recurs
Could be useful for the sequel to note now that the constant functions cα : X Ñ ω ω
arguments – YP
with cα pxq “ α for α P ω ω which are recursive are precisely the ones for which α : ω Ñ ω
is recursive. Indeed using (ii), cα is recursive iff gα px, nq “ αpnq is recursive from X ˆω
to ω iff the relation αpnq P tku “ Vkω is Σ01 in ω 2 . Now a function is recursive iff its
graph is Σ01 by Proposition 1.2.2. Also cα is recursive-in-α for each α P ω ω .
It follows that Σ01 sets are closed under fixing of recursive arguments in ω ω : If
α : ω Ñ ω is recursive and A Ď ω ω ˆ X is Σ01 then its section Aα is Σ01 in X. Indeed
x P Aα ÐÑ pα, xq P A
ÐÑ pcα pxq, xq P A
ÐÑ x P pcα ˆ IdX q´1 pAq.
so Aα is Σ01 using the closure by substitutions of Σ01 (Proposition 2.3.5). – YP
2.3.10 Recursive isomorphisms

A recursive isomorphism between X and Y is a map ϕ : X Ñ Y which is a bijection,
and is such that both ϕ and ϕ´1 are recursive.
In particular, ϕ is a homeomorphism between X and Y . If two basic spaces are
recursively isomorphic, they have, through ϕ, the same effective topology, and we can
identify them. We will very often do so, specifically if the underlying space X is the
same and ϕ is the identity, so that the effective topology is literally the same, even if
the enumerations of the basis, or even the bases, may differ.
Typically, such a situation occurs when considering e.g. products X k ˆ X l , and
X k`l . In this case, the basic rectangles are the same, but with our convention the
enumerations are different. As the identity maps are recursive isomorphism, we won’t
make a distinction between these basic spaces.
Another example is with the space ω. In Section 2.2, we considered it as a Polish
r.p. space with presentation pd, rq. From this, one gets a nice basis Wnω defined by
Wnω “ Bprppnq0 q, qpnq1 q
and we get a space pω, pWnω qq, which is in fact basic. Now we claim that the identity
: pω, pVnω qq Ñ pω, pWnω qq is a recursive isomorphism. This is because
k P Wnω ÐÑ qpnq1 ą 0 ^ pqpnq1 ą 1 _ k “ pnq0 q
and
k P Vnω ÐÑ Dp 0 ă qppq1 ă 1 ^ ppq0 “ n ^ k P Wpω .

` ˘
So with our convention, we will not distinguish between the basic spaces pω, pVnω qq
and pω, pWnω qq, and continue referring to them as the basic space ω.
36
2.4 Recursive spaces

2.4.1 Recursively presented spaces are basic
Let pX, d, rq be a recursively presented space. We can turn canonically this space into
a basic space, as we did for the space ω in Subsection 2.3.10, by defining
VnX “ B rppnq0 q, qpnq1

` ˘
` ˘ (
“ x P X : d x, rppnq0 q ă qpnq1 .
This gives an enumeration of all balls centered at some rpkq and with rational radius,
so is a countable basis for the topology of X.
Moreover, if we set Spp, nq Ø dprpppq0 q, rppnq0 qq ` qppq1 ă qpnq1 then S is Σ01 in ω 2 ,
and the relation
Rpm, n, pq ÐÑ Spp, mq ^ Spp, nq
witnesses that pX, pVnX qq is basic, as one easily checks using the triangular inequality.
2.4.2 The case of specific spaces

We must now check, for each of our spaces ω ω , R, r0, 1s, Rω , r0, 1sω , 2ω , that the
effective topology induced by the canonical recursive presentation is the same as their
effective topology as basic spaces. This is straightforward, but tedious, and left to
the reader, as well as the checking that for the product spaces, the effective topology
induced by the product of the recursive presentations is the same as the one it gets as
a product basic space, each factor being given the effective topology induced by the
recursive presentation.
As we did for ω, we will not distinguish between the various bases, and denote them
ambiguously as the basic spaces ω ω , R, etc.
2.4.3 Recursive and Polish recursive spaces

Till now, we developed recursivity theory in basic spaces. But to get the result of the
next sections, we must reduce this frame: Even from the topological point of view, the
frame of second-countable topological spaces is too wide.
Definition 2.4.1.
(1) A basic space X is a recursive space if X is recursively isomorphic to a subspace

of a recursively presented space.
(2) A basic space X is Polish recursive if it is recursively isomorphic to a Polish

recursively presented space.
Note that if X is recursive, its topology must be metrizable separable. Conversely,

any metrizable separable space is a subspace of r0, 1sω , which is Polish recursive, so
any metrizable separable space admits a structure of recursive space. However this
37
structure may not be an interesting one. For example, there are only countably many
types of Polish recursive spaces. So there are Polish spaces which admit recursive
structures, but no structure for which they become Polish recursive.
It follows from the definition that recursive spaces are closed under subspaces, prod-
ucts, and infinite powers, and Polish recursive spaces are closed under products and
infinite powers. And ω, R, r0, 1s, ω ω , 2ω , r0, 1sω , Rω are all Polish recursive for their
usual basic structure.
2.4.4 Recursive regularity

Definition 2.4.2. A basic space pX, pVn qq is recursively regular if there exist two Σ01
relations S Ď ω 2 and T Ď ω 3 such that
(1) for any j: x P Vj Ø Di px P Vi ^ Spi, jqq;
(2) for any i, j such that Spi, jq, if we let
Pi,j “ tx P X : @k pT pi, j, kq Ñ x R Vk qu ,
one has Vi Ď Pi,j Ď Vj .
To understand these conditions, note that uniformly in i, j the complement of Pi,j

is Σ01 , so Pi,j is effectively closed. So the condition says, uniformly, that any set in the
basis is the effective union of other sets in the basis which can be separated from it
by effectively closed sets. Maybe it would be clearer to explain first the meaning of
strange to use this
here and define it condition (1) and of S (provide for each basis set the description in term of an effective
later on – R union of basis sets), and notice that alone it is not really interesting (the diagonal
a little bit too quick always works!). Then describe the second one as it is done. – K This is clearly a
–K recursive analog of the notion of regularity for topological spaces (and it implies it).
2.4.5 Recursive spaces are recursively regular

Proposition 2.4.3. Every recursive space is recursively regular.
Proof. Suppose first pX, pVn qq comes from a recursive presentation pd, rq. Define
` ˘
Spm, nq ÐÑ d rppmq0 q, rppnq0 q ă qpnq1 ´ qpmq1
and
` ˘
T pm, n, kq ÐÑ Spm, nq ^ d rppmq0 q, rppkq0 q ą qpmq1 ` qpkq1 .
Clearly both S and T are Σ01 . We claim that they witness that X is recursively regular.
First if x P Vn , pick ε “ ql ą 0 small enough so that
` ˘
d x, rppnq0 q ă qpnq1 ´ 2ε,
38
and choose k so that rpkq P Bpx, εq. By the triangular inequality, one gets that if
m “ xk, ly, then x P Vm ^ Spm, nq. So condition (1) is fulfilled.
For (2) we assume Spm, nq. Let P “ Pm,n . We have to show that Vm Ď P and
P Ď Vn . For the first, let x P Vm zP . Then for some k x P Vm X Vk and T pm, n, kq.
But T pm, n, kq, by the triangular inequality, implies Vm X Vk “ H, a contradiction. To
prove P Ď Vn , note first that Spm, nq not only implies that Vm Ď Vn , but also that the
closed ball Vm˚ with center rppmq0 q and radius qpmq1 is contained in Vn . So it is enough
to prove that P Ď Vm˚ . But if x P X satisfies dpx, rppmq0 qq ą qpmq1 , pick qk ą 0 so
that ` ˘
d x, rppmq0 q ą qpmq1 ` 2qk ,
and l so that rplq P Bpx, qk q. Then x P Vxl,ky and T pm, n, xl, kyq holds, so x R P . This
proves P Ď Vm˚ and finishes the proof in the r.p. case.
As a second step, note that if X is recursively regular and Y is a subspace of X,
then Y is also recursively regular, as witnessed by the same relations S and T .
As a final step assume that X is recursively regular, with witnesses S and T , and
let ϕ : X Ñ Y be a recursive isomorphism, so that for some Σ01 relations A, B on ω 2
ϕpxq P VnY ÐÑ Dp x P VpX ^ App, nq

` ˘
and
ϕ´1 pyq P VnX ÐÑ Dp y P VpY ^ Bpp, nq .

` ˘
Define ` ˘
S ˚ pm, nq ÐÑ Dk Dl Bpm, kq ^ Spk, lq ^ Apl, nq
and
` ˘
T ˚ pm, n, iq ÐÑ Dk Dl Dj Bpm, kq ^ Spk, lq ^ Apl, nq ^ T pk, l, jq ^ Bpi, jq .
We claim that the (clearly Σ01 ) relations S ˚ and T ˚ are witnesses that Y is recursively
regular.
For (1), note that
Dm y P VmY ^ S ˚ pm, nq ÐÑ Dm, k, l y P VmY ^ Bpm, kq ^ Spk, lq ^ Apl, nq

` ˘ ` ˘
ÐÑ Dk, l ϕ´1 pyq P VkX ^ Spk, lq ^ Apl, nq

` ˘
ÐÑ Dl ϕ´1 pyq P VlX ^ Apl, nq

` ˘
ÐÑ y P VnY .
For (2) fix pm, nq P S ˚ , and k, l such that Bpm, kq, Spk, lq and Apl, nq hold. Then
VmY Ď ϕpVkX q Ď ϕpVlX q Ď VnY and moreover VkX Ď Pk,l Ď VlX .
˚
Let Pm,n “ ty P Y : @ipT ˚ pm, n, iq Ñ y R ViY qu. Note that if j is such that T pk, l, jq
holds, then
Di y P ViY ^ Bpi, jq ÐÑ y P ϕpVjX q
` ˘
39
so we get
Dj T pk, l, jq ^ Di py P ViY ^ Bpi, jqq
` ˘
ÐÑ y R ϕpPk,l q
˚
Ş
and hence Pm,n “ tϕpPk,l q : Bpm, kq ^ Spk, lq ^ Apn, lqu.
For any such k, l, one has VmY Ď ϕpVkX q Ď ϕpPk,l q so VmY Ď Pm,n˚ .
And as pm, nq P S ˚ , there is such a pk, lq, so Pm,n˚ Ď ϕpPk,l q Ď ϕpVlX q Ď VnY , and
we are done. %
2.4.6 The Urysohn-Tychonoff theorem

Theorem 2.4.4. A basic space X is a recursive space iff it is recursively regular.
This result gives a characterization of recursive spaces purely in terms of the basis,
hence of the effective topology. Of course, it is a recursive strengthening of the following
topological version, which is due to Urysohn and Tychonoff and can be obtained from
it by a relativization argument.
Notice that it follows from the proof of Theorem 2.4.4 that every recursive space
recursively embeds as a subspace of the space r0, 1sω . This is a transfer theorem to
which we will refer later on (namely in Subsection 3.5.7).
Theorem 2.4.5 (Urysohn,Tychonoff). A second-countable space X is metrizable iff

it is regular.
Here isn’t Hausdorff,
or at least T1 ,
necessary? (See 2.4.7 Effective normality
Kechris for instance)
–R We already have proved one direction of Theorem 2.4.4 in Proposition 2.4.3: Every
recursive space is recursively regular. The proof of the converse is divided into two
lemmas, which have their own interest.
To simplify a bit the terminology in the next lemma, let us anticipate on the next
chapter, and say that a subset of a basic space X is Π01 , or effectively closed , if P “
XzP is Σ01 in X.
Lemma 2.4.6. Let X be recursively regular.
(i) If P, Q are two disjoint Π01 subsets of X, one can find two disjoint Σ01 sets P ˚
and Q˚ with P Ď P ˚ and Q Ď Q˚ .
(ii) Property (i) holds uniformly, in the sense that there are recursive functions ϕ :
ω 2 Ñ ω and ψ : ω 2 Ñ ω such that, denoting by W a good universal set for Σ01
subsets of ω, if
(
P “Xz x : Dp px P Vp ^ p P Wn q ,
(
Q “Xz x : Dp px P Vp ^ p P Wm q
40
are disjoint, then

! ` ˘)
P ˚ “ x : Dp x P Vp ^ p P Wϕpn,mq
! ` ˘)
and Q˚ “ x : Dp x P Vp ^ p P Wψpn,mq
are disjoint and satisfy P Ď P ˚ and Q Ď Q˚ .
Proof. (i) Let A, B be Σ01 so that
xRP ÐÑ Dp px P Vp ^ p P Aq
and x R Q ÐÑ Dp px P Vp ^ p P Bq .
Let A1 ppq Ø Dq pApqq ^ Spp, qqq, B 1 ppq Ø Dq pBpqq ^ Spp, qqq where pS, T q witnesses
that X is recursively regular.
One still has
` ˘
x R P ÐÑ Dp x P Vp ^ p P A1
` ˘
and x R Q ÐÑ Dp x P Vp ^ p P B 1 .
Now A1 , B 1 are Σ01 in ω, hence for some recursive A˚ , B ˚ in ω 2 , A1 ppq Ø Dm A˚ pp, mq

and B 1 ppq Ø Dm B ˚ pp, mq. Define then
”
(1) x P P ˚ ÐÑ Dp Dm x P Vp ^ B ˚ pp, mq^
`
@ xq, ny ă xp, my A˚ pq, nq Ñ
˘ı
Di Dj pApiq ^ Spq, iq ^ T pq, i, jq ^ x P Vj q
and
”
(2) x P Q˚ ÐÑ Dp Dm x P Vp ^ A˚ pp, mq^
`
@ xq, ny ď xp, my B ˚ pq, nq Ñ
˘ı
Di Dj pBpiq ^ Spq, iq ^ T pq, i, jq ^ x P Vj q
Clearly P ˚ and Q˚ are Σ01 . To see they work, let us show first that P Ď P ˚ (Q Ď Q˚
is similar). If x P P , then x R Q, hence for some p, x P Vp and Bppq. So for some q, m,
x P Vq and Spq, pq and B ˚ pq, mq. Pick now any xr, ny ă xq, my (in fact this works for
any xr, ny), and suppose A˚ pr, nq. Then for some i, Apiq and Spr, iq holds, so Vr Ď Vi
and Vi X P “ H. In particular x R Vi , so x R Pr,i and for some j x P Vj and T pr, i, jq.
This says exactly that x P P ˚ .
To prove that P ˚ X Q˚ “ H, argue by contradiction and suppose x P P ˚ X Q˚ .
Then for some p, m and q, n, B ˚ pp, mq and A˚ pq, nq hold. Suppose xq, ny ă xp, my (the
case xp, my ď xq, ny is similar). Then as above one gets a pair i, j with Spq, iq and
41
T pq, i, jq and x P Vj . But as Spq, iq and T pq, i, jq imply Vj X Vq “ H, one gets x R Vq ,

a contradiction which proves (i).
For (ii), the idea is that in (i) definitions (1) and (2) are uniform: We can define
W 1 pn, pq Ø Dq pW pn, qq ^ Spp, qqq, so that if A “ Wn and B “ Wm , then A1 “ Wn1
and B 1 “ Wm 1 . And pick some recursive W ˚ such that W 1 pn, pq Ø DmW ˚ pn, p, mq, so
that A “ Wn˚ and B ˚ “ Wm

˚ ˚ in the proof of (i). And finally define
”
(1) C ˚ px, n, mq ÐÑ Dp Dq x P Vp ^ W ˚ pm, p, qq^
`
@ xr, sy ă xp, qy W ˚ pn, r, sq Ñ
˘ı
Di DjpW pn, iq ^ Spr, iq ^ T pr, i, jq ^ x P Vj q
and
”
(2) D˚ px, n, mq ÐÑ Dp Dq x P Vp ^ W ˚ pn, p, qq^
`
@ xr, sy ď xp, qy W ˚ pm, r, sq Ñ
˘ı
Di DjpW pm, iq ^ Spr, iq ^ T pr, i, jq ^ x P Vj q
so that the solutions P ˚ and Q˚ are Cn,m

˚ ˚ .
and Dn,m
Now C and D are Σ1 in X ˆ ω , so that for some Σ01 sets C and D in ω 3
˚ ˚ 0 2
` ˘
C ˚ px, n, mq ÐÑ Dp x P Vp ^ Cpn, m, pq
` ˘
and D˚ px, n, mq ÐÑ Dp x P Vp ^ Dpn, m, pq .
there is a recursive function fC s.t.
Cpn, m, pq Ø W 2 pfC pnq, m, pq
since W 2 is a good universal set. Finally we can use the S-m-n Theorem 1.4.4: there
are recursive functions ϕ : ω 2 Ñ ω and ψ : ω 2 Ñ ω such that
Cpn, m, pq ÐÑ W pϕpn, mq, pq

and Dpn, m, pq ÐÑ W pψpn, mq, pq.
Clearly ϕ and ψ are the desired functions. %
2.4.8 Effective Urysohn theorem

The point of Lemma 2.4.6 (ii) is that we can iterate the process to get the following
Lemma 2.4.7. Let X be recursively regular.
(i) Let P, Q be two disjoint Π01 subsets of X. Then there exists a recursive function
f : X Ñ r0, 1s which is 0 on P and 1 on Q.
42
(ii) In fact there is a recursive function θ : ω 2 Ñ ω such that for all n, m, if P “

Xztx : Dp px P Vp ^ W pn, pqqu and Q “ Xztx : Dp px P Vp ^ W pm, pqqu, then
θpn, mq is the code of a Σ01 subset of ω 2 for our good universal set W 2 for Σ01
subsets of ω 2 , and if we let
! ´ ¯)
2
An,m “ px, pq : Dq x P Vq ^ pp, qq P Wθpn,mq
then for some recursive function fm,n : X Ñ r0, 1s, An,m “ Dfn,m , and fm,n is 0
on P and 1 on Q.
(iii) One can moreover impose, in (i) and (ii), that f ´1 p0q “ P and f ´1 p1q “ Q.
Proof. (i) Let U0 “ H Ď P0 “ P Ď U1 “ XzQ Ď P1 “ X. Define then inductively, for

r “ k ¨ 2ń a dyadic number, with k odd, 0 ă k ă 2n , and n ě 1, a Σ01 set Ur and a
Π01 set Pr , using the functions ϕ and ψ of Lemma 2.4.6 (ii), as follows:
If P k and U k`1 have been defined, with P k Ď U k`1 , define

2n 2n 2n n
2
´ ¯˚ ´ ¯˚
U 2k`1 “ P k and P 2k`1 “ Xz XzU k`1 ;
2n`1 2n 2n`1 n 2
using the functions ϕ and ψ, this can be done uniformly so that the relations (in
X ˆ ω ˆ ω)
x R P kn and x P U kn
2 2
areΣ01 .Note that for r, r1

dyadic with r ă r1 ,
Ur Ď Pr Ď Ur1 .
Define f : X Ñ r0, 1s by
f pxq “ suptr : x R Ur u.
Clearly f pxq “ 1 if x P Q. And if x P P “ P0 Ď Ur for any r ą 0, f pxq “ 0 on P .
Finally
ˆ ˙
k
(1) f pxq ą ql ÐÑ Dk, n ą ql ^ x R P kn
2n 2
ˆ ˙
k
(2) f pxq ă ql ÐÑ Dk, n ă ql ^ x P U kn
2n 2
so f is recursive : X Ñ r0, 1s.

(ii) is obtained from (i) as we did in Lemma 2.4.6: If P corresponds to Wi and
Q corresponds to Wj , we still can define the sequences Pr and Ur for dyadic r as
above, and write down (1) and (2) which in turn define a Σ01 set Apn, m, x, pq which,
in case of P and Q disjoint, corresponds to the relation qppq0 ă f pxq ă qppq1 , where
f “ fn,m is the function defined in (i). And applying the S-m-n Theorem 1.4.4 there
is a θ : ω 2 Ñ ω such that
Apn, m, x, pq ÐÑ Dq x P Vq ^ W 2 pθpm, nq, p, qq

` ˘
43
as desired. Details are left to the reader.

For (iii), say to get P “ f ´1 p0q (the other one is similar), write
xRP ÐÑ Dp Dq pAppq ^ Spq, pq ^ x P Vq q with A P Σ01 .
Let h : ω Ñ ω be a recursive enumeration of txp, qy : Appq ^ Spp, qqu. Then argue as
in (i), except that for defining U 1n , insure that U 1n X Pq,p “ H, where xp, qy “ hpnq.
2 2 Ş
Again this can easily be done uniformly, and at the end one gets P “ rą0 Ur , so that
f ´1 p0q “ P . %
2.4.9 Proof the Urysohn-Tychonoff theorem

End of proof of Theorem 2.4.4. Let h be a recursive enumeration of txp, qy : Spp, qqu,
and define
Apn, iq ÐÑ T pphpnqq0 , phpnqq1 , iq
so that for fixed n with hpnq “ xp, qy, the Π01 set defined by An is
Xztx : Di px P Vi ^ Apn, iqqu “ Pp,q .
Define also
Bpn, iq ÐÑ i “ phpnqq1
so that for n with hpnq “ xp, qy, the Π01 set defined by Bn is
Xztx̄ : Di px P Vi and Bpn, iqqu “ XzVq .
Note that these two Π01 sets are disjoint, for any n P ω. Let then by the S-m-n
Theorem 1.4.4 gA : ω Ñ ω and gB : ω Ñ ω be two recursive functions such that
Apn, iq ÐÑ W pgA pnq, iq
and Bpn, iq ÐÑ W pgB pnq, iq.
By Lemma 2.4.7, 2
Wθpg defines for each n, with hpnq “ xp, qy, the diagram
A pnq,gB pnqq
of a function fn : X Ñ r0, 1s which is 0 on Pp,q and is 1 off Vq . Moreover, as W 2 is
Σ01 and θ, gA , gB are recursive, the function defined by f pn, xq “ fn pxq is recursive
: ω ˆ X Ñ r0, 1s.
Define finally i : X Ñ r0, 1sω by ipxq “ pfn pxqqnPω . The function i is recursive by
Proposition 2.3.6, and is clearly one-to-one. We claim that its inverse j : irXs Ñ X is
recursive, which will show that X is recursively isomorphic to the subspace irXs of the
(Polish) r.p. space r0, 1sω , hence is recursive. To see this, it is enough to prove that
for ȳ “ pyn qnPω in irXs
jpȳq P VqX ÐÑ Dp Dn pSpp, qq ^ hpnq “ xp, qy ^ yn ă 1q
For direction Ñ, note that if x “ jpȳq P VqX there is a p with Spp, qq and x P VpX . But
by our construction, if n is such that hpnq “ xp, qy, then fn is 0 on Pp,q , and a fortiori
on VpX , so that yn “ fn pjpȳqq “ 0.
For direction Ð, note that if p, n satisfy hpnq “ xp, qy and Spp, qq, then fn is 1 off
Vq , so as yn “ fn pjpȳqq ă 1, one must have jpȳq P VqX .
X
This finishes the proof of Theorem 2.4.4. %
44
2.4.10 Effective topology and bases

To finish this chapter, let us make a final comment about the relation between bases
and effective topologies.
If pX, pVn qq is a basic space, we can always define a new basis, using the good
universal set W for Σ01 subsets of ω, by
Vn˚ “ tx : Dp px P Vp ^ W pn, pqqu
Then clearly pX, pVn qq and pX, pVn˚ qq have the same Σ01 sets, namely the Vn˚ ’s. And
moreover by the S-m-n Theorem 1.4.4,
` ˘(
(‹) there is a recursive function ϕ such that if Ak “ x P X : Dp x P Vp˚ ^ W pk, pq
is the Σ01 set in pX, pVn˚ qq coded by Wk , then Ak “ Vϕpkq
˚ .
So instead of working with arbitrary bases, we could have worked only with bases
satisfying (‹) — i.e. directly with (enumeration of) recursive topologies. This how-
ever would have two defects: First we still would have to identify spaces for which
the effective topology is the same, but the enumeration differ (as long as one can go
recursively from one to the other). And secondly one would have to work with very un-
natural bases all the time (e.g. for ω with the basis Wn given by Kleene’s Enumeration
Theorem 1.3.1). This is why we introduced arbitrary, more manageable, bases.
45
3 Borel and analytic sets. The Kleene
classes.
3.1 Borel and analytic sets in metrizable separable spaces
3.1.1 Borel sets
Let X be a metrizable separable space. The family of Borel subset of X, denoted by
BorelpXq, is the smallest family of subsets of X containing the open sets and closed
under countable union and complementation (and hence under countable intersection
too).
3.1.2 The Borel hierarchy

To analyze this set, one defines a hierarchy of classes, called the Borel hierarchy,
indexed by the countable ordinals. We denote by ω1 the least uncountable ordinal,
and we use Greek letters ξ, η, θ, λ for its elements, the countable ordinals. A subset of
X is of additive (resp. multiplicative) class 0 if it is open (resp. closed) in X. It is
of additive (resp. multiplicative) class 1, or an Fσ (resp. Gδ ) set, if it is a countable
union (resp. intersection) of closed (resp. open) sets. More generally, for ξ ă ω1 , a set
is of additive (resp. multiplicative) class ξ if it is a countable union (resp. intersection)
of sets of multiplicative (resp. additive) class ă ξ.
A set which is both of additive class ξ and of multiplicative class ξ is called of
ambiguous class ξ.
It is clear that additive classes are closed under countable unions, and multiplicative
classes under countable intersections.
3.1.3 The inclusion diagram

Proposition 3.1.1. Every set of additive or multiplicative class ξ is ambiguous of
class ξ ` 1 (and hence of class η for every η ą ξ).
Proof. As X is metrizable separable, any open set in X is a countable union of closed

sets, i.e. is an Fσ set. And by the definition of Gδ sets, it is also a Gδ set. By taking
complements, this holds for closed sets too, hence case ξ “ 0 holds. The general case
then follows by an easy induction. %
Corollary 3.1.2. The family of Borel sets is the least family containing the open sets
(resp. the closed sets) and closed under unions and countable intersections.
47
3 Borel and analytic sets. The Kleene classes.
Proof. Let Φ be that least family. Clearly any element of Φ is Borel. Conversely,
consider the family of Borel sets which are in Φ, and with their complement in Φ,
and check that it contains the open sets and is closed under countable unions and
complements. %
3.1.4 Borel sets in subspaces

The notion of Borel set is relative, i.e. it depends heavily on the space X in which the
set is. However, one has the following easy
Proposition 3.1.3. Let X be a subspace of some (metrizable separable) space Y . A
subset of X is Borel (resp. of additive class ξ, of multiplicative class ξ) in X iff it is
the intersection with X of a Borel (resp. of additive class ξ, of multiplicative class ξ)
subset of Y .
Proof. The operation of restriction to X commutes with countable union and with
complementation. %
Note that this says nothing about the ambiguous classes — in fact the result is false
for them, in general.
Till now, we haven’t introduced a specific notation for the Borel classes, except for
Fσ and Gδ sets. One of the classical notations is to use Gδσ , Fσδ , Gδσδ , Fσδσ , etc. for
the first few classes. Kuratowski uses the notation Gξ (resp. Fξ ) for the additive (resp.
multiplicative) class ξ. We will use in this book a notation to be defined later, after
we have seen the effective analogs of these notions.
3.1.5 The Baire space

Recall that the Baire space ω ω is the space of all functions α : ω Ñ ω, with the usual
product topology. If α P ω ω , we denote by αn “ pαp0q, . . . , αpn ´ 1qq its first n terms,
and by αn the element of ω ω defined by
αn pmq “ αpn ` mq,
so that α “ αn a αn (where a denotes concatenation). Note that α ÞÑ pαn , αn q
gives a homeomorphism between ω ω and ω n ˆ ω ω . Similarly we use the homeo-
morphism α ÞÑ ppαq0 , pαq1 q between ω ω and ω ω ˆ ω ω , defined by pαq0 pnq “ αp2nq
and pαq1 pnq “ αp2n ` 1q, with inverse denoted by x , y, and the homeomorphism
α ÞÑ ppαq0 , pαq1 , . . . , pαqn , . . .q between ω ω and pω ω qω , defined by pαqi pnq “ αpxi, nyq
— where brackets refer to our bijection between ω and ω ˆ ω. Its inverse is again
denoted by brackets, so that α “ xpαqi : i ă ωy.
3.1.6 Analytic and coanalytic set

Definition 3.1.4. A subset A of a (metrizable separable) space is called analytic if it
is the projection on X of a closed subset of X ˆ ω ω . Complements of analytic sets are
called coanalytic sets, and sets which are both analytic and coanalytic in X are called
bianalytic sets.
48
3.1 Borel and analytic sets in metrizable separable spaces

Proposition 3.1.5.
(i) The family of analytic subsets of X contain the closed sets, and is closed under
countable unions and countable intersections.
(ii) In particular, every Borel set is analytic, and hence bianalytic.
(iii) If A is analytic in X ˆ ω ω , then its projection D1 A on X is analytic in X.
Proof. (i). If A Ď X is closed, A ˆ ω ω is closed in X ˆ ω ω and has projection A.
Suppose pAn qnPω is a sequence of analytic sets in ω ω , and Bn Ď X ˆ ω ω are closed,
with
x P An ÐÑ Dα px, αq P Bn
Then
ď
xP An ÐÑ Dn Dα px, αq P Bn
n
ÐÑ Dβ px, βq P B
where
B “ px, βq : px, β1 q P Bβp0q
(
is closed in ω ω .
Similarly
č
xP An ÐÑ @n Dα px, αq P Bn
n
ÐÑ Dβ px, βq P C
where
C “ tpx, βq P X ˆ ω ω : @n px, pβqn q P Bn u
is closed in X ˆ ω ω .
This proves (i). Statement (ii) follows by Corollary 3.1.2. To prove (iii) write A as
D1 B with B closed in X ˆ ω ω ˆ ω ω , so that
x P D1 A ÐÑ Dα px, αq P A
ÐÑ Dα Dβ ppx, αq, βq P B
ÐÑ Dγ px, γq P C
where C “ tpx, γq : ppx, pγq0 q, pγq1 q P Bu is closed in X ˆ ω ω . %
Remark 3.1.6. The notions of analytic and coanalytic sets are often defined only for
subsets of Polish spaces X, for which the definition above is equivalent to many other
definitions (we will see later). However, one should be cautious that these other classical
definitions are not equivalent to the one we adopted in arbitrary metrizable separable
spaces.
49
3.1.8 Projective sets

One can also iterate the process of taking D1 and complement and get Luzin hierarchy
of projective sets. However we won’t speak much about the sets in this hierarchy,
except for the first level of analytic and coanalytic sets. The rich and intricate theory
of projective sets, which is deeply connected to the study of strong axioms of Set
Theory, is the subject of Moschovakis’ monograph [Mos80].
3.2 The Kleene classes in recursive spaces

3.2.1 The arithmetical hierarchy
We now suppose X is a recursive space, and effectivize the notions of the preceding
section. We already have defined the effectively open subsets of X as the Σ01 sets. In
the next definition, the operation of countable union is replaced by projection along
the space ω.
Definition 3.2.1. We let Π01 “ Σ01 . A set in Π01 is called a Π01 , or effectively closed ,
set. And by induction, we set
Σ0n`1 “D0 Π0n
and
Π0n`1 “ Σ0n`1
i.e. a set A is Σ0n`1 in a recursive space X iff for some Π0n set B in X ˆ ω one has
xPA ÐÑ Dn px, nq P B
and A is Π0n`1 in X iff XzA is Σ0n`1 in X.

The family pΣ0n , Π0n qně1 is called Kleene’s arithmetical hierarchy.
Given a function α : ω Ñ ω, we can also define the relativized-to-α arithmetical
hierarchy, by simply replacing Σ01 by Σ01 pαq at the beginning.
The notations used for these classes come from syntactical considerations: Particu-
larizing to the space ω, we can think of the recursive relations as the elementary ones,
and then a subset of ω k is Σ0n (resp Π0n ) if it can be defined using n (alternating)
quantifiers on ω, starting with an existential (resp. a universal) one, from elementary
relations. In these notations, Σ and Π refer to the nature of the first quantifier, n to
the number of quantifiers, and the upper index 0 to the nature of the quantification:
here over ω (“objects of type 0”. The elements of ω ω are “objects of type 1”, which
explains why projection along ω ω is denoted D1 ).
Note that in this notation, effective open sets are given index 1, whereas in the
notation for Borel classes, open sets are given class 0.
Clearly one has
50
3.2 The Kleene classes in recursive spaces
(i) Every Σ0n or Σ0n pαq set is Borel of additive class n ´ 1, and
(ii) Every Π0n or Π0n pαq set is Borel of multiplicative class n ´ 1.
So the Σ02 sets could be called the effective Fσ sets, the Π02 ones the effective Gδ sets,
etc.
Ť Note however that the arithmetical hierarchy has only ω levels. The reason is that
pΣ0 Y Π0 q is closed under both D0 and (and @0 ), as they are unary operations.
n n n
In order to extend this hierarchy in the transfinite, we need other operations. This is
more intricate, and will be done only in ??. Note also that anyway one cannot hope for
ref missing – YP
a reasonable effective analog for every Borel class, for this set of classes is uncountable,
and there should be only countably many effective objects.
Again, being Σ0n or Π0n is not an intrinsic property, but heavily depends on the
recursive space X in which we consider the set. And if X is a recursive subspace of a
recursive space Y , a set is Σ0n , resp. Π0n , in X iff it is the intersection with X of a Σ0n ,
resp. Π0n , subset of Y .
We also define the ambiguous class ∆0n “ Σ0n X Π0n and ∆0n pαq “ Σ0n pαq X Π0n pαq. So
in particular ∆01 is the class of effectively clopen or recursive sets. Note that in many
spaces, like e.g. R, the class ∆01 consists only of H and R itself. But in ω, it consists
exactly, by Proposition 1.2.2, of all recursive sets, and is very rich.

To simplify later statements, let us say that a class is adequate if
(1) it contains ∆01 ;
(2) it is closed under ^, _, Dď , @ď ;
(3) it is closed under recursive substitution, fixing of integer arguments, and of re-
by fixing of recursive
cursive argumentsDoes it mean: if A Ď X ˆ ω ω is in the class and α : ω Ñ ω is argument – YP
recursive, then so is Aα “ tx P X : px, αq P Au? – YP in ω ω .
Proposition 3.2.2.
(i) All classes Σ0n , Π0n , ∆0n and Σ0n pαq, Π0n pαq, ∆0n pαq are adequate.
(ii) Σ0n and Σ0n pαq are closed under D0 , Π0n and Π0n pαq are closed under @0 , and ∆0n
and ∆0n pαq are closed under .
(iii) The relativized-to-α classes are closed under recursive-in-α substitutions, and fix-
this seems too vague
ing of recursive-in-α arguments in ω ω . to me. – YP
Proof. (i) We already know it for Σ01 by Propositions 2.3.3 and 2.3.4. So it is enough agreed – R
to prove that if a class Γ is adequate, so are Γ, D0 Γ and @0 Γ. This very easy
and left to the reader.
(ii) The fact that Σ0n is closed under D0 follows from the existence of a recursive
bijection from ω and ω 2 , as we did for Σ01 . And dually Π0n is closed under @0 .
(iii) is part of the relativization of (i), and is proved similarly. %
51
3.2.3 The inclusion diagram

Theorem 3.2.3. (i) Σ01 Ď Σ02 .
(ii) The diagram of inclusion between arithmetical classes is the following:
Σ01 Ď Σ02 Ď Σ0n Ď

Ď Ď Ď
∆01 ∆02 ∆03 Ď ¨ ¨ ¨ Ď ∆0n ∆0n`1 ¨¨¨
Ď Ď Ď Ď Ď
Π01 Π02 Π0n Ď
Proof. As for Borel classes, (i) implies (ii), by an easy induction. To prove (i), recall
the Σ01 relations S and T which witness that X is a recursively regular space, and
satisfy for i, j
x P Vj ÐÑ Di pSpi, jq and x P Vj q
and if for pi, jq P S
Pi,j “ tx : @k pT pi, j, kq Ñ x R Vk qu
then Vi Ď Pi,j Ď Vj .
Let A be any Σ01 set in X, so that
xPA ÐÑ Dp px P Vp ^ A˚ ppqq
with A˚ P Σ01 pωq, and get
xPA ÐÑ Dp Dq px P Pq,p ^ Spq, pq ^ A˚ ppqq.

Noting that x P Pp,q and Spp, qq is Π01 in X ˆ ω ˆ ω, and using the closure properties
Σ01 Ď Σ02 – YP
of Proposition 3.2.2, gives that A is Σ02 as desired.There is a recursive A
r in ω 3 such
that Spq, pq ^ A˚ ppq Ø Dm Apq,
r p, mq. And using Proposition 3.2.2 we obtain that
´ ¯
x P A ÐÑ Dq Dp Dm x P Pq,p ^ Apq, r p, mq
is Σ02 in X. – YP %
3.2.4 Σ11 and Π11 sets

We let Σ11 “ D1 Π01 , Π11 “ Σ11 and ∆11 “ Σ11 X Π11 .
So a set A Ď X is Σ11 iff for some Π01 set B in X ˆ ω ω , A “ D1 B, i.e.
xPA ÐÑ Dα P ω ω px, αq P B.
Clearly these notions are the effective counterparts of the notions of analytic, coan-
alytic and bianalytic sets.
Our notation is similar to the one we used previously, except for the upper index 1
which indicates quantification over “type 1 objects”, here ω ω . One could also extend
this definition and define inductively
Σ1n`1 “ D1 Π1n and Π1n`1 “ Σ1n`1 ,
52
3.3 Universal sets
thus obtaining the effective counterpart of the projective hierarchy, called Kleene’s
analytical hierarchy but we will be interested in this book only in its first level, Σ11 , Π11
and ∆11 .
One also defines accordingly the relativized classes Σ11 pαq, Π11 pαq and ∆11 pαq, for
α P ω ω , by
Σ11 pαq “ D1 Π01 pαq, Π11 pαq “ Σ11 pαq and ∆11 pαq “ Σ11 pαq X Π11 pαq.
Every Σ11 pαq set is analytic, every Π11 pαq set is coanalytic and every ∆11 pαq set is
bianalytic, for all α P ω ω .

Proposition 3.2.4.
(i) All classes Σ11 , Π11 , ∆11 (and their relativizations) are adequate classes.
(ii) Σ11 is closed under D0 , @0 and D1 .
(iii) Π11 is closed under D0 , @0 and @1 “ D1 .
(iv) ∆11 is closed under D0 , @0 and 0 Ď ∆11 .
Ť
. Hence in particular n Σn
We omit the easy proof of this proposition, which follows from the existence of
recursive bijections between ω ω and ω ω ˆ ω, ω ω ˆ ω ω and pω ω qω .
As before if X is a recursive subspace of Y , the Σ11 or Π11 sets in X are the intersection
with X of the Σ11 or Π11 subsets of Y . And this may not be true for ∆11 sets — we will
come back to this question in Section 3.4.
3.2.6 The Kleene classes

In the remainder, we will refer to the classes Σ0n , Π0n (for n ě 1), Σ11 and Π11 as the
Kleene classes (the ∆ classes are not in this list). They are those which behave well
for subspaces, and as we will see in the next section, admit nice codings.
Σ01 Ď Σ02 Ď Σ0n Ď Σ11

Ď Ď Ď Ď
∆01 Ď ∆02 Ď ∆03 Ď ¨ ¨ ¨ Ď ∆0n Ď ∆0n`1 ¨ ¨ ¨ Ď ∆11 Ď
Ď Ď
Π01 Π02 Π0n Ď Π11
3.3 Universal sets

3.3.1 Universal Σ01 sets for open sets
Theorem 3.3.1. Let X be a recursive space. There exists a Σ01 subset G of ω ω ˆ X
which is universal for all open subsets of X, i.e. it is such that for every open U in X
there is an α P ω ω such that
xPU ÐÑ pα, xq P G.
53
Proof. Any open set is the union of a subfamily of the basis pVn qnPω of X. But as it
may be that no Vn is empty, hence we need the empty union to get the empty set, we
define G by
pα, xq P G ÐÑ αp0q ‰ 0 and Dp ě 1 x P Vαppq .
G is clearly Σ01 in ω ω ˆ X. If αp0q “ 0, the section Gα is empty. So the empty set is
coded. If now U is a non empty open set, pick an α : ω Ñ ω which enumerates the
non empty set of n’s with Vn Ď U . Then clearly U “ Gα . %
3.3.2 Universal sets for topological classes

The first easy corollary of this easy result is that any open set is in Σ01 pαq for some
α P ω ω . This is due to the fact that given α P ω ω , G is Σ01 , hence Σ01 pαq too, and so
its section Gα is also Σ01Ť
pαq.
Let us define Σ1 “ αPωω Σ01 pαq, the boldface class associated to Σ01 , and more
0
generally, for each Kleene class Γ, define the boldface class

ď
Γ“ Γpαq.
αPω ω
Theorem 3.3.2. Let X be a recursive space.

(i) For each n ě 1, there exists a Σ0n set Gn Ď ω ω ˆ X universal for all Borel subsets
of X of additive class n ´ 1 (and similarly for Π0n and multiplicative class n ´ 1)
In particular a set A Ď X is of additive (resp. multiplicative) class n ´ 1 iff it is
a Σ0n (resp. a Π0n ) set.
(ii) There exists a Σ11 set G Ď ω ω ˆ X universal for all analytic subsets of X, and
hence a set A Ď X is analytic iff A is Σ11 (and similarly for Π11 ).
(iii) Similarly, a set is bianalytic iff it is ∆11 .

Proof. (i) is by induction. We already have defined a set G1 for the open sets, and
clearly H 1 “ G1 is Π01 and universal for the closed sets. Suppose we have
defined Gn P Σ0n and H n “ Gn universal for sets of additive class n ´ Ť 1 and
multiplicative class n ´ 1, respectively. If A is of additive class n, A “ p Ap
with Ap of multiplicative class n ´ 1, so that for some pαp qpPω
ď
A“ Hαnp
p
where Hαn is the section of H n at α.

So we may define Gn`1 by
px, αq P Gn`1 ÐÑ Dppx, pαqp q P H n
using our bijection between ω ω and pω ω qω . Clearly Gn`1 is Σ0n and universal for
sets of additive class n.
54
3.3 Universal sets
(ii) is similar: Let H 1 be Π01 and universal for closed subsets of X ˆ ω ω , by (i), and
define
pα, xq P G ÐÑ Dβ pα, x, βq P H 1 .
Clearly G is Σ11 and universal for analytic subsets of X.
(iii) It immediately follows from (ii) that Analytic=Σ11 and Coanalytic=Π11 . So we

know that ∆11 Ď bianalytic “ Σ11 X Π11 . Now if A is both Σ11 pαq for some α, and
Π11 pβq for some β, then A is also Σ11 pxα, βyq and Π11 pxα, βyq, as both α and β are
recursive in xα, βy. So A is ∆11 pxα, βyq, hence is ∆11 . %
3.3.3 Boldface = topological

The slogan behind the preceding results is
boldface “ topological.
It explains why the classical theory, concerned with the topological notions, and the
modern theory of the effective notions, can be put in a unified theory. In fact the
effective (or also called lightface) results, once relativized, automatically give results
for their boldface counterparts. And as we will see, they usually give much more.
In the sequel, we will use the boldface notations Σ0n , Π0n , ∆0n and Σ11 , Π11 , ∆11 for the
topological notions — even in arbitrary metrizable separable spaces.
And by analogy, for ξ ě ω, we will use Σ0ξ for the Borel sets of additive class ξ, Π0ξ
for the Borel sets of multiplicative class ξ, and ∆0ξ for the ambiguous sets of class ξ,
so that Borel “ ξ Σ0ξ “ ξ Π0ξ .
Ť Ť
3.3.4 The hierarchy theorem on ω ω

Theorem 3.3.3 (the first hierarchy theorem).
(i) There is, for each n ě 1, a Σ0n subset of ω ω which is not Π0n . So in particular the
arithmetical hierarchy and the finite Borel hierarchy are both strict hierarchies on
the space ω ω .
(ii) There is a Σ11 subset of ω ω which is not Π11 , and (by taking complements) a Π11
subset of ω ω which is not Σ11 . In particular Σ11 ‰ Π11 and Σ11 ‰ Π11 in the space
ωω .
Proof. We apply Cantor’s diagonal method. Let us prove (ii), (i) being similar. Let
G Ď ω ω ˆ ω ω be Σ11 and universal for Σ11 subsets of ω ω , by Theorem 3.3.2, and let
αPH ÐÑ pα, αq P G
Clearly H is Σ11 in ω ω . Now H is not Π11 , otherwise one would have, for some α P ω ω
βRH ÐÑ pα, βq P G
55
and in particular
αRH ÐÑ pα, αq P G ÐÑ αPH
a contradiction which finishes the proof. %
3.3.5 The hierarchy for Borel sets

For ξ a countable ordinal ě ω, we don’t have a light face notion. But we can still prove
Theorem 3.3.4.
(i) For each (recursive) space X, there is a Σ0ξ set G in ω ω ˆ X universal for Σ0ξ
subsets of X (and similarly for Π0ξ ).
(ii) The Borel hierarchy pΣ0ξ , Π0ξ qξăω1 is strict on the space ω ω .
Proof. (ii) follows from (i) by the diagonal method used in the proof of Theorem 3.3.3.
And (i) is proved by induction on ξ. We already proved it for finite n (in a stronger
version in Theorem 3.3.2). Suppose we know the result for all η ă ξ, and let H η P Π0η
be universal for Π0η subsets of X. Let ϕ : ω ξ be a surjection, and define
pα, xq P Gξ ÐÑ Dp ppαqp , xq P H ϕppq
The set is clearly Σ0ξ , and we leave to the reader the easy checking that it is universal
for Σ0ξ subsets of X. One defines H ξ “ Gξ , and the proof is finished. %
3.3.6 Universal sets for the Kleene classes

In Subsection 3.3.2, we defined for each Kleene class Γ a coding of Γ subsets of X by
elements of ω ω . We now show that one can code Γ subsets of X by elements of ω. This
is a much deeper result, which relies on Kleene Enumeration Theorem 1.3.1.
Theorem 3.3.5. Let X be a recursive space, and Γ one of the Kleene classes Σ0n , Π0n , Σ11
or Π11 .
(i) There is a Γ subset G of ω ˆ X which is universal for Γ subsets of X, i.e. is such

that for any A Ď X in Γ, there is an ε P ω satisfying
xPA ÐÑ pε, xq P G.
(ii) The relativized result also holds, in fact uniformly:

There exists a Γ subset G1 of ω ω ˆ ω ˆ X such that for each α P ω ω , the section
G1α of G1 is a Γpαq subset of ω ˆ ω ω which is universal for Γpαq subsets of X.
56
3.3 Universal sets
Proof. (i) We prove it first for Σ01 . By Kleene’s Enumeration Theorem 1.3.1, there
is a Σ01 set W Ď ω 2 which is universal for Σ01 subsets of ω. Define then
Gpn, xq ÐÑ Dp px P VpX ^ W pn, pqq
Clearly G is Σ01 in ω ˆ X, and universal for Σ01 subsets of X as desired.
To prove it for all Kleene classes, it is enough to note that
(a) if G Ď ω ˆ X is universal for Γ, its complement is universal for the dual
class Γ.
(b) if G Ď ω ˆ pω ˆ Xq is universal for Γ subsets of ω ˆ X, then H defined by
pn, xq P H ÐÑ Dm pn, pm, xqq P G
is universal for D0 Γ subsets of X, and
(c) if G Ď ω ˆ pω ω ˆ Xq is universal for Γ subsets of ω ω ˆ X, then H “ D1 G
defined by
pn, xq P H ÐÑ Dα P ω ω pn, pα, xqq P G
is universal for D1 Γ.
Facts (a) to (c) are obvious, and prove (i).
The proof of (ii) is entirely similar. The only point here is to start with a uniform-
in-α version of Kleene’s enumeration theorem: There exists a Σ01 subset W of
ω ω ˆ ω 2 such that for each α P ω ω , its section Wα is universal for Σ01 pαq subsets
of ω. But this is exactly what the (relativized) proof of Kleene’s enumeration
theorem described in Subsection 1.5.3 gives, as the reader may check. %
3.3.7 Relativization
Remark 3.3.6. The relativized Kleene classes Γpαq have been defined using the notion
of recursive-in-α functions from ω k Ñ ω. But the preceding result implies that in any
recursive space X, a subset of X is in Γpαq iff it is the section at α of a Γ subset of
ω ω ˆ X, so the relativized classes could be defined using sections.
This is because Γpαq
is closed under fixing
3.3.8 The hierarchy theorem on ω of recursive-in-α
arguments in ω ω . –
Theorem 3.3.7 (the hierachy theorem for Kleene classes). YP
(i) There exists for each n a Σ0n subset of ω which is not Π0n (and conversely, using
its complement).
(ii) There exists a Σ11 subset of ω which is not Π11 (and conversely).
Proof. Apply the diagonal method used in the proof of Theorem 3.3.3 to the universal
Γ set for Γ subsets of ω given by 3.3.5. %
This result says that although the topological notions are of no interest for the
space ω — every subset is clopen in it, the effective notions provide an interesting
classification of the complexity of subsets of ω.
57
3.3.9 Good universal sets

Using the results in Subsections 3.3.2 and 3.3.6, we can now extend the results in
Section 1.4 about Σ01 subsets of ω to arbitrary recursive spaces, and arbitrary Kleene
classes.
Theorem 3.3.8 (Existence of good universal sets). Let X be a recursive space, Γ one
of the Kleene classes.
(i) There exists a set W Γ in ω ˆ X, in Γ, such that for any Γ subset A of ω ˆ X,

there is a recursive function f : ω Ñ ω such that
pn, xq P A ÐÑ pf pnq, xq P W Γ .
(ii) There exists a set WΓ in ω ω ˆ X, in Γ, such that for any Γ subset A of ω ω ˆ X,

there is a continuous function f : ω ω Ñ ω ω such that
pα, xq P A ÐÑ pf pαq, xq P WΓ .
Proof. (i) Let GΓ Ď ω ˆ pω ˆ Xq be universal for Γ subsets of ω ˆ X, by 3.3.5, and

set
pn, xq P W Γ ÐÑ pnq0 , ppnq1 , xq P GΓ .
` ˘
If now A Ď ω ˆ X is in Γ, and n0 is such that A “ GΓn0 , then
n0 , pn, xq P GΓ
` ˘
pn, xq P A ÐÑ
ÐÑ xn0 , ny , x P W Γ
` ˘
so that f pnq “ xn0 , ny works.
(ii) is similar: Let GΓ be in Γ and universal for Γ subsets of ω ω ˆX by Theorem 3.3.2,

and set
pαq0 , ppαq1 , xq P GΓ .
` ˘
pα, xq P Γ ÐÑ
Then WΓ is in Γ too, and if A is in Γ, A Ď ω ω ˆ X, and if α0 is such that
A “ GΓα0 , then
α0 , pα, xq P GΓ
` ˘
pα, xq P A ÐÑ
ÐÑ xα0 , αy , x P WΓ
` ˘
so that the continuous function f pαq “ xα0 , αy works. Note that this function is
in fact recursive-in-α. %
Sets W Γ , WΓ are called good universal sets for Γ, Γ respectively. From now on,
we fix one of them for each Kleene class Γ and recursive space X (the superscript Γ
will often be omitted — as we already did for the space X! — if it is clear from the
context).
58
3.4 Borel and Γ-recursive functions
3.3.10 Fixed point theorems

We can now apply the ideas in Section 1.4 to get applications of the preceding results.
E.g. all the closure properties of classes Γ and Γ hold uniformly, i.e. recursively in
the codes for Γ, and continuously in the codes for Γ.
And following the proof of the recursion theorems in Section 1.4, one can prove
Theorem 3.3.9 (Kleene’s Fixed Point Theorem). Let X be a recursive space, Γ a
Kleene class.
(i) For any Γ subset A of ω ˆ X, there is an ε P ω such that
pε, xq P A ÐÑ pε, xq P W Γ .
(ii) For any Γ subset A of ω ω ˆ X, there is an ε P ω ω such that
pε, xq P A ÐÑ pε, xq P WΓ .

3.4.1 Borel functions
For X, Y two metrizable separable spaces, a function f : X Ñ Y is called a Borel (or
Borel measurable) function if for every open set U in Y , its preimage f ´1 pU q is Borel
in X. Moreover if for some ξ ă ω1 every f ´1 pU q is Σ01`ξ , the function is said of Baire
class ξ.
(So in particular Baire class 0 functions are just the continuous ones.)
As the classes Borel and Σ0ξ are closed under countable union, it is enough in the
preceding definitions to restrict the property to a countable basis of the topology of Y .
It follows that every Borel function is of Baire class ξ for some ξ ă ω1 .

Proposition 3.4.1.
(i) If f : X Ñ Y is of Baire class ξ and A Ď Y is Σ01`η , f ´1 pAq is Σ01`ξ`η .
In particular, for any Borel f : X Ñ Y and any Borel A Ď Y , f ´1 pAq is Borel
in X.
(ii) If f : X Ñ Y is of Baire class ξ and g : Y Ñ Z is of Baire class η, the

composition h “ g ˝ f : Y Ñ Z is of class ξ ` η.
In particular, Borel functions are closed under composition.
Proof. (i) is by induction on η. For η “ 0 this is by definition. For the induction
step, use that the taking of preimages commutes both with complementation and
countable union. The second statement follows from the first and the remark in
Subsection 3.4.1.
59
(ii) is immediate from (i): If U is open in Z, g ´1 pU q is Σ01`η , hence h´1 pU q “

f ´1 pg ´1 pU qq is Σ01`ξ`η by (i). So h is of Baire class ξ ` η. The second statement
follows immediately. %
3.4.3 Γ-measurable functions

The definition of a Borel function is a particular case of a general definition: Given
a class Γ of sets in metrizable spaces, a function f : X Ñ Y is said Γ-measurable
if f ´1 pU q P Γ for any open set U in Y . Of particular interests is the class ∆11 : A
∆11 -measurable function is called a bianalytic function.
One could also consider Σ11 -measurable and Π11 -measurable functions, but one has
Proposition 3.4.2. A function is Σ11 -measurable iff it is Π11 -measurable iff it is ∆11 -
measurable.
Proof. Note that if f is Γ-measurable, then for any Gδ — hence any closed — set G,
f ´1 pGq is a countable intersection of sets in Γ. So if f is Σ11 -measurable, f ´1 p U q “
f ´1 pU q is in Σ11 too for any open set U , i.e. f is ∆11 -measurable. And similarly for
Π11 -measurable. %
3.4.4 Closure properties of bianalytic functions

Proposition 3.4.3.
(i) Let f : X Ñ Y be bianalytic. If A Ď Y is Σ11 (resp. Π11 , ∆11 ) then f ´1 pAq is Σ11
(resp. Π11 , ∆11 ).
(ii) Bianalytic functions are closed under composition.
Proof. It is clearly enough to prove (i) for A P Σ11 . Pick B closed in X ˆ ω ω such that
A “ D1 B, and consider
f ˚ : X ˆ ωω Ñ Y ˆ ωω defined by f ˚ px, αq “ pf pxq, αq.
Clearly f ˚ is bianalytic. So B ˚ “ pf ˚ q´1 pBq is ∆11 in X ˆ ω ω . But clearly f ´1 pAq “

D1 B ˚ , hence f ´1 pAq is Σ11 by the closure properties of this class. %
3.4.5 Γ-recursive functions

We now want to define effective analogs of Γ-measurability. So let X, Y be recursive
spaces, and Γ a Kleene class, or ∆11 . A function f is Γ-recursive if the set
Df “ px, nq | f pxq P VnY

(
is in Γ.
(So we are asking that each f ´1 pVnY q is in Γ, and that this holds uniformly in n.)
Note that for Γ “ Σ01 , this corresponds to our earlier definition of a recursive function
f : X Ñ Y , i.e. Σ01 -recursive = recursive.
60
3.4.6 Composition with recursive functions

Proposition 3.4.4 (Composition with recursive function). Let Γ be a Kleene class
closed under D0 , or ∆11 .
(i) If f : X Ñ Y is recursive and g : Y Ñ Z is Γ-recursive, h “ g ˝ f is Γ-recursive

: X Ñ Z.
editing – R
(ii) If f : X Ñ Y is Γ-recursive and g : Y Ñ Z is recursive, h “ g ˝ f is Γ-recursive
: X Ñ Z.
Proof. One has

g ˝ f pxq P VnZ ÐÑ pf pxq, nq P Dg .
In case (i), Dg P Γ and as Γ is closed under recursive substitutions, one also gets
Dh P Γ.
In case (ii), Dg P Σ01 , hence for some Σ01 set P Ď ω 2
py, nq P Dg ÐÑ Dk y P VkY ^ P pk, nq .

` ˘
But then one gets
ÐÑ Dk f pxq P VkY ^ P pk, nq

` ˘
px, nq P Dh
and this set is in Γ by the closure properties of Γ. %
3.4.7 ∆11 -recursive functions

The notions of Γ-recursive functions will be used mainly — apart from the case Γ “ Σ01
of course — for the class ∆11 . We list here useful properties of ∆11 -recursive functions.
Proposition 3.4.5. Let f : X Ñ Y be a function, with X, Y recursive spaces.
(i) f is ∆11 -recursive iff f is Σ11 -recursive iff f is Π11 -recursive.
(ii) Σ11 , Π11 and ∆11 are closed under substitution by ∆11 -recursive functions.
(iii) ∆11 -recursive functions are closed under composition.
Proof. (i) Recall the Σ01 relations S and T which witness that Y is recursively reg-
ular. And note that
f pxq R VnY ÐÑ @p Spp, nq Ñ Dq pT pp, n, qq ^ f pxq P VqY q .

` ˘
It follows that if Df is Σ11 , it is also Π11 , and if it is Π11 , it is also Σ11 . This proves
(i).
61
(ii) It is enough to do it for say Σ11 . Now if A Ď Y is Σ11 , pick B P Π01 , B Ď Y ˆ ω ω

with A “ D1 B, and write
f pxq P A ÐÑ Dα pf pxq, αq P B.
Now B is Σ01 in Y ˆ ω ω , hence for some Σ01 set P in ω 2 , one has

ω
py, αq R B ÐÑ Dp Dn y P VpY ^ α P Vnω ^ P pp, nq
` ˘
and finally
ω
ÐÑ Dα @p @n f pxq R VpY _ α R Vnω _ P pp, nq
` ˘
f pxq P A
which is Σ11 by the closure properties of this class.
(iii) follows immediately from (ii).

%
3.4.8 Uniformities
Remarks 3.4.6. (1) As usual, the closure properties proved in the preceding propo-
sition are uniform in the codes: E.g. if f : X Ñ Y is ∆11 -recursive, there is
a recursive function g : ω Ñ ω which, for any code n of a Σ11 subset A of Y ,
produces a code gpnq of the Σ11 subset f ´1 pAq of X. To see this, it is enough to
note that the relation f pxq P WnY where W Y is the coding for Σ11 subsets of Y ,
is Σ11 in X ˆ ω, and apply Theorem 3.3.8 to it and the coding W X of Σ11 subsets
of X.
(2) A function is ∆11 -measurable iff it is ∆11 pαq-recursive for some α P ω ω (For if
f is ∆11 -measurable, Df is clearly ∆11 in X ˆ ω). So the relativized version of
Proposition 3.4.5 gives Propositions 3.4.2 and 3.4.3 again.
3.4.9 An extension theorem

Following the proof of Proposition 3.4.1, similar results can be written for Σ0n -recursive
functions. Another simple but useful result for Σ0n -recursive functions is the following
result about extensions.
Theorem 3.4.7. Let X be a subspace of a recursive space Y , and Z a Polish recursive
space. Suppose f : X Ñ Z is Σ0n -recursive. Then f can be extended to a Σ0n -recursive
function f˜ defined one some set X
r containing X and which is Π0 in Y .
n`1
Proof. Composing with recursive isomorphisms, we may as well assume that Z is re-
cursively presented, by d and r. Denote by R, S, and T the canonical Σ01 relations
witnessing that Z is recursive.
By the hypothesis on f , Df is Σ0n in X ˆ ω, hence there is a Σ0n subset A of Y ˆ ω
such that
py, nq P Df ÐÑ y P X ^ Apy, nq.
62
! )
Define X
r “ y P Y : Dz P Z tn : Apy, nqu “ tn : z P VnZ u . Clearly X Ď X r as
for x P X tn : Apy, nqu “ tn : f pxq P VnZ u. Moreover if y P X r there is a unique z
˜
witnessing this fact, and this defines a function f : X Ñ Z, which extends f . And
r
py, nq P Df˜ r ^ f˜pyq P V Z

ÐÑ y P X n
ÐÑ y P X
r ^ Apy, nq
by definition of f˜, i.e.

Df˜ “ A X pX
r ˆ ωq
r ˆ ω and f˜ is Σ0 -recursive.
so Df˜ is Σ0n in X n
It remains to compute the complexity of X r in Y . The claim is that
”` ˘
yPX r ÐÑ piq @k @m @n Apy, nq ^ Apy, mq
` ˘ı
Ñ Dp Apy, pq ^ Rpm, n, pq ^ 0 ă qppq1 ď 2´k
´ ` ˘ ¯
^ piiq @n Dp Spp, nq ^ Apy, pq Ñ Apy, nq
which clearly give a Π0n`1 definition of X.

r
To prove the claim, note first that certainly if for some z P Z Apy, nq Ø z P VnZ , (i)
and (ii) are satisfied.
Z
Conversely if (i) and (ii) hold, the sequence V n for n such that Apy, nq forms in Z
a family of non-empty closed sets with finite intersection property, and contains sets
of arbitrarily small diameter. As Z is complete for d, this family converges to a point
z of Z. Again by (i) if Apy, nq holds, then for some p with Spp, nq, Apy, pq holds
Z
too, hence z P V p Ď VnZ . And conversely if z P VnZ , pick m such that 2dpz, 2´m q ă
Notation to be fixed?
qpnq1 ´ dpz, rpnq0 q. Then for some p with Apy, pq one has VpZ Ď Bpz, 2´m q. But Spp, nq –R
holds, hence by (ii) Apy, nq holds too. This proves that Apy, nq Ø z P VnZ , so the
claim is proved and we are done. %
3.4.10 A theorem of Lavrentiev

This extension result has nice applications. We will see some of them in the next
section. But let us mention here a consequence which is an effective version of a result
of Lavrentiev.
Theorem 3.4.8 (essentially Lavrentiev). Let X, Y be Polish recursive spaces, A Ď X,
B Ď Y , and f a recursive isomorphism between A and B. Then f can be extended to
a recursive isomorphism between two Π02 subsets A˚ and B ˚ of X and Y respectively.
Proof. Apply Theorem 3.4.7 to f : A Ñ Y to get a Π02 a subset A
r Ě A of X, and also
´1 0
to g “ f : B Ñ X to get a Π2 set B Ě B and g̃ : B Ñ X extending f ´1 . Set
r r
A˚ “tx P Ar : g̃ ˝ f˜pxq “ xu
r : f˜ ˝ g̃pyq “ yu.
and B ˚ “ty P B
63
A˚ and B ˚ are Π02 sets too, and one easily checks that fÃ˚ is a recursive isomorphism
between A˚ and B ˚ , with inverse g̃B ˚ , which extends f . %
Corollary 3.4.9 (Lavrentiev). If f is an homeomorphism between two subsets of some

Polish spaces X and Y , f can be extended to an homeomorphism between two Gδ subsets
of X and Y respectively.
Proof. This is immediate from the relativization of Theorem 3.4.8. %
3.5 Special recursive spaces

3.5.1 Γ-absolute sets
In classical Descriptive Set Theory, some special classes of metrizable separable spaces
play an important rôle. This is of course the case for Polish spaces, but also for Suslin
spaces (those which are homeomorphic to an analytic subspace of a Polish space), and
Luzin spaces (those which are homeomorphic to a ∆11 — or equivalently, as we will see
later, to a Borel — subspace of a Polish space).
In some occasions, dimension 0 and compactness are also important. In this section,
we will study briefly effective versions of these notions (as usual, this is no real loss
of generality). This will also enable us to characterize the “intrinsic” properties corre-
sponding to the Kleene classes: If Γ is such a class, we say that a space X is Γ-absolute
if X is a Γ subset of any recursive space Y in which X is recursively embedded.
3.5.2 Characterization of Polish recursive spaces

We already have defined the notion of Polish recursive space, as a space recursively
isomorphic to a Polish recursively presented space. The next theorem gives a purely
recursive characterization of this class of spaces, among recursive spaces.
Theorem 3.5.1. A recursive space X is Polish recursive iff
(i) X is Π02 -absolute, and
(ii) the diagram DX “ tn : VnX ‰ Hu of X is Σ01 in ω.
3.5.3 Polish recursive implies Π02 -absolute

We break the proof of Theorem 3.5.1 into several lemmas. First an easy one:
Lemma 3.5.2. Any Polish recursive space is Π02 -absolute.
Proof. Let i be a recursive embedding of the Polish recursive space X into a recursive
space Y , which we can consider as a subspace of Polish recursive space Z. It is enough
to show that the image ipXq is Π02 in Z — for then the same will hold in Y .
Apply Lavrentiev’s Theorem 3.4.8 to the spaces Z, X and the recursive isomorphism
i´1 : ipXq Ñ X. By this theorem, i´1 extends to a recursive isomorphism between
64
two Π02 sets of Z and X. But as i´1 has no proper extension, this means that ipXq is
Π02 in Z. %
Lemma 3.5.3.
(i) If f : X Y is a recursive onto function and the diagram DX is Σ01 , then DY

is Σ01 too.
(ii) For every Polish recursive space X, DX is Σ01 .
Proof. For (i), write Df px, nq Ø Dp px P VpX ^ Apn, pqq with some Σ01 set A, and notice
that
VnY ‰ 0 ÐÑ Dx P X f pxq P VnY (as f is onto)

X
` ˘
ÐÑ Dp Dx P X x P Vp ^ Apn, pq
` ˘
ÐÑ Dp DX ppq ^ Apn, pq .
For (ii), it suffices by (i) to prove it for Polish recursively presented spaces. But for
those spaces
VnX ‰ H ÐÑ qpnq1 ą 0
and we are done. %
3.5.4 Some lemmas

We now prove the converse implication in Theorem 3.5.1. Using the lemmas in Subsec-
tion 3.5.3, it is enough to prove that if Z is a Polish recursively presented, and X Ď Z
is Π02 with DX P Σ01 , then X is Polish recursive.
Lemma 3.5.4. Suppose X is closed in the Polish r.p. space pZ, d, rq, and DX is Σ01 .
Then X admits a recursive presentation pd, r1 q with the same distance.
Proof. For the restriction of d, X is clearly metric and complete. We may assume that
DX ‰ H (otherwise X “ H!). Let f : ω Ñ ω be a recursive enumeration of DX .
Consider
1
Apn, pq ÐÑ Spf ppq, f pnqq ^ qpf ppqq1 ď qpf pnqq1
2
where S is the usual Σ01 relation witnessing Z is recursively regular. Clearly A is Σ01 ,
and moreover for every n, as VfZpnq ‰ H, we can find q with VqZ X X ‰ H, Spq, f pnqq,
and diam VqZ ď 12 diam VnZ , i.e. we can find p so that Apn, pq holds.
By uniformization, there is a recursive ϕ : ω Ñ ω such that @n Apn, ϕpnqq. Let
just let Apn, pq Ø
ψpk, nq “ ϕpkq pnq. The function ψ is recursive, and moreover for each n the sequence DkBpn, p, kq with B
Z
pV f pψpk,nqq : k P ωq converges in Z to some point of X, we denote it by r1 pnq. We claim recursive in ω 3 and
let ϕpnq “
pminl Bpn, plq0 , plq1 qq0
– YP
65
that pd, r1 q works. It is enough to compute the complexity of ql ă dpr1 pnq, r1 pmqq ă qk .
But e.g.
` ˘
d r1 pnq, r1 pmq ă qk ÐÑ Di Dj Dl qf pψpi,nqq1 ă 2´l
and qf pψpj,mqq1 ă 2´l
´ ¯
and d rpf pψpi, nqq0 q, rpf pψpj, mqq0 q ă qk ´ 2l`1
so this relation is Σ01 , and similarly for dpr1 pnq, r1 pmqq ą ql . %
3.5.5 Proof of Theorem 3.5.1

To finish the proof of Theorem 3.5.1, it is enough from Lemmas 3.5.2 and 3.5.4 to prove
the following
Lemma 3.5.5. Let X be Π02 in the Polish r.p. space Z. Then X is recursively iso-
morphic to a closed subspace of Z ˆ Rω .
Proof. Write x P X Ø @p Dq px P VqZ ^ App, qqq with A Σ01 in ω 2 . Consider
U px, pq ÐÑ Dq px P VqZ ^ App, qqq.
As Z is recursively normal, by Lemma 2.4.7, we can find a recursive function f :

Z ˆ ω Ñ r0, 1s such that
f px, pq ą 0 ÐÑ U px, pq.
Define then ϕ : X Ñ Z ˆ Rω by
ˆ ´ ¯˙
1
ϕpxq “ x, :pPω .
f px, pq
As f is recursive, ϕ is clearly recursive, and has the first projection as inverse. So to

finish the proof, it is enough to show that ϕpXq is closed in Z ˆ Rω . But if a sequence
xn P X converges to some x P Z, and f px1n ,pq Ñ yp P R for each p, then the sequence
1
f pxn ,pq is bounded, i.e. pf pxn , pqqnPω is bounded away from 0, and the limit x is in X,
1
with yp “ f px,pq as desired. %
3.5.6 Π02 -absolute spaces

Theorem 3.5.6.
(i) A metrizable separable space is Polish iff it is Gδ -absolute.

is it in the same
sense as for a
(ii) A recursive space is Π02 -absolute iff it is a Π02 subset of a Polish recursive space.
lightface class? – YP
66
Proof. (i) is immediate from the relativization of Theorem 3.5.1.

For (ii), one direction is obvious. For the other direction, let X be Π02 in some Polish
recursive space Y , and i be recursive embedding of X into some recursive space Z,
which we may assume Polish recursive. We want to show that ipXq “ X 1 is Π02 in
Z. Using Theorem 3.4.8, we can extend i to some recursive isomorphism ri between
Π02 sets Xr and X r 1 in Y and Z respectively. As X is Π0 in Z, X is Π0 in X,
2 2
r hence
1 r 0 r 1 r 1 0
X “ ipXq “ ipXq is Π2 in X . But X is Π2 in Z, hence finally X is Π2 in Z as1 0
required. %
3.5.7 Compactness
To finish with this section on Polish recursive spaces, let us mention two transfer results,
which enable to reduce the general situation to specific ones.
We have already seen such a transfer theorem: Every recursive space can be consid-
ered as a subspace of the space r0, 1sω , which has the advantage of being compact. In
cf Subsection 2.4.6
fact, using Theorem 3.5.1 and Lemma 3.5.4, one gets and proof of
Theorem 2.4.4 – YP
Theorem 3.5.7. Every Polish recursive space admits a Polish recursive completion
which is a compact space.
Proof. We may assume X is a subspace of r0, 1sω , and by Theorem 3.5.1, X is Π02 and
DX is Σ01 in ω. Consider the closure X of X in r0, 1sω . As Vn XX ‰ H Ø Vn XX ‰ H,
DX “ DX is Σ01 . By Lemma 3.5.4, X is Polish recursive, and of course compact and
a completion of X. %
3.5.8 The transfer theorem to ω ω

Another useful transfer theorem deals with the space ω ω . For any recursive space X,
consider iX : X Ñ ω ω defined by
#
1 if x P VnX
iX pxqpnq “
0 otherwise.
(so iX pxq is the characteristic function of tn : x P VnX u) and let X

p “ iX pXq Ď ω ω .
Clearly the function iX is one-to-one, and Σ02 -recursive, as
ω
”`
iX pxq P Vnω ÐÑ @i ă lh spnq spnqi “ 0 ^ x R ViX
˘
˘ı
_ spnqi “ 1 ^ x P VnX
`
Moreover its inverse jX : X

p Ñ X is recursive, as
jX pαq P VnX ÐÑ αpnq “ 1.

So up to an isomorphism that is Σ01 -recursive in one direction and Σ02 -recursive in
the other direction, any recursive space can be reduced to a subspace of ω ω . Moreover
for Polish recursive spaces, this subspace of ω ω can be taken Π02 , by the following
67
p is a Π0 subset of ω ω .
Proposition 3.5.8. If X is Polish recursively presented, X 2
Proof. In the same way as we computed the complexity of X r in the proof of Theo-
rem 3.4.7 one easily checks that
α P 2ω ^ @n αpnq “ 1 Ñ qpnq1 ą 0 ^
` ˘
αPX p ÐÑ
”` ˘
piq @k @m @n αpnq “ 1 ^ αpmq “ 1 Ñ
` ˘ı
Dp αppq “ 1 ^ Rpm, n, pq ^ 0 ă qppq1 ď 2´k
” ` ˘ ı
^ piiq @n Dp Spp, nq ^ αppq “ 1 Ñ αpnq “ 1 .
where R, S, T are the usual Σ01 relations which witness X is recursively presented. This
gives a Π02 definition of X.
p %
3.5.9 0-dimensional recursive spaces

The preceding transfer result cannot be strengthened in general to get a recursive
isomorphism, for dimension reasons, as the space ω ω is 0-dimensional , i.e. has a basis
consisting of clopen sets. But it can be in an important particular case.
Say that a recursive space X is a 0-dimensional recursive, or a dim0-recursive space
if the relation
x R VnX is Σ01 in X ˆ ω
(so each Vn is ∆01 “ Σ01 X Π01 in X, uniformly in n — and in particular is clopen)
Important examples of dim0 recursive spaces are subspaces of ω, ω ω and 2ω (and
their products).
This is clear for ω, as m R Vnω Ø m ‰ n. For ω ω , one has
ω
α R Vnω
` ˘
ÐÑ Di ă lh spnq αpiq ‰ spnqi
and similarly for 2ω .

By a slight abuse of terminology, we will still say that X is dim0-recursive if X is
recursively isomorphic to such a space.
Lemma 3.5.9. If X is dim0-recursive, every Σ01 subset of X is the projection along ω

of a ∆01 subset of X ˆ ω (so ∆01 is a very rich class in dim0-recursive spaces).
Proof. Let A Ď X be Σ01 , so that for some Σ01 subset A˚ of ω one has x P A Ø
Dp px P Vp ^ A˚ ppqq. Write A˚ ppq Ø Dm Bpp, mq with B ∆01 in ω 2 , so that
´ ` ˘¯
x P A ÐÑ Dn x P Vpnq0 ^ B pnq0 , pnq1 .
` ˘
By the hypothesis the relation x P Vpnq0 ^ B pnq0 , pnq1 is ∆01 in X ˆ ω, as desired. %
For dim0-recursive spaces, Proposition 3.5.8 can be strengthened to
68
Theorem 3.5.10. The following are equivalent

(i) X is a Π02 -absolute dim0-recursive space,
(ii) X is (recursively isomorphic to) a Π02 subset of 2ω ,
(iii) X is (recursively isomorphic to) a Π01 subset of ω ω .
Proof. (iii)Ñ(i) and (ii)Ñ(i) are immediate, as by Theorem 3.5.6 Π02 subsets of 2ω and
ω ω are Π02 -absolute.
(i)Ñ(ii) follows from 3.5.8, for clearly, as x R Vn is Σ01 , the injection iX : X Ñ X
p
is recursive, hence a recursive isomorphism, and X p is Π0 in ω ω . It remains to show
2
(ii)Ñ(iii). For this let A Ď ω be Π2 , and pick B ∆01 in ω 2 such that
ω 0
ωω
` ˘
α P A ÐÑ @n Dm α P Vpmq 0
^ Bpm, nq .
Such a B exists by Lemma 3.5.9. Define then A1 Ď ω ω ˆ ω ω by

”
ωω
pα, βq P A1 ÐÑ @n α P Vpβpnqq 0
^ Bpβpnq, nq
` ωω
˘ı
^ @i ă βpnq α R Vpiq0
_ Bpi, nq
Clearly A1 is Π01 in ω ω ˆ ω ω , so it is enough to show that A and A1 are recursively

isomorphic. As for each α P A there is only one β with pα, βq P A1 , this defines a
bijection i : A Ñ A1 , with recursive inverse — first projection. So we just have to
check that i is recursive : A Ñ ω ω ˆ ω ω . But
ω ˆω ω ω ω
ipαq P Vnω ω
“ Vpnq 0
ω
ˆ Vpnq 1
ÐÑ piq @k ă lh sppnq0 q sppnq0 qpkq “ αpkq

”
ωω
` ˘
and piiq @k ă lh sppnq1 q α P Vsppnq1 qpkq ^ B sppnq 1 qpkq, k
` ωω
˘ı
^ @j ă sppnq1 qpkq α R Vpjq0 _ Bpj, kq
which gives a Σ01 definition of the diagram of i. %
3.5.10 Suslin recursive spaces

We now introduce the effective analog of a Suslin space.
Theorem 3.5.11. The following are equivalent, for a recursive space X.
(i) X is Σ11 -absolute, i.e. Σ11 in any space in which it is embedded.
recursively
(ii) X is Σ11 in some Polish recursive space in which it is embedded. embedded? – R
(iii) Σ11 is closed under DX , i.e. if Y is any space and A Ď Y ˆX is Σ11 , then B “ DX A
defined by
y P B ÐÑ Dx P X py, xq P A
is Σ11 in Y .
69
p “ iX pXq is Σ1 in ω ω .
(iv) The set X 1
A space satisfying one of these properties is called a Suslin-recursive space.
Proof. Clearly (i)Ñ(ii).
(ii)Ñ(iii) As Σ11 is preserved under recursive isomorphisms, we may assume X is Σ11

in a Polish recursively presented space Z. By Proposition 3.5.8, Zp is Π02 in ω ω .
So if A is Σ11 in Y ˆ X, we get
y P DX A ÐÑ Dx P X py, xq P A
ÐÑ Dα P ω ω α P Zp ^ py, jZ pαqq P A
` ˘
ÐÑ Dα P ω ω α P Zp ^ jZ pαq P X ^ py, jZ pαqq P A˚

` ˘
where A˚ is some (any) Σ11 subset of Y ˆ Z such that A “ A˚ X pY ˆ Xq.

Clearly the relation α P Zp ^ jZ pαq P X ^ py, jZ pαqq P A˚ is Σ11 (as jZ is recursive,
Zp is Π02 and X is Σ11 in Z), so by closure of Σ11 under D1 , we get that DX A is Σ11
too.
(iv)Ñ(iii) is analogous, writing
y P DX A ÐÑ Dα P X
p py, jX pαqq P A.
So it remains to prove that (iii)Ñ(iv) and (iii)Ñ(i). This follows from the following
more general lemma, applied to iX in the first case, and a recursive embedding i in the
second case. %
Lemma 3.5.12. Let X be a Suslin-recursive space (i.e. satisfying (iii) of Theo-

rem 3.5.11 — to finish the proof of the preceding theorem), and let f : X Ñ Y be
∆11 -recursive from X into some recursive space Y . Then f pXq is Σ11 in Y . Hence
f pXq is Suslin-recursive too.
Proof. Write:
y P f pXq ÐÑ Dx P X y “ f pxq
” ` ˘ı
ÐÑ Dx P X @n y P VnY Ø Df px, nq .
As Df is ∆11 in X ˆ ω, the relation between brackets r. . .s is ∆11 in Y ˆ X, hence by

closure of Σ11 under DX , f pXq is Σ11 in Y . This proves the first statement (and finishes
the proof of Theorem 3.5.11).
Composing f with a recursive function, we still get a ∆11 -recursive function. So we
get that f pXq is ∆11 in any space in which it is embedded. %
70
3.5.11 Recursive images

Corollary 3.5.13. A space X is Suslin-recursive iff it is the recursive image of a Π01
subset of ω ω (or a Π02 subset of 2ω ).
Proof. By Theorem 3.5.11, a Π01 subset of ω ω is Suslin-recursive, and so are its recursive
images by Lemma 3.5.12. Conversely if X is Suslin-recursive, then X is the recursive
image of the Σ11 set X p in ω ω , which is the recursive image (the projection) of a Π0
1
subset of ω ˆ ω . As ω ω ˆ ω ω is recursively isomorphic to ω ω , we are done. For the
ω ω
last statement, it is enough to note that ω ω is recursively isomorphic to a Π02 subset of

2ω , by ω
ř e.g. the function which associates to α P ω the characteristic function of the
set t iăj pαpiq ` 1q : j P ωu, i.e. the sequence
hkkαp0q
ikkj hkkαp1q
ikkj hkkαp2q
ikkj
0¨¨¨0 1 0¨¨¨0 1 0¨¨¨0 1¨¨¨ ,
or by using Lemma 3.5.9. %
3.5.12 Luzin recursive spaces

We now introduce the analog of Luzin spaces.
Theorem 3.5.14. Let X be a recursive space. The following are equivalent:
(i) X is ∆11 -absolute.
(ii) X is ∆11 in some Polish recursive space in which it is embedded.
rec.emb.? – R
(iii) X
p is ∆11 in ωω .
A space satisfying one of these properties is called a Luzin-recursive space.
Proof. Again clearly (i)Ñ(ii).

For (ii)Ñ(iii), let Z be a Polish recursive space in which X is embedded as a ∆11
subset, and consider iX : X Ñ ω ω and its inverse jX (note that iX may not be iZ X
— this would simplify the argument). As iX and jX are both Σ02 -recursive, we can
apply the Extension Theorem 3.4.7, and as in the proof of Theorem 3.4.8, infer that iX
extends to a Σ02 -recursive isomorphism ı̃ defined on a Π03 subset X
r of Z. Now both X
and XzX
r are Suslin-recursive by Theorem 3.5.11, hence so are their images ı̃pXq “ X
p
r r p r 0 ω p 1 1
and ı̃pXzXq “ ı̃pXqzX. As ı̃pXq is Π3 in ω , we get that X is both Σ1 and Π1 , hence
is ∆11 in ω ω .
For (iii)Ñ(i), the proof is analogous, as if i : X Ñ Y is an embedding, then i ˝ jX :
Xp Ñ Y is a Σ0 -recursive isomorphism between X p and ipXq, so we can argue as
2
before. %
It follows from Corollary 3.5.13 that although a ∆11 -recursive image of a Luzin-
recursive space can be any Suslin-recursive space, it may not be a Luzin-recursive
space. However we will see later that a ∆11 -recursive one-to-one image of a Luzin-
recursive space is still a Luzin-recursive space, one of the deep result of the theory.
71
3.5.13 B-sets and B-functions

We established the Extension Theorem 3.4.7 only for the classes Σ0n , not for ∆11 -
recursive functions. This is related to the fact that if X is a recursive subspace of
Y , a ∆11 subset of X may not be the intersection with X of a ∆11 subset of Y .
This leads to the following definition.
Definition 3.5.15.
(1) A ∆11 set A in a space X is a B-set if for every space Y in which X is recursively
embedded, A is the intersection with X of a ∆11 subset of Y .. We denote by B
the class of B-sets.
(2) A function f : X Ñ Y is a B-function if its diagram Df is a B-set in X ˆ ω.

Proposition 3.5.16.
(i) If X is a Luzin-recursive space, then on X we have ∆11 “ B.
(ii) A set A Ď X is a B-set iff A is the intersection with X of a ∆11 -absolute set.
Proof. (i) is immediate: if A is a ∆11 subset of the Luzin-recursive space X Ď Y ,
then as X is ∆11 in Y , A is also ∆11 in Y .
(ii) If A is a B-set in X, then A is the intersection with X of some ∆11 set B in some
Polish recursive completion of X, and B is Luzin-recursive by Theorem 3.5.14.
For the converse, let A “ X X A r where A r is ∆1 in the Polish recursive space Y ,
1
and let i be a recursive embedding of X into Z, which we may assume Polish
recursive. Let ı̃ be a recursive extension of the embedding i to two Π02 subsets
X 1 Ě X and Z 1 of Y and Z. A r X X 1 is ∆1 in X 1 , hence ı̃pAr X X 1 q is ∆1 in
1 1
ı̃pX 1 q “ Z 1 , hence in Z too, as Z 1 is Π02 in Z. And clearly ı̃pAXX
r 1 q XipXq “ ipAq
as desired. %
3.5.14 Extension of B-functions

Looking back at the proof of the Extension Theorem 3.4.7, one easily gets
Proposition 3.5.17. Let X be recursive, Y, Z Polish recursive, with X Ď Y , and let
f : X Ñ Z be a B-function. Then f can be extended to a B-function f˜ : X
r Ñ Z, with
B a B-set in Y containing X.
r

It also follows from the preceding propositions that all closure properties proved in
Proposition 3.2.4 for ∆11 -sets are true for B-sets, e.g. B-sets form an adequate class
closed under D0 , @0 and complementation.
One also has
Proposition 3.5.18.
72
(i) B-sets are closed under substitutions by B-functions.
(ii) B-functions are closed under composition.
Proof. It is enough to prove (i). So let f : X Ñ Z be a B-function and A Ď Z a

B-set. Without loss of generality, we may assume Z is Polish recursive, and that X
is a subspace of a Polish recursive space Y . By Proposition 3.5.17, f extends to some
B-function f˜ defined on a ∆11 subset X 1 of Y . But then by Proposition 3.4.5 f˜´1 pAq is
∆11 in X 1 , which is ∆11 -absolute, and hence f ´1 pAq “ X X f˜´1 pAq is a B-set in X. %
3.5.16 B-sets and functions

Remarks 3.5.19.
(1) We will later extend Definition 3.5.15 (i) to Suslin spaces. And we will show that
in general, in fact even for some Π11 -absolute spaces, the classes B and ∆11 do not
coincide.
(2) One can easily introduce relativized classes Bpαq and B. Note that as Borel sets
of say additive class ξ can always be extended by Borel sets of the same class,
one has for any space X
BorelpXq Ď BpXq Ď ∆11 .
We will again see later (cf Corollary 4.4.7) that in fact Borel “ B in any space
X, which explains our terminology of B-(and B-)sets.
73
4 Structural properties of Σ11 and Π11
sets in recursive spaces
4.1 Suslin’s operation A
4.1.1 Definition
For any set X, a Suslin scheme on X is a sequence pAs qsPωăω of subsets of X, indexed
by the set ω ăω of finite sequences of integers. The Suslin scheme pAs qsPωăω is regular
if s Ď t implies At Ď As .
The result of operation A on the Suslin scheme pAs qsPωăω , sometimes called its
kernel, in notation AppAs qq is defined by:
ď č
AppAs qq “ Aαn
αPω ω n
i.e.
AppAs qq “ x P X : Dα P ω ω @n x P Aαn
(
For Γ a class of sets, we denote as usual ApΓq the class of all AppAs qq, for pAs qsPωăω
a Suslin scheme with values in Γ.
It follows
Ş immediately from the definition that if pAs qsPω is any Suslin scheme,
ăω
and Bs “ tĎs At , then pBs qsPωăω is a regular Suslin scheme and moreover
AppAs qq “ AppBs qq
so that for classes of set closed under finite intersections, one can consider only regular
Suslin schemes.
4.1.2 Closure under A

Proposition 4.1.1. Let Γ be any class of sets on X, with X P Γ. Then
(i) Γσ , Γδ are contained in ApΓq.
(ii) ApApΓqq “ ApΓq.
And hence,
(iii) ApΓq is closed under countable unions and intersections.
75
Proof. (i) Ť Note that for As “ A a constant scheme, ApAs q “ A; so Γ Ď ApΓq. Now
if A “ nPω An with An P Γ, define
#
X if s “ H;
Bs “
Asp0q otherwise.
Ş
Then AppBs qq “ A; so Γσ Ď ApΓq. Similarly if A “ nPω An with An P Γ,
define Cs “ Alh s . Then AppCs qq “ A; so Γδ Ď ApΓq.
(ii) Let A “ AppAs qq, with each As , s P ω ăω , in ApΓq, i.e. As “ AppBts qq, where for
each t P ω ăω , Bts P Γ. By definition:
α
xPA ÐÑ Dα P ω ω @n Dβ P ω ω @p x P Bβ n
p
ω n ω ω α
(4.1) ÐÑ Dα P ω Dpβ q P pω q @n @p x P Bβ nn .
p
Consider the usual diagonal bijection from ω 2 to ω, given by

pp ` qqpp ` q ` 1q
xp, qy “ ` q,
2
` ˘
with inverse n ÞÑ pnq0 , pnq1 . Note that it satisfies
(‹) x0, ry ă xp, qy, for r ă p;
(‹‹) xp ` 1, ry ă xp, qy, for r ă q.
Define a bijection γ ÞÑ pγ n qnPω : ω ω Ñ pω ω qω by
γp pqq “ γpxp, qyq.
We then get from (4.1):

pγq0 pnq0
xPA ÐÑ Dγ P ω ω @n x P Bpγqn
0 `1 pnq1
and by (‹) and (‹‹), pγq0 pnq0 and pγqn0 `1 pnq1 depend only on γn , from which
(ii) immediately follows. %
4.1.3 Trees
A tree on a set X is a subset T of the set X ăω of finite sequences from X which is
closed under restrictions, i.e. if s P T and t Ď s, then t P T . A tree T is pruned if
every sequence s P T admits a strict extension in T .
A branch through a tree T is a sequence f P X ω such that for all n, f n P T . The
set of all branches through T is denoted rT s.
Let us give X the discrete topology, and X ω the product topology (this is the usual
topology for X “ ω or X “ 2), so that a basis of open (in fact clopen) sets consists of
the sets
Vs “ tf P X ω : s Ď f u ,
76
for s P X ăω . If T is a tree on X, then as
f R rT s ÐÑ Ds R T f P Vs ,
the set rT s is closed in X ω . Conversely, every closed subset F of X ω is the set of all
branches through some tree T , in fact through a unique pruned tree TF on X.
Indeed, let TF “ ts P X ăω : F X Vs ‰ Hu. One immediately checks that TF is a
pruned tree on X. Clearly, if f P F and s Ď f , then s P TF , so F Ď rTF s1 . Now if
f R F , there is an s P X ăω with s Ď f and Vs X F “ H, because F is closed. So
f R rTF s. Finally the uniqueness of the pruned tree T with rT s “ F follows from the
fact that for any pruned tree T and s P T , Vs X rT s ‰ H.
4.1.4 Suslin scheme and Trees

Let pBs qsPωăω be a regular Suslin scheme on a set X. For each x P X, the set Tx “
ts P ω ăω : x P Bs u is a tree on ω, hence the set
B “ px, αq P X ˆ ω ω : @n x P Bαn
(
“ tpx, αq P X ˆ ω ω : α P rTx su
is a subset of X ˆ ω ω with closed sections in ω ω , by Subsection 4.1.3. And AppBs qq “

ω
Dω B is the projection of B on X.
Conversely, using Subsection 4.1.3 again, if B is any subset of X ˆ ω ω with closed
sections, i.e. such that for each x P X the set Bx “ tα P ω ω : px, αq P Bu is closed, and
if we let for s P ω ăω , Bs “ tx P X : Bx X Vs ‰ Hu, then pBs qsPωăω is a regular Suslin
ω
scheme and AppBs qq “ Dω B.
This gives a useful equivalent way of considering Suslin’s operation.
4.1.5 Pruning of trees

We work with trees on ω, but similar considerations can be made for arbitrary trees.
We define a derivation on trees by
dpT q “ ts P T : s admits a strict extension in T u .
Clearly, dpT q is a subtree of T, and dpT q “ T just in case T is pruned.

Starting with a tree T , we can inductively
Ş define a transfinite sequence pTξ qξăω1
by T0 “ T , Tξ`1 “ dpTξ q and Tλ “ ξăλ Tξ for λ limit. The sequence pTξ qξăω1 is
decreasing, and as ω ăω is countable, it must stabilize at a countable ordinal. We let
ξpT q be the least ξ such that Tξ “ Tξ`1 , and let T8 “ TξpT q “ Tω1 .
One immediately checks that T8 is the largest pruned tree contained in T , and the
unique pruned tree S with rSs “ rT s. In particular, rT s ‰ H Ø T8 ‰ H.
1
None of this needs that F is closed.
77
4.1.6 Approximations of A
We can use Subsection 4.1.4 and the pruning method of Subsection 4.1.5 “sectionwise”
to analyze operation A.
Proposition 4.1.2. Let Γ be a class of sets, and BpΓq the least family containing Γ
and closed under countable unions and complements. For every A P ApΓq there exist
transfinite sequences pBξ qξăω1 and pCξ qξăω1 of sets in BpΓq, with pBξ q increasing and
pCξ q decreasing such that ď č
A“ Bξ “ Cξ .
ξPω1 ξPω1
Proof. We may as well assume Γ is closed under finite intersections, and let pAs qsPωăω
be a regular Suslin scheme with A “ AppAs qq.
Define inductively on ξ ă ω1 a transfinite sequence pAξs qsPωăω by:
A0s “ As
ď ξ
Aξ`1
s “ Asa n
nPω
č
Aλs “ Aξs if λ is limit.
ξăλ
Clearly each pAξs qsPωăω is a regular Suslin scheme of sets in BpΓq. Moreover if x P X
and Txξ “ ts P ω ăω : x P Aξs u, we get Tx0 “ Tx , Txξ`1 “ dpTxξ q and Txλ “ ξăλ Txξ
Ş
for limit λ, i.e. pTxξ qξăω1 is the inductive transfinite sequence associated to Tx in
Subsection 4.1.5.
So if we let
! )
Bξ “ x : Txξ “ Txξ`1 and Txξ ‰ H
! )
and Cξ “ x : Txξ ‰ H
we get by Subsections 4.1.4 and 4.1.5
x P AppAs qq ÐÑ rTx s ‰ H
ÐÑ @ξ ă ω1 Txξ ‰ H
ÐÑ Dξ ă ω1 Txξ “ Txξ`1 and Txξ ‰ H ,
` ˘
Ť Ş
i.e. A “ AppAs qq “ ξăω1 Bξ “ ξPω1 Cξ .
Clearly the Bξ ’s are increasing and the Cξ ’s are decreasing. So it remains to prove
that they are in BpΓq. But
x P Cξ ÐÑ Txξ ‰ H
ÐÑ H P Txξ
ÐÑ x P AξH
´ ¯
and x P Bξ Ø x P Cξ ^ @s P ω ăω x P Aξs Ñ x P Aξ`1
s . So Cξ “ AξH is in BpΓq, and
Bξ “ AξH X sPωăω Aξ`1 Y pXzAξs q is in BpΓq too.
Ş ` ˘
s %
78
4.1.7 Spilrajn-Marczewski’s Theorem

To finish with these generalities about Suslin’s operation, we give a useful, purely set
theoretical, property of operation A which is due to Spilrajn-Marczewski. This will be
useful for proving regularity properties of Σ11 sets.
Let X be a set, and C be a σ-field of subsets of X, i.e. a family containing H and
X which is closed under countable unions and complements.
Say that A P C is C-negligible if every subset of A is in C. Say that C admits envelops
if for every subset A of X there exists a set A p P C such that
(1) A Ď A,
p
(2) if B P C satisfies A Ď B, then AzB

p is C-negligible.
Theorem 4.1.3. Let C be a σ-field of subsets of X which admits envelops. Then C is
closed under operation A.
Proof. Let pAs qsPωăω be a regular Suslin scheme of sets in C, towards proving that
A “ ApAs q is in C.
For each t P ω ăω , define a new regular Suslin Scheme pAts qsPωăω by
Ats “Ata s
and let At “AppAts qsPωăω q.
a
“ A. Moreover At “ nPω At n , as
Ť
Clearly AH
x P At ÐÑ Dα P ω ω @n x P Atαn
ÐÑ Dn0 P ω Dβ P ω ω @n x P Atn0 a β
n
a
ÐÑ Dn0 P ω Dβ P ω @n x Pω
Atβ n0
n
an
ÐÑ Dn0 P ω x P At 0
.
Let now A xt be an envelop of At in C, i.e. A xt P C, At Ď Axt and for any B P C with

t t t
A Ď B, A zB is C-negligible. And as A Ď At , we may without loss of generality
x
assume that A xt Ď At by replacing it by A xt X At if necessary.
ta n . We have both ta n P C and
Ť Ť
For each t P ω ăω , let Bt “ A xt z
nPω A
z
nPω A
z
a
At “ n At n Ď n A ta n , so by the property of the envelop A
Ť Ť z xt , Bt is C-negligible.
As C Ťis closed under countable unions, so is clearly the family of C-negligible sets, and
B “ tPωăω Bt is C-negligible.
We claim that A y H zA Ď B. This will finish the proof, for then A y H zA P C, and hence
A“A y H zpA
y H zAq P C too.
To prove the claim, let x P A y H zB, towards proving x P A. Let T “ ts : x P A xs u.

By assumption x P A y H , so H P T . But T is a pruned tree, for if s P T , i.e. x P A xs ,
then for some n, x P A z sa n , as x R B . So there is a branch α through T , and
s
@n x P A αn Ď A
αn . So x P A and we are done. %
z
79
4.1.8 Normal form for Σ11 sets

We now assume X is a separable metrizable space.
Theorem 4.1.4. A set A Ď X is Σ11 if and only if A is the result of operation A
performed on a (regular) Suslin scheme of closed subsets of X, i.e. Σ11 “ ApΠ01 q.
Proof. Suppose first that A is Σ11 in Ť X, i.e. A is the projection of a closed subset
ω
B of X ˆ ω ω . Write pX ˆ ω ω qzB as sPωăω pUs ˆ Vsω q with Us open in X, and let
Fs “ XzUs .
ω
For each s P ω ăω let Us be the largest open set of X such that pUs ˆ Vsω q X B “ H.
Then if px, αq R B there exists U open in X and n P ω such that px, αq P U ˆ Vαn and
pU ˆ Vαn q X B “ H. So px, αq P Uαn ˆ Vαn .
Then
ω
px, αq P B ÐÑ @s P ω ăω px, αq R Us ˆ Vsω
ÐÑ @n x R Uαn
ÐÑ @n x P Fαn
so that
xPA ÐÑ Dα P ω ω px, αq P B
ÐÑ x P ApFs q.
Ş
If we replace Fs by tĎs Ft , we get a regular Suslin scheme of closed sets with kernel
A.
Conversely if pFs q is a Suslin scheme of closed subsets of X and if we let
B “ px, αq P X ˆ ω ω : @n x P Fαn
(
then B is clearly closed in X ˆ ω ω and

ω
ApFs q “ Dω B is Σ11 in X. %
Historically, the definition of analytic sets using Suslin schemes of closed sets is the
original definition of Suslin [Sus17].
From Subsection 4.1.6 we get
Corollary 4.1.5. Every Σ11 (and every Π11 ) set is both the union of ℵ1 Borel sets and
the intersection of ℵ1 Borel sets.
4.1.9 Operation A
We now introduce a lightface analog of operation A — which will of course be a unary
operation.
Definition 4.1.6. For any set X, and B a subset of X ˆ ω ăω , we define
ApBq “ tx P X : Dα P ω ω @n px, αn q P Bu.
So if Bs “ tx : px, sq P Bu are the sections of B, we get ApBq “ ApBs q. This means
that there is nothing really new in this definition, except that we have turned A into
a unary operation.
80
4.1.10 Normal form for Σ11 sets

Let us view ω ăω as a recursive subspace of ω, via the injective map t ÞÑ xty, whose
inverse is given by our coding of sequences n ÞÑ sn , i.e. sxty “ t (cf Subsection 1.1.9).
Theorem 4.1.7. Let X be a recursive space. A set A Ď X is Σ11 if and only if

A “ ApBq for some Π01 subset B of X ˆ ω ăω , i.e.
Σ11 “ ApΠ01 q.
Moreover if A is Σ11 in X:
(i) we can always find B as above with
px, sq P B ^ t Ď s Ñ px, tq P B.
(ii) if X is a recursive subspace of ω ω , we can find a tree T on ω ˆ ω, recursive as a

subset of ω ăω ˆ ω ăω , and such that
αPA ÐÑ α P X and Dβ P ω ω @n pαn , βn q P T.
Proof. Suppose B is Π01 in X ˆ ω ăω . Then
r “ tpx, αq P X ˆ ω ω : @n px, αn q P Bu

B
is Π01 in X ˆ ω ω , as
ω
Dn α P Vnω ^ px, sn q R B
` ˘
px, αq R B
r ÐÑ
ω
As ApBq “ Dω B, r ApBq is Σ1 in X.
1 ω
Conversely, let A be Σ11 in X, so that for some Π01 set C Ď X ˆ ω ω , A “ Dω C. By
Proposition 2.3.4 (i), there is a Σ01 relation R Ď ω 2 such that
ω
px, αq R C ÐÑ DkDl x P VkX ^ α P Vlω ^ Rpk, lq .
` ˘
Let then
Dk x P VkX ^ Rpk, xsyq .
` ˘
px, sq P B ÐÑ
B is a Π01 subset of X ˆ ω ăω , and one checks easily that
C “ tpx, αq : @n px, αn q P Bu
and hence A “ ApBq as desired.

To prove (i), note that in the preceding proof, one can replace B by B 1 defined by
px, sq P B 1 ÐÑ @t Ď spx, tq P B
81
which is Π01 , satisfies (i), and is such that C “ tpx, αq : @n px, αn q P B 1 u.
To prove (ii) we may as well assume X “ ω ω , and the proof will follow if we can
show that every Π01 subset of ω ω ˆ ω ω is of the form rT s for some recursive tree T on
ω ˆ ω.
(Note that there is a slight abuse of notation here: by definition, a tree on ω ˆ ω is
a subset of pω ˆ ωqăω , but we view it as a subset of ω ăω ˆ ω ăω , consisting of pairs of
the same length, by identifying a sequence of pairs
` ˘
pu0 , v0 q, pu1 , v1 q, . . . , puk´1 , vk´1 q
` ˘
with the pair pu0 , . . . , uk´1 q, pv0 , . . . , vk´1 q ; and similarly for infinite sequences.)
We do it for Π01 subsets of ω ω , the case of ω ω ˆ ω ω (or more generally pω ω qn ) being
the same. So let B be Π01 in ω ω . By definition, there is a recursive R Ď ω 2 such that
ω
α R B ÐÑ Dk α P Vkω ^ Dn Rpn, kq .
` ˘
Define ! )
T “ s P ω ăω : @k ď lh s @n ď lh s Rpn, xsk yq .
Clearly T is recursive in ω ăω and T is a tree. We claim that B “ rT s. Indeed, if α P B

and m P ω, then @k ď m @n Rpn, xαk yq, i.e. αn P T . And if α R B, there are k and
n with Rpn, xαk yq hence if m “ suptk, nu αm R T . %
4.2 Coding the ordinals

4.2.1 Wellorderings
The set ω1 of all countable ordinals cannot be naturally given a structure of metrizable
separable space. However countable ordinals can be coded by reals, using the notion
of wellordering.
Recall that a binary relation ď on a set Z is a wellordering if it is a linear ordering
on Z, and moreover there are no strictly decreasing infinite sequences for ď in Z. This
is equivalent to saying that every non-empty subset of Z has a ď-minimum element.
If pZ, ďq is a wellordering, there are (lots of) strictly increasing functions from Z
into the ordinals, and a least one, which is the only one onto an ordinal, and is defined
by induction on ď, by:
(4.2) f pzq “ tf pyq : y P Z, y ă zu .
The ordinal f pZq “ tf pzq : z P Zu is called the length of the wellordering, and de-
noted by lhpZq. One also writes f pzq “ lhpz, Zq, the length, or rank of z in Z. Note
that if Zz “ ty P Z : y ă zu is ordered by the restriction of ď, then Zz is a wellorder-
ing, and by (4.2):
(4.3) lhpy, Zz q “ lhpy, Zq for y P Zz , and

(4.4) lhpZz q “ lhpz, Zq
82
4.2.2 LO and WO
For α P ω ω , we define a structure pDα , ďα q by:
Dα “ tn P ω : αpxn, nyq “ 1u ,
and for n, m in Dα :
n ďα m ÐÑ αpxn, myq “ 1
where x , y is our usual bijection between ω 2 and ω.
We set:
LO “ tα P ω ω : pDα , ďα q is a linear orderingu
and
WO “ tα P ω ω : pDα , ďα q is a wellorderingu .
Proposition 4.2.1. (i) LO is a Π01 subset of ω ω ;
(ii) WO is a Π11 subset of ω ω ;
(iii) the function α ÞÑ |α| : WO Ñ On defined by
|α| “ lhppDα , ďα qq
is onto ω1 , i.e. is a coding of all countable ordinals.
Proof. The relations n P Dα and n ďα m are recursive in ω ˆ ω ω and ω 2 ˆ ω ω respec-
tively as:
n P Dα ÐÑ αpxn, nyq “ 1
and
n ďα m ÐÑ αpxn, nyq “ 1 and αpxm, myq “ 1 and αpxn, myq “ 1.
Now
“
α P LO ÐÑ @n@m@p ppn P Dα ^ m P Dα q Ñ pn ďα m _ m ďα nqq^
ppn P Dα ^ m P Dα ^ n ďα m ^ m ďα nq Ñ m “ nq^
ppn P Dα ^ m P Dα ^ p P Dα ^ n ďα m ^ m ďα pq
‰
Ñ n ďα pq
so LO is Π01 in ω ω .
Similarly:
α P WO ÐÑ α P LO ^ @β rp@n βpnq P Dα q Ñ Dnpβpnq ďα βpn ` 1qqs
and hence WO is a Π11 subset of ω ω .
To prove (iii), let ξ be a countable ordinal, and ϕ some bijection between a subset
D of ω and ξ. Set
#
1 if n, m P D and ϕpnq ď ϕpmq;
αpxn, myq “
0 otherwise.
Then clearly Dα “ D, and ϕ is strictly increasing from ďα into ξ so that ďα is a
wellordering and lhppDα , ďα qq “ ξ %
83
4.2.3 Complexity of ď on WO
Now that we have a coding for ω1 , we can analyze the complexity of various structures
on ω1 , in the codes. We start with the natural ordering on ω1 , i.e. membership (or
inclusion). It turns out that it is ∆11 in the codes on WO ˆ WO, and in fact a bit
better, as given by the following.
Proposition 4.2.2. The relations
(i) α P WO ^ pβ R WO _ |α| ď |β|q;
(ii) α P WO ^ pβ R WO _ |α| ă |β|q
are Π11 in ω ω ˆ ω ω .
Proof. Let
´
Rpα, β, γq ÐÑ @n P Dα γpnq P Dβ ^
@m, n pm ďα n Ø γpmq ďβ γpnqq ^
@m, nppm P Dβ ^ n P Dα ^ m ďβ γpnqq Ñ
¯
Dp P Dα m “ γppqq .
The relation R is Π02 in pω ω q3 , and expresses the fact, for α, β in LO, that ďα is
embedded, via γ in ďβ as an initial segment.
Now (ii) is equivalent to
α P WO ^ Dγ Rpβ, α, γq.
Similarly, if
R1 pα, β, γq ÐÑ Rpα, β, γq ^ pDn P Dβ @m P Dα γpmq ‰ nq
R1 is ∆03 and expresses for α and β in LO that ďα is embedded via γ in ďβ as a strict

initial segment.
And (i) is equivalent to
α P WO ^ Dγ R1 pβ, α, γq.
So by Proposition 4.2.1, (i) and (ii) are Π11 . %
The computation given by the preceding proposition will be important in the sequel.
It of course implies that |α| ď |β| (and |α| ă |β|) are ∆11 on WO ˆ WO, but is quite
stronger.
84
4.2.4 Complexity of ordinal arithmetic

We can also encode nicely most of ordinal arithmetic on ω1
Proposition 4.2.3.
(i) There is a recursive function pn, αq ÞÑ α|n : ω ˆω ω Ñ ω ω which goes from ω ˆLO
into LO, and from ω ˆ WO into WO and such that for α P WO
#
0 if n R Dα ;
|α|n| “
lhpn, pDα , ďα qq if n P Dα .
(ii) There are recursive functions f1 , f2 : ω ω ˆ ω ω Ñ ω ω , which go from LO ˆ LO

into LO, and from WO ˆ WO into WO, and satisfy for α, β in WO:
|f1 pα, βq| “ |α| ` |β| and |f2 pα, βq| “ |α| ¨ |β| .
(iii) Similarly, there is a recursive g : ω ω Ñ ω ω such that if @npαqn P LO (respectively

WO), then gpαq P LO (respectively WO), and in the second case
ÿ
|gpαq| “ |pαqn | .
n
Proof. For (i), define:

#
αpxm, pyq if n, m, p P Dα ^ m ăα n ^ p ăα n;
pα|nqpxm, pyq “
0 otherwise.
For (ii), define:
$ @ D
m n
’
’
’αp 2 , 2 q, if m, n are even;
&β @ m´1 , n´1 D
’
if m, n are odd;
f1 pα, βqpxm, nyq “ 2 2
’
’
’1 if m is even and n is odd;
’
%0 if m is odd and n is even.
Define also:
#
βpxpmq1 , pnq1 yq if pmq1 ‰ pnq1 ;
f2 pα, βqpxm, nyq “
αpxpmq0 , pnq0 yq ¨ βpxpmq1 , pnq1 yq if pmq1 “ pnq1 .
For (iii), let:
$
&pαqpmq0 pxpmq1 , pnq1 yq
’ if pmq0 “ pnq0 ;
gpαqpxm, nyq “ 1 if pmq0 ă pnq0 ;
’
0 if pmq0 ą pnq0 .
%
One easily checks that these recursive functions work. %
85
4.2.5 The Brouwer-Kleene ordering on trees

Definition 4.2.4. For s, t P ω ăω , we set
s ďBK t ÐÑ t Ď s
or for the least k with spkq ‰ tpkq, spkq ă tpkq.
So ďBK is the lexicographical ordering, except that a longer word is considered less
than a smaller one.
ďBK is clearly recursive in ω ăω ˆ ω ăω , and a linear ordering with top element H.
Proposition 4.2.5. Let T be a tree on ω. Then the following are equivalent.
(i) rT s “ H (We say that T is wellfounded);
(ii) pT, ďBK q is a wellordering.
Proof. If α is a branch through T , then the sequence pαn qnPω is strictly decreasing in
pT, ďBK q. So (ii) implies (i).
Suppose conversely that psn qnPω is strictly decreasing in pT, ďBK q. Note that, except
maybe for s0 , lhpsn q ě 1; and the sequence psn p0qqně1 must be decreasing (at large) in
ω, hence is constant from some n0 on. But then except maybe for sn0 (which could be
psn0 p0qq), the length of sn is greater or equal to 2 from this point on, and the sequence
psn p1qqněn0 must be decreasing at large in ω, hence stabilize from some n1 on, etc.
So we can easily construct an increasing sequence nk of integer such that for n ą nk ,
lhpsn q ě k ` 2 and sn pkq “ snk pkq. But then α defined by αpkq “ snk pkq is a branch
through T . %
Let T “ tα P 2ω : ts : αpxsyq “ 1u is a tree on ωu.
Corollary 4.2.6. There is a recursive function ϕ : 2ω Ñ ω ω such that:
(i) @α P 2ω , ϕpαq P LO, and
(ii) for α P T :
ϕpαq P WO ÐÑ ts : αpxsyq “ 1u is wellfounded.
Proof. Define ϕ by:

#
1 if αpsm q “ 1 ^ αpsn q “ 1 ^ sm ďBK sn ;
ϕpαqpxm, nyq “
0 otherwise.
By the preceding proposition, ϕ works. %
86
4.3 The representation theorem for Π11 sets
4.3 The representation theorem for Π11 sets and the

prewellordering property
4.3.1 Representation Theorem for Π11 sets
Theorem 4.3.1 (Representation theorem for Π11 sets).
(i) A set A in a recursive space X is Π11 iff there exists a ∆02 -recursive f : X Ñ LO
such that for all x P X
xPA ÐÑ f pxq P WO
If moreover X is a dim0-recursive space, one can choose f recursive.

(ii) Similarly, a set A in a separable metrizable space X is Π11 iff for some Baire
class 1 function f : X Ñ LO
xPA ÐÑ f pxq P WO
and if moreover X is 0-dimensional, one can choose f continuous.

Proof. (ii) is just the relativized version of (i).
For (i): Clearly if there is a ∆02 -recursive f satisfying x P A Ø f pxq P WO, A is Π11 ,
for by Proposition 4.2.1 WO is Π11 .
Conversely, suppose A is Π11 . We can apply the Normal Form Theorem 4.1.7 to XzA:
There is a Π01 set B Ď X ˆ ω ăω such that for each x P X Bx “ ts : px, sq P Bu is a
tree on ω, and
x P A ÐÑ rBx s “ H.
Define ψ : X Ñ 2ω by #
1 if sn P Bx ,
ψpxqpnq “
0 otherwise.
Clearly ψ is ∆02 -recursive, and if we compose it with the recursive function ϕ : 2ω Ñ ω ω
of Corollary 4.2.6, we get a ∆02 -recursive function f : X Ñ LO such that
xPA ÐÑ f pxq P WO, as desired.
If moreover X is a dim0 recursive space, we can apply the second part of Theorem 4.1.7,
as X is recursively isomorphic to a subspace of ω ω (cf Subsection 3.5.9). The function
ψ, defined as before, is then recursive and f is too. %
Corollary 4.3.2. The set WO of codes of ordinals is a Π11 non Σ11 set.
Proof. Otherwise by the preceding theorem any Π11 set could be Σ11 , contradicting
Theorem 3.3.7 (ii). %
The above method for proving that a given set is Π11 non Σ11 is called the completeness
method — and any Π11 set satisfying the analog of the theorem is called a complete
set. We will see later on other applications of this method.
87
4.3.2 Π11 prewellorderings

If ď is a preordering (that is, ď is transitive and reflexive) on some set, we associate
the equivalence relation x – y Ø x ď y and y ď x. The quotient is then an ordering
(that is, an antisymmetric preordering). A preordering pD, ďq is prewellordering if its
quotient is a wellordering.
Definition 4.3.3. Let Γ be some class of sets. A Γ-prewellordering on a recursive

space X is a prewellordering pA, ďq on a subset A of X such that the relations
(1) x P A ^ py R A _ x ď yq,
(2) x P A ^ py R A _ x ă yq,
are both in Γ in X ˆ X. Note that the strict relation x ă y when ď is a preordering

is defined as x ď y and y x.
Theorem 4.3.4 (The Prewellordering Theorem). Any Π11 set A in some recursive
space admits a Π11 -prewellordering, i.e. there is a prewellordering ďA on A such that
pA, ďA q is a Π11 -prewellordering (and similarly for Π11 pαq, Π11 ).
Proof. Let A be Π11 in X, and by Theorem 4.3.1 let f : X Ñ LO be ∆02 -recursive with
f pxq P WO ÐÑ x P A.
Define then
x ďA y ÐÑ |f pxq| ď |f pyq| .
Clearly ďA is a prewellordering. And the relations
x P A ^ py R A _ x ďA yq
and x P A ^ py R A _ x ăA yq
are Π11 , by the computations in Proposition 4.2.2. %
4.3.3 Π11 -ranks

A rank (or norm, as used in [Mos80]) on a set A is a function ϕ from A into the
ordinals. The rank is regular if it is onto some ordinal.
There is a natural relationship between ranks and prewellorderings: If ϕ is a rank
on A, the relation ďϕ defined by x ďϕ y Ø ϕpxq ď ϕpyq is a prewellordering. And
conversely , one can associate to each prewellordering ď on A a unique regular rank ϕ
with ďϕ “ď, namely the length function defined on the quotient wellordering, so that
for x P A, ϕpxq “ tϕpyq : y P A ^ y ă xu. The image of this unique regular rank is
called the length, lhpďq, of ď.
We will say that a rank ϕ : A Ñ On is a Γ-rank if ďϕ is a Γ-prewellordering. So
Theorem 4.3.4 can be rephrased as: every Π11 (resp. Π11 pαq, Π11 ) set admits a Π11 (resp.
88
4.3 The representation theorem for Π11 sets
Π11 pαq, Π11 ) rank. The Π11 -ranks that arise from the Representation Theorem 4.3.1 as
in Theorem 4.3.4, are often called Luzin-Sierpinski indices.
Of course there may be many natural ranks on a given set. For example, we already
have given two ordinal assignments to wellfounded trees: One is lhpT, ďBK q, as in
Subsection 4.2.5, which is a Π11 -rank — in fact a Luzin-Sierpinski index — by Corol-
lary 4.2.6. Another one is the least ordinal ξ with Tξ “ H — where pTξ qξPω1 is the
transfinite sequence of trees defined by the pruning operation in Subsection 4.1.5. That
this is also a Π11 -rank is not as easy and will follow from results in Subsection 5.5.12,
see Subsection 5.5.14.
4.3.4 The ω-Uniformization Theorem

Theorem 4.3.5 (The ω-Uniformization Theorem). Let X be a recursive space, and
A Ď X ˆ ω be Π11 . There is a ∆11 -recursive function f which uniformizes A, i.e. f is
∆11 -recursive : Dω A Ñ ω and @x P Dω A px, f pxqq P A.
Proof. Let ϕ be a Π11 -rank on A, and set

(
A˚ “ px, nq P A : @m ă n rpx, mq R A _ ϕppx, nqq ă ϕppx, mqqs .
By the properties of Π11 -ranks, A˚ is Π11 in X ˆ ω. If x P Dω A, i.e. tn : px, nqu ‰ H,

then there is a unique n0 with px, n0 q P A˚ , namely the least n for which ϕpx, nq is
minimal among ϕpx, mq’s. So A˚ is the graph of a function f : Dω A Ñ ω, and it
remains to prove that f : Dω A Ñ ω is ∆11 -recursive. But as its graph is Π11 , this is clear
by Proposition 3.4.5. %
The previous result easily relativizes to the classes Π11 pαq and Π11 (and resp. ∆11 pαq-
recursive and ∆11 -recursive uniformizing functions). The boldface version is sometimes
rephrased in a slightly different way, which is worth putting down:
Corollary 4.3.6 (Kuratowski’s “second reduction theorem”). Let pAn qnPω be a se-
quence of Π11 subsets of some metrizable separable space X. There exists a sequence
pA˚n q of Π11 sets with the following properties:
(i) A˚n Ď An ,
Ť Ť
(ii) n A˚n “ n An ,
(iii) for n ‰ m, A˚n X A˚m “ H.
Proof. Apply the relativized version of the ω-Uniformization Theorem to the set A Ď
X ˆ ω defined by px, nq P A Ø x P An . Let f : n An Ñ ω be a ∆11 -uniformizing
Ť
function. Then A˚n “ f ´1 pnq clearly works. %
89
4.3.5 Kuratowski’s reduction theorem

Theorem 4.3.7 (Kuratowski’s Reduction Theorem for Π11 ). Let A, B be two Π11 (resp.
Π11 ) sets in some recursive space X. Then there are two Π11 (resp. Π11 ) sets A1 , B 1 with
A1 Ď A, B 1 Ď B, A1 Y B 1 “ A Y B and A1 X B 1 “ H.
Proof. This is a particular case of Corollary 4.3.6: Set
px, nq P C ÐÑ px P A ^ n “ 0q _ px P B ^ n “ 1q.
If f is a ∆11 -recursive uniformizing function : A Y B Ñ ω, then A1 “ f ´1 p0q and
B 1 “ f ´1 p1q work. %
4.3.6 Separation for Σ11 sets

Theorem 4.3.8 (The Separation Theorem for Σ11 sets). Let A, B be Σ11 (resp. Σ11 )
in some recursive space X, with A X B “ H. Then there exists a ∆11 (resp. ∆11 ) set C
which separates A from B, i.e. such that A Ď C and C X B “ H.
Proof. Reduce the two Π11 sets XzB and XzA, using Theorem 4.3.7, by Π11 sets C Ď
XzB and D Ď XzA. Then C X D “ H, and as A X B “ H,
C Y D “ pXzAq Y pXzBq “ X,
so that C “ XzD is ∆11 . One has C X B “ H, and as D X A “ H, A Ď C. So C
works. %
4.3.7 Inseparable Π11 sets

Theorems 4.3.5, 4.3.7 and 4.3.8 cannot be extended to the dual classes:
Theorem 4.3.9.
(i) There are two disjoint Π11 subsets of ω which cannot be separated by a ∆11 set (and
hence their complements are two Σ11 sets which cannot be reduced by Σ11 sets).
(ii) Similarly, there are two disjoint Π11 subsets of ω ω which cannot be separated by a
∆11 set (and hence their complements are Σ11 sets which cannot be reduced by Σ11
sets).
Proof. (i) Let W Ď ω ˆ ω be a good universal set for Π11 subsets of ω, and set
pn, mq P G0 ÐÑ ppnq0 , mq P W
and pn, mq P G1 ÐÑ ppnq1 , mq P W.
G0 and G1 are Π11 , so by Theorem 4.3.7, they can be reduced by two disjoint Π11
sets G˚0 and G˚1 . Now let
nPG r0 ÐÑ pn, nq P G˚0

and n P G
r1 ÐÑ pn, nq P G˚1 .
90
4.4 Boundedness theorems
Clearly G r 0 and Gr 0 are disjoint Π1 subsets of ω. We claim that no ∆1 set C

1 1
satisfies G
r 0 Ď C and C X G r 1 “ H. Suppose the contrary. Then for some
k0 , k1 C “ Wk0 and ωzC “ Wk1 . But then for n “ xk1 , k0 y XzC “ pG0 qn and
C “ pG1 qn . But then necessarily XzC “ pG˚0 qn and C “ pG˚1 qn . So if n P C,
then n P G r 1 which contradicts C X Gr 1 “ H. But if n R C, then n P G
r 0 which
contradicts G0 Ď C.
r
(ii) can be proved by a similar argument, using a good universal Π11 set W Ď ω ω ˆ ω ω
for Π11 subsets of ω ω this time. %
Note that if A and B are two Π11 subsets if ω which are inseparable by a ∆11 set,
then X “ A Y B is a (co-Suslin) recursive space in which a ∆11 set, namely A, cannot
def? – YP
be extended to any ∆11 subset of ω. Similarly there exists in ω ω a (co-Suslin) recursive
def? – YP
space X and a ∆11 subset of X which cannot be extended to any ∆11 subset of ω ω .
These examples explain why we introduced the notion of B-sets in Subsection 3.5.13.

4.4.1 Recursive ordinals
Definition 4.4.1. (1) An ordinal ξ ă ω1 is recursive (resp. recursive in α) if it
admits a recursive (resp. recursive in α) code, i.e. for some recursive (resp.
recursive in α) β : ω Ñ ω, β P WO and |β| “ ξ.
(2) The ordinal ω1CK , called “the Church-Kleene ω1 ”, (resp. ω1CK´α ) is defined as the
least non recursive (resp. non recursive in α) ordinal.
Proposition 4.4.2. (i) ω1CK “ tξ ă ω1 : ξ is recursiveu,
(ii) ω1CK is closed under sums and products,
(iii) ω1CK is “recursively regular”, i.e. if α is recursive and @n pαqn P WO, then
supn |pαqn | ă ω1CK .
And similarly for the ω1CK´α ’s.
Proof. We use Proposition 4.2.3. If α is recursive and codes ξ, then by Proposi-

tion 4.2.3 (i) @n α|n P WO and the α|n’s code all ordinal less than ξ. As α|n is
clearly recursive, we get that the set of recursive ordinals is a (countable) ordinal. This
proves (i). Similarly (ii) follows from ř Proposition 4.2.3
ř (ii), and (iii) from Proposi-
tion 4.2.3 (iii), as clearly supn |pαqn | ď n |pαqn | and n |pαqn | is recursive by Propo-
sition 4.2.3 (iii). %
4.4.2 Boundedness for WO

Theorem 4.4.3 (Boundedness for WO).
91
(i) Let A Ď WO be a Σ11 set in ω ω . Then
supt|α| : α P Au ă ω1 .
(ii) Let A Ď WO be a Σ11 set in ω ω . Then
supt|α| : α P Au ă ω1CK .
Proof. By Proposition 4.2.2, the relation
β R WO _ pα P WO ^ |α| ď |β|q
is Σ11 in ω ω ˆ ω ω , as its complement is the Π11 relation
β P WO ^ pα R WO _ |α| ă |β|q.
Now suppose (i) fails for A, i.e.
(4.5) supt|α| : α P Au “ ω1 .
We then get
” ` ˘ı
(4.6) α P WO ÐÑ Dβ pβ P Aq ^ β R WO _ pα P WO ^ |α| ď |β|q .
Indeed if α P WO, there is by (4.5) a β P A with |α| ď |β|, and the right-hand side of
(4.6) holds. Conversely if the right-hand side of (4.6) holds for some α and some β,
we get β P WO as A Ď WO, hence necessarily α P WO (and |α| ď |β|). But this gives
a Σ11 definition of WO, contradicting Corollary 4.3.2.
The proof of (ii) is quite similar: Suppose A Ď WO is Σ11 , and supt|α| : α P Au ě
CK
ω1 . We want to argue that this contradicts the Representation Theorem 4.3.1. To
do so, pick a Π11 subset C of ω, and by Theorem 4.3.1 let f be a recursive : ω Ñ ω ω
with
(4.7) f pnq P WO ÐÑ n P C.
Now note that for every n f pnq is a recursive element of ω ω , hence if f pnq P WO,
|f pnq| ă ω1CK . So we get
(4.8) nPC ÐÑ f pnq P WO ^ |f pnq| ă ω1CK .
But then, as in part (i), we also get

” ` ˘ı
(4.9) n P C ÐÑ Dβ β P A ^ β R WO _ pf pnq P WO ^ |f pnq| ď |β|q ,
which gives a Σ11 definition of C. As there is in ω a Π11 non Σ11 set C by Theorem 3.3.7,
we get a contradiction and (ii) is proved. %
92
Corollary 4.4.4 (Boundedeness Theorem for Luzin-Sierpinski indices). Let X be a

Suslin recursive space, C a Π11 (resp Π11 ) subset of X, and f a ∆11 (resp. ∆11 ) function
: X Ñ ω ω such that for x P X
xPC ÐÑ f pxq P WO.
Then for any Σ11 (resp. Σ11 ) subset A of X with A Ď C,
supt|f pxq| : x P Au ă ω1CK (resp. ω1 ).
Proof. As X is Suslin, B “ f pAq is Σ11 (resp. Σ11 ) in ω ω , and B Ď WO. So we can

apply the preceding theorem to B. %
Remark 4.4.5. In this corollary, the fact that X is Suslin recursive and A is Σ11 (resp.
Σ11 ) in X are essential. For example, if one takes X “ WO, and A “ tα P X :
|α| is successoru we get, as
αPA ÐÑ α P X ^ pDn P Dα @m P Dα m ďα nq
that A is Σ02 in X. But of course A is unbounded below ω1 . The point is that as a

subset of ω ω , A is Π11 non Σ11 .
The slogan behind this is that boundedness holds only for absolute Σ11 (resp. absolute
1
Σ1 ) sets.
4.4.3 Suslin’s theorem

Theorem 4.4.6 (Suslin’s Theorem). If X is a Suslin space,
∆11 pXq “ BorelpXq.
Proof. BorelpXq Ď ∆11 pXq is true in any space X. So suppose A is ∆11 in X. By

Theorem 4.3.1, let f be a first Baire class function : X Ñ ω ω with f ´1 pWOq “ A; and
(as A is Σ11 and X is Suslin) let, by Corollary 4.4.4, ξ ă ω1 be such that for all x P A
|f pxq| ă ξ. Then A “ f ´1 pWOξ q where WOξ “ tα P WO : |α| ă ξu.
So the proof will be finished if we can show that WOξ is Borel in ω ω .
Now WO0 “ tα P ω ω | Dα “ Hu, and for ξ ą 1
WOξ “ tα P ω ω : @n Dη ă ξ α|n P WOη u
so by an immediate induction, WOξ is a Borel set in ω ω for all ξ ă ω1 . %
Corollary 4.4.7.
(i) Suslin’s separation Theorem: If X is a Suslin space, A, B are two disjoint Σ11
sets in X, there is a Borel C in X which separates A from B, i.e. A Ď C and
C X B “ H.
(ii) For any space X, BpXq “ BorelpXq.
93
Proof. Both (i) and (ii) are in fact ways to rephrase Suslin’s Theorem. For (i), apply
the theorem to the (Suslin) space A Y B, and the ∆11 subset A of it.
For (ii), recall that by Proposition 3.5.16 (ii) and Theorem 3.5.14 a subset A of X is
a B-set iff A is the trace on X of a ∆11 set in some completion of X — where Suslin’s
Theorem applies. %
4.4.4 Wellfounded relations

A transitive relation R on a set Z is wellfounded if there is no sequence pzn qnPω with
zn`1 R zn for all n. This implies in particular that for all z z R z.
In case R is the strict order associated to some linear ordering ď on Z, R is well-
founded just in case ď is a wellordering. And if Z is a subtree of X ăω and for s, t P Z,
s R t Ø t Ď s and t ‰ s, then Z is wellfounded just in case rZs “ H.
As for wellordering, one easily gets that pZ, Rq is wellfounded iff any non empty
subset A of Z has an R-minimal element, i.e. some z P A such that for all y P A
y R z.
For a wellfounded pZ, Rq, one defines by induction the height htpz, Rq of z P Z by
htpz, Rq “thtpy, Rq : y P Z ^ y R zu,

and set htpRq “thtpz, Rq : z P Zu.
The function ht : Z Ñ On is onto the ordinal htpRq. Moreover if one defines Rz , for
z P Z, as the restriction of R to ty P Z : y R zu, one gets
htpz, Rq “ htpRz q
and htpy, Rz q “ htpy, Rq for every y in the domain of Rz .
In case of a wellordering ď, one of course has htpz, ăq “ lhpz, ďq as defined in

Subsection 4.2.1.
In case Z is a wellfounded tree on X ăω , we claim that if pZξ q is the transfinite
sequence of trees obtained by the pruning method of Subsection 4.1.5, and R is, as
above, the relation s R t Ø t Ď s ^ t ‰ s, then
(4.10) htps, Rq “ least ξps R Zξ`1 q

(4.11) and hence htpH, Rq “ least ξpZξ`1 “ Hq
(4.12) and htpRq “ htpH, Rq ` 1 “ least ξpZξ “ Hq.
To see this, let hpsq “ least ξps R Zξ`1 q. We have to show
(4.13) hpsq “ thptq : t is a strict extension of s in Zu.
Suppose (4.13) is known for all t with hptq ă ξ, and let s P Z be such that hpsq “ ξ. If
t is a strict extension of s in Z and η “ hptq, then t P Zη zZη`1 , hence s P dpZη q “ Zη`1
and η ă ξ. Conversely if η ă ξ, then s P Zη`1 , and for some strict extension t of s in
Z, t P Zη . So htptq ě η. If htptq “ η we are done. If htptq ą η, then by the induction
94
hypothesis there is a strict extension t1 of t in Z with htpt1 q “ η. In both cases (4.13)

is proved.
Note that (4.10) can be rewritten
(4.14) htps, Rq “ supthtpsa x, Rq ` 1 : x P X ^ sa x P Zu (where sup H “ 0)
a formula which is sometimes useful in computations.
4.4.5 Domain of wellfoundedness

For any transitive relation R on a set Z, let DpRq, the domain of wellfoundedness of
R, be tz P Z : Rz is wellfoundedu.
Theorem 4.4.8 (Moschovakis). Let X be a Suslin-recursive space, and R a Σ11 tran-
sitive relation on X. Then
(i) DpRq is Π11 ,
(ii) if W is a good universal set for Π11 subsets of X and ϕ is a Π11 -rank on W , there
is a recursive ε0 such that
DpRq “ Wε0
and for x, y in DpRq, y R x implies ϕpε0 , yq ă ϕpε0 , xq.
Proof. Clearly it is enough to prove (ii). Define a set Q Ď ω ω ˆ X by
” ` ˘ı
Qpα, xq ÐÑ @y P X y R x Ñ pα, yq P W ^ ppα, xq R W _ ϕpα, yq ă ϕpα, xqq
As X is Suslin recursive, Q is clearly Π11 . So we can apply Kleene’s Recursion Theo-

rem 1.4.5: there is some recursive ε0 with Qε0 “ Wε0 . We claim that this ε0 works.
(a) Let us prove that Wε0 Ď DpRq. Suppose not, and let x P Wε0 zDpRq with
minimum value for ϕpε0 , xq. As x P Qε0 , one gets for every y P X with y R x
that y P Wε0 and ϕpε0 , yq ă ϕpε0 , xq, hence y P DpRq. But then x P DpRq, a
contradiction which proves Wε0 Ď DpRq.
(b) Let us prove that for x P DpRq

´ ` ˘¯
x P Wε0 and @y P X y R x Ñ y P Wε0 and ϕpε0 , yq ă ϕpε0 , xq .
Suppose this fails for some x P DpRq, and pick x R-minimal for which it fails
(using that R is wellfounded on DpRq).
First suppose x R Wε0 . So x R Qε0 , hence there is a y such that y R x and
y R Wε0 . But y P DpRq, contradicting the R-minimality of x.
So x P Wε0 , hence x P Qε0 and x is not a counterexample. This contradiction
proves (b).
And (a) and (b) together give (ii). %
95
4.4.6 The Kunen-Martin theorem

For R a transitive Σ11 relation on ω ω , the set DpRq may very well be a Π11 non Σ11 set,
and htpRDpRq q may very well be ω1 . For example if we let
αRβ ÐÑ β R WO _ pα P WO ^ |α| ă |β|q,
we easily get that DpRq “ WO, and htpα, RDpRq q “ |α|. The next result shows that
this cannot happen if R itself is wellfounded.
Theorem 4.4.9 (the Kunen-Martin Theorem for Σ11 wellfounded relations). Let X
be a Suslin recursive space. If R is a Σ11 (resp. Σ11 ) wellfounded relation on X, then
htpRq ă ω1CK (resp. htpRq ă ω1 ).
Proof. By the assumption, DpRq “ X. Let f : ω ω ˆ X Ñ ω ω be ∆02 -recursive with
pα, xq P W ÐÑ f pα, xq P WO,
where W is a good universal set for Π11 subsets of X. If R is Σ11 , we get by Theorem 4.4.8
a recursive ε0 with
Wε 0 “ X and @x, y py R x Ñ |f pε0 , yq| ă |f pε0 , xq|q .
But then by an immediate induction htpx, Rq ď |f pε0 , xq| for all x. Finally, Wε0 is
Σ11 in X ˆ ω ω and as X is Suslin, Corollary 4.4.4 applies and supx |f pε0 , xq| ă ω1CK .
The proof for R P Σ11 is similar, using the relativized version of Theorem 4.4.8 and of
Corollary 4.4.4. %
4.4.7 Boundedness for Π11 ranks

Theorem 4.4.10 (The Boundedness Theorem for Π11 -ranks). Let X be a Suslin re-
cursive space, P a Π11 subset of X and ϕ : P Ñ On a Π11 -rank.
(i) If A Ď P is Σ11 , ϕpAq is countable. Hence if ϕ is regular, ϕ is bounded on A
below ω1 .
(ii) If moreover P is Π11 , ϕ is a regular Π11 -rank and A Ď P is Σ11 , then suptϕpxq :
x P Au ă ω1CK .
Proof. For (i) we may assume that ϕ is regular — for if ϕ1 is the unique regular rank
with ϕpxq ă ϕpyq Ø ϕ1 pxq ă ϕ1 pyq, then the wellorderings tϕ1 pxq : x P Au and
tϕpxq : x P Au are isomorphic and hence have the same cardinality.
Let B “ tx P X : Dy P A px P P ^ ϕpxq ă ϕpyqqu. Clearly B is Σ11 , B Ď P and
supB ϕ “ supA ϕ. So it is enough to show that supB ϕ ă ω1 .
Let
Rpx, yq ÐÑ x P B ^ y P B ^ ϕpxq ă ϕpyq.
Clearly R is Σ11 , and wellfounded. So by Kunen-Martin’s Theorem 4.4.9 htpRq ă
ω1 . But by definition of ht, as B is an initial segment of P for the prewellordering
96
4.5 Π11 monotone inductions and Σ11 derivations
associated to ϕ and ϕ is the length function for it (as it is regular), we immediately

get @x P B htpx, Rq “ ϕpxq and finally supB ϕ ă ω1 .
The proof for (ii) is similar, using the lightface version of Theorem 4.4.9 and the fact
that under our hypotheses, the sets B and R above are Σ11 . %
4.4.8 Criterion for Borelness

Corollary 4.4.11 (The Criterion For Borelness). Let X be a Suslin recursive space,
P be a Π11 subset of X and ϕ a Π11 -rank : P Ñ ω1 . Then
P is Borel in X ÐÑ ϕ is bounded below ω1 .
Proof. Direction Ñ comes from Theorem 4.4.10, with A “ P . Conversely if ϕ is
bounded below ω1 , pick a sequence pxn q in P with ϕpP q “ tϕpxn q : n P ωu, and note
that
` ˘
x P P ÐÑ Dn xn R P _ px P P ^ ϕpxq ď ϕpxn qq
` ˘
ÐÑ Dn xn P P ^ px R P _ ϕpxn q ă ϕpxqq
which gives a Σ11 definition for P . Hence P is ∆11 in X and by Suslin’s Theorem 4.4.6,
P is Borel. %
Remark 4.4.12. The preceding result is a boldface result, and there is no analog for
the lightface notions: By Theorem 4.4.10 if P is ∆11 in X Suslin recursive and ϕ is a
regular Π11 -rank on P , ϕ is bounded below ω1CK . But the converse fails badly: as we
will see in Subsection 5.4.4, there are singletons P Ď ω ω which are in Π11 z∆11 . The
(unique!) regular rank on P “ txu must send x to 0, hence gives a counterexample
to the converse (For such a singleton, a Luzin-Sierpinski rank would assign to x an
ordinal ě ω1CK ).

4.5.1 Π11 on Π11 operators
Let X, Y be two recursive spaces. An operator Φ on X, with values in PpY q, is a
function Φ : PpXq Ñ PpY q. Φ is monotone if A Ď B implies ΦpAq Ď ΦpBq. If
Φ : PpXq Ñ PpXq,we say that Φ is monotone inductive if it is monotone and for all A
A Ď ΦpAq, and Φ is a derivation if it is monotone and for all A ΦpAq Ď A. The dual
Φˇ of an operator Φ is defined by
ΦˇpAq “ ΦpAˇqˇ
where Aˇ “ XzA. Clearly Φˇˇ “ Φ, and Φ is monotone inductive iff Φˇ is a derivation.
Let Φ : PpXq Ñ PpY q, and let W be a good universal Π11 set for Π11 subsets of X.
We say that Φ is Π11 on Π11 (resp. Π11 on Π11 ) if the relation
y P ΦpWα q
is Π11 (resp. Π11 ) in ω ω ˆ Y .
97
Lemma 4.5.1. Let Φ be an operator : PpXq Ñ PpY q. Then Φ is Π11 on Π11 if and
only if for every recursive space Z and any Π11 subset A of Z ˆ Y , the set ΦZ pAq “
tpz, yq : y P ΦpAz qu is Π11 in Z ˆ Y . (and similarly for Π11 on Π11 operators).
In particular, if Φ is Π11 on Π11 , so are all operators ΦZ , for Z a recursive space.
Proof. Clearly tpα, yq : y P ΦpWα qu “ Φωω pW q, where W is a good universal Π11 set
for Π11 subsets of X, so one direction is obvious. Conversely suppose Φ is Π11 on Π11 ,
and let A Ď Z ˆ X be Π11 . Let iZ : Z Ñ ω ω be the canonical ∆02 embedding of Z into
ω ω , with recursive inverse jZ , and set Zr “ ipZq Ď ω ω . Define
B “ tpα, xq P Zr ˆ X : pjZ pαq, xq P Au
so that B is Π11 in Zr ˆ X. Let C be Π11 in ω ω ˆ X with B “ C X pZr ˆ Xq, and as W

is a good universal set, let f : ω ω Ñ ω ω be recursive with
pα, xq P C ÐÑ pf pαq, xq P W.
We then get
pz, yq P ΦZ pAq ÐÑ y P ΦpAz q

` ˘
ÐÑ y P Φ BiZ pzq
` ˘
ÐÑ y P Φ CiZ pzq
` ˘
ÐÑ y P Φ Wf ˝iZ pzq .
As f ˝ iZ is ∆02 -recursive and Φ is Π11 on Π11 , we get that ΦZ pAq is Π11 .

To get the last statement of the theorem, note that if Z1 , Z2 are recursive spaces,
pΦZ1 qZ2 “ ΦZ1 ˆZ2 . %
Theorem 4.5.2. Let Φ be Π11 on Π11 : PpXq Ñ PpY q. Then Φ is monotone on Π11
sets.
Proof. Let A, B be two Π11 sets with A Ď B, and fix y P ΦpAq towards showing
y P ΦpBq.
Consider C Ď ω ω ˆ X defined by
pα, xq P C ÐÑ x P A _ px P B ^ y P ΦpWα qq
where W is the good universal set for Π11 subsets of X. Clearly C is Π11 , hence
by Kleene’s Fixed Point Theorem 3.3.9 there is α0 P ω ω with Cα0 “ Wα0 . Now if
y R ΦpWα0 q then by definition of C, Cα0 “ A; and this contradicts the assumption
that y P ΦpAq. So y P ΦpWα0 q, and by definition of C, Cα0 “ B. So y P ΦpBq and we
are done. %
98
4.5.2 Inductions
Let Φ be a monotone inductive operator on X. We define inductively for every ordinal
ξ an operator Φξ on X by
Φ0 pAq “A
Φ1 pAq “ΦpAq
and for ξ ą 1,
´ď ¯
Φξ pAq “Φ Φη pAq .
ηăξ
We also set
ď
Φăξ pAq “ Φη pAq
ηăξ
ď
and Φ 8
“ Φξ pAq.
ξ
One immediately checks by induction that all operators Φξ are monotone inductive,
and that for each A the transfinite sequence pΦξ pAqqξ is increasing, so that it must
stabilize at some ordinal. The least such ordinal ξ0 pAq is called the closure ordinal
of Φ on A. We have that Φ8 pAq “ Φξ0 pAq pAq is the least fixed point of Φ containing
A: For clearly ΦpΦ8 pAqq “ Φξ0 pAq`1 pAq “ Φξ0 pAq pAq “ Φ8 pAq, so Φ8 pAq is a fixed
point of Φ. And if B is any fixed point of Φ with A Ď B, then easily by monotonicity
Φξ pAq Ď B for all ξ, hence Φ8 pAq Ď B.
4.5.3 Moschovakis’ theorem

Theorem 4.5.3 (Moschovakis). Let Φ be a Π11 on Π11 monotone inductive operator on
X. Then
(i) Φ8 is Π11 on Π11 ,
(ii) for each Π11 set A, its closure ordinal is ď ω1 .
Moreover if X is Suslin recursive:
(iii) if A is Π11 (resp. Π11 ) in X, B is Σ11 (resp. Σ11 ) and B Ď Φ8 pAq, then there is
ξ ă ω1CK (resp. ξ ă ω1 ) with B Ď Φξ pAq.
Proof. In order to prove (i) and (ii), we will establish for any Π11 subset A of X that
Φăω1 pAq is Π11 and that Φω1 pAq “ Φăω1 pAq. This is enough, by Lemma 4.5.1, to show
that Φω1 “ Φ8 is Π11 on Π11 , applying the fact above to the operators ΦZ and noting
that pΦZ qξ “ ΦξZ for all ξ.
Fix a Π11 set A Ď X, and a regular Π11 rank ϕ on the good universal set W Ď ω ω ˆX.
99
´ ` ˘¯
Set pα, x, yq P B Ø py P Aq _ pα, yq P W ^ pα, xq R W _ ϕpα, yq ă ϕpα, xq . The
L:ϕpα, xq ă ϕpα
set B is Π11 in ω ω ˆ X ˆ X, hence by Lemma 4.5.1, so is C defined by R
pα, x, yq P C ÐÑ y P ΦpBα,x q
and hence so is D defined by
pα, xq P D ÐÑ pα, x, xq P C ÐÑ x P ΦpBα,x q.
Finally by Kleene’s Fixed Point Theorem 3.3.9 pick a recursive α0 such that Dα0 “
Wα0 . We claim that
(a) A Ď Wα0 , and ΦpWα0 q “ Wα0 .
(b) For ξ ă ω1 , tx P Wα0 : ϕpα0 , xq ď ξu Ď Φ1`ξ pAq.
From (a) we get Φ8 pAq Ď Wα0 , and from (b) Wα0 Ď Φăω1 pAq so that
Φăω1 pAq “ Φω1 pAq “ Φ8 pAq “ Wα0
is Π11 , as desired.
Proof of (a). For all α, x A Ď Bα,x . So if x P A,
x P ΦpAq Ď ΦpBα0 ,x q,
hence x P Dα0 . So A Ď Wα0 . Suppose now x P ΦpWα0 q, but x R Wα0 . Then

by definition of B, Bα0 ,x “ A Y Wα0 “ Wα0 , so x P ΦpBα0 ,x q, i.e. x P Dα0 , a
contradiction. So ΦpWα0 q “ Wα0 .
Proof of (b). Suppose first x P Wα0 and ϕpα0 , xq “ 0. Then Bα0 ,x “ A, and x P
ΦpBα0 ,x q “ ΦpAq. So (b) holds for ξ “ 0. Now by induction let ξ ą 0, ξ ă ω1 ,
Ť suppose (b) holds for η ă ξ. Let x P Wα0 with ϕpα0 , xq “ ξ. Then Bα0 ,x “
and
ηăξ ty P Wα0 : ϕpα0 , yq ď ηu, hence by the induction hypothesis
ď
Bα0 ,x Ď Φ1`η pAq
ηăξ
`Ť ˘
1`η pAq “ Φ1`ξ pAq.
and x P ΦpBα0 ,x q Ď Φ ηăξ Φ
It remains to prove (iii). Let us do the lightface case, the other being obtained by
relativization. Let A be as before and let B be Σ11 , B Ď Φ8 pAq. Then tα0 u ˆ B Ď W ,
and is Σ11 in the Suslin recursive space X. By the Boundedness Theorem 4.4.10, ϕ is
bounded on tα0 u ˆ B by a recursive ordinal ξ. And by (b) above, B Ď Φ1`ξ pAq. %
100
4.5.4 Σ11 derivations

This remarkably general theorem has many applications in analysis. Usually in the
applications Φ is Π11 (or Π11 ), but is defined only on Π11 sets. This is not a problem, for
one can always extend it to a monotone inductive operator Φ˚ on all sets, by setting
for example: ď
Φ˚ pAq “ tΦpBq : B Ď A, B P Π11 u.
One also often consider the dual notion of a Σ11 on Σ11 derivation, so it is worth
putting down the corresponding dual result.
A derivation D on a recursive space X is Σ11 on Σ11 if the relation y P DpWα q is Σ11 ,
where W is now a good universal set for Σ11 subsets of X.
Clearly D is a Σ11 on Σ11 derivation iff its dual Dˇ is a Π11 on Π11 monotone inductive
operator.
One
Ş then defines a sequence Dξ , ξ an ordinal, 0
Ş ξ by D pAq “ A and D pAq “
ξ
η 8
Dp ηăξ D pAqq for ξ ą 0, and set D pAq “ ξ D pAq.
Clearly D8 pAq is the largest fixed point of D contained in A. And Theorem 4.5.3,
applied to Dˇ, now states
Corollary 4.5.4. Let D be a Σ11 on Σ11 derivation on X. Then
(i) D8 is a Σ11 on Σ11 derivation on X,
(ii) for any Σ11 set A, D8 pAq “ Dω1 pAq “ Dξ pAq,

Ş
ξăω1
and if moreover X is Suslin
(iii) if A is Σ11 (resp. Σ11 ) in X, B is Π11 (resp. Π11 ) and D8 pAq Ď B, then there
exists ξ ă ω1CK (resp. ξ ă ω1 ) with Dξ pAq Ď B.
4.5.5 Complexity of the stages of an induction

If Φ is Π11 on Π11 on a recursive `space X, and 1
˘ A is Π1 8in X, there is a natural rank on
8 ξ
Φ pAq, given by ϕpxq “ least ξ x P Φ pAq for x P Φ pAq.
As tx : ϕpxq “ 0u “ A may not be ∆11 , this rank is usually not a Π11 -rank.
However one still has
Theorem 4.5.5. Let Φ be a Π11 on Π11 monotone inductive operator on X, and A Ď X

added – R
be Π11 . Then the relation
α P WO and x P Φ|α| pAq
is Π11 in ω ω ˆ X.
Proof. This is an application of Theorem 4.5.3.

First we build a Π11 on Π11 operator Ψ0 on ω ω , which builds WO. Set A0 “ tα P
ω ω : Dα “ Hu, which is Π01 in ω ω .
101
Define, for any set B Ď ω ω :

α P Ψ0 pBq ÐÑ α P B _ @n pα|n P Bq
where α, n ÞÑ α|n is the recursive function of Proposition 4.2.3 (i). One easily checks
that Ψ0 is Π11 on Π11 , and that
α P WO ^ |α| ď ξ ÐÑ α P Ψξ0 pA0 q.
For this is clear for ξ “ 0 by choice of A0 , and if it is true for all η ă ξ, we get
` ˘
α P WO ^ |α| ď ξ ÐÑ @n α|n P WO ^ |α|n| ă ξ
´ď ¯
ÐÑ α P Ψ0 tβ P WO : |β| ď ηu
ηăξ
as desired.
We now mix Ψ0 and Φ into an operator Ψ1 on ωˆω ω ˆX, defined for B Ď ωˆω ω ˆX
by $
’
’
’ either pn, α, xq P B,
’
&or n “ 0 and α P Ψ0 pB0,x q,
pn, α, xq P Ψ1 pBq ÐÑ
’
’
’ or n “ 1 and α P Ψ0 pB0,x q
’ `Ť ˘
% and x P Φ p B1,pαqp .
An easy computation shows that Ψ1 is Π11 on Π11 . For A a Π11 subset of X, let
(
A1 “ pn, α, xq : pn “ 0 and α P A0 q _ pn “ 1 ^ α P A0 ^ x P Aq .
A1 is Π11 in ω ˆ ω ω ˆ X, so the proof is finished if we can prove that
(a) p0, α, xq P Ψ8
1 pA1 q Ø α P WO
(b) p1, α, xq P Ψ8 |α|

1 pA1 q Ø α P WO ^ x P Φ pAq.
In fact we prove by induction on ξ ă ω1 that
(a)ξ p0, α, xq P Ψξ1 pA1 q Ø α P WOξ “ tα P WO : |α| ď ξu
(b)ξ p1, α, xq P Ψξ1 pA1 q Ø α P WOξ ^ x P Φ|α| pAq.

This is clear for ξ “ 0 by definition of A0 and A1 . Assuming it is true for all η ă ξ, we
get by definition of ψ1
´ď ¯ ď
p0, α, xq P Ψ1 Ψη1 pAq ÐÑ α P Ψ0 p WOη q “ WOξ
ηăξ ηăξ
and
´ď ¯ ˆ ď´ ď ¯ ˙
p1, α, xq P Ψ1 Ψη1 pAq ÐÑ α P WOξ ^ x P Φ Ψη1 pAq
1,α|p
ηăξ p ηăξ
´ď ¯
ÐÑ α P WOξ ^ x P Φ Φη pAq
ηăξ
as desired. %
Pb with index, end of
first line. – R
102
4.6 Reflection theorems

4.6.1 First reflection theorem
Let X be a recursive space, and G a family of Π11 subsets of X. We say that G is Π11
in the codes if tn : Wn P Gu is Π11 , where W is the good universal set for Π11 subsets of
X. We sometimes simply call it a Π11 on Π11 family.
Theorem 4.6.1 (The First Reflection Theorem). Let G be a Π11 in the codes family of
Π11 sets in X.
(i) If A, B are Π11 , A Ď B and A P G, then B P G.
(ii) If A is Π11 and A P G, there is a ∆11 set B with B Ď A and B P G.
(iii) In fact (ii) holds uniformly, i.e. there are recursive functions ϕ0 and ϕ1 : ω Ñ ω
such that if Wn P G then Wϕ0 pnq “ XzWϕ1 pnq is a ∆11 subset of Wn which is in
G.
Proof. (i) Set

pn, xq P C ÐÑ x P A _ px P B ^ Wn P Gq
and pick n0 with Cn0 “ Wn0 by Theorem 3.3.9. Then Wn0 R G implies Wn0 “ A,
so that Wn0 P G and Wn0 “ B.
(ii) Pick a ∆02 -recursive fA : X Ñ ω ω with x P A Ø fA pxq P WO and a recursive

fG : ω Ñ ω ω with Wn P G Ø fG pnq P WO. Set
` ˘
pn, xq P D ÐÑ x P A ^ Wn R G _ |fA pxq| ď |fG pnq|
By Proposition 4.2.2 D is Π11 , so we can find n0 with Dn0 “ Wn0 by Theo-

rem 3.3.9.
Again if Wn0 R G then Dn0 “ A, a contradiction. So Wn0 P G. It remains to
prove that Wn0 is ∆11 in X. But fG pn0 q P WO and is recursive : ω Ñ ω, hence
(
XzWn0 “ x : fA pxq R WO _ |fG pn0 q| ă |fA pxq|
is Π11 in X too, by fixing of recursive argument and Proposition 4.2.2.
(iii) Let fW : ω ˆ X Ñ ω ω be ∆02 -recursive with
pn, xq P W ÐÑ fW pn, xq P WO
and set now

` ˘
pm, n, xq P E ÐÑ pn, xq P W ^ Wm R G _ |fW pn, xq| ď |fG pmq|
again E is Π11 . Let W 1 be the good universal set for Π11 subsets of ω ˆ X. There
is a recursive f : ω Ñ ω such that pm, n, xq P E Ø pm, xq P Wf1 pnq . Now the
103
by the uniform version of The Fixed Point Theorem 3.3.9 there is a recursive
function ψ : ω Ñ ω such that if A “ Wk1 then ψpkq satisfies Aψpkq “ Wψpkq . Now
ϕ0 “ ψ ˝ f is such that for all n,
pϕ0 pnq, n, xq P E ÐÑ pψ ˝ f pnq, xq P Wf1 pnq ÐÑ x P Wϕ0 pnq .
By the proof in (ii), if Wn P G the set Wϕ0 pnq is a ∆11 subset of Wn which is in G.
Now if we set
pn, xq P F ÐÑ fG pϕ0 pnqq P WO

` ˘
^ fW pn, xq R WO _ |fG pϕ0 pnqq| ă |fW pn, xq|
then for Wn P G, Fn “ XzWϕ0 pnq . Now F is Π11 , hence for some recursive ϕ1 ,
Fn “ Wϕ1 pnq and we are done. %
Remarks 4.6.2. (1) The proof of (i) above is very similar to the proof of monotonicity
of Π11 on Π11 operators (Theorem 4.5.2). This is more than an analogy: One can
also define, for a family G of Π11 sets, what it means to be Π11 in the codes (that
the relation Wα P G is Π11 , for a good universal W for Π11 subsets of X). And
this notion is a particular case of Π11 on Π11 operators, by taking Y “ t0u and
Φ : PpXq Ñ PpY q defined by
#
H if A R G
ΦpAq “
t0u if A P G.
(2) Reflection results are sometimes called separation results. This because, at least
for Suslin recursive X, the Separation Theorem 4.3.8 is a particular case of reflec-
tion. To see this, let A, B be two disjoint Σ11 sets in X, and let G “ tC : A Ď Cu.
G is Π11 in the codes as
` ˘
Wn P G ÐÑ @x x P A Ñ pn, xq P W
[here we use that Π11 is closed under @X , i.e. that X is Suslin recursive]. Now by
hypothesis B is a Π11 set in G, so there is by reflection a ∆11 set C with C Ď B
and C P G, i.e. a ∆11 set C with A Ď C and C X B “ H, as desired.
4.6.2 Second reflection theorem

We now go to a more complicated situation. Let X be Suslin recursive and let G be a
subset of PpXq2 . Again we say that G is Π11 on Π11 if tpn, mq : pWn , Wm q P Gu is Π11 in
ω2.
We say that G is monotonic upwards if for all sets A0 Ď A1 , B0 Ď B1
pA0 , B0 q P G implies pA1 , B1 q P G
(not only for Π11 sets, but for all sets).
We say G is continuous downwards in the second
Ş variable if for all A, and decreasing
sequence pBn qnPω , @n pA, Bn q P G implies pA, n Bn q P G.
104
Theorem 4.6.3 (The Second Reflection Theorem). Let X be Suslin recursive and let
G Ď PpXq2 be monotonic upwards, continuous downwards and Π11 on Π11 . Let A Ď X
be Π11 with pA, Aq P G. Then there exists a ∆11 subset B of A with pB, Bq P G.
Proof. Let W be a good universal set for Π11 subsets of X. We claim that there are
recursive functions ψ0 and ψ1 : ω 2 Ñ ω such that if pn, mq satisfies
Wn “ XzWm and Wn Ď A
then
Wψ0 pn,mq “ XzWψ1 pn,mq ,

Wn Ď Wψ0 pn,mq Ď A
` ˘
and Wψ0 pn,mq , Wn P G.
To see this, let Gm “ tB : pB, Wm q P Gu. Each Gm is Π11 on Π11 , in fact uniformly in m
and if A Ď Wm , then A P Gm by monotonicity of G in the second variable. So by (a
uniform version of) Theorem 4.6.1, we can find recursive ϕ0 : ω Ñ ω and ϕ1 : ω Ñ ω
such that
Wϕ0 pmq “ XzWϕ1 pmq , Wϕ0 pmq Ď A and Wϕ0 pmq P Gm .
Let (as W is a good universal set for Π11 sets) ψ0 and ψ1 be chosen so that
Wψ0 pn,mq “ Wn Y Wϕ0 pmq

and Wψ1 pn,mq “ Wm X Wϕ1 pmq .
Then if Wm “ Wn and Wn Ď A, we get by the preceding facts Wψ0 pn,mq “ Wψ1 pn,mq ,
Wn Ď Wψ0 pn,mq Ď A and pWψ0 pn,mq , Wn q P G by monotonicity, as desired.
Pick n0 , m0 with Wn0 “ H, Wm0 “ X, and define by induction
$
’
& gp0q “ n0 , hp0q “ m0
gpn ` 1q “ ψ0 pgpnq, hpnqq
’
hpn ` 1q “ ψ1 pgpnq, hpnqq.
%
The functions g, h are recursive. Now if Bn “ Wgpnq , one checks immediately by

properties of ψ0 and ψ1 that
Bn “ Whpnq , Bn Ď Bn`1 Ď A and pBn`1 , Bn q P G.

Ť
Let B “ n Bn “ tx : Dn x P Wgpnq u.
As we also have B “ tx : @n x R Whpnq u, B is a ∆11 subset of A.
As pBn`1 , Bn q P G, Ş pB, Bn q P G by monotonicity. But then as the sequence
p Bn q is decreasing, pB, n Bn q P G by continuity, i.e. pB, Bq P G as desired. %
105
4.6.3 Burgess’ reflection theorem

Let us give an important (in the applications) particular case of Theorem 4.6.3.
Theorem 4.6.4 (Burgess’ Reflection Theorem). Let X be a Suslin recursive space,
and R a Π11 subset of X ω ˆ X k , where k ă ω.
Let A Ď X be a Σ11 set, and assume that
@x̄ P X ω @ȳ P X k p@n xn P A and @i ă k yi R Aq Ñ Rpx̄, ȳq .
` ˘
Then there exists a ∆11 set B with A Ď B and

@x̄ P X ω @ȳ P X k p@n xn P B and @i ă k yi R Bq Ñ Rpx̄, ȳq .
` ˘
Proof. Define G Ď PpXq2 by

` ˘
pA, Bq P G ÐÑ @x̄ @ȳ p@n xn R A and @i ă k yi R Bq Ñ Rpx̄, ȳq .
1 1
Ş G is Π1 on Π1 , and monotonic upwards.
Clearly Suppose pBn q is decreasing with
B “ n Bn . If pA, Bq R G, there are x̄ P p Aqω and ȳ P p Bqk such that Rpx̄, ȳq.
Now for i ă k yi is in all Bn from some ni on, hence ȳ P p Bn qk for some n, and
finally pA, Bn q R G. This proves G is continuous downwards in the second variable.
Applying Theorem 4.6.3 to G gives exactly Theorem 4.6.4. %
4.6.4 Approximating Σ11 equivalence relations

There are many instances of applications of Theorem 4.6.4, To illustrate this, let us
give one example — which was the original motivation of Burgess.
Theorem 4.6.5. Let X be a Suslin recursive space, E a Σ11 equivalence relation on
X, i.e. an equivalence relation on X which is Σ11 in X 2 . Then E is the intersection
of ω1 Borel equivalence relations.
Proof. As any Σ11 set is the intersection of ω1 Borel sets by Corollary 4.1.5, it is enough
to prove that for each Π11 set A with E Ď A, there is a Borel equivalence relation E 1
with E Ď E 1 Ď A. We may assume that E P Σ11 and A P Π11 , the general result being
obtained by relativization.
Now a set E 1 is an equivalence relation contained in A iff
(1) @px0 , x1 q P E 1 rpx0 , x1 q P As
(2) @py0 , y1 q R E 1 ry0 ‰ y1 s
(3) @px0 , x1 q P E 1 @py0 , y1 q R E 1 rx0 ‰ y1 _ x1 ‰ y0 s
(4) @px0 , x1 q P E 1 @px2 , x3 q P E 1 @py0 , y1 q R E 1 rx1 ‰ x2 _ x0 ‰ y0 _ x3 ‰ y1 s .
` ˘
So if R px0 , x1 q, px2 , x3 q, py0 , y1 q is the conjunction of all relations in brackets, the
family of equivalence relations contained in A is defined by
` ˘
@ px0 , x1 q, px2 , x3 q P E 12 @py0 , y1 q R E 1 Rpx0 , x1 , x2 , x3 , y0 , y1 q.
As R is Π11 , Burgess’ Theorem 4.6.4 applies and gives a ∆11 E 1 which is an equivalence
relation and satisfies E Ď E 1 Ď A. %
Corrected until this
point. – R
106
5 Uniformizations
5.1 ∆11 points and uniformization by ∆11 -recursive functions
5.1.1 Coding of ∆11 and B-sets
Let X be a recursive space. The easiest way to encode ∆11 (and ∆11 ) subsets of X
is to use a good universal set W Ď ω ˆ X for Π11 (resp. W Ď ω ω ˆ X for Π11 )
added – YP
subsets of X, and to say that a pair of integers pn0 , n1 q codes a ∆11 set A Ď X if
Wn0 “ A and Wn1 “ XzA (and similarly for ∆11 sets). This is the coding we used
in Theorem 4.6.3. Note that this coding is good in a rather strong sense: If A Ď ω
is Π11 , and B Ď A ˆ X is ∆11 in A ˆ X (so in particular if it is ∆11 in ω ˆ X, but
the hypothesis is weaker), then there is a recursive function f : ω Ñ ω such that for
each n P A, ppf pnqq0 , pf pnqq1 q is a code of the ∆11 set Bn . To see this just note that
n P A ^ pn, xq P B and n P A ^ pn, xq R B are both Π11 in ω ˆ X by the hypothesis, and
use the fact that W is good. A similar remark can be made for the coding of ∆11 sets.
On the other hand, the set of codes, i.e. the set of pairs pn0 , n1 q with Wn0 “ XzWn1 ,
is complicated. And one can get a better coding if one considers only Suslin recursive
spaces.
Proposition 5.1.1. Let X be Suslin recursive. There is a coding pD1 , W1 q of ∆11
subsets of X which satisfies
(i) D1 is Π11 in ω, W1 is ∆11 in D1 ˆ X,
(ii) tWn1 : n P D1 u is the set of ∆11 subsets of X,
(iii) if A Ď ω is Π11 and B Ď A ˆ X is ∆11 in A ˆ X, there is a recursive function
f : ω Ñ ω such that for all n P A, f pnq P D1 and Wf1 pnq “ Bn .
Similarly there is a coding pD1 , W1 q of ∆11 subsets of X satisfying

(i) D1 is Π11 in ω ω , W1 is ∆11 in D1 ˆ X,
(ii) tWα1 : α P D1 u is the set of ∆11 subsets of X and tWα1 : α is recursive in D1 u is
veut-il dire α
the set of ∆11 subsets of X, recursive and
α P D1 ? – YP
(iii) if A Ď ω ω is Π11 and B Ď A ˆ X is ∆11 in A ˆ X, there is a recursive function
f : ω Ñ ω such that for all α, f pαq P D1 and Wα1 “ Bα .
Proof. We prove the first results, the second being similar. Start with a good universal
set W for Π11 subsets of X, and set
V 0 “ tpn, xq : ppnq0 , xq P W u and V 1 “ tpn, xq : ppnq1 , xq P W u.
107
5 Uniformizations
By Theorem 4.3.7, let U 0 and U 1 reduce the pair pV 0 , V 1 q, i.e. U 0 , U 1 P Π11 , U 0 Ď

V 0 , U 1 Ď V 1 , U 0 X U 1 “ H and U 0 Y U 1 “ V 0 Y V 1 . Set
D1 “ n P ω : @x P X pn, xq P U 0 _ pn, xq P U 1 .
` ˘(
As X is Suslin, D1 is Π11 in ω. Then set
W1 “ tpn, xq : n P D1 ^ pn, xq P U 0 u.
Clearly W1 is ∆11 in D1 ˆ X, as
n P D1 ^ pn, xq R W1 ÐÑ n P D1 ^ pn, xq P U 1
by definition of D1 .
As (ii) is a particular case of (iii), suppose A Ď ω is Π11 and B is ∆11 in A ˆ X. Then
B “ tpn, xq P ωˆX : n P A^pn, xq P Bu and B 1 “ tpn, xq P ωˆX : n P A^pn, xq R Bu
0
are both Π11 in ω ˆ X. Hence there are recursive functions f0 : ω Ñ ω and f1 : ω Ñ ω

such that for i “ 0, 1
pn, xq P B i ÐÑ pfi pnq, xq P W.
Set f pnq “ xf0 pnq, f1 pnqy. We check that f works. Fix n P A; we have Bn0 “ Bn and
Bn1 “ XzBn . Now
Vf0pnq “ Wf0 pnq “ Bn0

Vf1pnq “ Wf1 pnq “ Bn1 ,
so that Vf0pnq X Vf1pnq “ H and Vf0pnq Y Vf1pnq “ X. But this implies that Uf0pnq “ Vf0pnq
and Uf1pnq “ Vf1pnq , so that Uf0pnq Y Uf1pnq “ X, i.e. f pnq P D1 , and moreover
Wf1 pnq “ Uf0pnq “ Vf0pnq “ Wf0 pnq “ Bn
as desired. %
For arbitrary recursive space X, we can consider a completion X p of X, and the

p 1 x 1 1 x 1 1 1
codings pD , W q and pD , W q for the ∆1 and ∆1 (=Borel by Theorem 4.4.6) subsets
p
of X x1 to ω ˆ X and W
p defined above. By restricting W x 1 to ω ω ˆ X, we get nice
codings of the B-subsets of X (by Proposition 3.5.16), and of the B(“ Borel) subsets
of X, respectively.
5.1.2 Γ-recursive points

Let Γ be one of our (lightface) classes. If x is a point in a recursive space X, we say
that x is Γ-recursive in X (resp. Γpαq-recursive) if tn : x P VnX u is a Γ subset (resp.
Γpαq subset) of ω.
This notion will be used mainly for the classes ∆11 and ∆11 pαq. And for convenience,
we extend the relativization process, by defining, for any point x P X the classes ∆11 pxq,
108
5.1 ∆11 points
Σ11 pxq, Π11 pxq as respectively ∆11 pαx q, Σ11 pαx q, Π11 pαx q where αx “ iX pxq P ω ω is the
characteristic function of tn : x P VnX u.
So in particular, a point y P Y is ∆11 pxq-recursive if it is ∆11 pαx q-recursive.
One could define also the relativized classes Γpxq, for x P X, for all classes Γ. However
this notion is much less interesting, unless X is a dim0 recursive space, for the classes
Σ0n and Π0n . The reason is that the transfer function iX : X Ñ ω ω is ∆02 -recursive. This
does not matter for the classes ∆11 , Σ11 and Π11 , which are preserved, so that e.g. one
has trivially that a set is Σ11 pxq iff it is the section at x of a set in Σ11 : but it matters
for the low level Kleene classes, which are not preserved.
We will often say that a point x is in Γ instead of saying that x is Γ-recursive. But
the terminology Γ-recursive stresses the analogy between this notion and the notion
of Γ-recursive function. In fact these two notions are closely related, as we will see in
maladroit? – YP
a moment. Of course we did not introduce a boldface analog, because the boldface
notions trivialize for the space ω, and so does the notion of Γ-recursive point.
Proposition 5.1.2.
(i) A point α P ω ω is ∆11 -recursive iff α : ω Ñ ω is a ∆11 -recursive function. In
particular, α P 2ω is ∆11 -recursive iff tn : αpnq “ 1u P ∆11 .
(ii) A point x P X is ∆11 -recursive iff for every recursive Y the constant function
: Y Ñ X with value x is ∆11 -recursive.
(iii) A point x P X is ∆11 -recursive iff it is Σ11 -recursive iff it is Π11 -recursive.
(iv) If x P X, y P Y and z P Z, then if x is ∆11 pyq-recursive and y is ∆11 pzq-recursive,

x is ∆11 pzq-recursive.
(v) If x P X and f : X Ñ Y is ∆11 -recursive, then f pxq is ∆11 pxq-recursive.

Similar results hold for relativized classes.
Proof. (i) α P ω ω is ∆11 -recursive iff A “ tn : sn Ď αu is ∆11 by definition. And α is
a ∆11 -recursive function : ω Ñ ω iff its graph B is ∆11 in ω 2 . But
pn, mq P B ÐÑ αpnq “ m ÐÑ Dk P A plh sk ą n ^ sk pnq “ mq
so if A is ∆11 , so is B. And conversely,
nPA ÐÑ @i ă lh sn pi, sn piqq P B,
so if B is ∆11 , so is A. The case α P 2ω is a particular case of the above.
(ii) If fx : Y Ñ X is the constant function with value x, we get Dfx “ tpn, yq : x P

VnX u which is ∆11 if x is ∆11 -recursive. For the converse, take Y “ t0u.
Using (ii), (iii) and (iv) follow from the similar results for ∆11 -recursive functions,
Proposition 3.4.5.
And finally (v) is immediate, as tn : f pxq P VnY u is the section at x of the ∆11 set
Df . %
109
5 Uniformizations
5.1.3 Coding of ∆11 -recursive points

By analogy with the definition of Luzin recursive and Suslin recursive, let us say that
a recursive space X is co-Suslin recursive if its image iX pXq in ω ω , via the transfer
il faut choisir entre
Suslin-recursive et function iX of Subsection 3.5.8, is a Π11 subset of ω ω .
Suslin recursive. –
YP Theorem 5.1.3.
(i) For every recursive space X there exists a set DX 1

1 “ D1 Ď ω and a ∆1 -recursive
function dX
1 “ d1 : ω Ñ X such that
td1 pnq : n P D1 u “ tx P X : x is ∆11 -recursiveu.
(ii) If Y is another recursive space, there exists a set DY,X1 “ D1 Ď Y ˆ ω and a

1 Y,X
∆1 -recursive function d1 “ d1 : Y ˆ ω Ñ X such that for all y P Y
d1 py, nq : n P pD1 qy “ tx P X : x is ∆11 pyq-recursiveu.

(
Y,X
Moreover if X is co-Suslin recursive, DX
1 and D1 can be chosen Π11 in ω and Y ˆ ω,
respectively.
Proof. We claim that it is enough to prove the result for X “ Y “ ω ω (and Π11 sets
D1 and D1 ). For if X and Y are subspaces of ω ω , one just restrict the functions to
Y,X
DX1 “ tn : d1 pnq P Xu and D1 “ tpy, nq : y P Y ^ d1 py, nq P Xu, respectively (which
1
are still Π1 if X is co-Suslin recursive). And finally for arbitrary X and Y , we just
compose with the transfer functions iX , iY and their inverses. Using Proposition 5.1.2,
one immediately gets the result.
Let us do (i) for X “ ω ω . Note that by Proposition 5.1.2 α P ω ω is a ∆11 point iff the
graph Gf is ∆11 in ω 2 . So let pD1 , W1 q be the good coding of ∆11 subsets of ω 2 given
by Proposition 5.1.1, and set
D1 “ tn P D1 : Wn1 is the graph of a function : ω Ñ ωu
and for n P D1 , let d1 pnq be that function with graph Wn1 . Clearly td1 pnq : n P D1 u is
the set of ∆11 points in ω ω . It remains to show that D1 is Π11 . But D1 is Π11 , and
n P D1 ÐÑ n P D1 ^ p@p Dq pp, qq P Wn1 q^

@p @q0 @q1 pp, q0 q R Wn1 _ pp, q1 q R Wn1 _ q0 “ q1 .
` ˘
As W1 is ∆11 in D1 ˆ ω 2 , D1 is Π11 .
The proof for (ii) is entirely similar, starting with D1 and W1 , and we skip it. %
5.1.4 Co-Suslin and closure under D∆

For Y a recursive space, define an operator D∆ pY q “ D∆ , by: if A Ď X ˆ Y is a set,
D∆ A “ tx P X : Dy P ∆11 pxq px, yq P Au (where y P ∆11 pxq means y is ∆11 pxq-recursive).
110
5.1 ∆11 points
Theorem 5.1.4. Suppose Y is a co-Suslin recursive space. Then Π11 is closed under
D∆ pY q, i.e. if X is recursive and A Ď X ˆ Y is Π11 , then D∆ A is Π11 in X.
Proof. We use the coding D1 “ DX,Y

1 and d1 “ dX,Y
1 of Theorem 5.1.3. We get
x P D∆ A ÐÑ Dy P ∆11 pxq px, yq P A

` ˘
ÐÑ Dn px, nq P D1 ^ px, d1 px, nqq P A ,
which gives a Π11 definition of D∆ A, as Π11 is closed under substitution by ∆11 -recursive
functions (Proposition 3.4.5). %
The following corollary is the analog of Theorem 3.5.11.
Corollary 5.1.5. The following are equivalent for a recursive space X:
(i) X is co-Suslin recursive, i.e. iX pXq is Π11 in ω ω ,
(ii) X is Π11 in some Polish recursive space in which it is embedded,
(iii) X is Π11 -absolute, i.e. is Π11 in any recursive space in which it is embedded,
(iv) Π11 is closed under D∆ pXq.
Proof. (i)Ñ(iv) is Theorem 5.1.4.

(ii)Ñ(i) comes from the transfer theorem Proposition 3.5.8.
(iii)Ñ(ii) is trivial.
So it remains to prove (iv)Ñ(iii). In fact, we show that if X is ∆11 -embedded in Y ,
i.e. if f : X Ñ Y is ∆11 -recursive, with inverse g : f pXq Ñ X also ∆11 -recursive, then
f pXq is Π11 in Y . To see this, note that if y “ f pxq, then x “ gpyq is ∆11 pyq hence
y P f pXq ÐÑ Dx P ∆11 pyq f pxq “ y.
As the graph Graphpf q is ∆11 in X ˆ Y , we get by (iv) that f pXq is Π11 . %
5.1.5 ∆11 -uniformization theorem

Let A be a set in a product X ˆ Y . We say that a function f uniformizes A if its
domain is DY A, and for all x P DY A px, f pxqq P A, i.e. if f picks a point f pxq in each
non empty section Ax of A. We extend the terminology by saying that f uniformizes
A on B Ď X if f B uniformizes A X pB ˆ Y q. Of course there are always uniformizing
functions, by the axiom of choice. But the uniformization problems are to try to find
as nice as possible uniformizing functions.
Theorem 5.1.6 (The ∆11 -Uniformization Theorem, Spector).

Spector est souligné
dans le manuscrit... –
(i) Let X be a recursive space, Y a co-Suslin recursive space, and A Ď X ˆ Y a Π11
YP
set. Then there exists a ∆11 -recursive function f : D∆ A Ñ Y which uniformizes
A on D∆ A.
111
5 Uniformizations
(ii) Conversely, if f : B Ñ Y uniformizes A on B, B Ď D∆ A. So in particular A

can be uniformized by a ∆11 -recursive function iff DY A “ D∆ A.
Proof. (ii) is easy, as if f : B Ñ Y is ∆11 recursive, and x P B, then f pxq is a ∆11 pxq-
recursive point of Ax , hence x P D∆ A.
So we prove (i). We use again the coding DX,Y1 “ D1 and dX,Y
1 “ d1 : X ˆ ω Ñ Y
of Theorem 5.1.3, and set
px, nq P A˚ ÐÑ px, nq P D1 and px, d1 px, nqq P A.
By the properties of the coding and since Y is co-Suslin recursive, A˚ is Π11 . And
ajoutÈ – YP
x P D∆ A Ø x P D0 A˚ . Now by the ω-Uniformization Theorem 4.3.5 there is a ∆11 -
recursive function g : D0 A˚ Ñ ω such that for all x P D0 A˚ px, gpxqq P A˚ . And if we
set for x P D∆ A “ D0 A˚
f pxq “ d1 px, gpxqq,
f is a ∆11 -recursive function which clearly works. %
5.1.6 Characterization of ∆11 -recursive functions

Corollary 5.1.7. Let X be a recursive space, Y be a co-Suslin recursive space. A
function f : X Ñ Y is ∆11 -recursive iff
(i) Graphpf q is Π11 in X ˆ Y ,
(ii) for each x P X, f pxq is ∆11 pxq-recursive.
Proof. If f is ∆11 -recursive, Graphpf q is ∆11 , as
f pxq “ y ÐÑ @n px, nq P Df Ø y P VnY .

` ˘
Moreover (ii) holds by Proposition 5.1.2 (v).

Conversely, we may apply Theorem 5.1.6 to the set A “ Graphpf q which is Π11 by
(i). By (ii), DY A “ D∆ A “ X. But the only uniformizing function is f itself, so f is
∆11 -recursive : X Ñ Y . %
5.1.7 One-to-one ∆11 -recursive functions in co-Suslin spaces

Theorem 5.1.8. Let X be a Luzin-recursive space.
(i) A point x P X is ∆11 -recursive iff txu is Σ11 in X iff txu is ∆11 in X.
(ii) If f : X Ñ Y is ∆11 -recursive and one-to-one then f pXq is Luzin, and f ´1 :

f pXq Ñ X is ∆11 -recursive.
Proof. (i) Suppose x is ∆11 -recursive. Then
@n x P VnX Ñ y P VnX
` ˘
y P txu ÐÑ
112
5.1 ∆11 points
so txu is ∆11 in X. Conversely if txu is Σ11 in X we get
x P VnX ÐÑ Dy P X y P txu ^ y P VnX

` ˘
hence tn : x P VnX u is Σ11 in ω, as X is Suslin, and finally x is ∆11 -recursive by

Proposition 5.1.2 (iii).
(ii) To prove that f pXq is Luzin, it is clearly enough to prove that f pXq is ∆11 in Y
(as Y is arbitrary). Clearly f pXq is Σ11 , by closure of Σ11 under DX .
Fix now y P f pXq. The set tx P X : f pxq “ yu is the section at y of the
∆11 set Graphpf q in Y ˆ X, hence is ∆11 pyq. But as f is one-to-one, this set is
a singleton. So applying (the relativized version of) part (i), we get that the
unique x for which y “ f pxq is ∆11 pyq.
But then we get y P f pXq Ø Dx P ∆11 pyq y “ f pxq hence f pXq is Π11 , by closure
of Π11 under D∆ (Theorem 5.1.4). So f pXq is ∆11 in Y .
And to prove that f ´1 : f pXq Ñ X is ∆11 -recursive, we can apply Corollary 5.1.7:
Graphpf ´1 q is ∆11 , and as we saw above, f ´1 pyq is ∆11 pyq for all y P f pXq, so
Corollary 5.1.7 applies and f ´1 is ∆11 -recursive. %
5.1.8 Counterexamples in co-Suslin spaces

Remark 5.1.9. One has to be cautious that Theorem 5.1.8 cannot be extended to co-
Suslin recursive spaces. We will see in Subsection 5.4.4 that there are reals α P ω ω
which are Π11 -singletons, i.e. tαu P Π11 in ω ω , but are not ∆11 -recursive, so that X “ tαu
is a co-Suslin recursive space which is not Luzin recursive, and in which a ∆11 -singleton
is not ∆11 -recursive. Also we will give examples of Π11 -singletons pα, βq in ω ω ˆ ω ω
such that α is not a Π11 -singleton, and hence β is not ∆11 pαq, so that on the co-Suslin
recursive space X “ tpα, βqu, the first projection gives an example of a one-to-one
recursive function : X Ñ ω ω , the inverse of which is not ∆11 -recursive.
5.1.9 Complexity of α P ∆11 , α P ∆11 pβq

The ∆11 -Uniformization Theorem has many nice “positive” applications. We show now
that it also has “negative” implications.
Proposition 5.1.10.
ω
(i) The set tα P ω ω : α is ∆11 -recursiveu is a Π11 non ∆11 subset of ω ω , as is D1 “ Dω1
in ω.
(ii) The set tpα, βq : α is ∆11 pβq-recursiveu is a Π11 non ∆11 set in ω ω ˆ ω ω , as is
ω ω
D1 “ D1ω ,ω in ω ω ˆ ω.
Proof. (i) We know that D1 is Π11 by Theorem 5.1.3. And
α is ∆11 -recursive ÐÑ Dn pn P D1 ^ d1 pnq “ αq ,
113
5 Uniformizations
so the set A of ∆11 points is Π11 in ω ω . To see that D1 is not ∆11 , we argue by
contradiction: Define a real α0 by
#
0 if n R D1
α0 pnq “
d1 pnqpnq ` 1 if n P D1 .
If D1 were ∆11 , α0 would be a ∆11 -recursive real, hence for some n0 P D1 , α0 “

L: is – YP
d1 pn0 q, and then α0 pn0 q “ α0 pn0 q ` 1, a contradiction.
Suppose finally that A “ tα P ω ω : α is ∆11 u is ∆11 . By ∆11 -uniformization, in
fact by ω-uniformization, applied to Graphpd1 q, we get a ∆11 -recursive function
ajoutÈ – YP
ϕ : A Ñ D1 such that for each α P A, d1 pϕpαqq “ α. As ϕ is clearly one-to-one,
its image ϕpAq is ∆11 in ω by Theorem 5.1.8 (ii). But this is impossible by exactly
ajoutÈ – YP
the same proof as for D1 .
(ii) is similar. We already know that D1 is Π11 , hence so is B “ tpα, βq : α P ∆11 pβqu,
for
pα, βq P B ÐÑ Dn ppβ, nq P D1 ^ d1 pβ, nq “ αq .
If D1 were Borel, so would be B by this equivalence. And B is not Borel, for
otherwise it would be ∆11 pβ0 q for some β0 P ω ω , hence tα : α P ∆11 pβ0 qu would be
∆11 pβ0 q too, contradicting the relativized version of part (i). %
5.1.10 Antibasis, anti-uniformization

we did not explain
what antibasis means
Theorem 5.1.11 (Antibasis and anti-uniformization).
– YP
(i) There exists a non empty Π01 subset of ω ω with no ∆11 member.
(ii) There exists a Π01 subset of ω ω ˆ ω ω , with first projection all of ω ω , which cannot
be uniformized by any Borel function f : ω ω Ñ ω ω .
Proof. (i) Pick any Σ11 subset of ω which is not ∆11 (exists by Theorem 3.3.3 (ii)),
ajoutÈ – YP
and let B be Π01 in ω ˆ ω ω with A “ D1 B. If for each n P A the Π01 set Bn has a
∆11 member, we get A “ D∆ B, hence by Theorem 5.1.4 A is Π11 , a contradiction.
So one of the Bn ’s, n P A, is a non empty Π01 subset of ω ω with no ∆11 member.
(ii) Let A “ tpα, βq P ω ω ˆ ω ω : β R ∆11 pαqu. By Proposition 5.1.10 is Σ11 , hence

A “ D1 B for some Π01 set B in pω ω q3 . Define pα, γq P P Ø pα, pγq0 , pγq1 q P B.
Clearly P is Π01 in ω ω ˆ ω ω , and D1 P “ ω ω , for if α P ω ω , tβ : β P ∆11 pαqu
is countable, hence Aα ‰ H and so Pα ‰ H. Moreover D∆ P “ H, for if
γ P ∆11 pαq, then pγq0 P ∆11 pαq too, hence pα, pγq0 q R A and pα, γq R P . But then
if f : ω ω Ñ ω ω is Borel, it is ∆11 pα0 q for some α0 , hence f pα0 q is ∆11 pα0 q too, so
pα0 , f pα0 qq R P and f is not uniformizing P , as desired. %
114
5.1 ∆11 points
5.1.11 Spector-Gandy Theorem for Π11

We prove now a kind of converse to Theorem 5.1.4 due to Spector and Gandy. By
Theorem 5.1.4 we know that if D∆ “ D∆ pω ω q, one has D∆ Π11 Ď Π11 . The next result is
a strong converse inclusion.
Theorem 5.1.12 (Spector-Gandy).
Π11 “ D∆ Π01
i.e. for any recursive space X and any Π11 subset A of X, there is a Π01 subset B of
X ˆ ω ω such that
x P A ÐÑ Dβ P ∆11 pxq px, βq P B.
Proof. We may as well assume that X is Polish recursive (considering traces if neces-
sary).
First we prove
Fact 1. If A is Π02 in X, there is a Π01 set B Ď ω ω and a recursive one-to-one function

ϕ : B Ñ X which is onto A.
To see this, note that iX pAq is Π02 . Indeed, iX pAq is a Π02 subset of X
p “ iX pXq
´1 L says by
since iX pAq “ jX pAq and jX is recursive. Moreover since X is Polish recursive, Theorem 3.5.6, but
Xp is Π0 in ω ω by Proposition 3.5.8, and so iX pAq is Π0 in ω ω . – YP Note also I’d rather say – YP
2 2
that jX : iX pAq Ñ A is recursive, one-to-one and onto A, so we may assume A
is Π02 in ω ω . Then for some recursive A˚ one has
αPA ÐÑ @n Dm A˚ pα, m, nq.
Define
“ ‰
βPB ÐÑ @n A˚ ppβq0 , pβq1 pnq, nq ^ @i ă pβq1 pnq A˚ ppβq0 , i, nq .
B is Π01 in ω ω . And if ϕ is β ÞÑ pβq0 : ω ω Ñ ω ω , we get that ϕ is recursive,

ϕpBq “ A, and ϕ is 1–1 on B, as ϕ´1 pαq, for α P A, is the pair xα, γy where γ is
the least function n ÞÑ γpnq witnessing that @n A˚ pα, γpnq, nq holds. This proves
maladroit – YP
Fact 1.
Note that by considering Graphpϕq Ď X ˆ ω ω , which is Π01 , we get for A Π02 in X,

on pourrait noter
a set B in X ˆ ω such that plus tÙt que si ϕ est
recursive alors
A “ D1 B “ D!B “ D∆ B, Graphpf q is Π01 .
Est-ce fait?
where D! is defined by x P D!B Ø Dα unique px, αq P B. To see the last equality, ϕ : X Ñ Y with Y
note that D!B Ď D∆ B Ď D1 B, for if α is unique with pα, xq P B, then tαu “ Bx is a recursive space,
f pxq ‰ y Ø
∆11 pxq-recursive point in ω ω by Theorem 5.1.8. DnDiDkpDf px, nq ^
Spi, nq ^ Df px, iq ^
T pi, n, kq ^ y P VkY q
where S, T witness Y
is recursively regular
is a Σ01 definition of
115 the complement of
Graphpf q. – YP
5 Uniformizations
Fact 2. There is a Π01 relation R Ď ω ω ˆ ω ω ˆ ω ω such that for α P LO and β P WO
α P WO ^ |α| ď |β| ÐÑ Dγ P ∆11 pxα, βyq Rpα, β, γq

ÐÑ Dγ Rpα, β, γq
ÐÑ D!γ Rpα, β, γq.
To see this, define S Ď ω ω ˆ ω ω ˆ ω ω by
pα, β, γq P S ÐÑ α P LO ^ β P LO ^ @n P Dα γpnq P Dβ
^ γ : Dα Ñ Dβ is pďα , ďβ q strictly increasing and
onto a (non necessarily proper) initial segment of ďβ .
Note that S is Π02 , for the last clause is equivalent to
@n P Dα @m P Dα n ďα m Ñ γpnq ďβ γpmq
` ˘
and @n P Dα @m P Dβ m ďβ γpnq Ñ Dp P Dα m “ γppq .
By Fact 1, there is a Π01 set R Ď ω ω ˆ ω ω ˆ ω ω such that
pα, β, γq P S ÐÑ Dδ pα, β, xγ, δyq P R

ÐÑ Dδ P ∆11 pxα, β, γyq pα, β, xγ, δyq P R
ÐÑ D!δ pα, β, xγ, δyq P R.
We claim that R works. For suppose α P LO and β P WO. If |α| ď |β|, there
is clearly a unique γ such that Spα, β, γq holds, hence a unique xγ, δy such that
Rpα, β, xγ, δyq holds. Conversely, if Rpα, β, xγ, δyq, holds then Spα, β, γq holds,
but this implies pDα , ďα q is a wellordering, i.e. α P WO, and |α| ď |β|, as desired.
From facts 1 and 2, we now prove the theorem. Let X be Polish recursive, and
A Ď X be Π11 . By the Representation Theorem 4.3.1, there exists a ∆02 -recursive
f : X Ñ ω ω such that @x f pxq P LO and
xPA ÐÑ f pxq P WO.
As the relation α P ∆11 pxq is Π11 in X ˆω ω by Theorem 5.1.3, there is also a ∆02 -recursive
ajoutÈ – YP
g : X ˆ ω ω Ñ ω ω with
α P ∆11 pxq ÐÑ gpx, αq P WO.
Define
px, αq P B ÐÑ pf pxq, gpx, pαq0 , pαq1 qq P R
where R is the Π01 relation of fact 2. We claim that
xPA ÐÑ Dα P ∆11 pxq px, αq P B.
116
5.1 ∆11 points
Suppose first x P A. Then f pxq P WO, and by the relativized version of Theo-
rem 4.4.3 (ii), as tf pxqu is ∆11 pxq, |f pxq| ă ω1CK´x “ suptξ : ξ is recursive in xu.
Now note that ω1CK´x “ supt|gpx, αq| : α P ∆11 pxqu, for otherwise tα : α P ∆11 pxqu
would be ∆11 pxq, contradicting Proposition 5.1.10. So there is an α0 P ∆11 pxq such that
utilise-t-il la
rÈciproque de |f pxq| ď |gpx, α0 q|. Then by the properties of R, there is an α1 P ∆11 pxf pxq, gpx, α0 yq,
rem 4.4.3, mais hence a fortiori α1 P ∆11 pxq, such that Rpf pxq, gpx, α0 q, α1 q holds. The pair xα0 , α1 y is
on ne l’a pas ∆11 pxq, and px, xα0 , α1 yq P B, as desired.
ntrÈe..., a-t-on: Conversely, suppose that for some α P ∆11 pxq px, αq P B, i.e.
ery ξ ă ω1CK´α
that
“ tβ | |β| ď ξu Rpf pxq, gpx, pαq0 q, pαq1 q
is ∆11 pαq? by
ction? ce serait holds. As pαq0 P ∆11 pxq, gpx, pαq0 q is in WO. And f pxq P LO by choice of f . By the
relativisÈ de la property of R we know that f pxq P WO and |f pxq| ď |gpx, pαq0 q|, hence in particular
uve du Thm de x P A, as desired.
Suslin
em 4.4.6. – YP
This almost finishes the proof. However, as f, g are ∆02 -recursive, the set B defined
above is only Π02 in X ˆ ω ω . So we use again fact 1: There is a Π01 C Ď X ˆ ω ω ˆ ω ω
with
B “ D1 C “ D∆ C “ D!C
and if we set px, αq P D Ø px, pαq0 , pαq1 q P C, D is a Π01 set which clearly works. %
5.1.12 One-to-one recursive images of Π01 sets in ω ω

In the proof of Theorem 5.1.12, we showed that any Π02 -absolute space is the 1–1
recursive image of a Π01 subset of ω ω . We know prove that this result holds also for
∆11 -absolute, i.e. Luzin-recursive, spaces. Note that by Theorem 5.1.8, this is the best
one can hope for.
Theorem 5.1.13. Any Luzin-recursive space is the 1–1 recursive image of a Π01 subset
of ω ω . Similarly any Luzin space is the 1–1 continuous image of a closed subset of ω ω .
Proof. We prove the lightface version, the second one being obtained by relativization.
Again, without loss of generality, we may assume that the Luzin-recursive space A
is a ∆11 -subset of ω ω , by Theorem 3.5.14. Let f : ω ω Ñ ω ω be recursive, with α P A Ø
f pαq P WO, by Theorem 4.3.1. As f pAq is Σ11 in WO, there is by Theorem 4.4.3 a
recursive α0 P WO such that
αPA ÐÑ f pαq P WO ^ |f pαq| ď |α0 | .
Using the Π01 relation R of the proof of Theorem 5.1.12, we get
αPA ÐÑ Dβ Rpα, α0 , βq
ÐÑ D!β Rpα, α0 , βq.
So if we set β P B Ø Rppβq0 , α0 , pβq1 q and let ϕ : ω ω Ñ ω ω be defined by ϕpβq “ pβq0 ,

we get that B is Π01 in ω ω , ϕ is 1–1 on B and ϕpBq “ A as desired. %
117
5 Uniformizations
5.2 Coding Borel sets. HYP sets and the Suslin-Kleene

Theorem
5.2.1 Coding of Borel sets
We define a set BC of Borel codes, by induction as the least subset of ω ω satisfying:
(1) If α P 2ω , αp0q “ 0 and cardtn : αpnq “ 1u “ 1, α P BC,
(2) If α “ 1a β and β P BC, then α P BC,
(3) If α “ 2a β and for all n, pβqn P BC, where as usual pβqn pmq “ βpxn, myq, then
α P BC.
Define α` as the unique β with α “ αp0qa β, and set
BC0 “ α P 2ω : αp0q “ 0 ^ cardtn : αpnq “ 1u “ 1

(
and for each subset S of ω ω define
ΦpSq “ α P ω ω : α P S _ pαp0q “ 1 ^ α` P Sq _ pαp0q “ 2 ^ @n pα` qn P Sq .

(
Then by definition BC “ Φ8 pBC0 q. As BC0 is Π01 and Φ is clearly Π11 on Π11 , we

get by Theorem 4.5.3 that BC is a Π11 subset of ω ω .
Let now X be a recursive space. We define a function π : α ÞÑ Bα from BC into the
Borel subsets of X by
(1) If α P BC0 ,
#
H if αp1q “ 1,
Bα “
VnX if n is the unique integer with αpn ` 2q “ 1.
(2) If α “ 1a α` , Bα “ XzBα` .
(3) If α “ 2a α` , Bα “ n Bpα` qn .
Ť
One immediately checks that this indeed defines a function : BC Ñ BorelpXq. And
it is onto BorelpXq, as the set of coded sets contain the basic open sets, and is closed
under countable unions and complements (the only point to note is that by the form of
the coding, we only encode non empty unions, so that we have to encode H separately).
We will refer to the coding function π for X as π X , and to the set coded in X by
α P BC as BαX , if it is necessary to avoid confusion.
118
5.2 Coding Borel sets
5.2.2 HYP sets

Definition 5.2.1. A set B Ď X is hyperarithmetical if for some recursive α P BC,
B “ Bα . We denote by HYP the set of hyperarithmetical sets, i.e. of Borel subsets of
X which admit a recursive code.
Similarly, for α P ω ω , we denote by HYPpαq, the set of hyperarithmetical-in-α sets,
the family of Borel sets which admit a recursive-in-α code.
Proposition 5.2.2. For any recursive space X, HYP Ď ∆11 , and HYPpαq Ď ∆11 pαq.
Proof. It is enough to prove that the relations
R0 pα, xq ÐÑ α P BC ^ x P Bα
1
and R pα, xq ÐÑ α P BC ^ x R Bα
are two Π11 relations in ω ω ˆ X. For then if α P BC is recursive,
x P Bα ÐÑ R0 pα, xq ÐÑ R1 pα, xq
is ∆11 in X, and similarly for α recursive in β.

Now BC, R0 and R1 are defined by a simultaneous induction starting from the ∆02
sets BC0 , P00 and P01 defined by
P00 “ pα, xq : α P BC0 ^ Dn αpn ` 2q “ 1 ^ x P VnX

` ˘(
and P01 “ pα, xq : α P BC0 ^ @n αpn ` 2q “ 1 Ñ x P VnX ,

` ˘(
and using the three Π11 on Π11 operators Ψ, Φ0 and Φ1 defined by:
I changed the
0 1 a ` ` operators so that
pα, xq P ΨpS, T , T q Ø pα P Sq _ pα “ 1 α ^ α P Sq
they are inductive
_ pα “ 2a α` ^ @n pα` qn P Sq and the notations to
facilitate (?) the
pα, xq P Φ0 pS, T 0 , T 1 q Ø pα, xq P T 0 reading. – YP
_ pα “ 1a α` ^ α` P S ^ pα` , xq P T 1 q
_ pα “ 2a α` ^ @n pα` qn P S ^ Dn ppα` qn , xq P T 0 q
pα, xq P Φ1 pS, T 0 , T 1 q Ø pα, xq P T 1
_ pα “ 1a α` ^ α` P S ^ pα` , xq P T 0 q
_ pα “ 2a α` ^ @n pα` qn P S ^ @n ppα` qn , xq P T 1 q
as the reader may easily check.

precisely, how do we
By Moschovakis’ Theorem 4.5.3, we get that R0 and R1 are Π11 , as desired. % apply Moschovakis’
theorem? – YP
5.2.3 The Suslin-Kleene theorem
Theorem 5.2.3 (Suslin-Kleene). Let X be a Suslin-recursive space, and let A0 , A1 be
two disjoint Σ11 subsets of X. There is an HYP set B in X which separates A0 from
A1 , i.e. satisfies
A0 Ď B and B X A1 “ H.
119
5 Uniformizations
In particular, in each Suslin-recursive space,
HYP “ ∆11 .
We will break the proof of this result in steps. Note that the second statement is an
easy consequence of Proposition 5.2.2, and the first statement of the theorem. For if
X is Suslin-recursive and B Ď X is ∆11 , we can apply the first statement to A0 “ B
and A1 “ XzB, which are Σ11 in X, so that B, which is the only set separating A0
from A1 , must be in HYP.
5.2.4 A “constructive” proof of Suslin’s Theorem 4.4.6

The proof we gave in Subsection 4.4.3 that BorelpXq “ ∆11 pXq for a Suslin space X is
not very constructive. We now will give a different proof (this is a version of Suslin’s
original proof) which will then be “effectivized” to give the Theorem 5.2.3.
We work in X “ ω ω . Let A0 , A1 be two Σ11 sets in X. By Theorem 4.1.4, we can
pour moi, c’est
plutÙt la version find trees T0 and T1 on ω ˆ ω such that
boldface de
Theorem 4.1.7 (ii) – α P A0 ÐÑ Dβ @n pαn , βn q P T0
YP and α P A1 ÐÑ Dβ @n pαn , βn q P T1 .
Let S be the tree on ω ˆ ω ˆ ω defined by
pu, v, wq P S ÐÑ lh u “ lh v “ lh w ^ pu, vq P T0 ^ pu, wq P T1 .
Clearly if pα, β, γq P rSs, then α P A0 XA1 . So if A0 XA1 “ H, the tree S is wellfounded

(and conversely, in fact).
We then define, inductively on S, sets Cu,v,w,n,m,p,q , for all u, v, w P ω ăω of the same
length and all n, m, p, q P ω by the conditions
(1) if n ‰ m, or if n “ m and pua n, wa qq R T1 , set
Cu,v,w,n,m,p,q “ tα P ω ω : ua n Ď αu,
(2) if n “ m and pua n, wa qq P T1 , pua n, v a qq R T0 , set
Cu,v,w,n,m,p,q “ H,
(3) in the remaining case, i.e. m “ n and pua n, v a p, wa qq P S, define

ď č
Cu,v,w,n,m,p,q “ Cua n,va p,k,l,r,s ,
k,rPω l,sPω
if those sets have already been defined.
120
As S is wellfounded, the sets Cu,v,w,n,m,p,q are defined: For if they are not defined for
some pu, v, wq and n, m, p, q, we have pu, v, wq P S and n “ m by (1) and (2). Pick
then a least pu, v, wq in S (for reverse inclusion) for which Cu,v,w,n,m,p,q is not defined.
Then (3) defines it.
Define for u, v, w of the same length
Au,v ω
(
0 “ α P ω : u Ď α ^ Dβ pv Ď β ^ pα, βq P rT0 sq ,
and similarly Au,w “ α P ω ω : u Ď α ^ Dβ pw Ď β ^ pα, βq P rT1 sq ,
(
1
ď č
and Bu,v,w “ Cu,v,w,n,m,p,q
n,pPω m,qPω
(so that (3), for pua n, v a p, wa qq P S, can be rewritten Cu,v,w,n,m,p,q “ Bua n,va p,wa q ).
We claim that
a n,v a p a m,w a q
(i) for all u, v, w, n, m, p, q, Cu,v,w,n,m,p,q separates A0u from Au1 ,
(ii) for pu, v, wq P S, Bu,v,w separates Au,v u,w
0 from A1 .
a a a a
(i) is clear if n ‰ m, for then Au0 n,v p Ď tα : ua n Ď αu which is disjoint from A1v n,w q ,
which is contained in tα : ua m Ď αu.
a a
Suppose now n “ m, and pua n, v a p, wa qq R S. If pua n, wa qq R T1 , Au1 n,w q “ H,
a a
hence tα : ua n Ď αu separates A0u n,v p from it.
So it remains to prove (i) when pua n, v a p, wa qq P S, i.e. to prove that for all
pu, v, wq P S, (ii) holds. This done by induction on S: We may assume that (i) has
been proved for u, v, w and all n, m, p, q. Now note that
ď ď ua n,va p ď ď ua m,wa q
Au,v
0 “ A0 and Au,w1 “ A1 .
n p m q
a a
By the induction hypothesis, for all m, q Au0 n,v p Ď Cu,v,w,n,m,p,q hence
a a č
Au0 n,v p Ď Cu,v,w,n,m,p,q
m,q
and
ďč
Au,v
0 Ď Cu,v,w,n,m,p,q “ Bu,v,w .
n,p m,q
a m,w a q
Similarly for all n, p Au1 X Cu,v,w,n,m,p,q “ H, hence
č
Au,w
1 X Cu,v,w,n,m,p,q “ H
m,q
and hence
ďč
Au,w X Cu,v,w,n,m,p,q “ H.
n,p m,q
121
5 Uniformizations
This finishes the proof of the claim.

Finally note that all Cu,v,w,n,m,p,q and Bu,v,w are Borel: This is clear for (1) and (2),
and is easily proved by induction on S for clause (3). Finally, pH, H, Hq P S and
BH,H,H is a Borel set which separates A0 “ AH,H 0 from A1 “ AH,H1 , as desired. This
proves Suslin’s Theorem 4.4.6.
5.2.5 The case of ω ω

The preceding procedure gives, for two trees T0 and T1 on ω ˆω with D1 rT0 sXD1 rT1 s “
L: p rT0 s – YP
H a unique Borel set BH,H,H which separates A0 “ D1 rT0 s from A1 “ D1 rT1 s. In case
A0 and A1 are Σ11 subsets of ω ω , we can choose T0 and T1 recursive in the codes, i.e.
such that tpm, nq : psn , sm q P Ti u is recursive, for i “ 0 or 1, by Theorem 4.1.7 (ii).
And the proof of Theorem 5.2.3, for X “ ω ω reduces to showing that for such trees T0
and T1 , the set BH,H,H is in HYP, i.e. that we can compute a recursive Borel code for
it. Of course, we need to compute recursive Borel codes for Cu,v,w,n,m,p,q , and as these
sets are defined by induction, we will use Kleene’s Recursion Theorem 1.4.5.
To do so, we need first to encode the recursive elements of BC (so we are encoding
codes!). Let W 2 Ď ω 2 be our good universal set for Σ01 subsets of ω 2 , and define
bc “ tn P ω : Wn2 is the graph of some α P ω ω which is in BCu
and for each n P bc, let tnu be the corresponding

( be the corresponding element of
BC. As W 2 is ( universal, tnu : n P bc is the set of recursive reals in BC, hence
Btnu : n P bc is the set HYP, in any recursive space.
Lemma 5.2.4.
(i) There is a recursive ϕ1 : ω Ñ ω such that if n P bc, ϕpnq P bc and Btϕpnqu “

Btnu .
(ii) There is a recursive ϕ2 : ω Ñ ω such that if W 3 is our good universal set for Σ01
subsets of ω 3 and n P ω is such that for all m Wn,m
3 is the graph of function αn,m
in BC, then ϕ2 pnq P bc and
ď
Btϕ2 pnqu “ Bαn,m .
m
(iii) There is a recursive function ϕ3 : ω 4 Ñ ω such that if W 9 Ď ω 10 is our good

universal set for Σ01 subsets of ω 9 , and x “ pn0 , n1 , n2 , n3 q is such that for all
y “ pn4,n5 ,n6 ,n7 q the set Wx,y is the graph of a function αx,y P BC, then ϕ3 pxq P
bc, and ď č
Btϕ3 pxqu “ Bx,pn4 ,n5 ,n6 ,n7 q .
n4 ,n6 Pω n5 ,n7 Pω
122
Proof. (i) Define
pn, p, qq P A ÐÑ pp “ 0 ^ q “ 1q _ pp ą 0 ^ pn, p ´ 1, qqq P W 2 .
Clearly A is Σ01 , hence as W 2 is good, there is a recursive ϕ1 : ω Ñ ω with

An “ Wϕ21 pnq . But clearly if Wn2 is the graph of a function α P ω ω , An is the
graph of 1a α, so ϕ1 satisfies (i).
(ii) Similarly let
pn, p, qq P B Ø pp “ 0 ^ q “ 2q _ pp ą 0 ^ pn, pp ´ 1q0 , pq ´ 1q0 , qq P W 3 q.
Again B is Σ01 , so for some recursive ϕ2
Bn “ Wϕ22 pnq .
3
Now if for all m, Wn,m is the graph of a function αm , then Bn is the graph of the
a
function 2 α, where αpxk, lyq “ αk plq. This easily shows that ϕ2 satisfies (ii).
(iii) is easy using ϕ1 and ϕ2 : By the S-m-n Theorem 1.4.4, pick first f1 recursive
this is S72 – YP
: ω 8 Ñ ω such that
pf1 px, n4 , n5 , n6 , n7 q, n, mq P W 2 ÐÑ px, n4 , n5 , n6 , n7 , n, mq P W 9
and set
px, n4 , n5 , n6 , n7 , n, mq P A1 ÐÑ pϕ1 ˝ f1 px, n4 , n5 , n6 , n7 q, n, mq P W 2 .
A1 is Σ01 , so pick a recursive f2 : ω 6 Ñ ω such that
pf2 px, n4 , n6 q, xn5 , n7 y , n, mq P W 3 ÐÑ px, n4 , n5 , n6 , n7 , n, mq P A1
and set
px, n4 , n6 , n, mq P A2 ÐÑ pϕ1 ˝ ϕ2 ˝ f2 px, n4 , n6 q, n, mq P W 2 .
Again A2 is Σ01 , so pick a recursive f3 : ω 4 Ñ ω with
pf3 pxq, xn4 , n6 y , n, mq P W 3 ÐÑ px, n4 , n6 , n, mq P A2 .
Finally set ϕ3 “ ϕ2 ˝ f3 . The proof that ϕ3 works is immediate form the defini-
tions, and left to the reader. %
From this lemma, the proof of the Suslin-Kleene Theorem for ω ω is easy.
Recall that for u, n, p P ω the relation su a n “ sp is recursive (cf. Subsection 1.1.9).
rÈf ajoutÈ – YP
123
5 Uniformizations
Let T0 and T1 be recursive (in the codes) trees on ω ˆ ω. Following the definition of
Cu,v,w,n,m,p,q in Subsection 5.2.4 set, for pe, u, v, w, n, m, p, q, k, lq P ω 10
pe, u, v, w, n, m, p, q, k, lq P A ÐÑ
either (1) pn ‰ m _ psu a n, sw a qq R T1 q
^ Di su a n “ si ^ pk ‰ i ` 2 ^ l “ 0q _ pk “ i ` 2 ^ l “ 1q
` ˘
or (2) pn “ m ^ psu a n, sw a qq P T1 ^ psu a n, sv a pq R T0 q

` ˘
^ pk ‰ 1 ^ l “ 0q _ pk “ 1 ^ l “ 1q
or (3) n “ m ^ psu a n, sw a qq P T1 ^ psu a n, sv a pq P T0
^ Di0 , i1 , i2 su a n “ si0 ^ sv a p “ si1 ^ sw a q “ si2
“
^ pϕ3 pe, i0 , i1 , i2 q, k, lq P W 2 .
‰
As T0 , T1 are recursive in the codes, A is Σ01 in ω 10 so we can apply Kleene’s Recursion

Theorem 1.4.5: there is e0 P ω such that
Ae0 “ We90 .
And by the definition of A and the choice of ϕ3 , it is a simple matter to show that
if D1 rT0 s X D1 rT1 s “ H then for each pu, v, w, m, n, p, qq the set Ae0 ,u,v,w,m,n,p,q is the
graph of a function αu,v,w,m,n,p,q P ω ω which is in BC, and moreover codes the Borel set
Csu ,sv ,sw ,m,n,p,q of Subsection 5.2.4, by induction on the wellfounded tree S associated
to T0 and T1 .
Then ϕ3 pe0 , u, v, wq P bc and codes a function αu,v,w P BC with Bαu,v,w “ Bsu ,sv ,sw
of Subsection 5.2.4, so that finally as s0 “ H, the number ϕ3 pe0 , 0, 0, 0q P bc and
codes a recursive function tϕ3 pe0 , 0, 0, 0qu in BC which codes a HYP set separating
A0 “ D1 rT0 s from A1 “ D1 rT1 s.
Note that the preceding construction is clearly uniform in T0 and T1 , i.e. there is
a recursive function f : ω ˆ ω Ñ ω such that if Wn2 and Wm 2 are, respectively, the
sets tpk, lq : psk , sl q P T0 u and tpk, lq : psk , sl q P T1 u, and D1 rT0 s X D1 rT1 s “ H, then
f pn, mq P bc and codes the corresponding separating HYP set. To see this, one just
uses the uniform version of the uniform version of the Recursion Theorem, namely
Theorem 1.4.6.
5.2.6 The general case

To finish the proof of Theorem 5.2.3, we use the transfer function from Subsection 3.5.8.
L: the transfer
theorem 3.5.8 – YP Starting with X Suslin-recursive and A0 , A1 disjoint Σ11 sets in X, consider A˚0 “
iX pA0 q and A˚1 “ iX pA1 q. By Theorem 3.5.11, A˚0 and A˚1 are Σ11 in ω ω , and still
Once again,
A˚ ´1 1 disjoint, so we can find a HYP set B ˚ which separates A˚0 from A˚1 . It remains to show
0 “ jX pA0 q is Σ1
that i´1 ˚ 0 ω
in X since
p X pB q “ B is HYP in X. Recall that iX is ∆2 -recursive : X Ñ ω . So the
jX : Xp Ñ X is following lemma will finish the proof of Theorem 5.2.3.
recursive and A0 is
Σ11 in X, but X p is Σ11
in ω ω by
Theorem 3.5.11, so
1 ω
A˚ 0 is Σ1 in ω – YP
ajoutÈ – YP 124
Lemma 5.2.5. In any recursive spaces X and Y :
(i) Every arithmetical set is hyperarithmetical. In fact if A Ď ω ˆ X is Σ0k , there is

a recursive function ϕ : ω Ñ ω such that for all n, ϕpnq P bc and tϕpnqu codes
An .
(ii) If f : X Ñ Y is ∆0k -recursive, then for any HYP set B Ď Y , f ´1 pBq is HYP
in X. In fact there is a recursive ψ : ω Ñ ω such that if n P bc, ψpnq P bc and
X
Btψpnqu Y q.
“ f ´1 pBtnu
Proof. (i) is by induction on k. First let k “ 1. Then for some A˚ in ∆01

´ ¯
X ˚
pn, xq P A ÐÑ Dk x P Vpkq 0
^ A pn, pkq 1 q .
Define
“
pn, k, p, qq P B ÐÑ either A˚ pn, pkq1 q ^ pp ‰ pkq0 ` 2 ^ q “ 0q
‰
_ pp “ pkq0 ` 2 ^ q “ 1q
“
or A˚ pn, pkq1 q ^ pp ‰ 1 ^ q “ 0q
‰
_ pp “ 1 ^ q “ 1q .
B is Σ01 in ω 4 , and for each pn, kq Bn,k is the graph of a function in BC0 which
codes in X the set Vpkq X if A˚ pn, pk qq holds, and H otherwise.
0
1
Pick then g recursive : ω Ñ ω with pn, k, p, qq P B Ø pgpnq, k, p, qq P W 3 , and

define ϕ “ ϕ2 ˝ g, where ϕ2 is the recursive function of Lemma 5.2.4 (ii). Clearly
ϕ works.
Suppose now we know the result for Σ0k , in all recursive spaces X, and let A Ď
ω ˆ X be Σ0k`1 , so that for some B in Σ0k in ω ˆ X
pn, xq P A ÐÑ Dkpxk, ny , xq P B.
By the induction hypothesis, let ϕ : ω Ñ ω be recursive and such that

X
Bxk,ny “ Btϕpxk,nyqu
and set pn, k, p, qq P C Ø pϕ1 ˝ ϕpxk, nyq, p, qq P W 2 where ϕ1 is the recursive

function of Lemma 5.2.4 (i). Pick g recursive : ω Ñ ω with pn, k, p, qq P C Ø
pgpnq, k, p, qq P W 3 and let finally
ϕ1 “ ϕ2 ˝ g
where ϕ2 is the recursive function of Lemma 5.2.4 (ii). It should be clear that ϕ1
works.
125
5 Uniformizations
(ii) Let f : X Ñ Y be ∆0k -recursive, so that
Df “ tpn, xq : f pxq P VnY u is Σ0k in ω ˆ X.
Applying part (i), we get a recursive ϕ : ω Ñ ω such that for all n, ϕpnq P bc
X
and Btϕpnqu “ f ´1 pVnY q.
Define pn, p, qq P B0 Ø pn, p ` 1, qq P W 2 , and pick g0 recursive with pn, p, qq P
B0 Ø pg0 pnq, p, qq P W 2 . Then clearly if n codes a function α, g0 pnq codes α` .
Similarly define pm, n, p, qq P B1 Ø pn, xm, py ` 1, qq P W 2 , and pick g1 recursive
with pg1 pm, nq, p, qq P W 2 Ø pm, n, p, qq P B1 . Clearly if n codes a function α,
then for all m, g1 pm, nq codes pα` qm .
Define now
pe, n, p, qq P A ÐÑ
(1) pn, 0, 0q P W 2 ^ pn, 1, 1q P W 2 ^
“ ‰
pp ‰ 1 ^ q “ 0q _ pp “ 1 ^ q “ 1q
or (2) pn, 0, 0q P W 2 ^
Dk pn, k ` 2, 1q P W 2 ^ pϕpkq, p, qq
“ ‰
”
or (3) pn, 0, 1q P W 2 ^ pp “ 0 ^ q “ 1q
ı
3
_ pp ą 0 ^ pe, g0 pnq, p ´ 1, qq P W q
”
or (4) pn, 0, 2q P W 2 ^ pp “ 0 ^ q “ 2q
ı
_ pp ą 0 ^ pe, g1 ppp ´ 1q0 , nq, pp ´ 1q1 , qq P W 3 q .
A is Σ01 , hence by Kleene’s Recursion Theorem 1.4.5 for some e0
Ae0 “ We30 .
And finally for some recursive g2 : ω 2 Ñ ω

L: e0 instead of e –
YP
pe, n, p, qq P A ÐÑ pg2 pe, nq, p, qq P W 2 .
We claim ψpnq “ g2 pe0 , nq is the recursive function we wanted. Note that

2
Wψpnq “ Ae0 ,n . The proof is by induction on n P bc.
pas trËs clair pour
moi... – YP (1) Suppose first tnup0q “ 0, tnup1q “ 1, so Btnu “ H. Then by (1) above,
Ae0 ,n is the graph of the function coding H.
(2) Suppose now tnup0q “ 0 and tnupk ` 2q “ 1 for some (unique) k, so Btnu
codes VkY . Then by p2q above, Ae0 ,n is the graph of the function coded by
ϕpkq, which by the choice of ϕ codes f ´1 pVkY q.
126
(3) tnup0q “ 1. Then by choice of g0 , tnu codes Btg Y . And by the induction
0 pnqu
hypothesis Ae0 ,g0 pnq is the graph of a function α which codes f ´1 pBtnu Y q. But
by (c) above, as Ae0 ,n “ We30 ,n , Ae0 ,n is the graph of 1a α. Hence it is in

BC, and codes
` Y ˘ ` Y
˘ ` Y ˘
f ´1 Btg 0 pnqu “ f ´1
B tg 0 pnqu “ f ´1
Btnu ,
as desired.
(4) is similar: If tnup0q “ 2, then by choice of g1
ď
Y Y
Btnu “ Btg 1 pm,nqu
m
and by induction hypothesis We30 ,g1 pm,nq “ Ae0 ,g1 pm,nq is the graph of a
` Y ˘
function αm which codes f ´1 Btg 1 pm,nqu
. But then by condition (4) above,
Ae0 ,n is the graph of the function α with αp0q “ 2 and pα` qm “ αm for all
m, i.e. is in BC and codes
ď ´ď ¯
Y
f ´1 pBtg1 pm,nqu q “ f ´1 Btg 1 pm,nqu
“ f ´1 pBtnu q
m m
as desired. %
5.2.7 B “ HYP
Corollary 5.2.6. In any recursive space X,
B “ HYP.
Proof. The class B is preserved under recursive isomorphisms, and so is HYP by

Lemma 5.2.5. So we can assume X is a subspace of some Polish recursive space
Y . But then, VnX “ VnY X X, one immediately gets by induction that for α P BC,
BαX “ BαY X X.
So if A is HYP in X, i.e. for some recursive α, A “ BαX and then A “ BαY X X,
hence as BαY is ∆11 in Y , A is a B-set. Conversely if A is a B-set in X, A “ A˚ X X
for some ∆11 A˚ in Y , and by the Suslin-Kleene Theorem 5.2.3 A˚ “ BαY for some
recursive α, so that finally A “ BαX is HYP. %
5.2.8 The hyperarithmetical hierarchy

We now introduce hierarchies Σ0ξ , Π0ξ , ∆0ξ , Σ0ξ pαq, Π0ξ pαq, ∆0ξ pαq, and Σ0ξ , Π0ξ , ∆0ξ using
our coding BC of Borel sets.
Define for S Ď ω ω
ΦΣ pSq “ tα : αp0q “ 2 ^ @n pα` qn P Su

and ΦΠ pSq “ tα : αp0q “ 1 ^ α` P Su.
127
5 Uniformizations
Define inductively BCΣ Π

ξ and BCξ , for ξ ě 1 by
BCΠ
0 “ BC0
´ď ¯
BCΣ
ξ “ Φ Σ
BCΠ
η
ηăξ
and BCΠ
ξ “ Φ pBCΣ
Π
ξ q.
BCΣ BCΠ
Ť Ť
Clearly BC “ ξăω1 ξ “ ξăω1 ξ , and by Theorem 4.5.5 the relations
β P WO ^ α P BCΣ
|β|
and β P WO ^ α P BCΠ
|β|
are Π11 in ω ω ˆ ω ω . By Proposition 5.2.2, we also get that

β P WO ^ α P BCΣ X
|β| ^ x P Bα
β P WO ^ α P BCΣ X
|β| ^ x R Bα
are Π11 in ω ω ˆ ω ω ˆ X, and similarly Π instead of Σ.

Theorem 5.2.7. Let X be a recursive space.
(i) For ξ ă ω1 , A Ď X is of additive (resp. multiplicative) class ξ iff it admits a
Borel code in BCΣ Π
1`ξ (resp. BC1`ξ ).
(ii) A Ď X is Σ0n (resp. Π0n ) iff it admits a recursive Borel code in BCΣ Π
n (resp. BCn ).
Proof. (i) is by induction on ξ. For ξ “ 0, the sets which are coded in BCΣ 1 are all
unions of basic sets VnX , including the empty set, i.e. all the open sets. Assuming
the result is known for BCΣ 1`η for all η ă ξ, we immediately get it for BC1`η
Π
Σ
(for η ă ξ), and then by definition of BC1`ξ , we get that a set admits a Borel
code in BCΣ 1`ξ iff it is a countable union of sets which admit a Borel code in
Ť Π
ηăξ BC1`η . This clearly gives the result.
(ii) is similar. First if A P Σ0k , we have shown that A is a HYP set in Lemma 5.2.5 (i),
by computing a recursive Borel code for it. Going back to that proof, one easily
checks that the code computed there is in fact in BCΣ k.
For the converse, it is enough to show for all k that if f : ω Ñ ω is recursive
with values in BCΣ X 0
k , the set tpn, xq : x P Bf pnq u is Σk in ω ˆ X. This is easy
for k “ 1. And assuming it for k, and letting f : ω Ñ BCΣ k`1 be recursive, the
function g : xm, ny ÞÑ ppf pnq qm q is recursive, and takes value in BCΣ
` `
k , so that
! )
X
B “ pm, n, xq : x P Bgpxm,nyq
is Σ0k , and as
x P BfXpnq ÐÑ Dm pm, n, xq R B,
we get the result. %
128
5.3 Complements on ω1CK and the ω1CK´α
From this theorem, we can define
Σ0ξ “ A Ď X : A admits a recursive code in BCΣ

(
ξ
Π0ξ “ Σ0ξ “ A Ď X : A admits a recursive code in BCΠ
(
ξ
and ∆0ξ “ Σ0ξ X Π0ξ
as there is no ambiguity for ξ ă ω, by Theorem 5.2.7 (ii).

We also define the corresponding relativizations Σ0ξ pαq, Π0ξ pαq and ∆0ξ pαq “ Σ0ξ pαq X
L:∆0ξ pαq “
Π0ξ pαq. Σ0ξ pαq X Π0ξ – YP
Finally, if we set Σ0ξ “ αPωω Σ0ξ pαq, and similarly for Π0ξ and ∆0ξ , we get that the
Ť
additive (resp. multiplicative) Borel class ξ corresponds to Σ0ξ (resp Π0ξ ). This is the
notation we will use from now on to denote the Borel classes.
The operator ΦΣ and ΦΠ used to build the sets BCΣ Π
ξ and BCξ are not inductive — in
fact these sets, for ξ ă ω1 , are all disjoint. However the operator Φ of Subsection 5.2.1
used to build BC is inductive, and clearly ΦΣ pSq Ď ΦpSq and ΦΠ pSq Ď ΦpSq for all S.
trop rapide pour moi!
It follows, by Moschovakis’ Theorem 4.5.3, that if α P BCΣ ξ is recursive , then – YP
CK Σ 1
ξ ă ω1 . Now if α P BCξ is recursive for some ξ, then tαu is ∆1 and tαu Ď Φ8 pBC0 q.
I’d at least say: – YP
It follows by Moschovakis’ Theorem 4.5.3 that there is some η ă ω1CK with x P Φη pBC0 q.
Therefore ξ ď η and ξ ă ω1CK . – YP So the hierarchy pΣ0ξ , Π0ξ , ∆0ξ q is interesting only
for ξ ă ω1CK , and similarly pΣ0ξ pαq, Π0ξ pαq, ∆0ξ pαqq for ξ ă ω1CK´α , the first ordinal not
recursive in α.
The classes Σ0ξ , Π0ξ for ξ ă ω1CK , share many properties of the classes Σ0n , Π0n of
the arithmetical hierarchy, e.g the closure properties stated in Proposition 3.2.2, the
inclusion diagram of Theorem 3.2.3 and the existence of (good) universal sets.
Proofs are straightforward but rather tedious — as one usually needs heavy uses of
the recursion theorem, as we did e.g. in Lemma 5.2.5. We leave them as exercises (see
rÈf manquante – YP
??).

5.3.1 Complexity of WOω1CK
Proposition 5.3.1.
(i) If ξ ă ω1 admits a ∆11 -recursive code, ξ is a recursive ordinal. Hence
ω1CK “ supt|α| : α P ∆11 X WOu

“ least non ∆11 -recursive ordinal.
(ii) The set WOωCK is a Π11 non Σ11 subset of ω ω .

1
Proof. (i) If α P WO is ∆11 -recursive, then tαu is ∆11 in ω ω , hence by the Boundedness
Theorem 4.4.3 |α| ă ω1CK . This proves (i).
129
5 Uniformizations
(ii) To see that WOωCK is Π11 , not that by (i)

1
α P WOωCK ÐÑ Dβ P ∆11 pβ P WO ^ |α| ď |β|q.

1
By closure of Π11 under D∆ (cf. Theorem 5.1.4), WOωCK is Π11 .

1
To see that WOωCK is not Σ11 ,pick a Π11

non Σ11
subset A of ω by Theorem 3.3.7.
1
ω
By Theorem 4.3.1 there is a recursive f : ω Ñ ω such that n P A Ø f pnq P WO.
But clearly f pnq is recursive, hence n P A Ø f pnq P WOωCK . So WOωCK cannot
1 1
be Σ11 . %
5.3.2 Kleene’s O
Theorem 5.3.2.
(i) There is in ω ˆ ω a Π11 relation O such that
(a) O is a wellordering of dom O “ tn : pn, nq P Ou of length ω1CK ,
(b) O is ∆11 in dom O ˆ ω.
(ii) Similarly, there is a Π11 relation O on ω ω ˆ ω ˆ ω such that for each α Oα “

tpn, mq : pα, n, mq P Ou satisfies
(a) Oα is a wellordering of dom Oα “ tn : pα, n, nq P Ou of length ω1CK´α ,
(b) Oα is ∆11 pαq in dom Oα ˆ ω.
Proof. (i) Let A be any Π11 non Σ11 subset of ω by Theorem 3.3.7, and by Theo-
rem 4.3.1 let f be a recursive function with n P A Ø f pnq P WO Ø f pnq P
WOωCK . As A is not ∆11 , we have supt|f pnq| : n P Au “ ω1CK .
1
Define
` ˘(
A˚ “ n P A : @m ă n m R A _ |f pmq| ă |f pnq| _ |f pnq| ă |f pmq| .
Clearly A˚ is Π11 , and n ÞÑ |f pnq| is one-to-one on it. And as t|f pnq| : n P A˚ u “

t|f pnq| : n P Au, ω1CK “ supt|f pnq| : n P A˚ u.
The relation n P A˚ ^ pm R A˚ _ |f pnq| ď |f pmq|q is Π11 in A˚ ˆ ω, for it is
equivalent to
L: p.192 – YP
“ ` ˇ ˇ ˘
n P A˚ ^ m R A _ m P A ^ Dm1 ă mpm1 P A ^ ˇf pm1 qˇ “ |f pmq|q
‰
_ |f pnq| ď |f pmq|
which is Π11 . Also
n P A˚ ^ pm R A˚ _ |f pnq| ă |f pmq|q
` ˘
ÐÑ n P A˚ ^ m R A˚ _ p|f pnq| ď |f pmq| ^ n ‰ mq
130
is Π11 , so that if we set
O “ tpn, mq : n P A˚ ^ m P A˚ ^ |f pnq| ď |f pmq|u,
O is a Π11 set which is a wellordering on A˚ “ dom O, and which is a Π11 -

prewellordering on it. It remains to show that lhpOq is ω1CK . Certainly lhpOq ď
ω1CK , as for any m P A˚ , lhpm, Oq ď |f pmq|. Suppose that lhpOq ă ω1CK , and
pick a recursive α P WO with lhpOq “ |α|. Let
#
0 if n R Dα ,
βpnq “ ˚
the unique m P A with lhpm, Oq “ |α|n| if n P Dα ,
where pn, αq ÞÑ α|n is the recursive function of Proposition 4.2.3 (i). Clearly
ajoutÈ – YP
β P ∆11 , hence A˚ “ tm : Dn P Dα m “ βpnqu is ∆11 too. But this contradicts
ω1CK “ supt|f pnq| : n P A˚ u.
(ii) is similar, starting with a Π11 set A Ď ω ω ˆ ω such that for each α P ω ω , Aα is a
comment
Π11 pαq non Σ11 pαq subset of ω. We skip the details. % montre-t-on qu’un tel
ensemble existe? –
Note. A variant of the wellordering O is known in the literature as “Kleene’s O”. YP
5.3.3 ω1CK as the domain of wellfoundedness of a recursive ordering

There is another interesting way of “representing” ω1CK (and the ω1CK´α ), given by the
following:
Theorem 5.3.3.
(i) There is a recursive linear ordering R on ω such that RDpRq is a wellorder-

ing of type ω1CK , where DpRq denotes the domain of wellfoundedness of R (see
Subsection 4.4.5).
(ii) Similarly, there is a recursive R Ď ω ω ˆ ω such that for each α P ω ω , Rα is a

linear ordering and Rα DpRα q is a wellordering of type ω1CK´α .
Proof. (i) Let T be a recursive tree on ω such that A “ rT s is a non empty Π01 set
with no ∆11 member (such a tree exists by Theorem 5.1.11 (i) and the proof of
ajoutÈ,
Theorem 4.1.7). Define correspondance
fermÈs-arbres – YP
sn R T ^ sm R T ^ n ă m
Rpn, mq ÐÑ or sn P T ^ sm R T
or sn P T ^ sm P T ^ sn ďBK sm .
As the Brouwer-Kleene ordering is recursive, and T is recursive too, R is recursive,

and is clearly a linear ordering, of type t1 ` t2 , where t1 is the order type of tn :
sn P T u in the Brouwer-Kleene ordering, and t2 is the order type of tn : sn R T u
in the usual ordering. We now show that R works.
131
5 Uniformizations
Let A “ DpRq. By Theorem 4.4.8, A is Π11 in ω. And as for n P A, Rtm : m‰n^Rpm,nqu

is a recursive wellordering, lhpn, Rq ă ω1CK .
So it remains to show that lhpRDpRq q “ supnPA lhpn, Rq is ω1CK . Otherwise for
some recursive α P WO, lhpRDpRq q “ |α| and as in the proof of Theorem 5.3.2,
we can define
#
0 if n R Dα ,
βpnq “
the unique m P A with lhpm, Rq “ |α|n| if n P Dα ,
where pn, αq ÞÑ α|n is the recursive function of Proposition 4.2.3 (i). This β is
ajoutÈ – YP
∆11 , so that A “ tm : Dn P Dα βpnq “ mu is also ∆11 . But then ωzDpRq is also
L: RzDpRq – YP
∆11 , and by definition of DpRq,
@m P ωzDpRq Dn P ωzDpRq pn ‰ m ^ Rpn, mqq.
By ∆11 -uniformization (Theorem 5.1.6), there is a ∆11 function f : ωzDpRq Ñ

ωzDpRq such that for all n, f pnq ‰ n ^ Rpf pnq, nq. As T is not wellfounded,
pick n0 P ωzDpRq with sn0 P T , and define g : ω Ñ ω by gp0q “ n0 and
gpn ` 1q “ f pgpnqq. Clearly g is ∆11 -recursive, and the sequence sgpnq is in T and
strictly decreasing for the Brouwer-Kleene ordering. So to get a contradiction, it
is enough to get from this sequence a ∆11 member of rT s. To do so, we follow the
proof of Proposition 4.2.5: Define
` ˘
αpnq “ least k @l ě k plhpsgplq q ą n ^ @i ď n sgplq piq “ sgpkq piqq .
We proved in Proposition 4.2.5 that α is well defined, and that β defined by

βpnq “ sgpαpnqq pnq is an infinite branch through T . But by its definition α is
∆11 -recursive, hence β too, and this contradiction proves (i).
(ii) The proof of (ii) is entirely similar, starting from a recursive tree T on ω ˆ ω
such that for each α, rTα s, where Tα “ ts P ω ăω : pαlh s , sq P T u, is a non empty
ajoutÈ – YP
Π01 pαq set with no ∆11 pαq member, as given by Theorem 5.1.11 (ii). %
Remark 5.3.4. The preceding ordering is an example of a recursive linear ordering

which is not a wellordering, but which is wellordered, as long as we are concerned only
with ∆11 -recursive sequences.
5.3.4 Complexity of ω1CK´α ď ω1CK´β

Proposition 5.3.5. The relation ω1CK´α ď ω1CK´β is Σ11 in ω ω ˆ ω ω .
132
Proof. We use the sets O and R given by Theorems 5.3.2 and 5.3.3. The claim is that
” `
ω1CK´α ď ω1CK´β ÐÑ Dγ @n P dom Oα @m P dom Oα
ppα, n, mq P O Ñ pβ, γpnq, γpmqq P Rq
˘
^ pn ‰ m Ñ γpnq ‰ γpmqq
^ @n P dom Oα @p pβ, p, γpnqq P R Ñ Dm
`
n R dom Oα _ pm P dom Oα ^ pα, m, nq P O

`
˘˘ı
^ γpmq “ pq
This will finish the proof, for the right hand side is clearly Σ11 (remember that the
j’ai un doute – YP
relation n P dom Oα ^ pm R dom Oα _ pα, n, mq P Oq is Π11 by Theorem 5.3.2).
Now the right hand side just says that there is a strictly increasing function from
pdom Oα , Oα q onto an initial segment of pω, Rβ q which by the properties of O and R
exactly means that ω1CK´α ď ω1CK´β . %
5.3.5 Spector’s criterion

Theorem 5.3.6 (Spector’s criterion). Let α, β be in ω ω , with α P ∆11 pβq. Then
ω1CK´α ă ω1CK´β ÐÑ Oα P ∆11 pβq.
Proof. One direction is obvious: if Oα P ∆11 pβq, then its length ω1CK´α is a ∆11 pβq-
recursive ordinal, hence recursive in β by Proposition 5.3.1, and so ω1CK´α ă ω1CK´β .
ajoutÈ – YP
Conversely suppose α P ∆11 pβq and ω1CK´α ă ω1CK´β . Let f be recursive in α, such
that
pm, nq P Oα ÐÑ f pm, nq P WO
ÐÑ f pm, nq P WO ^ |f pm, nq| ă ω1CK´α .
Let γ be recursive in β such that γ P WO ^ |γ| “ ω1CK´α . Then
pm, nq P Oα ÐÑ f pm, nq P WO ^ |f pm, nq| ă |γ| .
As α P ∆11 pβq, f is ∆11 pβq-recursive, so the above equivalence gives a ∆11 pβq definition
of Oα . %
5.3.6 Basis result for Σ11 sets

A basis result for a class Γ of sets asserts that every non empty set in Γ contains
a point in some prescribed class. So basis results are the “sectionwise” versions of
uniformization results.
And the ∆11 Uniformization Theorem 5.1.6 can be viewed as a theorem relating basis
results (in the range of Π11 sets and by ∆11 -recursive points) to uniformization results.
133
5 Uniformizations
Now Theorem 5.1.11 is an anti-basis result, which says that even for the simple case
of Π01 sets, the family of ∆11 -recursive points is not a basis. The next theorem gives the
best bases for the class Π01 — and hence for the class Σ11 . We will see the corresponding
uniformization result in the next Section.
Define #
1 if ppnq0 , pnq1 q P O,
βO pnq “
0 otherwise,
and similarly for Oα .
Theorem 5.3.7. Let X be a Suslin recursive space, and A Ď X a non empty Σ11 (resp.
Σ11 pαq) set.
(i) A contains a point x which is ∆11 pβO q (resp. ∆11 pβOα q).
(ii) (Gandy’s Basis Theorem) A contains a point x with ω1CK´x “ ω1CK (resp. ω1CK´x “
ω1CK´α ).
Proof. By transfer, it is clearly enough to prove it for X “ ω ω .
(i) We can assume that A is Π01 , as the projection of a ∆11 pβO q-point in ω ω ˆ ω ω is
∆11 pβO q.
Let T be a recursive tree with A “ rT s, and let α be the left-most branch of T ,
i.e. α is defined inductively by
´ ¯
αpnq “ least p Dβ αn a p Ď β ^ β P rT s .
As rT s ‰ H, α is well defined and α P rT s. So it is enough to show that

α P ∆11 pβO q.
For each s P ω ăω , let Ts “ tt P ω ăω : sa t P T u, and define a recursive function
f : ω Ñ ω ω by
#
1 if sp P Tsn ^ sq P Tsn ^ sp ďBK sq ,
f pnqpxp, qyq “
0 otherwise,
so that f pnq P LO for all n, and f pnq P WO iff the tree Tsn is wellfounded, by
Proposition 4.2.5. By definition of the left-most branch, we get
ajoutÈ “code de” –
YP
α is the left-most branch ÐÑ @i @k ă αpiq f pxαi a kyq P WOωCK
`
@ D 1 ˘
^ f p αi`1 q R WOωCK .
1
So to get α as a ∆11 pβO q-recursive singleton, it is enough to show that WOωCK is

1
∆11 pβO q. But as βO P WO and |βO | “ ω1CK , we get
WOωCK “ tα P WO : |α| ă |βO |u

1
so WOωCK is ∆11 pβO q and we are done.

1
134
5.4 Uniformization of Σ11 sets and Π11 sets
(ii) Let A Ď X be a non empty Σ11 set, and consider B Ď ω ω defined by
αPB ÐÑ @x P A α P ∆11 pxq.
As X is Suslin recursive, B is a Π11 set in ω ω . And as A is non empty, pick

x0 P A. Then B Ď tα : α P ∆11 px0 qu, so B is countable. Note also that if α P B
and β P ∆11 pαq, then β P B by transitivity of the relation α P ∆11 pβq.
Consider C “ ω ω zB. C is Σ11 and non empty in ω ω , hence by (i) it contains a
point β P ∆11 pβO q. But then by the preceding remark, βO P C (for if βO P B,
any ∆11 pβO q point would be in B too). By definition of C this means that there
is an x P A such that O R ∆11 pxq. By Spector’s criterion (Theorem 5.3.6), this
implies ω1CK´x “ ω1CK , as desired. %
The preceding result, together with the anti-basis result Theorem 5.1.11, implies
that there are many α’s in ω ω with ω1CK´α “ ω1CK , besides the ∆11 -recursive points. In
fact we will see later that the set of such α’s is comeager in ω ω (see ref.).
rÈf manquante – YP

5.4.1 BorpΣ11 q
Definition 5.4.1.
(1) The class BorpΣ11 q is defined, in any metrizable separable space, as the least σ-
algebra containing all Σ11 sets, i.e. the least family containing the Σ11 sets and
closed under countable unions and complements.
(2) A function f : X Ñ Y is BorpΣ11 q-measurable if for each open set U in Y the set
f ´1 pU q is in BorpΣ11 q.
5.4.2 C-sets
Clearly for f : X Ñ Y to be BorpΣ11 q-measurable, it is enough to satisfy f ´1 pVnY q P
BorpΣ11 q for all n. And it implies f ´1 pBq P BorpΣ11 q for any Borel set B in Y , as one
easily checks by induction on the Borel class of B. So in particular if f : X Ñ Y
is BorpΣ11 q-measurable and g : Y Ñ Z is Borel, the composition g ˝ f : X Ñ Z is
BorpΣ11 q-measurable.
On the other hand, if f is BorpΣ11 q-measurable, f ´1 pAq may not be in BorpΣ11 q for
A in BorpΣ11 q, even for A in Σ11 .
So we introduce a hierarchy pCξ qξăω1 of sets, called the hierarchy of C-sets of Seli-
navovski, by ˆ ´ď ¯˙
1
C0 “ Σ1 , and for ξ ě 1 Cξ “ A Cη ,
ηăξ
Ť
and we let C “ ξăω1 Cξ .
135
5 Uniformizations
Again, we say that a function f : X Ñ Y is C-measurable if f ´1 pU q P C for any

open U in Y .
We also let BorpCξ q be the least σ-algebra containing Cξ .
Proposition 5.4.2. In any metrizable separable space space X:
(i) C is the least σ-algebra of subsets of X containing the VnX ’s and closed under
operation A.
(ii) For any ξ, BorpCξ q Ď Cξ`1 .
(iii) C is closed under substitution by C-measurable functions. Hence in particular

C-measurable functions are closed under composition.
Proof. (i) It is clear from the definition that any σ-algebra containing the open sets
and closed under A must contain all C-sets.
For the other direction, note that the family pCξ qξăω1 is increasing. This is
immediate by induction once we know that C0 Ď C1 . But C0 “ Σ11 “ ApΠ01 q,
and C1 “ ApΣ11 q, so this follows from the inclusion Π01 Ď Σ11 .
Suppose now pAs qsPωăω is a Suslin scheme of C-sets. Then by the discussion
above, the sets As are in Cξ for some ξ ă ω1 . Then As P Cξ`1 and finally
ApAs q P Cξ`2 is a C-set. So C is closed under A and . And as a countable
union is a particular case of A, C is also a σ-algebra. This proves (i).
(ii) We already noticed that Cξ Ď Cξ`1 . Also clearly Cξ Ď Cξ`1 . Now by Propo-
sition 4.1.1 A is idempotent, and hence Cξ`1 is closed under operation A. But
then, as countable union and countable intersection are particular cases of oper-
ation A, Cξ`1 is closed under these two operations. To prove (ii), it is enough to
check that BorpCξ q is the least family Φ containing Cξ Y Cξ and closed under
countable unions and intersections. But one immediately verifies that the family
of sets which are in Φ X Φ is closed under and countable union and contains
Cξ , so that Φ “ Φ X Φ “ BorpCξ q. This proves (ii).
(iii) Let f : X Ñ Y be C-measurable, and A P Cξ . We prove by induction on ξ

that f ´1 pAq P C. Suppose first A P C0 , i.e. A “ ApAs q with closed sets As .
Then each f ´1 p As q is a C-set, hence for some ξ0 ă ω1 As P Cξ0 . But then
f ´1 pAq “ Apf ´1 pAs qq P Ap Cξ0 q “ Cξ`1 . If now A P Cξ , we get A “ ApAs q,
with As P Cηpsq for some ηpsq ă ξpsq. Then by the induction hypothesis
f ´1 pAs q P C, and hence f ´1 pAq “ Apf ´1 pAs qq is in C too. %
The importance of the class C comes from the fact (that we will prove later) that
C-measurable functions are very regular with respect to measure and category, and
from the next uniformization theorem.
136
5.4.3 The Jankov-Von Neumann theorem

Theorem 5.4.3. Let X be a Suslin space, and A Ď Y ˆ X be a Σ11 set. Then
there exists a BorpΣ11 q-measurable function f which uniformizes A, i.e. is defined
on DX A “ ty P Y : Dx py, xq P Au and satisfies, for y P DX A, py, f pyqq P A.
Proof. By composing if necessary with the recursive function jX : iX pXq Ñ X, we

may assume that X “ ω ω .
Let B Ď Y ˆ ω ω ˆ ω ω be Π01 , with
py, αq P A ÐÑ Dβ py, α, βq P B.
For each y let

` ˘(
Ty “ ps, tq P ω ăω ˆ ω ăω : lh s “ lh t ^ Dα Dβ s Ď α ^ t Ď β ^ py, α, βq P B .
ω
If y P Dω A, rTy s ‰ H and we can define its left-most branch, pαy , βy q, inductively by
xαy pnq, βy pnqy “ least m pαy n a pmq0 , βy n a pmq1 q P Ty .

ω
The function f : Dω A Ñ ω ω defined by f pyq “ αy is a uniformizing function for
A. To see that f is BorpΣ11 q measurable, it is enough to prove that y ÞÑ pαy , βy q is
BorpΣ11 q-measurable (by composing with projection), hence to prove that for s, t with
lh s “ lh t, ty : s Ď αy ^ t Ď βy u is BorpΣ11 q (in D1 A — or in Y , for it is the same as
D1 A is Σ11 in Y ). This is proved by induction on lh s.
One has
psa n Ď αy ^ ta p Ď βy q ÐÑ ps Ď αy ^ t Ď βy q^
@m @q xm, qy ă xn, py Ñ psa m, ta qq R Ty
` ˘
^ psa n, ta pq P Ty .
But by induction hypothesis the first conjunct on the right hand side is in BorpΣ11 q,
and as ty : ps, tq P Ty u is Σ11 by definition of Ty , the second conjunct is Π11 and the
third Σ11 . This finishes the proof. %
5.4.4 Basis theorem for Π11

We now study the case of Π11 and Π11 sets.
Theorem 5.4.4 (Novikov, Kondo, Addison). Let X be a co-Suslin recursive space,

ajoutÈ – YP
and A Ď X a non empty Π11 set. Then A contains a point x which is a Π11 singleton,
i.e. such that txu is Π11 .
Proof. Using the transfer result in Corollary 5.1.5, we may assume that X “ ω ω . rÈf modifiÈe – YP
Recall that we have defined in Proposition 4.2.3 (i) a recursive function pn, αq ÞÑ α|n
from ω ˆ ω ω into ω ω such that for α P LO, α|n P LO and codes the order ďα restricted
to the predecessors of n for ďα .
137
5 Uniformizations
Let A be a non empty Π11 set, and let f : ω ω Ñ LO be such that α P A Ø f pαq P WO.
Let (
A˚ “ α P A : |f pαq| “ inft|f pβq| : β P Au .
We define inductively sets An and A˚n by
(
A0 “ α P A˚ : αp0q “ inftβp0q : β P A˚ u
(
A˚0 “ α P A0 : |f pαq|0| “ inft|f pβq|0| : β P A0 u
and
(
An`1 “ α P A˚n : αpn ` 1q “ inftβpn ` 1q : β P A˚n u
(
A˚n`1 “ α P An`1 : |f pαq|n ` 1| “ inft|f pβq|n ` 1| : β P An`1 u
TheseŞsets form a decreasing sequence with A˚n Ď An Ď A˚n´1 Ď A˚ Ď A. Let

B “ n An . We claim that B is the Π11 -singleton we wanted.
First note that the relation α P A˚n is Π11 in ω ω ˆ ω, as
« ˆ
α P A˚n ÐÑ α P A ^ @β pβ R Aq _ p|f pαq| ă |f pβq|q _ |f pαq| “ |f pβq| ^
!“ ` ˘
Di ď n @j ă i |f pαq|j| “ |f pβq|j| ^ αpjq “ βpjq ^
` ˘‰
|f pαq|i| ă |f pβq|i| _ p|f pαq|i| “ |f pβq|i| ^ αpiq ă βpiqq
˙ff
“ ‰)
_ @i ď n |f pαq|i| “ |f pβq|i| ^ αpiq “ βpiq .
This shows that B is Π11 . And as any two points in An coincide on r0, ns, B contains
at most one point. So the main thing is to show that B ‰ H. To do this pick αn P A˚n .
Clearly as αn`1 n`1 “ αn n , the sequence αn converges to a point α P ω ω . We claim
that α P B — so that B “ tαu. To see this, let ξ be the value of |f pβq| for β P A˚ , ξn
the value of |f pβq|n| for β P A˚n , so that ξn ă ξ. Note that as f and gpβ, nq “ β |n are
recursive, hence continuous, one has
f pαq “ lim f pαn q and f pαq|p “ limpf pαn q|pq.

n n
We claim that for n, m P Df pαq with n ăf pαq m, ξn ă ξm . To see this, note that for large
enough p ą n, m, n, m P Df pαp q , and n ăf pαp q m. But then |f pαp q|n| ă |f pαp q|m|, i.e.
ξn ă ξm as desired.
This proves that ďf pαq is a wellordering on Df pαq , i.e. f pαq P WO and moreover (as
n ÞÑ |f pαq|n| is the length function on Df pαq ) that for n P Df pαq , |f pαq|n| ď ξn and
finally |f pαq| ď ξ. But this immediately implies that α P B, as claimed. %
Note that this basis result, together with the antibasis result in Theorem 5.1.11,
gives the existence in ω ω of Π11 singletons which are not ∆11 -recursive points, and hence
furnishes the counter examples discussed in Subsection 5.1.8.
138
5.5 Natural Π11 sets, natural Π11 ranks
5.4.5 The Kondo-Addison theorem

Theorem 5.4.5. Let X be a recursive space, Y a co-Suslin recursive space, and A Ď
X ˆ Y a Π11 (resp. Π11 ) set. Then there is a function f : DY A Ñ Y which uniformizes
A, with Graphpf q a Π11 (resp. Π11 ) subset of X ˆ Y .
Proof. Using the transfer result in Corollary 5.1.5, we may assume that X “ Y “ ω ω . pas clair pour moi –
YP
The idea is to work on each section Aα the way we did in the proof of Theorem 5.4.4,
using a recursive function f : ω ω Ñ ω ω Ñ LO with pα, βq P A Ø f pα, βq P WO.
This clearly will define the graph of a uniformizing function, by the proof of Theo-
rem 5.4.4, and one just has to check that the corresponding sets pAα q˚n are such that
the relation
β P pAα q˚n is Π11 in α, β and n.
This is easy to check, and left to the reader. %
5.4.6 Limitations
The deep uniformization result of Kondo-Addison led to the notion of a scale, intro-
duced by Moschovakis (we won’t study this notion here, but it happens to be central in
understanding the structure of the more complicated classes of the projective hierarchy
(and beyond)). We refer the reader to [Mos80].
On the other hand, it cannot be proved from the usual axioms of set theory that
a function with Π11 graph has nice regularity properties, like measurability or Baire
property (see [Mos80]). This means that in order to make the Kondo-Addison theorem
useful in Analysis, one has to accept to work with strong set-theoretic axioms.

In this section, our aim is to present some examples of sets which are Π11 and not
Σ11 (or, looking at complements, sets which are Σ11 and not Π11 ), and which occur
naturally in various parts of Analysis. And we will discuss, on these examples, the
general problem of proving that a given Π11 set is not Σ11 .
The notion of being or not of a given class is extrinsic, i.e. depends on the space
in which the set is embedded. Here we are interested in the absolute notions, i.e. the
co Suslin non Suslin spaces. By Theorem 3.5.11 and Corollary 5.1.5, it is the same as
considering Π11 non Σ11 sets in Polish spaces, and this is the way we will attack the
problem. Finally, using Suslin’s Theorem 4.4.6, it is the same as considering Π11 non
Borel sets in Polish spaces.
5.5.1 Cantor’s diagonal

The first method to get Π11 non Borel sets is Cantor’s diagonal method, which allowed
us to prove the Hierarchy Theorem 3.3.3. We have already seen three basic examples
of Π11 non Borel sets, obtained by this method:
139
5 Uniformizations
(1) If W Ď ω ω ˆ ω ω is any universal set for Π11 subsets of ω ω , W is not Borel (as its
diagonal is not, by Theorem 3.3.3).
(2) The set tpα, βq : α P ∆11 pβqu is Π11 non Borel (by Proposition 5.1.10) — the proof
uses, uniformly, Cantor’s diagonal method for ω.
(3) The set D1 (cf. Proposition 5.1.1 and Proposition 5.1.10) and the set BC of Borel
codes (cf. Subsection 5.2.1) are not Borel (otherwise, they would give a Borel
set universal for Borel subsets of ω ω , which is clearly impossible by considering
again its diagonal).
The diagonal method is not flexible enough to be applied to most Π11 sets. We will
present in this section two other techniques for proving non-Borelness, the completeness
method, and the rank method. However, these two methods rely on the existence of Π11
non Borel sets, hence ultimately incorporate a diagonal argument.
5.5.2 The completeness method

Let X, Y be Polish recursive spaces. A function f : X Ñ Y reduces A Ď X to B Ď Y
if A “ f ´1 pBq, i.e.
x P A ÐÑ f pxq P B.
(The terminology comes from the fact that the question of membership in A is reduced,
via f , to the question of membership in B).
The essence of the completeness method is the following simple observation: Suppose
f : X Ñ Y is a Borel function which reduces A to B. If A is not Borel in X, B is not
Borel in Y . This leads to the following definition.
Definition 5.5.1. A set A in some Polish recursive space X is Π11 -hard if for every
Π11 set B in any Polish recursive space Y there is a Borel f : X Ñ Y which reduces B
to A. If moreover A itself is Π11 , we call it a complete Π11 set.
It follows from the existence of Π11 non Borel sets that any Π11 -hard set is not Suslin,
and that any complete Π11 set is Π11 non Borel.
So the completeness method consists in proving, for a given Π11 set, that it is com-
plete. And for doing so, one doesn’t have to reduce to it, via Borel functions, all Π11
sets: It is enough to reduce to it one already known complete Π11 set, for obviously (by
composing reductions) it is then also complete Π11 . So this method is very flexible, and
moreover cumulative with time. It already would be impossible to give an exhaustive
catalog of known complete Π11 sets. Below, we have tried to list some useful ones, in
various areas.
There is a natural question related to the completeness notion. Are there Π11 non
Borel sets which are not complete? There is no answer to this question within usual
set theory (see [Mos80]) but strong set theoretical (determinacy) hypotheses imply
the completeness of all Π11 non Borel sets. Practically, this means that the “natural”
examples of Π11 non Borel sets encountered in Analysis should be, provably in ZFC,
complete — but it may be sometimes hard to prove it.
140
5.5.3 @ universal
In Subsections 5.5.3 to 5.5.7, we will give applications of the completeness method
which are based on the possibility of nicely representing open sets of ω ω — or as it
turns out, Σ02 subsets of 2ω .
Proposition 5.5.2. Suppose W Ď ω ω ˆ ω ω is a good universal set for Σ01 subsets of

ω ω . Then @1 W “ tα : Wα “ ω ω u is complete Π11 in ω ω .
Similarly with W Ď ω ω ˆ 2ω a good universal set for Σ02 subsets of 2ω .
Proof. Pick some complete Π11 set in ω ω , e.g. by Corollary 4.3.2 the set WO, and let
A be Σ01 in ω ω ˆ ω ω with
α P WO ÐÑ @β pα, βq P A.
As W is a good universal set, there is a continuous f : ω ω Ñ ω ω with Aα “ Wf pαq for

all α P ω ω . But then
α P WO ÐÑ f pαq P @1 W
and @1 W is complete Π11 .
For the second statement, we view ω ω as a Π02 (in fact Π02 ) subset of 2ω , using
e.g. the recursive embedding ϕ : ω ω Ñ 2ω associating to pn0 , n1 , n2 , . . .q the sequence
n0 kj hkkik
hkkik n1 kj
0 ¨ ¨ ¨ 0 1 0 ¨ ¨ ¨ 0 1 . . ., which is clearly an isomorphism onto the set of not eventually 0

sequences in 2ω .
If A is the Σ01 set above, then
B “ tpα, βq P ω ω ˆ 2ω : β is eventually 0 or pα, βq P Au
is Σ02 in ω ω ˆ 2ω , and α P WO Ø @β P 2ω pα, βq P B. So the same proof as above,

ajout – YP
using a good universal set for Σ02 subsets of 2ω , gives the result. %
5.5.4 Representation of Π02

To apply the method, we need a simple representation for Π02 sets in ω ω (or 2ω — as
it is the same).
Proposition 5.5.3. Let P Ď ω ω be Π02 . There is a continuous function f : ω ω Ñ 2ω

such that
(i) For all α P ω ω , f pαq is not eventually 1, and
(ii) α P P Ø f pαq is not eventually 0.
Proof. Let P “ n Un , with Un open in ω ω , and write Un as a union of disjoint clopen

Ş
sets pVpn qpPω (some of them may be empty). For s P ω ăω , let
č
i
Vs “ Vspiq (with say VH “ ω ω ).
iălh s
141
5 Uniformizations
Ş Ť
One has P “ n lh s“n Vs . And if one set
#
1 if α P Vsn
f pαqpnq “
0 otherwise,
where n ÞÑ sn is our nice coding of ω ăω , then (i) and (ii) are clear. %
ajout – YP
5.5.5 Pointwise converging sequences

Let Cp2ω q be the separable Banach space of real-valued continuous function on 2ω , with
the usual sup-distance
dpf, gq “ }f ´ g} “ sup |f pαq ´ gpαq|.

αP2ω
We give Cp2ω qω the product topology.

Theorem 5.5.4. The following sets are complete Π11 sets in Cp2ω qω .
(i) tpfn qnPω : 0 ď fn ď 1 and inf n fn pαq ą 0 for all α P 2ω u.
(ii) (Assani) tpfn qnPω : fn converges pointwise everywhere on 2ω u and

tpfn qnPω : fn converges pointwise to a continuous function on 2ω u.
Proof. That these sets are Π11 comes directly from their definitions above.
(i) Let f¯ “ pfn q be an element of Cp2ω qω , with 0 ď fn ď 1. Consider Df¯ “ tα P
2ω : inf n fn pαq ą 0u. An immediate computation shows that Df¯ is Σ02 in 2ω .
Our claim is that conversely, any Σ02 subset of 2ω is of the form Df¯. Moreover,
this can be done uniformly, i.e. there is a a continuous function ϕ : ω ω Ñ Cp2ω qω
such that Wα “ Dϕpαq , where W is a good universal set for Σ02 subsets of 2ω .
This claim will finish the proof, for then ϕ reduces the complete Π11 set @1 W to
tpfn qnPω : 0 ď fn ď 1 and inf n fn pαq ą 0 everywhere on 2ω u and so this last set
is complete Π11 .
To get ϕ, we apply Proposition 5.5.3 to the Π02 set pω ω ˆ 2ω qzW in ω ω ˆ 2ω . We
then get a continuous f : ω ω ˆ 2ω Ñ 2ω with
pα, βq P W ÐÑ f pα, βq is eventually 0.
Let gn pα, βq “ 2´ cardtiăn:f pα,βqpiq“1 , and define ϕ by
ϕn pαqpβq “ gn pα, βq.
To show that ϕ is continuous, it is enough to prove that each ϕn : ω ω Ñ Cp2ω q

L: ϕn : 2ω Ñ Cp2ω q –
YP is continuous. And this is a simple exercise, using the compactness of 2ω , as gn
is continuous in the two variables. Now the sequence ϕn pαq is decreasing in n,
and inf n ϕn pαqpβq is 0 if f pα, βq is not eventually 0, and 2´ cardti:f pα,βqpiq“1u ą 0,
if f pα, βq is eventually 0. So Dϕpαq “ Wα , as desired.
142
Note that this proof actually shows that

! )
pf¯, αq P Cp2ω qω ˆ 2ω : inf fn pαq ą 0
n
is a good universal set for Σ02 subsets of 2ω . It is one of the rather few known
“natural” good universal sets.
(ii) Arguing in a similar way, we now consider
Ef¯ “ tα P 2ω : fn pαq converges as n Ñ 8u.
One can show that each Ef¯ is Π03 . Here we claim that again any Σ02 subset of
2ω is of the form Ef¯, uniformly: There is a continuous ψ : ω ω Ñ Cp2ω qω with
Wα “ Eψpαq .
To see this we use the same f as above, coming from Proposition 5.5.3, and now
set
ψn pαqpβq “ f pα, βqpnq.
As in the proof of (i), ψ is continuous. If pα, βq P W then f pα, βq is eventually
0, hence ψn pαqpβq Ñ 0. If pα, βq R W , then (as f pα, βq is never eventually 1)
ψn pαqpβq does not converge. So Wα “ Eψpαq as desired.
As in the discussion above, we get that ψ reduces @1 W to
H “ tpfn q : pfn q converges everywhereu.
But note that in our construction, whenever fn converges, it is to 0. So ψ also

reduces @1 W to H 1 “ tpfn q : fn converges to a continuous functionu, as well as
to H 2 “ tpfn q : fn Ñ 0u. So H, H 1 and H 2 are Π11 complete sets. In fact any
set A with H 2 Ď A Ď H must be Π11 -hard. %
5.5.6 Other examples

There are many similar “representation” results in the literature, especially in the theory
of (real or complex) functions. We list here some of them, with their consequences,
but without proofs.
ne manque-t-il pas
qqch ici? – YP
5.5.7 Hurewicz theorems
To each compact (=closed) subset K of 2ω , we associate its canonical regular tree
définition?? – YP
TK “ ts P 2ăω : Dα P 2ω ps Ď α ^ α P Kqu. This defines a bijection between the set
ăω
Kp2ω q of all compact subsets of 2ω , and the closed subset RT of 22 of all regular
trees. Transferring the topology via this bijection, we give Kp2ω q the topology of a
compact metrizable space. This topology, which is the least for which, for all open
U Ď 2ω , the sets tK P Kp2ω q : K X U ‰ Hu and tK P Kp2ω q : K Ď U u are open, is
called the Hausdorff topology on Kp2ω q (we will study it in detail in Subsection 6.3.2).
143
5 Uniformizations
Theorem 5.5.5 (Hurewicz). (i) Let D “ tα P 2ω : α is eventually 0u. Then KpDq “

tK P Kp2ω q : K Ď Du is complete Π11 in Kp2ω q.
(ii) Kω p2ω q “ tK P Kp2ω q : K is countableu is complete Π11 too.
Proof. (i) Let W be the good universal set for Σ02 subsets of 2ω , and viewing ω ω as
a Π02 subset of 2ω , let
W ˚ “ tpα, βq P 2ω ˆ 2ω : pα, βq P W _ α R ω ω u.
Applying Proposition 5.5.3, we get a continuous f : 2ω ˆ 2ω Ñ 2ω with
pα, βq P W ˚ ÐÑ f pα, βq P D.
Define, for α P 2ω the set Kα “ tf pα, βq : β P 2ω u. Each Kα is compact in 2ω ,

and moreover for s P 2ăω
s P TKα ÐÑ Dβ P 2ω s Ď f pα, βq
is clearly open in 2ω . So ϕpαq “ Kα is continuous : 2ω Ñ Kp2ω q. Now ϕ

L: clopen – YP
reduces the Π11 complete set @1 W ˚ to KpDq, because if Wα ‰ 2ω , Kα * D and
I am missing
something here... if Wα “ 2ω , Kα Ď D. As clearly KpDq is Π11 , we are done.
and if Wα˚ “ H – YP
(ii) We postpone to ?? the proof that Kω pDq is Π11 . Here we show it is Π11 -hard.
ref missing – YP
To do this, associate to each compact set K P Kp2ω q another one ϕpKq “ tα P
2ω : Dβ P K α ď βu where
α ď β Ø α´1 p1q Ď
β ´1 p1q – YP
αďβ ÐÑ @n αpnq ď βpnq.
Clearly ϕ is continuous, as
Dt P 2lh s t P TK ^ @i ă lh s spiq ď tpiq .

` ˘
s P TϕpKq ÐÑ
Now if K * D, then K contains some α which is not eventually 0, and tβ : β ď αu

is a copy of 2ω contained in ϕpKq. So ϕpKq R Kω p2ω q.
On the other hand if K Ď D then ϕpKq Ď D, for if α P D and β ď α, β P D.
So ϕ reduces KpDq to Kω p2ω q, which proves Kω p2ω q is Π11 -hard. In fact, it again
shows that any A with KpDq Ď A Ď Kω p2ω q is Π11 -hard. %
We now give a nice application of this theorem, due to Bourgain, to a result of Szlenk
in Banach Space Theory. It illustrates the power of the non-Borelness results.
Corollary 5.5.6 (Szlenk; Bourgain). There is no separable Banach space with sep-
oversight – YP
arable dual which is universal for separable Banach spaces with separable dual, i.e.
no space X which is a separable Banach space with separable dual and contains an
isomorphic copy of every such space.
144
Proof. is by contradiction. Assume X is such a universal space, and consider

A “ tK P Kp2ω q : CpKq has an isomorphic copy in Xu.
We first check that A is Σ11 . Fix a countable set pfn qnPω which is dense in Cp2ω q, and is
a linear space over Q. For each K P Kp2ω q, the sequence pfn K qnPω is dense in CpKq.
The existence of an isomorphic copy of CpKq in X is equivalent to the existence of a
rational constant c ě 1 and a sequence pxn qnPω in X ω satisfying
@n @m @p @λ P Q (1) fn ` fm “ fp on K Ñ xn ` xm “ xp ,
(2) λfn “ fp on K Ñ λxn “ xp ,
and (3) c´1 sup |fn | ď }xn }X ď c sup |fn |,
K K
for then if we set T fn “ xn , T extends by continuity to an isomorphism between CpKq

and a subspace of X.
So it is enough to check that conditions (1), (2), (3) are Borel in Kp2ω q ˆ X ω . This
is easy for (1) and (2), which are ∆02 (the relation fn ` fm “ fp on K means K Ď tx :
fn pxq ` fm pxq “ fp pxqu hence is closed in Kp2ω q). The relation a ď }x} ď b is closed in
X, and the relation supK |f | ą a is open, as it is equivalent to K X tx : f pxq ą au ‰ H.
One gets
(3) Ø @r P Q pc´1 sup |fn | ď r _ }xn } ě rq ^ pc sup |fn | ą r _ }xn } ě rq
K K
hence (3) is a Π02 condition, and finally A is Σ11 .

The dual space of CpKq is the space MpKq of measures on K, with the norm topol-
ogy. Now if K is countable, all measures on K are discrete, and MpKq is isomorphic
to l1 , hence is separable. It follows that Kω p2ω q Ď A.
By the theorem above, Kω p2ω q is Π11 -hard, hence in particular is not Σ11 . This
implies that AzKω p2ω q ‰ H, i.e. there exists an uncountable K0 Ď 2ω with a copy
of CpK0 q in X. Now the set of Dirac measures Sx , x P K0 , is an uncountable set of
measures which are pairwise at distance 2 in MpK0 q, so MpK0 q is not separable, and
X ˚ is not separable either. This proves the corollary. %
5.5.8 WF
The sets KpDq and Kω p2ω q of Theorem 5.5.5 are quite commonly used in completeness
arguments. But the most commonly used complete Π11 set is the set WF of wellfounded
ăω
trees on ω, viewed as a subset of 22 — by identifying a tree T with its characteristic
function 1T .
ăω
Proposition 5.5.7. WF is complete Π11 in 22 .
Proof. WF is Π11 , as
T P WF ÐÑ @s @t pps Ď t ^ 1T ptq “ 1q Ñ 1T psq “ 1q

^ Dα P ω ω @n 1T pαn q “ 1.
145
5 Uniformizations
ăω
(In fact if we use our bijection between ω and 2ăω to turn 22 into a Polish recursive
space, WF is actually Π11 in it.)
ăω
To show WF is complete, we reduce WO to it. Define ϕ : LO Ñ 22 by
ϕpαq “ ts P 2ăω : s is strictly decreasing for ďα u.
The function ϕ is continuous, and obviously reduces WO to WF. %
5.5.9 Mazurkiewicz’ theorem

Among the great variety of uses of WF as a starting point for a completeness argument,
we will give two examples. One is a very classical theorem of Mazurkiewicz about
differentiable continuous functions, and the second one a recent result of R. Kaufman
encore? – YP
in Measure theory.
Theorem 5.5.8 (Mazurkiewicz). In Cpr0, 1sq (with the sup-norm topology), the set D
of differentiable functions is complete Π11 .
Proof. To see that D is Π11 , note that

L: @η – YP
f PD ÐÑ @x P r0, 1s @ε P Q, ε ą 0 Dη P Q, η ą 0 @h, h1 P Qzt0u

ˆ ˇ ˇ ˙
1
ˇ f px ` hq ´ f pxq f px ` h1 q ´ f pxq ˇ
h Ps ´ η, ηr and h Ps ´ η, ηrÑ ˇˇ ´ ˇďε
h h1 ˇ
which clearly gives a Π11 definition of D.

We know prove that D is complete.
For each closed interval I Ď r0, 1s, let xI be its center, |I| its length, I l and I r the
left and right half sub intervals, and for r ď 1, rI the closed interval with same center
and length r|I|. We now define a family of closed intervals Is indexed by ω ăω , and set
Js “ 2´xsy Is (where t ÞÑ xty is our usual map : ω ăω Ñ ω corresponding to our coding
s of ω ăω , in particular sxty “ t), as follows.
Let IH “ r0, 1s. If Is has been constructed for all lh s ď k, consider Jsl , and pick a
IsŞ l ´xsa ny .
sequence of closed disjoint subintervals a n of the interior of Js , with |Isa n | ď 2
Note that for each α P ω ω , n Iαn “ n Jα l

Ş
is a singleton, we denote its element
ajout – YP r
n
by xα . And the closed intervals Js , by our construction, are all pairwise disjoint.
Pick now for each s P ω ăω a continuous function fs on r0, 1s which is continuously
differentiable, is 0 off Jsr , takes values in r0, |Jsr |s and is equal to |Jsr | at xJsr .
We define for each tree T on ω, fT P Cpr0, 1sq by
ÿ
fT “ fs .
sPT
As }fs } ď 4´xsy , the series is uniformly convergent, hence fT is continuous. Moreover

if for i ă N , si P T Ø si P T 1 , then }fT ´ fT 1 } ď 2´2N ´1 , hence the function T ÞÑ fT
is continuous.
146
For each T , let DT “ tx P r0, 1s : fT is not differentiable at xu. We claim that for
each tree T , DT “ txα : α P rT su. This will finish the proof, for then fT P D Ø T P
WF.
To prove the claim, we fix T . Suppose first x “ xα for some α P rT s. Then for all n,
l . Let y “ x r
x P Jα r
n
n Jα and zn “ max Jαn .
n
As x R Jsr , fT pxq “ 0. Similarly fT pyn q “ |Jα
r | and f pz q “ 0. Also |y ´ x| ď
n
n n
3 r
2 |Jαn |. So we get for all n
ˇ ˇ ˇ ˇ
ˇ fT pzn q ´ fT pxq ˇ ˇ fT pyn q ´ fT pxq ˇ 3
ˇ ˇ “ 0 and ˇ ˇě
ˇ zn´x ˇ ˇ yn´x ˇ 2
and fT is not differentiable at x.

For the converse, let x R txα : α P rT su. As the intervals Is , for lh s “ k, are pairwise
disjoint, ts P T : x P Is u is finite, so by picking N0 large enough, one has: n ě N0 and
sn P T implies x R Isn .
Fix h ą 0, and n ě N0 with sn P T . As x R Isn , fsn pxq “ 0. If x ` h P Jsrn , we get
|h| ě 12 p|Isrn | ´ |Jsrn |q ě 41 |Isrn | and
fsn px ` hq ´ fsn pxq |J r |

ě 4 srn ď 2´pn´2q .
h |Isn |
If now x ` h R Jsrn , fsn px ` hq “ 0 and the above inequality is still valid.

Summing these inequalities for n ě N1 ě N0 , we get for all h ‰ 0
ˇ ˇ ˇ
ˇ fT px ` hq ´ fT pXq ˇ ˇˇ fTN1 px ` hq ´ fTN1 pXq ˇˇ
ˇ
ˇ ˇďˇ ˇ ` 2Ń1 `3
ˇ h ˇ ˇ h ˇ
where fTN1 “
ř
năN1 fsn is a continuously differentiable function. It follows immedi-
sn PT
ately that fT is differentiable at x, and the claim is proved. %
5.5.10 Kaufman’s example

We work with the space M1 p2ω q of all probability measures on 2ω , equipped with the
w˚ -topology of duality with Cp2ω q, i.e. with the topology of pointwise convergence on
all continuous functions. M1 p2ω q is compact metrizable for this topology.
For each subset A of ω, consider KA “ tα P 2ω : @n P A αpnq “ 0u. Each KA is
a compact subset of 2ω . We define M Ď M1 p2ω q as the set of probability measures
which annihilate all sets KA , for A infinite in ω. E.g., the Lebesgue measure λ on 2ω
is one of these measures,
Theorem 5.5.9 (Kaufman). The set M is complete Π11 in M1 p2ω q.
Proof. µ P M Ø @A pA is finite or @ε ą 0 Dn µpKAXr0,ns q ď εq and as for each finite set

A the set KA is clopen, and hence 1KA is continuous : 2ω Ñ R, the above equivalence
gives a Π11 definition of M .
147
5 Uniformizations
Define, for s P ω ăω , a closed set Es Ď r0, 1s by

where ¨ denotes
í usual product i
x P Es ÐÑ @i ă lh s spiq ¨ x P r0, 1 ´ 2 s modulo 1. YP
For each tree T on ω, define a Borel function ϕT : r0, 1s Ñ 2ω by

#
0 if sn P T and x P Esn ,
ϕT pxqpnq “
1 otherwise,
and if λ is the Lebesgue Measure on r0, 1s, set µT “ ϕT pλq, i.e. for any f P Cp2ω q,
µT pf q “ λpf ˝ ϕT q. This defines a function T ÞÑ µT . First we show this function is
continuous. To see this fix f P Cp2ω q and ε ą 0, and pick N large enough so that if
αN “ βN , then |f pαq´f pβq| ď ε (by uniform continuity of f ). Suppose now T, T 1 are
trees with si P T Ø si P T 1 for i ă N . We then show that |µT pf q´µT 1 pf q| ď ε. For the
hypothesis implies that for all x P r0, 1s ϕT pxqN “ ϕT 1 pxqN , hence |f ˝ϕT ´f ˝ϕT | ď ε
on r0, 1s, so
|µT pf q ´ µT 1 pf q| “ |λpf ˝ ϕT ´ f ˝ ϕT 1 q| ď ε,
as desired.
We now show that for a tree T
T P WF ÐÑ µT P M
which will finish the proof.

First suppose T R WF, and let α P rT s. Set A “ txαn y : n P ωu. A is infinite, and
as αn P T for all n, ϕT pxq P KA Ø @n x P Eαn . Hence
´č ¯
µT pKA q “λ Eαn
´!n )¯
“λ x P r0, 1s : @n αpnq ¨ x P r0, 1 ´ 2´pn`1q s mod 1
ź´ ¯
ě 1 ´ 2´pn`1q ą 0.
n
So µT R M .
Conversely, suppose µT R M , and let A be infinite, with µT pKA q ą 0. As before,
one has ϕT pxq P KA Ø @n`ps Şn P T and ˘ x P Esn q, 1hence the hypothesis implies that
for all n P A sn P TŞ , and λ Ş sn ą 0. Let T be the subtree of T 1 generated by
nPA E
tsn : n P Au. Then nPA Esn “ sPT 1 Es has positive λ measure, and T is infinite.
The main claim is that T 1 is finitely branching, i.e. for all s P T 1 the set tn : sa n P T 1 u
is finite. By a classical argument known as König’s Lemma (see below), it follows that
rT 1 s, hence rT s, is non empty, so T R WF and we are done.
To prove the claim, it is clearly enough to prove that if mn is an increasing sequence
of numbers and a ă 1, then
tx P r0, 1s : @n mn x P r0, as mod 1u has Lebesgue measure 0.
148
To see this, let Bka “ tx P r0, 1s : kx P r0, as mod 1u. Bka consists exactly of the union
of the intervals r nk , nà
k s for 0 ď n ď k ´ 1. So if I is an interval and k is large enough,
at least kλpIq ´ 2 intervals are contained in I. We then get
kλpIq ´ 2 kλpIq 2
¨ a ď λpI X Bka q ď ä`
k k k
a
so that λpI X Bk q Ñ aλpIq as k Ñ ` Ş8. As athis
˘ holds also for finite unions of intervals,
N as k , . . . k
one easily gets for all N that λ B
iăN ki Ñ a 0 N ´1 Ñ 8. And this
clearly proves the claim. %
For the sake of completeness, we prove
Lemma 5.5.10 (König). If T is a tree on ω which is infinite and finitely branching,
rT s ‰ H.
Proof. For each s let Ts “ ts1 P ω ăω : sa s1 P T u. As tn : pnq P T u is finite and T
is infinite, there is n0 such that Tn0 is infinite. By the same argument, there is n1
such that pTn0 qn1 “ Tpn0 ,n1 q is infinite, and so on. This clearly allows one to build
α “ pn0 , n1 , . . .q with for each i Tαi infinite, in particular Tαi ‰ H, i.e. αi P T . So
α P rT s and we are done. %
5.5.11 The rank argument

We now discuss the second standard method for proving non-Borelness of a given Π11
set A in some Polish space. It is based on the Criterion for Borelness (Corollary 4.4.11):
Given a Π11 -rank ϕ on A, A is non-Borel iff ϕ is unbounded on A, below ω1 . This is
usually called a rank argument. So in this method, one has to build ω1 elements of
A, but none off A, as in the completeness method. And at the end, this can give the
existence of elements off A, for if B is any Σ11 set and ϕ is unbounded on B X A, we
can derive that BzA is non empty (this kind of argument is referred to as an overspill
argument).
A useful variant of this method consists in finding another Π11 set B Ě A, and a
L: consists to – YP
Π11 -rank ϕ for B which is unbounded on A. It follows that both A and B are not
Borel — and in fact that any set C with A Ď C Ď B is not Σ11 , by the Boundedness
Theorem 4.4.10.
5.5.12 Computation of Π11 -ranks

The rank method relies on the possibility of finding nice Π11 -ranks (for which one knows
how to prove unboundedness). And to use it, one usually has to prove that a given
“natural” ordinal assignment on a Π11 set is indeed a Π11 -rank.
A useful tool is given by the following improvement of Theorem 4.5.5.
Let X be Polish recursively presented, and Φ a Π11 on Π11 operator on X. Let us
say that Φ is ∆11 on ∆11 if the relations
α P D1 ^ x P ΦpWα1 q
and α P D1 ^ x R ΦpWα1 q
149
5 Uniformizations
are Π11 , where pD1 , W1 q is the nice coding of ∆11 subsets of X, given by Proposi-
tion 5.1.1.
Theorem 5.5.11. Let Φ be Π11 on Π11 and ∆11 on ∆11 on X, A Ď X some ∆11 set,
and A “ ξăω1 Φ pAq. Then the natural assignment ϕpxq “ inftξ : x P Φξ pAqu on
ξ
8
Ť
A8 is a Π11 -rank.
Proof. We assume that Φ is Π11 on Π11 and ∆11 on ∆11 , and A P ∆11 , the general case
being obtained by relativization. By the properties of pD1 , W1 q, there is a recursive
function f : ω ω Ñ ω ω such that for α P D1 , f pαq P D1 and Wf1 pαq “ ΦpWα1 q.
Similarly, there is a recursive g : ω ω Ñ ω ω such that if @n pαqn P D1 , then gpαq P ω ω
1 1
Ť
and Wgpαq “ n Wpαq n
.
We claim that the relations
α P WO ^ x P Φ|α| pAq
and α P WO ^ x R Φ|α| pAq
are both Π11 in ω ω ˆ X.

L:Granting this – YP
Taking this for granted, it is very easy to conclude: It comes from Theorem 5.1.4
ajout – YP
and the following equivalences:
` ˘
x P Φ8 pAq ^ y R Φ8 pAq _ ϕpxq ă ϕpyq
Dα P ∆11 pxq α P WO ^ x P Φ|α| pAq ^ y R Φ|α| pAq
“ ‰
ÐÑ
and
` ˘
x P Φ8 pAq ^ y R Φ8 pAq _ ϕpxq ď ϕpyq
ÐÑ Dα P ∆11 pxq α P WO ^ x P Φ|α| pAq ^ @n y R Φ|α n| pAq
“ ‰|
which are true by Moschovakis’ Theorem 4.5.3,. which implies that for x P Φ8 pAq,
since txu is ∆11 pxq
and included in
ϕpxq is an ordinal ă ω1CK´x .
Φ8 pAq there is We now prove the claim. Let αA P D1 be recursive, with Wα1 A “ A, and similarly
ξ ă ω1CK´x with for αH . Define two relations R` and R´ by
x P Φξ pAq. – YP
R` px, αq ÐÑ
˜
”
α P LO ^ Dβ P ω ω
` ˘
@n @m n R Dα Ñ pβqn “ αH
` ˘
^ n is ďα -minimal Ñ pβqn “ αA
` ˘
^ n is the successor of m in ďα Ñ pβqn “ f ppβqm q
` ˘ı
^ n is limit in ďα Ñ pβqn “ f ˝ gpxpβqm : m ăα nyq
¸
´ ¯
1 1
^ β R D _ x P Wf ˝gpβq
150
where xpβqm : m ăα ny “ γ is defined by pγqm “ pβqm if m ăα n, and pγqm “ αH

otherwise.
R´ px, αq is defined similarly, by replacing the last clause by
´ ¯
β R D1 _ x R Wf1 ˝gpβq .
Clearly R` and R´ are Σ11 relations in ω ω ˆ X. And if α P WO, one easily checks by
induction on α that if β is a witness that px, αq P R` (resp. R´ ) then @n pβqn P D1
1
and Wpβq “ Φ|α n| pAq, so that
|
x P Φ|α| pAq ÐÑ R` px, αq ÐÑ R´ px, αq.

Then one gets
α P WO ^ x P Φ|α| pAq ÐÑ R´ px, αq
and α P WO ^ x R Φ|α| pAq ÐÑ R` px, αq,
so that the relations are Π11 as desired. %
5.5.13 Borel inductions on ω

A simple but useful particular case of Theorem 5.5.11 is given by the following:
Theorem 5.5.12. Let X be a Polish recursive space, and f a Borel function from
X ˆ 2ω Ñ 2ω which for each x P X defines an inductive operator Φx on ω, by 1Φx pAq “
f px, 1A q. Let n0 P ω, and P Ď X be defined by
xPP ÐÑ n0 P Φ8
x pHq.
Then P is Π11 and the rank ϕpxq “ inftξ : n0 P Φξx pHqu is a Π11 -rank on P .
Proof. Consider the operator Φ on X ˆ ω defined by
ΦpAq “ tpx, nq : n P Φx pAx qu .
As f is Borel, one easily checks that for W the good universal set for Π11 subsets of
X ˆ ω, and pD1 , W1 q the corresponding coding of ∆11 subsets of X ˆ ω, one has
` ˘
px, nq P ΦpWα q ÐÑ @B Ď ω @m pα, x, mq P W Ñ m P B Ñ f px, 1B qpnq “ 1,
so Φ is Π11 on Π11 , and
α P D1 ^ px, nq P ΦpWα1 q ÐÑ
α P D ^ @B Ď ω @m pα, x, mq P W1 Ñ m P B Ñ f px, 1B qpnq “ 1,
1
` ˘
whereas
α P D1 ^ px, nq R ΦpWα1 q ÐÑ
α P D ^ @B Ď ω @m m P B Ñ pα, x, mq P W1 Ñ f px, 1B qpnq “ 0,
1
` ˘
so that Φ is ∆11 on ∆11 .

Applying Theorem 5.5.11 then gives the result. %
take A Ď X ˆ ω to
be H, then for n0 P ω
we have
Φ8 pHqn0 “ P is Π11 .
151 Now ψpx, nq “ inftξ :
px, nq P Φξ pHqu is a
Π11 -rank by
Theorem 5.5.11,
hence so is
ϕpxq “ ψpx, n0 q. –
YP
5 Uniformizations
5.5.14 Examples of uses: height of trees

Let us apply these ideas to two simple examples.
(1) Let WF be the set of wellfounded trees, and consider h : WF Ñ ω1 , the height
pas encore dÈfini – ăω
YP
function. Then h is a Π11 (in fact Π11 ) rank on WF. To see this defines f : 22 ˆ2ω Ñ 2ω
by
f p1T , 1S q “ txsy : s R T _ @n sa n P Su.
This is clearly Borel, and one can check that
ΦξT pHq “ txsy : s R Tξ u,
where Tξ is the ξ th stage of the pruning of T (see Subsection 4.1.5). So T P WF Ø
xHy P Φ8 1
T pHq, and for all T P WF, hpT q “ ϕpT q is a Π1 -rank by Theorem 5.5.12.
(2) Let us consider now Cantor’s derivation on 2ω : If K is a compact set in 2ω , we

let dpKq “ Kztx P K : x is isolatedu and iterate the process. As is well known (we
will discuss this in Subsection 6.3.2):
Dξ ă ω1 dξ pKq “ H ÐÑ K is countable.
So we get a natural Π11 -rank on Kω p2ω q, called the Cantor-Bendixson rank
rkpKq “ least ξ ă ω1 dξ pT q “ H.
This rank is a Π11 -rank on Kω p2ω q: to see this, we define f : Kp2ω q ˆ 2ω Ñ 2ω by
"
f pK, 1S q “ xsy : s R TK _ 1S pxsyq “ 1_
@α ‰ β ps Ď α ^ s Ď β Ñ
´ ` *
˘ ` ˘
Dn 1S xαn y “ 1 _ 1S xβn y “ 1 .
Clearly f is Borel and by induction on ξ

xsy P ΦξK pHq ÐÑ s R Tdξ pKq
so that again the corresponding rank ϕ on Kω p2ω q “ tK : xHy P Φ8 K pHqu, which is a
Π11 -rank by Theorem 5.5.12, is the Cantor-Bendixson rank.
Note that this allows to prove, by a rank argument, that KpDq and Kω p2ω q are not
Borel, and in fact that no A with KpD Ď A Ď Kω p2ω q is Σ11 (see Theorem 5.5.5).
For this its is enough, by induction, to build compact subsets of D of arbitrary high
Cantor-Bendixson rank. And this is easy by induction, noticing that if pKn q are in
KpDq, then ď
K “ t0ω u Y t0na 1a α : α P Kn u
nPω
is also in KpDq, and
rkpKq “ sup rkpKn q ` 1.
n
152
6 Infinite Games
6.1 Determinacy of games
6.1.1 Games
Let X be some set. A game is given by two objects: A non empty regular tree T on
regular tree again...
X, and a payoff set A Ď rT s. In a run of the game GpT, Aq, we imagine two players, pruned tree? – YP
usually named players I and II, alternatively choosing elements xi P X, I playing first:
I: x0 x2
¨¨¨
II : x1 x3
in such a way that every position px0 , . . . , xi´1 q in th game is an element of T . As T

is regular, each player can always play from any given position.
regular again – YP
At the end of a run, an infinite sequence f “ px0 , . . . , xi , . . .q, which is a branch
through T , has been produced. By definition, player I wins the run if f P A, and
player II wins otherwise.
A quasi-strategy S for player I is a non empty regular subtree of the tree T , with the
regular! – YP
property that for every position u P S of odd length (where II has to play)
tx : ua x P Su “ tx : ua x P T u,
i.e. S does not restrict the possible plays of II. Heuristically, player I can force player
II to play in S if he wants. This explain the terminology.
A strategy for player I is a function σ from the set of positions of even length in T
into X, and such that for u P T of even length, ua σpuq P T .
Equivalently, we can consider the set Sσ of positions played according to σ, defined
by
u P Sσ ÐÑ @v Ă u of even length v a σpvq Ď u.
Then clearly Sσ is a quasi-strategy for player I, and moreover for each u P Sσ of even
length, tx : ua x P Sσ u is reduced to the singleton tσpuqu. And conversely if a quasi-
strategy S is such that for every u of even length in S, tx : ua xu is a singleton tσpuqu,
then extending σ to the positions u of even length in T zS by σpuq “ xu , any point in
tx : ua x P T u, on gets a strategy σ for player I such that Sσ “ S. So we will frequently
identify the strategy σ (as a function) with the corresponding quasi-strategy Sσ (as a
tree of positions). It will be also convenient, especially when the tree T is X ăω , to
un peu cavalier... –
YP
153
6 Infinite Games
view σ as a function of the sequences of plays of player II, as these define entirely the
corresponding tree Sσ of positions played according to σ.
The notions of quasi-strategy and strategy for player II are defined similarly, changing
the roles of I and II. A quasi-strategy S, or a strategy σ, for player I (resp. player II)
is winning in the game GpT, Aq if rSs Ď A (resp. rSs X A “ H), i.e. if any run played
according to the quasi-strategy is a winning run for the player.
Of course if a quasi-strategy S is winning, any sub-quasi-strategy, in particular any
finer strategy, is obviously winning. The point in looking at quasi-strategies is that in
order to define a finer strategy, one may need the axiom of choice. Also, as we will see
in a moment, quasi-strategies may be very canonical, whereas finer strategies may not.
Finally, we say that the game GpT, Aq is determined if one of the two players has a
winning strategy in the game. (If T is understood, we will also say that A is determined
in case GpT, Aq is).
Heuristically, the notion of existence of winning strategies is an attempt to give a
meaning to expressions like
` ˘
Dx0 @x1 Dx2 @x3 ¨ ¨ ¨ A px0 , x1 , . . .q ,
and the determinacy of the game then corresponds to the rule
Dx0 @x1 Dx2 ¨ ¨ ¨ Apx0 , x1 , . . .q ÐÑ @x0 Dx1 @x2 ¨ ¨ ¨ Apx0 , x1 , . . .q.
6.1.2 The Gale-Stewart theorem

Various examples of infinite games have been introduced early in the twenties by the
Polish school, in particular Banach and Mazur (see Subsection 6.2.11). But the general
study of the determinacy problem for games was initiated by Gale and Stewart, who
proved the first determinacy result.
We give X the discrete topology, to X ω the product topology, and to any rT s Ď X ω
the relative topology. Topological notions for games GpT, Aq always refer to the same
notions for the payoff set A, for this topology on rT s.
Theorem 6.1.1. Every closed (resp. open) game GpT, Aq is determined.
Proof. Our proof will not depend on who is playing first, so by duality it is enough to
prove the case when A is closed.
To each position u P T of even length, we define a game GpTu , Au q by
Tu “ts : ua s P T u
and Au “tf P rTu s : ua f P Au.
Define
SI “tu P T of even length : II has no winning strategy in GpTu , Au qu

and S “SI Y tua x : u P SI and ua x P T u.
There are two cases:
154
Case 1. H R SI . This means that II has a winning strategy in GpT, Aq.
Case 2. Otherwise. We claim that S is a winning quasi-strategy for player I in GpT, Aq.
First we have to show that S is a quasi-strategy for player I. Clearly the plays of
II are unrestricted in S, by its very definition. Also S ‰ H, as H P S. So we must
show S is regular, i.e. for any u P SI and any x with ua x P T , there is a y with
regular – YP
ua xa y P SI . Suppose this fails for some u and x. Then for each y with ua xa y P T
we can pick a winning strategy Sy for II in the game GpTua xa y , Aua xa y q, by the
axiom of choice. Define
ď
Su “ tpxqu Y tpx, yq : ua xa y P T u Y txa y a s : s P Sy u.
ua xa yPT
One easily checks that Su is a winning strategy for player II in the game GpTu , Au q,
contradicting that u P SI .
This shows S is a quasi-strategy for player I. Note that we haven’t yet used
any property of A, i.e. for any A, if II has no winning strategy in GpT, Aq,
the preceding Sdefines a quasi-strategy for I (we could call the “non-loosing”
quasi-strategy).
Now if A is closed, we claim that S is winning for I., i.e. that rSs Ď A. Suppose
not. As A is closed, this means that there exists a position s P S such that for
any f P rT s, s Ď f implies f R A. We may assume s is of even length. But then
any strategy for II is winning in GpTs , As q, as As “ H. So s R SI a contradiction
which proves the claim. If one wants a winning strategy for I, one just refines S,
using the axiom of choice. %
6.1.3 The strategic basis theorem

Suppose now X “ ω, hence T is a regular subtree of ω ăω . Then a strategy σ for I or
regular – YP
II in a game on T can be encoded as a function from the set of n’s with sn P T of even
or odd length into the integers. So it has a meaning to say that σ is ∆11 (in the codes).
Theorem 6.1.2 (the strategic basis theorem). Let T be a ∆11 regular tree on ω, and
regular – YP
A Ď rT s a closed Σ11 set in ω ω . If player II has a winning strategy in GpT, Aq, he has
a ∆11 (in the codes) winning strategy (and similarly, by duality, with an open Π11 set
A Ď rT s and player I).
Proof. Suppose not. Following the notations of Theorem 6.1.1, consider
SI1 “ tu P T of even length : II has no ∆11 winning strategy in the game GpTu , Au qu
By the hypothesis, H P SI1 . Let
S 1 “ SI1 Y tua n : u P SI1 and ua n P T u
155
6 Infinite Games
To finish the proof, it is enough to show that S 1 is a winning quasi-strategy for player
I in GpT, Aq.
There are two new ingredients: First suppose rS 1 s * A, then as before Du P SI1
with @α P rT s u Ď α Ñ α R A. To get a contradiction we need to see that II
has a ∆11 winning strategy in GpTu , Hq. But this is simple, as Tu is ∆11 : The set
B “ tn : sn P Tu is of even lengthu is ∆11 , and for each n P B there is an m such that
sn a m P Tu . As this relation is ∆11 , by the ω-Uniformization Theorem 4.3.5, there is a
∆11 -recursive function f : B Ñ ω which satisfies sn a f pnq P Tu for n P B, i.e. gives a
∆11 winning strategy in GpTu , Hq.
The second thing is that we have to prove that for any u P SI1 and any n with ua n P T
there is an m such that ua na m P SI1 . By the argument in Theorem 6.1.1, this will
finish the proof. Suppose not, for some u P SI1 and some n with ua n P T . This means
that for every m with ua na m P T there exists α P ∆11 in ω ω which codes a winning
strategy for player II in GpTua na m , Aua na m q, i.e. satisfies
@k sk P Tua na m and lh sk is odd Ñ sk a αpkq P Tua na m

` ˘
` ˘
^ @β @k βk P Tua na m ^ @k odd βpkq “ αpxβk yq Ñ β R Aua na m .
Now this property is Π11 in m and α, so we can apply the ∆11 -Uniformization Theo-
rem 5.1.6 to get a ∆11 -recursive g : ω Ñ ω ω which associates to m such that ua na m P T
such a (code for a) winning strategy gpmq. But then easily the strategy in GpTu , Au q
defined by σpHq “ n, and if I has played m, by the following the winning strategy gpmq
is both ∆11 in the codes, and winning for II in GpTu , Au q, contradicting u P SI1 . %
Note that the previous result is asymmetric. In the case of winning strategies for
player I in the above game GpT, Aq, one can say that
tα P ω ω : α codes a winning strategy for I in GpT, Aqu
is Σ11 , as one easily checks. So Gandy’s Theorem 5.3.7 applies and gives a strategy
really? – YP
σ recursive in O, or with ω1CK´σ “ ω1 . But it is not always true that there are ∆11
winning strategies, even if T “ ω ăω and A is Π01 . For example, let A be any non Π01
subset of ω ω , and let A˚ “ tα P ω ω : pαq0 P Au where as usual pαq0 pkq “ αp2kq. If A
is non empty, I clearly has a a winning strategy in Gpω ăω , A˚ q, he plays some α0 P A,
whatever II does, and wins. On the other hand, any ∆11 -recursive in the codes winning
strategy for I in Gpω ăω , A˚ q clearly defines a ∆11 -recursive element of A, and there are
non empty Π01 sets in ω ω with non ∆11 member by Theorem 5.1.11.
6.1.4 The Gurevich-Harrington theorem

We now go to the determinacy of Σ02 (and Π02 ) games, a result of Wolfe [Wol55]. In
fact we will prove a stronger result, due to Gurevich and Harrington [GH82], which
makes precise the kind of winning strategy one can hope in such a game, and which
has applications in automata theory.
156
Suppose GpT, Aq is some game on T . For a position u P T , GpTu , Au q represents

the future of the game from position u. So, if u and v are two positions of the same
length with Tu “ Tv and Au “ Av , the player winning GpTu , Au q also wins GpTv , Av q,
and with the same strategy. The uniform version of this is given by the notion of a
no-memory (quasi-)strategy. A no-memory quasi-strategy S Ď T for one of the players
in GpT, Aq is a quasi-strategy such that for all u, v of the same length in T , if Tu “ Tv
and Au “ Av , then Su “ Sv . With this definition, one has:
Lemma 6.1.3. If A Ď rT s is closed, the winning player in GpT, Aq has a no-memory
winning strategy.
Proof. Let us define u E v if u and v are two positions of the same length in T with
Tu “ Tv and Au “ Av . Let TA be the regular tree for A. Then if u E v, then
regular? – K
pTA qu “ pTA qv , just because pTA qu is the regular tree for Au . Define a partial function
regular? – K
fA on the elements in T of even length with ordinal values by:
– fA puq “ 0 if u R TA ;
– fA puq is defined and fA puq ď ξ if and only if

´ ´ ¯¯
@xDy ua x R T _ ua xa y P T ^ fA pua xa yq is defined ^ fA pua xa yq ă ξ .
Pas claire cette définition... Je ne pense pas que ça définisse UNE fonction, si? – K sensé? – K
J’ai changé le deuxième ď ξ par ă ξ. Je pense qu’il faut comprendre: je pense... – YP
fA puq is defined and fA puq “ η if and only if η is the minimal ξ such that
´ ´ ¯¯
@xDy ua x R T _ ua xa y P T ^ fA pua xa yq is defined ^ fA pua xa yq ă ξ .
– YP
Clearly the definition of fA depends only on pTA qu , hence if u E v, then u P dom fA
if and only if v P dom fA , and if u, v P dom fA , fA puq “ fA pvq.
Suppose H P dom fA and consider the quasi-strategy S for II which consists in
staying in dom fA and strictly decreasing fA if fA is positive, and remaining in a
position with fA “ 0 otherwise. By the definition of fA , this is a quasi-strategy, and
with no memory by the remark above. And it is winning, for in any run f played this
way, value 0 is obtained after a while, and hence f R A. Now if H R dom fA , then
by definition of fA the quasi-strategy for I which consists in staying outside dom fA is
indeed a quasi-strategy, clearly with no memory, and contained in TA , hence winning
for I. (This proof shows that in fact it is the canonical non losing winning quasi-strategy
defined in Theorem 6.1.1.) %
It can be shown, using canonical representation of ∆02 sets as difference of closed sets
(see Subsection 7.1.3), that the previous result extends to ∆02 games. However, it fails
for Σ02 and Π02 ones for both players, by considering e.g. T “ 2ăω and the following
Σ02 sets:
A0 “ tα P 2ω : α ends up with 01010101 . . .u ,
157
6 Infinite Games
and
A1 “ tα P 2ω : pαq0 ends up with 01010101 . . .u .
In GpT, A0 q, II clearly wins - by e.g. playing the same thing as I. In GpT, A1 q, I wins,
by e.g. playing 010101 . . .. But in both cases, all u’s of the same length are equivalent,
by homogeneity of A0 and A1 , hence a no-memory strategy must be constant - and
this is clearly not winning.
However, by relaxing a bit the no-memory condition, one can get a positive result
for Σ02 games. Given T and a sequence pAn q of closed subsets of rT s, let us say that
a quasi-strategy S is a no-memory quasi-strategy relatively to the sequence pAn q if for
L: relative – K
all u, v of the same length in T with Tu “ Tv and for all n pAn qu “ pAn qv , one has
Su “ Sv .
Theorem 6.1.4 (Gurevich - Harrington). Let A “ n An be a Σ02 set in rT s, with An
Ť
closed. Then in GpT, Aq, one of the player has a winning strategy which is no-memory
relatively to the sequence pAn q. So in particular (Wolfe), every Σ02 (and every Π02 )
game is determined.
Proof. Without loss of generality, we may assume the sets An are increasing. Let T n
be the regular tree for An , and let E be the equivalence u E v if and only if u and v
regular? – K
are two positions of the same length in T with Tu “ Tv and for all n, Tun “ Tvn . We
also set ! )
Eu “ pv, wq P T ˆ T : ua vEua w ,
so that clearly if u E v, then Eu “ Ev .
Say that a quasi-strategy S respects E if u E v Ñ Su “ Sv , and similarly for Eu . So
we want to find a winning quasi-strategy in GpT, Aq which respects E. We first prove
the following fact: let S be a quasi-strategy for II in GpT, Aq which respects E, and
consider:
D “ tu P S of even length :
I has a winning strategy in GpSu , Au X rSu sq which respects Eu u.
Let
D1 “ tu P S of even length :
I has a winning strategy on Su to reach a position in Du u.
Then there is a quasi-strategy S ˚ for player I in games on S, which respects E, and

such that for any u P D1 X S ˚ , Su˚ is winning for I in GpSu , Au X rSu sq. Hence D1 “ D.
To build S ˚ , let fD the function given by Lemma 6.1.3, corresponding to the open
game on S consisting for II to stay off D. Then dom fD “ D1 . And as clearly D
respects E, so does fD . Fix also some wellordering on D, and for each u P D, let Spuq
be a winning strategy, respecting Eu , for I in GpSu , Au X rSu sq. Define S ˚ by induction
on the length of u P S, as follows: if u of odd length is in S ˚ , and ua x P S, then
ua x P S ˚ (it is a strategy for I). Now if u P S ˚ is of even length, there are three cases:
158
(a) u R D1 “ dom fD . Then if ua x P S, put ua x P S ˚ .
(b) u P D1 zD, i.e fD puq ą 0. Then put ua x P S ˚ if fD pua xa yq ă fD puq.
(c) u P D. Then pick the least (for the wellordering) v “ vpuq P D such that some
extension w of v in Spvq satisfies uEw, and put ua x P S ˚ if wa x P Spvq. This
is well defined, for Spvq respects Ev , hence the definition does not depend on w,
only on v. Moreover, if u E u1 , the corresponding v’s will be the same, so this
definition respects E.
Finally, let u P D1 , and f a run in rSu˚ s. Then after a while, f 2n P D. Now by the
definition, the sequence vpf 2n q is decreasing, at large, for the well-ordering on D. So it
must stabilize at some f 2k , and from that point on, the run is according to a winning
strategy in GpSua f 2k , Aua f 2k X rSua f 2k sq. So f P Au , as desired. This proves the
fact.
We now come back to GpT, Aq. Consider
D “ tu of even length : I has a winning strategy in GpTu , Au q which respects Eu u.
If H P D, we are done. Otherwise, by the fact above, II has a winning strategy S

which respects E to avoid positions in D. We define a strategy S ˚ Ď S as follows. If
u of even length has been played in S ˚ , and ua x P S, put ua x P S ˚ (so it will be a
strategy for II). If now ua x P S ˚ , there are two cases:
(a) For all n, Anu X rSu s “ H. Then if ua xa y P S, put ua xa y P S ˚ .
(b) Otherwise, pick the least n such that Anu ‰ H, and let fn,u be the function,
given by Lemma 6.1.3, corresponding to the closed game GpSu , Anu X rSu sq. The
claim is that H P dom fn,u , for otherwise by Lemma 6.1.3, I wins in this game
by a strategy respecting Eu , so u P D a contradiction. Then put ua xa y P S ˚ if
fn,u pxa yq ă fn,u pHq.
As the definition of S ˚ depends only on the Anu , S ˚ respects E. And clearly it is

winning for II in GpT, Aq, for in any run f P rS ˚ s, II will eventually get off all the trees
Tn %
By weakening again the notion of no-memory strategies to include some (fixed) finite
amount of memory, Gurevich and Harrington [GH82] have extended the previous result
to include sets which are in the Boolean algebra generated by Σ02 and Π02 . For this,
and in relationships with automata theory see missing reference.
missing reference – K
bien jouÈ! – YP
6.1.5 Martin’s theorem
The determinacy of Σ03 and Π03 games was proved in 1963 by M. Davis ([Dav64]). Many
attempts were made to prove determinacy of higher levels Borel games on ω, but in
1970, H. Friedman [Fri71] proved a remarkable metamathematical result: over some
weak system of axioms of set theory, the determinacy of all Σ04 games on ω implies
159
6 Infinite Games
the consistency of the existence of ℵ1 . This result was later extended by Martin to
show that the determinacy of Σ0ξ games on ω implies the existence of ℵξ (reference?).
reference? – K
This means that there cannot be any elementary proof of the determinacy of all Borel
games on ω. Still this is a theorem of ZFC, as proved by D.A Martin in 1975 [Mar75].
In the proof we present below, which is a later proof of Martin [Mar85], we will use for
Σ03`ξ games on ω the existence of the 3 ` ξ th iterate of the power set of ω. This can
be reduced to the existence of ℵξ by logical means, so that the obstruction above gives
the exact level of complexity of this statement.
Theorem 6.1.5 (Martin). Let X be any set, T a regular tree on X. Then all games
regular? – K
GpT, Aq, with A Borel in rT s are determined.
6.1.6 Unraveling games

Let T be a regular tree on X. An unraveling of T is a triple pT ˚ , π, ϕq where:
regular? – K
– T ˚ is a regular tree on some X ˚ .
– π is a function from T ˚ to T which respects the length and the extension order,
i.e. if u˚ P T ˚ , then lhpπu˚ q “ lh u˚ , and u˚ Ď v ˚ in T ˚ implies πu˚ Ď πv ˚ . So
π extends to a continuous function, we still denote by π : rT ˚ s Ñ rT s.
– ϕ is a continuous function from strategies for player I (resp. player II) on T ˚ to

ăω
strategies for the same player on T , viewed as elements of X X , which satisfies
the following condition:
(‹) if σ ˚ is a strategy for I (resp II) on T ˚ , and β P rT s is a run on T where I
(resp. II) plays according to ϕpσ ˚ q, there is a run β ˚ on T ˚ , played according
to σ ˚ , with β “ πβ ˚ .
Condition (‹) easily implies that if A Ď rT s, and A˚ “ π ´1 pAq is such that GpT ˚ , A˚ q
is determined, then GpT, Aq is determined too. In fact, if σ ˚ is winning for I (resp.
II) in GpT ˚ , A˚ q, then σ “ ϕpσ ˚ q is winning for I (resp. II) in GpT, Aq. For otherwise
there is a β P rT s played according to σ with β R A (resp β P A), and then the run
unraveledβ ˚ P rT ˚ s given by (‹) shows that σ ˚ is not winning.
Given k P ω, let us say that pT ˚ , π, ϕq is a k-unraveling if it is an unraveling, and
moreover the sequences in T and T ˚ of length less or equal to 2k are the same, and π
is the identity on these sequences. If now A Ď rT s, we say that A can be unraveled if
for each k P ω, there is a k-unraveling pT ˚ , π, ϕq of T such that π ´1 pAq “ A˚ is clopen
in rT ˚ s. By the previous remark, if A can be unraveled, GpT, Aq is determined. So
Martin’s Theorem follows from:
Theorem 6.1.6. Every Borel set can be unraveled.
6.1.7 Unraveling of closed games

Theorem 6.1.7. If A Ď rT s is closed, A can be unraveled.
160
Proof. Let TA be the regular tree of A, and k P ω. We first define T ˚ . Positions u˚ of

regular – K
length smaller or equal than 2k are positions in T . Positions of greater length are of
the form
(a) x0 , . . . , x2k´1 , px2k , ΣI q, px2k`1 , p0, uqq, x2k`2 , . . . , xl´1 , or of form
(b) x0 , . . . , x2k´1 , px2k , ΣI q, px2k`1 , p1, ΣII qq, x2k`2 , . . . , xl´1 ;
where
– ΣI is any quasi-strategy for player I in Tpx0 ,...,x2k q ;
– in positions of form (a), u is a position of even length, say 2m, in T , extending
px0 , . . .q, x2k`1 q, and in ΣI zpTA qpx0 ,...q,x2k`1 q , and for i ă minpl, 2mq, upiq “ xi ;
L: i ă l, i ă 2m – K
– in positions of form (b), ΣII is any quasi-strategy for player II in pΣI qpx2k`1q with
ΣII Ď pTA qpx0 ,...,x2k`1 q , and px2k`2 , . . . , xl´1 q P ΣII .
First we must show T ˚ is regular. This is immediate except at 2k ` 1. But note
that either pΣI zpTA qpx0 ,...,x2k q q is non empty, and then II can play some px2k`1 , p0, uqq,
or ΣI Ď pTA qpx0 ,...,x2k q , and then II can play any x2k`1 and quasi-strategy ΣII in
pΣI qpx2k`1q . To each position u˚ of form (a) or (b), we associate πu˚ “ px0,...,xl´1 q,
which is a position of the same length in T . This clearly preserves extensions. Let
A˚ “ tβ ˚ P rT ˚ s : πβ ˚ P Au. Then obviously β ˚ P A˚ if and only if β ˚ p2k ` 2q is of the
form px2k`1 , 1, ΣII q. This shows A˚ is clopen in rT ˚ s. So it remains to build ϕ. We
will describe it informally. Suppose first σ ˚ is a strategy for I in T ˚ . We define σ on
T , as follows. For the first 2k moves, he follows σ ˚ . At move 2k ` 1, σ ˚ gives him x2k
and ΣI . He plays x2k . Let x2k`1 be played by II.
Case 1: Player I has a winning strategy in the game GppΣI qpx2k`1 q , rpΣI qpx2k`1 q szApx0,...,x2k`1 q q.
Then he plays this strategy, up to the least u of even length with u P ΣI zpTA qpx0,...,x2k q
(such a u must be reached, as the strategy is winning), say u “ px0 , . . . , x2l´1 q. He
then considers the position
px0 , . . . , x2k´1 , px2k,ΣI q, px2k`1 , p0, uqq, x2k`2 , . . . , x2l´1 q P T ˚ ,
and then answers in T by the answers of σ ˚ to positions extending it. Clearly for
a run β played this way, the corresponding β ˚ (with β ˚ p2k ` 1q “ px2k , ΣI q and
β ˚ p2k ` 2q “ px2k`1 , p0, uqq) satisfies (‹).
Case 2: Otherwise. Then II has a winning quasi-strategy ΣII in the above game,
which of course satisfies ΣII Ď pTA qpx0,...,x2k`1 q . Then I plays in T according to the
answer by σ ˚ to positions of form
px0 , . . . , x2k´1 , px2k , ΣI q, px2k`1 , p1, ΣII qq, x2k`2 , . . . , x2l´1 q,
as long as he can, i.e. as long as these are positions in T ˚ , that is precisely as long
as px2k`1 , . . . , x2l´1 q P ΣII . Now if a position px2k`1 , . . . , x2l´1 q is reached in T with
px2k`1 , . . . , x2l´1 q R ΣII , then I has a winning strategy in the game:
GppΣI qpx2k`1 ,...,x2l´1 q , rpΣI qpx2k`1 ,...,x2l´1 q szApx0 ,...,x2l´1 q q,
161
6 Infinite Games
as in case 1. He then does as in case 1, i.e. plays according to the winning strategy till
a position u of even length 2p in ΣI zpTA qpx0 ,...,x2k q and then plays according to answers
by σ ˚ to positions of form
px0 , . . . , x2k´1 , px2k , ΣI q, px2k`1 , p0, uqq, . . . , x2m´1 q,
m ě p. In both cases, this clearly defines for each run β played this way some run β ˚
on T ˚ , played accordingly to σ ˚ , with β “ πβ ˚ , as desired.
Note that the run β ˚ is not defined continuously in β (this is the key to the proof),
for as long as we are in case 2, we do not know whether at the end β ˚ p2k ` 1q will be
of type px2k`1 , p0, uqq or px2k`1 , p1, ΣII qq. We now fix a strategy τ ˚ for II on T ˚ , and
define τ as follows: in the first 2k moves, II follows τ ˚ . Let then I play x2k . Consider:
(
S “ ΣI : ΣI is a strategy for I in Tpx0 ,...,x2k q
and
U “ u P T of even length :
(
for some ΣI P S, τ ˚ answers some px2k`1 , p0, uqq to px0 , . . . , x2k`1 , px2k , ΣI qq .
Consider in Tpx0 ,...,x2k q the game consisting for II to reach a position px2k`1 , . . . , x2l´1 q
with px0 , . . . , x2l´1 q P U. This is an open game for II.
Case I: II has a winning strategy in this game. He then plays it till such a u “
px0 , . . . , x2l´1 q is reached, with corresponding Σu P S. He then plays according to
answers by τ ˚ to positions of form
px0 , . . . , x2k´1 , px2k,Σu q, px2k`1 , p0, uqq, . . . , x2m q,
with m ą l. Clearly this gives for each run β played this way a β ˚ P rT ˚ s played
according to τ ˚ with β “ πβ ˚ as desired.
Case II: Otherwise. Then player I has his canonical winning quasi-strategy ΣI in
the above game. Now note that the answer by τ ˚ to px2k , ΣI q cannot be of the form
px2k`1 , p0, uqq, for otherwise, as ΣI P S, u P U. But u P ΣI , and this implies ΣI is not
winning for I in the above game. So τ ˚ gives px2k`1 , 1, ΣII q, and II answers in T by
the answers by τ ˚ to positions of form
px0 , . . . , x2k´1 , px2k , ΣI q, px2k`1 , p1, ΣII qq, . . . , x2l q,
with l ą k, as long as he can, i.e. as long as px2k`2 , . . . , x2l q P ΣII . Suppose now some
position px0 , . . . , x2l q is reached in T with px2k`2 , . . . , x2l q R ΣII . ΣII is a quasi-strategy
for II in a game on pΣI qpx2k`1 q , hence I cannot play outside ΣII without getting outside
pΣI qpx2k`1 q . So px2k`1 , . . . , x2l q R ΣI . But then II has a winning strategy from this
point on to get into U, and we are back in case I. In both cases, this gives for any run
β played this way some β ˚ played according to τ ˚ with β “ πβ ˚ , as desired. %
162
6.1.8 Proof of Martin’s theorem

Of course, clopen sets can be unraveled, and if A can be unraveled, so can its comple-
ment. We prove Theorem 6.1.5 by induction. Assuming the result for Π0ăξ sets, we
prove it for Σ0ξ . So let k P ω and A “ An , with An P Π0ăξ in rT s. By induction on
Ť
n, we define a sequence pT n , πn , ϕn q satisfying:
– pT 0 , π0 , ϕ0 q is a k-unraveling of T , with A00 “ π0´1 pA0 q clopen in rT 0 s.
n`1
– pT n`1 , πn`1 , ϕn`1 q is a k ` n ` 1 unraveling of T n , with An`1 ´1
“ πn`1 ˝ ... ˝
´1
π0 pAn`1 q clopen in rT n`1 s.
This is possible because as the functions πi are continuous, Ann`1 “ πn´1 ˝. . .˝π0´1 pAn`1 q
is Π0ăξ in rT n s.
We then define T 8 , π 8 and ϕ8 as follows. A position u of length at most 2n is in
T 8 if and only if it is in T n . This is meaningful, for by construction u of length 2n
L: n – K
is in T n if and only if it is in T p for all p ě n. Clearly T 8 is a regular tree. And if
regular – K
one defines, for u of length at most 2n, π 8 puq “ π0 ˝ π1 ˝ . . . ˝ πn puq, π 8 : T 8 Ñ T
preserves length and the extension order. Finally note that, by condition (‹), for any
σ strategy on T n`1 , ϕn`1 pσq coincides with σ on the sequences of length at most
2pk ` n ` 1q. So if σ ˚ is a strategy on T 8 , we can define, for u of length at most 2n,
ϕ8 pσ ˚ qpuq “ ϕ0 ˝ ϕ1 ˝ . . . ˝ ϕn pσ ˚ qpuq. To check condition p˚q for T 8 , π 8 and ϕ8 , let
σ ˚ be given on T 8 and β be a run in T following σ “ ϕ8 pσ ˚ q. Pick any σn˚ on T n which
coincides with σ ˚ on sequences of length at most 2k `2n, and let σn “ ϕ0 ˝. . .˝ϕn pσn˚ q.
Then σn coincides with σ on sequences of length at most 2k ` 2n, so pick βn a run in
T following σn , with βn 2k`2n “ β 2k`2n . Let βn˚ on Tn be played according to σn˚ ,
with π0 ˝ . . . πn pβn˚ q. Now clearly, for p ą n, βp˚ 2k`2n “ βn˚ 2k`2n . It follows that
β ˚ “ limn βn˚ is a run on T 8 , played according to σ ˚ , and with π 8 pβ ˚ q “ β, as desired.
Clearly T 8 and T coincide on sequences of length at most 2k, and pT 8 , π 8 , ϕ8 q is a
k-unraveling of T .
For each n, πn8 “ limm πn ˝ πn`1 ˝ . . . πm´1 defines a continuous function from rT 8 s
to rT n s, with pπ 8 q´1 pAn q “ pπn8 q´1 pAnn q, so pπ 8 q´1 pAn q is clopen for all n. Hence
L: πn8 pAn
nq – K
pπ 8 q´1 pAq is open in rT 8 s. Finally by Theorem 6.1.7, one can unravel pT 8 , π 8 , ϕ8 q
to some pT ˚ , π ˚ , ϕ˚ q with pπ 8 ˝ π ˚ q´1 pAq clopen, preserving the sequences of length
at most 2k. Then pT ˚ , π 8 ˝ π ˚ , ϕ8 ˝ ϕ˚ q is a k-unraveling of T which works.
Remark 6.1.8. The preceding proof does not give that the family of sets which can
be unraveled is a σ-field, because of the use of preimages by continuous functions in
the proof. Still, for natural classes, like e.g ApΠ01 q, the proof shows that if sets in
ApΠ01 q can be unraveled, so can sets in BorpApΠ01 qq, and by similar arguments, all
C-sets. However it is not known whether sets in ApΠ01 q can be unraveled, from any
assumption.
6.1.9 More determinacy

The determinacy of all Π11 games (or Σ11 games, as it is the same) on T “ ω ăω cannot
be proved in ZFC. In fact, by results of Martin and Harrington, it is equivalent to a large
163
6 Infinite Games
cardinal axiom, and follows from the existence of a measurable cardinal (Martin 1970
citations added – K
[Mar70], and Harrington 1978 [Har78]). The proof of various instances of determinacy
from large cardinals assumptions is the central subject of D.A. Martin’s forthcoming
monograph r??s. And its applications to the study of properties of general definable
Une autre Arlésienne
–K subsets of Polish spaces is covered in Moschovakis [Mos80].
6.2 Baire spaces and the Baire property

6.2.1 Meager sets
Let X be a topological set. A subset A Ď X is rare if its closure A has empty interior
in X, or equivalently if its complement contains a dense open set. NoteŤ that if A is
rare, so is its closure A. A is meager in X, or of the first category, if A “ n An , with
An rare in X. So any meager set A is contained in a meager Fσ set. The complement Ş of
a meager set is called a comeager set, and is a set which contains a set of form n Gn ,
with Gn open dense in X. These notions were introduced by Baire in an attempt to
define a notion of “topologically negligible set”, analogous to the notion of negligible in
measure theory. Clearly the family of rare sets is an ideal in PpXq, i.e. is hereditary,
def? – K
and closed under countable unions.
6.2.2 Baire spaces

The preceding notions are interesting only if X itself is not meager in X. This leads
to the following definition:
Definition 6.2.1. A topological space X is a Baire space if one of the following

equivalent properties holds.
(1) Every non empty open subset of X is non meager.
(2) Every meager subset of X has empty interior.
(3) Every closed meager set is rare.
(4) Every comeager set is dense.
Proof. (1)ñ(2). If A is meager, its interior is also meager, hence is empty by (1).
(2)ô(4). Is obvious by taking complements.
(2)ñ(3). (3) is just a particular case of (2).
(3)ñ(1). Let U be a meager open set, and F “ U . As F zU is a closed set of empty

interior, F is also meager. But then F has empty interior and U “ H.
%
164
6.2.3 Choquet games

Let X be a topological space. The Choquet game in X is defined as follows: Players I
and II alternate playing non empty open subsets of X:
I: V0 V1
¨¨¨
II : U0 U1
Ş Ş
subject to the condition Vi`1 Ď Ui Ď Vi . Player II wins if n Un “ n Vn is non
empty.
Theorem 6.2.2 (Saint-Raymond). X is a Baire space if and only if Player I has no
winning strategy in the Choquet game on X.
Proof. Suppose first that X is not a Baire space, and pickŞa non empty open V0 which
is meager in X, and dense open sets pWn qnPω with V0 X n Wn “ H. We describe a
winning strategy for I: he first plays V0 , and at step n answers
Ş to Un by VŞn`1 “ Un XWn ,
which is non empty as Wn is dense. Clearly at the end, n Vn Ď V0 X n Wn “ H, so
this strategy is winning.
Conversely, suppose σ is a winning strategy for I, and let V0 “ σpHq. We claim
that V0 is meager. First, we pick a maximal family W1 of pairwiseŤdisjoint òpen sets ˘
of form σpU q, for U a non empty open subset of V0 . Then W1 “ W1 Y Ť XzV 0 is
dense in X, for otherwise there is a non empty open U Ď V0 with U X W1 “ H.
But then σpU q can be added to W1 , contradicting its maximality. For each V1 P
W1 , we also pick U0 Ď V0 with σpU0 q “ V1 . Now for each V1 P W1 , we choose a
maximal family W1 pV1 q of pairwise disjoint sets of form σpU0 , U q, for U non empty
open subsetsŤof ŤV1 , and for each V2 P W1 pV1 q an U1 Ď V1 with σpU0 , U1 q “ V2 ;
again W2 “ t W1 pV1 q : V1 P W1 u Y pXzV0 q is dense. Continuing this way, we get
Ť pWn q of families of pairwise disjoint non empty open subsets of V0 with
a sequence
Wn “ Wn Y pXzV0 q dense in X, and such that for each Vn P Wn corresponds a
unique Vi P Wi , for each i ă n, and a unique Ui , for each i ă n, such that pV0 ,Ş
U0 , Vn q
is a position in the Choquet game and Vn “ σpU0 , . . . , Un´1 q. So if x P V0 X n Wn ,
there is a unique sequence pVn , Un q with Vn P Wn , such that for all n, x P Vn . But
this sequence isŞ a run of the Choquet game where Player I has followedŞ his winning
strategy, hence n Vn “ H, a contradiction. This shows that V0 X n Wn “ H, and
hence V0 is meager in X %
6.2.4 Choquet spaces

We will also consider the following strong Choquet game on a topological space X
I: pV0 , x0 q pV1 , x1 q
¨¨¨
II : U0 U1
165
6 Infinite Games
As before, I and II alternate playing non-empty open sets with Vi`1 Ď Ui Ď Vi . But
player I also plays a point xi P Vi and II must answer with Ui containing xi .
Definition 6.2.3. A space X is a (strong) Choquet space if player II has a winning
strategy in the (strong) Choquet game on X.
Clearly every string Choquet space is a Choquet space, and every Choquet space is
a Baire space, by Subsection 6.2.2.
Theorem 6.2.4. (i) Every locally compact space, and every complete metrizable
space, is a strong Choquet space.
(ii) Any product of (strong) Choquet spaces is a (strong) Choquet space.
(iii) If X is a Choquet space and Y is a Baire space, X ˆ Y is a Baire space.
(iv) If X is a strong Choquet space, and Y Ď X is a Gδ set, Y is a strong Choquet
space.
Proof. (i) If X is locally compact, II can play as follows: if at step n player I has
played pVn , xn q, II answers by Un with xn P Un , Un compact, Un Ď Vn . Then, by
compactness, č č
Vn “ Un ‰ H.
nPω nPω
If X is complete metrizable and d is a complete compatible metric on X, II
answers to pVn , xn q by some Un with xn P Un , Un Ď Vn and diampUn q ď 2ń .
Then by completeness of d,
č č
Vn “ Un ‰ H.
nPω nPω
(ii) Let pXi qiPJ be Choquet spaces, with winning strategies

ś pσi qiPJ for II in the corre-
sponding Choquet games. In the game for X “ iPJ Xi , II chooses at each step
a set Un and a finite subset Jn of J as follows: if I as played Vn , II first chooses
Wn Ď Vn non-empty, such that
ź
Wn “ Wni ,
iPJ
where, for all i RŤJn , Wni “ Xi , for a certain finite set Jn Ď J which we may
assume contains kăn Jk . Then he answers by
ź
Un “ Uni ,
iPJ
where, for i R Jn , Uni “ Xi , and for i P Jn , Uni is the answer by σi to the play
pWni 0 , Ť
Wni 0 `1 , . . . , Wni q, where n0 is least with i P Jn0 . At the end of a run, let
J8 “ nPω Jn . Then ˜ ¸
ź č č
Uni Ď Un ,
iPω nPω nPω
166
i
Ş
with nPω UŞ n “ Xi if i R J8 , and a winning run of the Choquet game on Xi if
i P J8 . So nPω Un ‰ H as desired. The case of the strong Choquet games is
similar, and we omit it.
(iii) Let σ be a strategy for II in the Choquet game on X, and suppose τ is a winning
strategy for I in the game on X ˆ Y . We will then define a winning strategy θ
for I in the game on Y , a contradiction which will prove (iii).
First let θpHq “ V0XˆY . Pick V0X ˆ V0Y ‰ H such that V0X ˆ V0Y Ď V0XˆY , and
set θpHq “ V0Y . Suppose II plays U0Y Ď V0Y . Let U0X “ σpV0X q, and consider
U0XˆY “ U0X ˆ U0Y . Let V1XˆY “ θpU0XˆY q, and pick V1X ˆ V1Y ‰ H such that
V1X ˆ V1Y Ď V1XˆY , and set`θpU0Y q “˘ V`1Y . Continuing
˘ ` this way, we ˘set in a
X X Y Y
run followed by θ sequences Un , Vn , Un , Vn and Un XˆY , VnXˆY played
according to σ, θ and τ respectively, with UnXˆY X Y
“ Un ˆ Un . But
č č č
UnXˆY “ UnX ˆ UnY “ H,
nPω nPω nPω
UnX ‰ H, one must have UnY “ H, as desired.

Ş Ş
and as nPω nPω
(iv) Let σ Şbe a winning strategy for II in the strong Choquet game on X, and let
A “ nPω Gn be a Gδ set in X, with pGn qnPω a sequence of decreasing open
sets. We describe a winning strategy for II in the strong Choquet game on A as
follows.
Suppose I plays pV0A , x0 q. Player II first chooses V0X open in X with V0A “ V0X XA
and w.l.o.g. V0X Ď G0 , and plays
U0A “ A X σpV0X , x0 q.
The point is that as x0 P A, the set U0A is non-empty, hence is playable in the
game on A. Similarly at stage n, if I plays pVnA , xn q, II chooses VnX Ď Gn open
in X with VnA “ VnX X A, and answers
UnA “ A X σppV0X , x0 q, . . . , pVn , xn qq,

x
Ş
which is non-empty in A. At theŞend of a run, nPω Vn is non-empty, and is
A X
Ş Ş
contained in nPω Gn “ A, hence nPω Vn “ nPω Vn is non-empty, as desired.
%
6.2.5 Choquet versus Polish

In this book, we are mainly interested in metrizable separable spaces. For these spaces,
one has the following.
Theorem 6.2.5. Let X be metrizable, separable, and X̂ some completion of X.
(i) X is a Choquet space if and only if X is comeager in X̂.
167
6 Infinite Games
(ii) X is a strong Choquet space if and only if X is Gδ in X̂, hence if and only if X
is Polish.
ŞX is comeager in X̂, and let pGn qnPω be a family of dense

Proof. (i) Suppose first that
open sets in X̂ with nPω Gn Ď X. The strategy for II in X is the same as in
X̂, except that at stage n he intersects his play Un with Gn – which is possible
as Gn is dense. This strategy is clearly winning in X.
Conversely, let σ be a winning strategy for II in the game on X. We define
inductively families Wn of non-empty open sets in X̂ as follows: W0 is a maximal
family of pairwise disjoint open sets U such that U X X “ σpV q for some open
V ‰ ŤH in X. Note that the reunion of all sets in W0 is dense in X̂, for otherwise
X̂z W0 “ V is open non-empty in X̂, hence V X X is open non-empty in X and
for some U Ď V , U X V “ σpV X Xq, hence U can be added to W0 , contradicting
its maximality. One also picks, for each U0 P W0 , a V0 with U0 X X “ σpV0 q.
At step 1, W1 is a maximal family of pairwise disjoint open sets U in X̂, each
contained in some (unique) U0 P W0 , of diameterŤless than 2´1 , and such that
for some V Ď U0 X X, U X X “ σpV0 , V q. Again, W1 is open dense in X̂, and
one can pick for each U1 P W1 a V1 with U1 X X “ σpV0 .V1 q. Continuing this
way, one let, at step n, Wn be a maximal family of pairwise disjoint non-empty
open sets U in X̂, of diameter less than 2ń , each contained in some (unique)
Un´1 P Wn´1 , and such that U X X “ σpV0 , V1 , . . . , Vn´1 , V q for the unique
Ť
associated sequence V0 , V1 , . . . , Vn´1 and some open V Ď Un´1 X X. Again Wn
is open dense in X̂, an so on.
Ş Ť
To finish the proof, we claim that nPω p Wn q Ď X, hence X is comeager in
Ş Ť Ş
X̂. To see this, pick x P nPω p Wn q. Then x P nPω Un for a unique sequence
pUn qnPω with Un P Wn , and the play Ş pVn , Un X XqnPω is a play in the Choquet
game on X according
Ş to σ. Hence nPω pUn X Xq ‰ H. But by the condition on
the diameters, nPω “ txu, hence x P X as desired.
(ii) The proof is very similar. If X is Gδ in X̂, X is a strong Choquet space either by
(iv) or – as X is Polish by Theorem 3.5.6, by (i).
For the converse, we need the following fact: if U is any family of open sets in
X̂, there is a point-finite refinement V of U, i.e. a family of open sets with same
union, such that every V P V is contained in some U P U, and for all x P X̂,
tV P V : x P V u is finite. Moreover for any given integer k, we may insure that
for V P V, diampV q ď 2´k . To prove the Ť fact, pick a countable subfamily pUn qnPω
of U with same union, and write Un “ pPω Unp , with Unp increasing, open, and
with Unp Ď Un . Let then ď
Vn “ Un z Unp .
păn
One easily checks that V “ tVn : n P ωu works. If moreover one replaces at the
beginning the Un ’s by open subsets with same union and diameter less than 2´k ,
one gets the last conclusion.
168
Let now σ be a winning strategy for player II in the strong Choquet game on X.
For each x P X, let Ux be open in X̂ with X X Ux “ σpX, xq. By the fact above,
let W1 be a point-finite refinement of U “ tUx : x P Xu, and for each Ť V1 P ŤW1 ,
pick some x0 P X such that V1 X X Ď σpX, x0 q. Note that W1 “ W1 “ U
is open and contains X, as x P Ux for all x P X. At step 2, for each V1 in
W1 with associated x0 and for each x P X X V1 , pick Ux1 open in X̂ such that
Ux1 X X “ σppX, x0 q, pX X V1 , xqq, and let W2 be a point finite refinement of
U1 “ Ux1 : x P V1 , V1 P W1 ,
(
consisting of sets of diameter less than 2´1 . For each V2 P W2 , pick some V1 P W1
and some x1 P V1 with V2Ť X X Ď σppX, x0 q, pV1 , x1 qq. Continuing this way, we
obtainŞa sequence Wn “ Wn of open sets in X̂ which all contain X, hence
A “ nPω Wn is a Gδ set on X̂ which contains X. The claim is that in fact,
A “ X. To see this, let x P A, and consider the set T of all sequences of
form ppV0 , x0 q, . . . , pVn´1 , xn´1 q, pVn , xqq where Vi P Wi , V0 “ X, x P Vn and
ppV0 , x0 q, . . . , pVn´1 , xn´1 qq is the unique sequence associated to Vn P Wn in the
construction. This set is a tree, and is infinite as it contains sequences of all
lengths. Also, every sequence in T has only finitely many successors in T , as
each Wn is point-finite. This implies, by König’s lemma, that T has an infinite
branch pVn , xn qnPω . By the construction, pVn X X, xn qnPω corresponds to a run
in the strong Choquet game on X, with II playing his winning strategy. Hence
˜ ¸
č
Vn X X ‰ H.
nPω
Ş
But by the condition on diameters, nPω Vn “ txu. So x P X as desired.
%
Remark 6.2.6. This theorem shows in particular that the notions of Choquet space
and strong Choquet space differ, even for metrizable separable spaces. And using the
axiom of choice, it is easy to build a dense non-comeager set in R which is a Baire
space, so that the three notions are different.
Reference missing –
K
6.2.6 The Gandy-Harrington topology
We now introduce a tool which has proved to be extremely useful in the Descriptive Set
Theory of Σ11 and Π11 sets. It was introduced first by Gandy (in equivalent but different
terms), and became used mainly after Harrington’s work on equivalence relations.
Reference missing –
Let X be a Suslin recursive space. The Gandy-Harrington topology τ “ τX on X is K
the topology generated by all Σ11 subsets of X. This topology has a countable basis,
and is finer than the original topology on X, as all VnX are Σ11 . In general, this topology
is not metrizable, or what is the same, not regular: for X “ ω ω , we know that there
are Σ11 that are not Π11 . Now each τ -open set being a countable union of Σ11 sets is Σ11 ,
hence each τ -closed, and each τ ´ Fσ set must be Π11 . So there are τ -open sets which
are not τ ´ Fσ , and τ is not regular.
169
6 Infinite Games
Theorem 6.2.7. Let X be a Suslin recursive space. Then pX, τ q, the space X endowed
with the Gandy-Harrington topology, is a strong Choquet space.
Proof. By embedding X as a Σ11 subset of ω ω , we may assume X “ ω ω . We describe
a winning strategy for II in the strong Choquet game on pω ω , τ q. Let I play pV0 , x0 q.
As V0 is τ -open, II can choose a Σ11 set A0 with x0 P A0 Ď V0 . Player II also chooses
a Π01 set F0 Ď ω ω ˆ ω ω with
α P A0 Ø Dβ pα, βq P F0 .
I now plays V1 Ď A0 and α1 P V1 , and II first chooses β01 such that pα1 , β01 q P F0 .
Consider the set
A10 “ α P ω ω : αp0q “ α1 p0q ^ Dβpβp0q “ β01 p0q ^ pα, βq P F0 q .

(
Observe that A10 is Σ11 , and α1 P A10 , so II can play a Σ11 set A1 with α1 P A1 and
A1 Ď A10 X V1 . He also picks F1 in Π01 pω ω ˆ ω ω q with
Let I play V2 Ď A1 , and α2 P V2 . II first picks β02 and β12 with β02 “ β01 , pα2 , β02 q P F0
and pα2 , β12 q P F1 . Let
A20 “ α P ω ω : α2 “ α2 2 ^ Dβpβ2 “ β02 2 ^ pα, βq P F0 q

(
and
A21 “ α P ω ω : α2 “ α2 2 ^ Dβpβ2 “ β12 2 ^ pα, βq P F1 q .
(
These sets are Σ11 , and α2 P A20 X A21 X V2 , so II can plays some Σ11 set A2 with α2 P A2
and A2 Ď A20 X A21 X V2 , and pick some F2 in Π01 pω ω ˆ ω ω q with
Continuing this way, II has built, at the end of a run, a sequence of Σ11 sets pAn qnPω ,
a sequence of Π01 pω ω ˆ ω ω q sets pFn qnPω , Σ11 sets pAni qiăn , and elements pβin qiăn corre-
sponding to the αn ’s played by I, in such a way that
(a) α P An Ø Dβ pα, βq P Fn , pαn , βin q P F , and
α P Ani Ø pαn “ αn n ^ Dβpβn “ βin n ^ pα, βq P Fi qq .
n
Ş
(b) An Ď Vn X iăn Ai .
(c) The sequence pαn qnPω converges to some α, and the sequence pβin qnPω converges
to some βi for each i P ω.
We claim that α P nPω An “ nPω Vn . To see this, note that, in ω ω ˆ ω ω and for
Ş Ş
each integer i, the sequence pαn , βin qnPω converges to pα, βi q. And as, for all integer
n, pαn , βin q P Fi and Fi is closed, pα, βi q P Fi . But then α P Ai , for all integer i, as
desired. %
170
This result, together with (ii), shows that pX, τ q is very closed to being Polish. This
can be made even more precise, as follows. For each Σ11 set A in X, consider its closure
τ
A for the topology τ . By Theorem 4.3.8, one has
τ
x R A Ø DB P Σ11 pA X B “ H ^ x P Bq
Ø DB P ∆11 pA X B “ H ^ x P Bq
Ø Dn n P D1 ^ A X Wn1 “ H ^ x P Wn1 ,
` ˘
τ
where pD1 , W 1 q is the coding of ∆11 subsets of X defined in Proposition 5.1.1. So A
τ
is Π11 , and A is Σ11 , hence is open for τ . Let
ď τ
A zA : A P Σ11 pXq .
(
X ˚ “ Xz
τ
As each A zA is a τ -closed τ -rare set, X ˚ is a τ -dense Gδ set in X, hence pX ˚ , τ q
τ
is a strong Choquet space. But the basis A X X ˚ “ A X X ˚ , A P Σ11 of pX ˚ , τ q,
consists of clopen sets, hence pX ˚ , τ q is regular, and hence metrizable separable. By
Theorem 6.2.5, it is in fact Polish. So pX, τ q contains a dense Gδ which is Polish for
the induced topology.
Of course we can also consider the relativized topologies τ pαq, for α P ω ω , generated
on X by the Σ11 pαq sets. And by relativizing the previous discussion, we get for
pX, τ pαqq the same properties as for pX, τ q.
6.2.7 The Baire property

Let X be a topological space. A set A Ď X has the Baire property if A can be written
as W 4 M “ pW zM q Y pM zW q, with W open in X and M meager in X. We denote
by BPpXq the family of all subsets of X with the Baire property.
Similarly a function f X Ñ Y , with X, Y two topological spaces, has the Baire
property if it is BP-measurable, i.e. f ´1 pW q is in BPpXq for all open W in Y .
Theorem 6.2.8. Let X be a topological space.
(i) BPpXq is a σ-field of subsets of X, and hence every Borel subset of X has the
Baire property.
(ii) BPpXq is a family which admits envelops. Hence by Theorem 4.1.3, it is closed
under operation A. In particular, if X is metrizable separable, any Σ11 set, and
even any C-set, in X has the Baire property for any finer topology on X.
Proof. (i) As the family of meager sets in X is a σ-ideal, BPpXq is clearly closed under
countable unions. Also any comeager set has the Baire property, so to show that
BPpXq is closed under complementation, it is enough to show that closed sets
are in BPpXq. But if F is closed and F̊ is its interior, F “ F̊ Y pF zF̊ q, and
pF zF̊ q is rare. So BPpXq is a σ-field. As it contains the open sets, it contains
all Borel sets in X.
171
6 Infinite Games
(ii) Let A Ď X. We want to find a set A˚ P BPpXq, A Ď A˚ , such that for any
B P BPpXq with A Ď B, A˚ zB is meager in X.
Consider a maximal family Ť W of pairwise disjoint open sets W with A X W
meager in X. Let W0 “ W. First we claim that W0 X A is meager in X. To
see this, it is enough to show that if B Ď W0 is such that, for all W P W, B X W
is rare, then B is rare in X. Now note that
ď (
BĎ B X W X W : W P W Y pW0 zW0 q,
Ť
so if x P B XW0 , there is a W P W with x P W , but then x R W ‰W 1 PW pB X W 1q
as the sets in W are pairwise disjoints; so x P B X W X W .
So if U is open and non-empty, U Ď B, there is W P W with U X W ‰ H, hence
U X W Ď B X W contradicting the fact that B X W is rare. This proves our
claim: W0 X A is meager in X. Let A˚ “ pXzW0 q Y pW0 X Aq, then A˚ P BPpXq
and A˚ contains A. We show that A˚ is an envelop for A. Let B P BPpXq be
such that A Ď B. As A˚ zB P BPpXq, we can write it as U 4M , with U open and
M meager in X. So U X B Ď M , and a fortiori U X A Ď M . This implies that
U zW0 is empty, for otherwise it could be added to the family W, contradicting
its maximality. Now
U Ď A˚ Y M Ď pXzW0 q Y pW0 zW0 q Y pW0 X Aq Y M.
But U XpXzW0 q is empty, and the three last sets are meager in X. So U is meager,
and finally A˚ zB too. So BPpXq admits envelops, and by Spilrajn-Marczewski’s
Theorem 4.1.3, is closed under operation A.
Finally, if X is metrizable separable, the family C is the least σ-field of sets
closed under operation A and containing the open sets in X. If τ is a finer
topology on X, the open sets in X are all τ open, hence by the result above,
C Ď BPpX, τ q. %
6.2.8 The Ulam-Kuratowski theorem

Theorem 6.2.9 (Ulam-Kuratowski). Let X be a topological space, and Y a Baire
space with a countable basis. Let A P BPpX ˆ Y q. Then A is meager in X ˆ Y if and
only if the set
tx P X : Ax is non-meager in Y u
is meager in X.
Proof. Suppose first M0 “ tx P X : Ax is non-meager in Y u is meager in X. Write

A “ U 4 M , with U open and M meager in X ˆ Y . If x P πU “ tx P X : Dy P
Y px, yq P U u, Ax “ Ux 4 Mx is non-meager, as Ux ‰ H and Y is Baire. So πU Ď M0 .
But then A Ď M Y pM0 ˆ Y q, and one easily checks that M0 ˆ Y is meager in X ˆ Y ,
for if F Ď X is a closed rare set, F ˆ X is closed rare in X ˆ Y . So A is meager.
172
Ť
Conversely, suppose A is meager, so that A Ď nPω Fn , with Fn closed and rare in
X ˆ Y . Each pFn qx is closed, and as Y is Baire, pFn qx is meager if and only if pFn qx
is rare. So if pVn qnPω is a basis of non-empty sets of the topology of Y , one gets
ď
tx P X : pFn qx is non-meageru “ tx P X : Vk Ď pFn qx u .
kPω
Now for all n and k, the set Mnk “ tx P X : Vk Ď pFn qx u is closed, for if x R Mnk , there
exists y P Vk such that px, yq R Fn , and this still holds in a neighborhood of x, as Fn
is closed. Also Mnk is rare, for otherwise for some non-empty U in X we would have
U ˆVk Ď Fn , which is impossible as Fn is rare. So the set tx P X : pFn qx is non-meageru
is meager, and finally
ď
tx P X : Ax is non-meager in Y u Ď tx P X : pFn qx is non-meageru
nPω
is meager too. %
6.2.9 Computation of “Borel is meager”

Theorem 6.2.10. Let X be a topological space, Y a Baire space with a countable basis.
If A Ď X ˆ Y is Π0ξ , then
– tx P X : Ax is comeageru is Π0ξ ;
– tx P X : Ax is meageru is Π0ξ`1 .
Dually, if B Ď X ˆ Y is Σ0ξ ,
– tx P X : Bx is comeageru is Π0ξ`1 ;
– tx P X : Bx is meageru is Π0ξ .
Proof. The main point in the computation is that for a set E Ď Y with the Baire
property, E is non meager if and only if for some U ‰ H open in Y , U zE is meager.
This is clear as E “ U 4 M with U open and M meager, and as Y is a Baire space,
E is non meager if and only if U is non-empty.
The result is proved by induction, For A open,
tx P X : Ax is meageru “ tx P X : Ax “ Hu
is closed. Also, for A closed,
tx P X : Ax is meageru “ tx P X : Ax is rareu
č! )
“ x P X : Vn X A{x ‰ H
nPω
set is Π02 . Suppose the

where pVn q is a basis of non-empty sets for Y . So this Ť Ť result
is known for Ση and Πξ , for η ă ξ. For A P Σξ , A “ nPω An , with An P ηăξ Π0η ,
0 0 0
173
6 Infinite Games
so that Ax is meager if and only if pAn qx is meager for all n P ω. As by induction

hypothesis, for some η ă ξ, the set pAn qx is meager is Π0η`1 Ď Π0ξ , the relation Ax is
meager is Π0ξ as desired. By duality, the relation Bx is comeager, for B in Π0ξ , is Π0ξ
too. Let now A be Π0ξ . then
Ax is not meager Ø Dn Vn zAx is meager.

Ø Dn ppX ˆ Vn qzAqx is meager.
Observe that pX ˆ Vn qzA is Σ0ξ , hence Ax is not meager is Σ0ξ`1 , and Ax is meager is
Π0ξ`1 as desired. The final computation is again by duality. %
6.2.10 BP-measurable functions

BP-measurable functions behave rather badly. For example, they are not closed under
composition. In fact, even for a continuous function f , the inverse image of a meager
set may not be meager. However there is one case for which it is true: if f : X Ñ Y is
continuous and open, then f ´1 pM q is meager for any meager set M Ď Y . To see this,
note that if F Ď Y is closed and rare, f ´1 pF q is closed in X as f is continuous, and
rare as f is open: the image of its interior would be in the interior of F . Note that
this is interesting mainly when X is Baire.
The main interest of BP-measurable functions lies in the following proposition.
Proposition 6.2.11. Let f : X Ñ Y be BP-measurable, with Y having a countable

basis. Then for some comeager A Ď X, the restriction f A of f to A is continuous.
Again, this is really interesting only when X is Baire.
Proof. For each Vn in the basis of Y , An “ f ´1 pVn q has the Baire property,
Ť hence can
be written Un 4 Mn , with Un open and Mn meager in X. Let A “ Xz nPω Mn . A is
comeager in X, and f A is continuous, as f ´1 pVn q X A “ Un X A is open. %
This proposition can be applied to Borel functions, and also to the C-measurable
uniformizing functions for Σ11 sets given by the Jankov - Von Neumann uniformization
theorem in Subsection 5.4.3.
6.2.11 The Banach-Mazur Game

Let A Ď ω ω , and consider the following game G˚˚ pAq:
I: s0 s2
¨¨¨
II : s1 s3
where s0 , s1 , . . . are elements of ω ăω which are not H, and if α “ s0 a s1 . . ., then I wins

G˚˚ pAq if and only if α P A.
174
Lemma 6.2.12. (i) II has a winning strategy in G˚˚ pAq if and only if A is meager.
(ii) I has a winning strategy in G˚˚ pAq if and only if A is comeager on some non-
empty open set U , i.e. U zA is meager.
Proof.Ť(i) Suppose first A is meager in ω ω , and let Fn be closed rare sets with A Ď
nPω Fn . let Tn be a tree on ω with Fn “ rTn s. For every s P Tn , the open set
tα P ω ω : s Ď αu is not contained in Fn , hence there is a finite sequence t such
that both s Ď t and t R Tn . So II wins by playing as follows: I first plays s0 ,
and II answers s1 so that s0 a s1 R T0 . Then I plays s2 , and II answers s3 so that
s0 a s1 a s2 a s3 R T1 , and so on and soŤforth. Clearly at the end α “ s0 a s1 a . . . is
a branch through no Tn , hence α R nPω Fn and a fortiori α R A.
Conversely, let σ be a winning strategy for player II in the game G˚˚ pAq. For
α P ω ω , say that u “ ps0 , s1 , . . . , s2k´1 q of even length is critical for α if
(a) s0 a s1 a . . . s2k´1 Ď α,
(b) for all i ă k, up2i ` 1q “ σpu2i`1 q, and
(c) for any s P ω ăω non-empty,
s0 a s1 a . . . a s2k´1 a sa σps0 , s1 , . . . , s2k´1 , sq * α.
First, we claim that for any α P A there is a u which is critical for α. For other-
wise, one can inductively build a sequence psn q which is a run of the game and in
which player II follows σ, such that α “ s0 a s1 a . . . a sn a . . .. But this contradicts
the fact that σ is winning for II. Let S “ tu P ω ăω : lhpuq is even, u satisfies (b)u,
ω
Ť each u P S, let Fu “ tα P ω : u is critical for αu. By the fact above,
and for
A Ď uPS Fu , and as S is countable, it is enough to prove that each Fu is a rare
closed set.
Suppose αn P Fu , and αn Ñ α. Then (a) is true for α. So if u is not critical,
there is an extension ua ps, s1 q still satisfying (a) and (b) for α. But then for large
enough n, ua ps, s1 q satisfies (a) for αn , and u is not critical for αn . This contra-
diction proves that α P Fu , hence Fu is closed. If now t is such that tα P ω ω :
t Ď αu Ď Fu , then without lost of generality t is of the form s0 a s1 a . . . a s2k´1 a s
with s non-empty. But then if α extends ta σps0 , s1 , . . . , s2k´1 , sq, u is not critical
for α, contradicting that tα P ω ω : t Ď αu Ď Fu . This shows that Fu is rare, as
desired.
(ii) Suppose A is comeager on U , and pick s0 non-empty with Us0 “ tα P ω ω : s0 Ď
αu Ď U . Then Us0 zA is meager, so by (i) player II has a winning strategy τ in
G˚˚ pUs0 zAq. But then I wins by first playing s0 , and then applying the strategy
τ.
Ť
Conversely, if σ is a winning strategy for I in G˚˚ pAq, let s0 “ σpHq, and s0 “
tα P ω ω : s0 Ď αu. Then σ is a winning strategy for II in the game G˚˚ pUs0 zAq,
and by part (i) the set Us0 zA is meager. %
175
6 Infinite Games
The game G˚˚ pAq is very close to the Choquet games. In fact, if one restricts the
sequences played in the game to belong to the regular tree associated to ω ω zA, one
gets the Choquet game on ω ω zA. So the previous result is a kind of extension of
Theorem 6.2.5(i).
This result can be used, together with determinacy of games, to prove that sets in
certain classes have the Baire Property, e.g. from Martin’s Theorem 6.1.5, one gets that
all Borel sets are in BPpω ω q, and similarly with more complicated sets, like projective
ones, under determinacy hypotheses (see Moschovakis [Mos80]). Here we will use a
variant of this game to prove effective results.
Theorem 6.2.13. Let X be a Polish recursive space, and A Ď X be a meager Σ11 set.
Then there exists a ∆11 -recursive α0 P ω ω and a Π01 pα0 q relation
Ť x P Fn in X ˆ ω, such
that for each integer n, Fn is a closed rare set and A Ď nPω Fn .
Proof. We first prove the result if X “ rT0 s, where T0 is a ∆11 regular tree on ω, and
A Ď X is a Σ11 set meager in X. Let T1 be a recursive tree on ω ˆ ω with
α P A ÐÑ Dβ@n pαn , βn q P T1 .
Consider the following unfolded version of the Banach-Mazur game:
I: s0 , m0 s2 , m1
¨¨¨
II : s1 s3
where si ‰ H, s0 a s1 a ¨ ¨ ¨ a si P T0 , and mi P ω for all integer i. Player I wins the game

if for any positive integer i
´ ¯
ps0 a s1 a ¨ ¨ ¨ a si´1 qi , pm0 , m1 , . . . , mi´1 q P T1 .
Clearly this game is closed and ∆11 .

If player I wins a run, the players produce α “ s0 a s1 a ¨ ¨ ¨ a si a ¨ ¨ ¨ , and β “
pm0 , m1 , . . . , mi , . . .q with pα, βq P rT1 s, hence with α P A. So if I has a winning strat-
egy in this game, then by forgetting his mi moves, he also has one in the Banach-Mazur
game restricted to moves in T0 , and as in the lemma above, A is comeager in some non-
empty open subset of X. So, by our hypothesis, I has no winning strategy, hence by
Theorem 6.1.2, player II has a ∆11 winning strategy σ in the game. Set now pu, vq P S if
and only if u P pω ăω qăω is of even length, say 2k, and v P ω k`1 , say u “ ps0 , . . . , s2k´1 q,
v “ pm0,...,mk q, and for all integer i ă 2k, si ‰ H and s0 a s1 a ¨ ¨ ¨ a si P T0 , and for all
integer i ă k, s2i´1 “ σps0 , m0 , s2 , m1 , . . . , s2i , mi q. Given α P rT0 s, say that pu, vq is
critical for α if pu, vq P S, s0 a s1 a ¨ ¨ ¨ a s2k´1 Ď α, and for all non-empty s P ω ăω with
s0 a s1 a ¨ ¨ ¨ a s2k´1 a s Ď α,
s0 a s1 a ¨ ¨ ¨ a s2k´1 a sa σps0 , m0 , s2 , m1 , . . . , s2k´2 , m2k , s, mk q * α.
176
For each pu, vq P S, let Fu,v “ tα P rT0 s : pu, vq is critical for αu. Then as in the proof
od the lemma above, each Fu,v is closed and rare in rT0 s.
Suppose now α P A. Then for some pu, vq P S, pu, vq is critical for α, that is
α P Fu,v . Otherwise, pick β P ω ω with pα, βq P rT1 s. As pH, βp0qq P S is not critical
for α, there is s0 Ď α such that the answer s1 “ σps0 , βp0qq satisfies s0 a s1 Ď α. As
pps0 , s1 q, β2 q P S is not critical for α, there is s2 with s0 a s1 a s2 Ď α such that the
answer s3 “ σps0 , βp0q, s2 , βp1qq satisfies s0 a s1 a s2 a s3 Ď α, and so on. One builds
inductively a run in the game where II follows σ, and which produces pα, βq. But then
this run is a loss for II, a contradiction.
The end of the proof is a simple coding. Define ps, u, vq P T if and only if s P T0 ,
u “ ps0 , . . . , s2k´1 q, v “ pm0,...,mk q, pu, vq P S, s and s0 a s1 a ¨ ¨ ¨ a s2k´1 are compatible,
and for all non-empty s1 P ω ăω with s0 a s1 a ¨ ¨ ¨ a s2k´1 a s1 Ď s, if there are any,
s0 a s1 a ¨ ¨ ¨ a s2k´1 a s1a σps0 , m0 , s2 , m1 , . . . , s2k´2 , m2k , s1 , mk q * s.
One checks that for each pu, vq P S, Tu,v is a tree on ω, and Fu,v “ rTu,v s, whereas if
pu, vq R S then Tu,v “ H. So let
”
pn, xm, pyq P T ˚ ÐÑ Dk lhpsm q “ 2k and lhpsp q “ k ` 1 and
ı
psn , pssm p0q , . . . , ssm p2k´1q q, sp q P T .
Easily, T ˚ is ∆11 in ω 2 , hence is recursive in some α0 P ω ω which is ∆11 , and if we define
α P Fxm,py ÐÑ @n pxαn y , xm, pyq P T ˚ ,

0
Ť a Π1 pαq relation which satisfies that Fn is closed rare in rT0 s for all n, and
we get
A Ď nPω Fn .
We now reduce the general case to this particular case. Let X be Polish recursive,
so that its diagram DX “ tn P ω : VnX ‰ Hu is Σ01 . Set
ď´ ¯
X ˚ “ Xz VnX zVnX .
nPω
Then X ˚ is a dense Gδ set in X, is Π03 and is Π02 pα0 q for any α0 P ω ω in which DX is
recursive, as
x P X ˚ ÐÑ @n x P VnX _ Dp px P VpX ^ VnX X VpX “ Hq .

` ˘
Now we will use the fact that if X is a Polish space and G Ď X is a dense Gδ set in X,
then for any A Ď X, A is comeager in X if and only if G X A is comeager in G, and
hence A is meager in X if and only if G X A is meager in G. To see this, note that if
A is comeager in X, it contains a Gδ set G1 dense in X, and G1 X G is a dense Gδ of
G contained in G X A. Conversely if G1 is a dense Gδ of G contained in G X A, it is
also a dense Gδ in X contained in A.
So, if we start with a Σ11 set A meager in X, A X X ˚ is a Σ11 set which is meager
˚
in X ˚ , as VnX “ X ˚ X VnX “ X ˚ X VnX is clopen in X ˚ . So it is a homeomorphism
177
6 Infinite Games
on its image Y ˚ , which is a dense Gδ in Y “ i2X pXq, hence also in F “ Y ( . And as by

1 ω ăω Y
Theorem 3.5.1 the diagram of Y is Σ1 in ω , TF “ s P ω : Vs ‰ H , the regular
tree of F , is ∆11 . Finally, if B “ iX pA X X ˚ q, B is a Σ11 set which is meager in Y ˚ ,
hence in F . By the first result, there is a ∆11 -recursive α0 , which we may choose so
that DX is recursive in it, and a Π01 pα0 q relation α P Fn such that Fn is rare closed in
F and B Ď nPω Fn . The relation x P i´1 0
Ť ˚
X pFn q is Π1 pα0 q in X ˆ ω, as clearly iX is
recursive in α0 . So for some Π01 pα0 q relation x P Fn˚ in X ˆ ω, one has
x P i´1 ˚ ˚
X pFn q ÐÑ x P X ^ x P x P Fn .
Finally set #
n “ 2m and x P Fn˚ , or
x P Hn ÐÑ
n “ 2m ` 1 and x P VnX zVnX .
Clearly x P Hn is Π01 pα0 q, and A Ď nPω Hn . Finally the sets VmX zVmX are rare, and
Ť
so are the sets Fn˚ , for
Fn˚ is rare in X Ø Fn˚ is meager in X

Ø i´1
X pFn q is meager in X
˚
Ø Y ˚ X Fn is meager in Y ˚
Ø Fn is rare in F. %
6.2.12 Computation of “Σ11 is meager”

Theorem 6.2.14. Let X be a recursive space, Y a Polish recursive space, and A Ď
X ˆY.
(i) If A is Σ0n
– tx : Ax is meager in Y u is Π0n , and
– tx : Ax is comeager in Y u is Π0n`1 .
Dually, for A is Π0n
– tx : Ax is meager in Y u is Π0n , and
– tx : Ax is comeager in Y u is Π0n`1 .
(ii) If A is Σ11
– tx : Ax is meager in Y u is Π11 , and
– tx : Ax is comeager in Y u is Σ11 .
Dually, for A is Π11
– tx : Ax is meager in Y u is Π11 , and
– tx : Ax is comeager in Y u is Σ11 ,
and similarly for the relativized results for Σ11 , Π11 and Σ11 pαq, Π11 pαq.
178
Proof. (i) It is the effective analog of Theorem 6.2.10, and is proved similarly, by
induction on n. The only point is at the beginning for A P Π01 . One has to show
that the relation
VnY Ď Ax
is Π01 in X ˆ ω. Write
px, yq R A Ø DkDl x P VkX ^ y P VlY ^ Bpk, lq ,

` ˘
with some Σ01 set B. Then
VnY * Ax Ø DkDl x P VkX ^ VnY X VlY ‰ H ^ Bpk, lq

` ˘
so VnY Ď Ax is Π01 in X ˆ ω. We skip the easy induction to get the result for all
positive integer n.
(ii) Let A be Σ11 in X ˆ Y , and let W Ď ω ω ˆ Y be a good universal for all Π01 subsets
of Y . Then by Theorem 6.2.13:
´
Ax is meager Ø Dα0 P ∆11 pxq Dβ0 P ∆11 pxq Wα0 ,β0 pnq is rare in Y for all integer n and
ď ¯
Ax Ď Wα0 ,β0 pnq .
nPω
One direction, from right to left, is obvious. For the other one, if α0 is given by
Theorem 6.2.13 relativized, and if y P Fn is the corresponding Π01 pα0 q sequence
of rare sets, one can use that W is a good universal to find a recursive in α0 ,
hence ∆11 pxq, β0 : ω Ñ ω with Fn “ Wα0 ,β0 pnq . Now the relation Wα,k is rare in
Π02 by (i), and
ď ` ˘
Ax Ď Wα0 ,β0 pnq Ø @y px, yq R A _ Dn py P Wα0 ,β0 pnq q
nPω
is Π11 . By closure of Π11 under D∆ , Ax is meager is Π11 too.

By duality, if A is Π11 ,
Ax is comeager in Y Ø Y zAx is meager
is also Π11 , and Ax is comeager in some non-empty open set in Y , that is:
Dn VnY ‰ H ^ VnY zAx is meager

` ˘
is also Π11 . But then its complement Ax is meager is Σ11 , and finally by duality,
if A is Σ11 , Ax is comeager is Σ11 . %
179
6 Infinite Games
6.2.13 Thomason-Hinman’s basis result

Theorem 6.2.15 (Thomason-Hinman). Let X be a Polish recursive space, and A Ď X
be Π11 and non-meager. Then A has a ∆11 member.
Proof. Without loss of generality, X is a recursively presented space, with recursive

presentation pd, rX q. Let VnX0 be non-empty, and such that VnX0 zA is meager. By
Theorem 6.2.13, there is a ∆11 relation x P Fn such that each Fn is rare closed in X,
and VnX0 zA Ď nPω Fn . As Fn is rare, for each m P DX and each integer n there is an
Ť
integer p such that
´ ¯
X X
Vp Ď VmX ^ diam Vp ď 2ń ^ Vp X Fn “ H.
As this relation is Π11 in X, there is a ∆11 function f : ω 2 Ñ ω which to m P DX and

n P ω associates such a p “ f pm, nq. Define by recursion g : ω Ñ ω by
#
gp0q “ f pn0 , 0q
gpn ` 1q “ f pgn , nq.
Then g is ∆11 -recursive, and

č
X
č X
Vgpnq “ Vgpnq
nPω nPω
is a singleton txu by the property of the diameters, and so x is a ∆11 point in X. But
x P VnX0 , and x R Fn for each integer n. So x P A, as desired %
Corollary 6.2.16. In ω ω , the set
tα P ω ω : ω1α “ ω1 u
is comeager.
Proof. This set is Σ11 , by Proposition 5.3.5. If its complement were not meager, then
by Theorem 6.2.15, it would contain a ∆11 point α0 . But for ∆11 points, ω1α “ ω1 . This
contradiction finishes the proof. %
6.3 The perfect set property

6.3.1 Cantor’s theorem
Let X be a Polish recursive space. A set A Ď X is perfect if A is closed in X, and A
has no isolated point.
Proposition 6.3.1. Let A be a non-empty perfect subset of X. Then there exists a

continuous one-to-one function ϕ : 2ω Ñ A. In particular, A has cardinality 2ℵ0 .
180
Proof. By induction on lhpsq, s P 2ăω , one builds open sets pUs qsP2ăω in A with
Usa i Ď Us for i “ 0, 1, Usa 0 XUsa 1 “ H and diampUs q ď 2´ lhpsq , starting with UH “ A,
where diameter refers to some complete distance on X (hence on A). This is immediate
to do, by noticing that, since A is perfect, each Us contains at least two points. For
rendu explicite
l’utilisation de each α P 2ω , the sequence pUαn qnPω decreases to some point ϕpαq P A, by completeness
’hypothèse – K of d. Clearly, ϕ : 2ω Ñ A is continuous, for if αn “ βn , dpϕpαq, ϕpβqq ď 2ń . And if
α ‰ β, and n is the least integer with αpnq ‰ βpnq, then ϕpαq and ϕpβq are respectively
in the two disjoint open sets Uαn `1 and Uβn `1 , hence ϕpαq ‰ ϕpβq. %
6.3.2 The Cantor-Bendixson derivation

Let X be a Polish recursive space, and A Ď X be closed.
Ť Consider the family U of all
open sets U with A X U countable. Then if U0 “ U, clearly U0 P U, for U0 is the
union of a countable subfamily of the family U. Set N pAq “ AzU0 , the kernel of A
Proposition 6.3.2. For each closed set A, N pAq is the largest perfect subset of A.
In particular, a closed set A is countable if and only if A contains no closed subset
homeomorphic to 2ω .
Proof. If x P N pAq were isolated in N pAq, then for some open U in X, U XN pAq “ txu.
But then U XA Ď U XpN pAqYU0 q would be countable, i.e. U Ď U0 and U XN pAq “ H,
a contradiction. As clearly N pAq is closed, N pAq is perfect. If now B is any perfect set
contained in A, we want to show B Ď N pAq. Otherwise the set BzN pAq is non-empty,
and countable, as AzN pAq is. But BzN pAq is open in B, hence Polish, and with no
isolated point. By Proposition 6.3.1, it contains a copy of 2ω , a contradiction.
The second assertion is then clear: if A is countable, clearly A cannot contain a copy
of 2ω . On the other hand, if A is uncountable, then N pAq ‰ H and by Proposition 6.3.1
contains a copy of 2ω . %
The set N pAq can be obtained in another way, which was Cantor’s original method:
for each closed set A in X, let dpAq “ Az tx P A : x is isolated in Au. The set dpAq is
closed in X, so this derivation, called the Cantor-Bendixson derivation, can be iterated,
so that one gets a decreasing sequence pdξ pAqqξăω1 of closed sets in X. This sequence
must stabilize at some countable ordinal ξpAq. Then one has N pAq “ dξpAq pAq, for
clearly dξpAq pAq is perfect, hence dξpAq pAq Ď N pAq. On the other hand N pAq Ď A and
dpN pAqq “ N pAq, hence easily by induction N pAq Ď dξ pAq for all countable ξ.
Thus one gets:
A is countable ÐÑ Dξ ă ω1 dξ pAq “ H
as claimed in Subsection 5.5.14. And by the result in Subsection 5.5.14, one also
gets that Kω p2ω q “ tK Ď 2ω : K is closed countableu is Π11 on Kp2ω q, as claimed in
Subsection 5.5.7.
6.3.3 The perfect set theorem

Let X be Polish recursive. A set A Ď X has the perfect set property if either A is
countable, or A contains a closed subset of X homeomorphic to 2ω , i.e. by Subsec-
181
6 Infinite Games
tion 6.3.1 a non-empty perfect subset. So Subsection 6.3.2 says that any closed set
in X has the perfect set property. This was extended by Alexandroff [Ale16] to Borel
sets, and then by Suslin [Luz17] to all Σ11 sets. Here we will prove a deep effective
refinement of this result, due to Harrison [Har66].
Theorem 6.3.3 (The perfect set theorem). Let A Ď X be a Σ11 set. Then either A
consists of ∆11 points, or A contains a non-empty perfect subset. In particular, every
Σ11 set in X has the perfect set property.
Proof. We will se two proofs of this result. Here we give a proof based on the Gandy-
Harrington topology τ on X (see Subsection 6.2.6). Note that the τ -isolated points in (
X are exactly the Σ11 -singletons, i.e. the ∆11 points in X. Let X0 “ x P X : x P ∆11 .
This is a Π11 set, so if A is not contained in X0 , then AzX0 is a non-empty Σ11 subset of
X. Now there is a dense Gδ subset X ˚ of Xwhich is Polish for τ , by Subsection 6.2.6,
and pAzX0 q X X is a non-empty open subset of X ˚ which has no isolated point. As it
is Polish, Subsection 6.3.1 applies and gives a τ -closed subset F of pAzX0 q X X, hence
of A, homeomorphic to 2ω . But 2ω is compact, hence F is closed in X and we are
done.
For the last assertion, use the relativized version of the firs. As for any α, the set
tx P X : x P ∆11 pαqu is countable, we are done. %
6.3.4 Σ11 and Borel sets with countable sections

Corollary 6.3.4. Let X be Polish recursive, and Y some recursive space.
(i) If A Ď Y ˆ X is Σ11 , then ty P Y : Ay is countableu is Π11 . In particular, if A
has countable sections (i.e. if for all y P Y , Ay is countable) then for some
B P ∆11 pY ˆ Xq with countable sections, A Ď B.
(ii) If B Ď Y ˆ X is ∆11 with countable sections, then
(a) DX B is ∆11 in Y .
(b) B can be uniformized by a ∆11 -recursive function f : DX B Ñ X.
(c) There is a ∆11 set C Ď ω ˆ Y ˆ X such that,Ťfor all n, Cn is the graph of a
∆11 -recursive function: DX B Ñ X and B “ n Cn .
(iii) If f : X Ñ Y is ∆11 -recursive and countable-to-one (i.e. f ´1 pyq is countable
for every y P Y ), then f 2 X is ∆11 in Y and there is a ∆11 -recursive section
s : f 2 X Ñ X for f , i.e. satisfying f pspyqq “ y for all y P f 2 X.
Similarly (i) to (iii) hold for the boldface classes Σ11 and ∆11 .
Proof. (i) One has:
Ay is countable Ø @x P Ay px P ∆11 pyqq
by Theorem 6.3.3, and this gives a Π11 definition for this relation. Applying this
to the good universal set for Σ11 subsets of X shows that the property of being
co-countable is Π11 on Π11 ; so the second statement follows from the first reflection
theorem (Theorem 4.6.1).
182
(ii) DX B is of course Σ11 in Y . But by Theorem 6.3.3 if y P DX B, then there exists

x P By such that x P ∆11 pyq (in fact every x P By is ∆11 pyq). So the ∆11 -
uniformization theorem (Theorem 5.1.6) applies and gives (a) and (b), as well as
(iii), by considering B “ Graphpf q in Y ˆ X.
It remains to prove (c). We use the coding pD1 , d1 q of ∆11 pyq points in X, for
y P Y , given by Theorem 5.1.3. By Theorem 6.3.3 if py, xq P B, then there exists
an integer n such that
py, nq P D1 and d1 py, nq “ x.
Now this relation is Π11 , hence there is a ∆11 -recursive g : B Ñ ω such that for
py, xq P B
py, gpy, xqq P D1 and d1 py, gpy, xqq “ x.
The set
A0 “ tpy, gpy, xqq : py, xq P Bu
is Σ11 , and contained in the Π11 set
A1 “ tpy, nq P D1 : py, d1 py, nqq P Bu .
Hence for some ∆11 set A2 one has A0 Ď A2 Ď A1 , by separation. Pick a ∆11 -
recursive uniformization f0 : DX B Ñ X for B, and set
pn, y, xq P C Øpy, nq P A2 ^ x “ d1 py, nq

_ py, nq R A2 ^ x “ f0 pyq.
It is immediate to check that C works. %
6.3.5 The ˚-game on 2ω

In case X “ 2ω , there is another way of studying the perfect set property, via the
following game, called the ˚-game, and introduced by Morton Davis [Dav64].
citation added – K
Let A Ď 2ω . In G˚ pAq, I plays sequences si P ω ăω 2, and II plays digits ni P t0, 1u:
I: s0 s1 s2
¨¨¨
II : n0 n1 n2
At the end of a run ps0 , n0 , s1 , n1 , . . .q, let α “ s0 a n0 a s1 a n1 a . . .. Then I wins G˚ pAq

if and only if α P A, II wins otherwise.
Lemma 6.3.5.
(i) Player I wins G˚ pAq if and only if A contains a non-empty perfect set.
(ii) Player II wins G˚ pAq if and only if A is countable.
183
6 Infinite Games
So the perfect set property for A is equivalent to the determinacy of G˚ pAq.

Proof. (i) Suppose first F is non-empty perfect subset of A. let TF be its regular tree.
As F is perfect, note that for any s P TF , there must be an extension s˚ with
s˚a 0 and s˚a 1 in TF . Then clearly I has a strategy to insure at any position
ps0 , n0 , . . . , sk q that u “ s0 a n0 a ¨ ¨ ¨ a sk is in TF and, for all i,ua i P TF . But then
for any run the corresponding α is in F , hence in A. So I wins.
Conversely if I wins by a strategy σ, the set of all s P ω ăω 2 such that for some
u “ ps0 , n0 , . . . , sk´1 , nk´1 q played following σ, s Ď s0 a n0 a ¨ ¨ ¨ a sk´1 a nk´1 forms
a tree T Ď ω ăω 2, with rT s Ď A as any branch through T corresponds to a run
in the game G˚ pAq winning for I. And rT s is perfect, as any s P T has at least
two different extensions.
(ii) If A is countable, enumerate A as pαn qnPω . A winning strategy for II is as follows.
At step k, II answers to ps0 , n0 , . . . , sk´1 q with lhps0 a n0 a ¨ ¨ ¨ a sk´1 q “ mk´1 by
nk´1 “ 1 ´ αk´1 pmk´1 q. At the end of a run played with this strategy, II has
insured successively that α ‰ α0 , α1 , . . . so α R A.
Conversely let τ be a winning strategy for player II. Say that a position u “
ps0 , n0 , . . . , sk´1 , nk´1 q is critical for α P 2ω if s0 a n0 a ¨ ¨ ¨ a sk´1 a nk´1 Ď α, and u
has been played according to τ , but for no extension ua psk , nk q played according
to τ , s0 a n0 a ¨ ¨ ¨ a sk a nk Ď α. Clearly if α P A, there must be a position u critical
for α, for otherwise one easily builds a run in G˚ pAq played according to τ with
result α, a contradiction. Now note that for any u “ ps0 , n0 , . . . , sk´1 , nk´1 q
played according to τ , there is exactly one αu for which u is critical, defined by
αu N “ s0 a n0 a ¨ ¨ ¨ a sk´1 a nk´1 , where N is the length of s0 a n0 a ¨ ¨ ¨ a sk´1 a nk´1 ,
and for m ě N by the induction αu pM q “ 1 ´ τ pαu M q. So
A Ď tαu : u is a position played according to τ u
is countable, as desired. %
As in Lemma 6.2.12, the previous lemma is not very interesting for Σ11 sets, as the
game G˚ pAq is then Σ11 . However, it is possible to unfold it. Let A be Σ11 in 2ω , and
T a recursive tree on 2 ˆ ω with
α P A Ø Dβ P ω ω @npαn , βn q P T.
Consider the following game G˚1 pAq
I: s0 , βp0q s1 , βp1q s2 , βp2q

¨¨¨
II : n0 n1 n2
with si P ω ăω 2, ni P t0, 1u and βpiq P ω. Player I wins the game if for all integer i
´ ¯
a a a
ps0 n0 ¨ ¨ ¨ ni´1 qi , pβp0q, . . . , βpi ´ 1qq P T.
184
This game is Π01 , hence determined. Moreover, if II wins it, he has a ∆11 winning
strategy.
Theorem 6.3.6. If I wins G˚1 pAq, A contains a non-empty perfect subset. If II wins
G˚1 pAq, every point in A is ∆11 . In particular, Theorem 6.3.3 for X “ 2ω follows.
Proof. If I wins G˚1 pAq, I also wins G˚ pAq, which is easier. So by Lemma 6.3.5, A
contains a non-empty perfect subset. Suppose now II wins by τ . As in Lemma 6.3.5,
say that for u “ ps0 , βp0q, n0 , . . . , sk´1 , βpk ´ 1q, nk´1 q and m P ω, pu, mq is critical for
α P 2ω if s0 a n0 a ¨ ¨ ¨ a sk´1 a nk´1 Ď α, and u has been played according to τ , but for no
extension ua psk , m, nk q played according to τ , s0 a n0 a ¨ ¨ ¨ a sk a nk Ď α. Again if α P A,
there must be some pu, mq critical for α, and for each pu, mq there is exactly one αu,m
for which it is critical, defined by αu,m N “ s0 a n0 a ¨ ¨ ¨ a sk´1 a nk´1 , where N is the
length of s0 a n0 a ¨ ¨ ¨ a sk´1 a nk´1 , and for M ě N by the recursion:
αu,m pM q “ 1 ´ τ ps0 , βp0q, n0 , . . . , sk´1 , βpk ´ 1q, nk´1 , sM , mq,
where sM “ pαu,m pN q, . . . , αu,m pM ´ 1qq. Clearly this αu,m is ∆11 pτ q, so is ∆11 if τ is

∆11 . This proves the second statement. %
6.3.6 C1
One cannot prove in ZFC that all Π11 sets have the perfect set property. In fact, this
statement is equivalent to a mild large cardinal hypothesis. However, as every Π11
set in a Polish space is a union of ω1 Borel sets, one gets that if A is a Π11 set with
no non-empty perfect subset, A is of cardinality at most ℵ1 , as its Borel subsets are
countable.
If one looks only at Π11 sets, one has the following.
Theorem 6.3.7. Let X be a Polish recursive space. There is a largest Π11 subset of X
with no non-empty perfect subset. For X “ ω ω , this set is usually called C1 .
Proof. Let W Ď ω ˆX be Π11 and universal for Π11 subsets of X, and let ϕ be a Π11 -rank
on W . Consider
C “ tpn, xq P W : ty P X : pn, yq P W ^ ϕpn, yq ď ϕpn, xqu is countableu
and let C1 “ tx P X : Dnpn, xq P Cu. We show that C1 is the set we are looking for.
First we show that any Π11 subset A Ď X with no non-empty subset is contained
in C1 . For pick n with A “ Wn . By the hypothesis on A and Theorem 6.3.3, the set
ty P X : ϕpn, yq ď ϕpn, xqu is a Borel subset of A, hence countable, for every x P A.
So A “ Cn too, and A Ď C1 .
Secondly, C, and hence C1 , is Π11 . For let R be the Σ11 relation
pn, x, yq P R Ø pn, xq R W _ ppn, yq P W ^ ϕpn, yq ď ϕpn, xqq .
Then
pn, xq P C Ø pn, xq P W ^ Rn,x is countable.
185
6 Infinite Games
By Corollary 6.3.4, this gives a Π11 definition for C.

Finally, C1 has non non-empty perfect subset. Otherwise, the sets Cn form a covering
of some non-empty perfect set F . By ω-reduction, there is a subcovering pCn˚ q of Π11
disjoint sets still covering F . But then F X Cn˚ is Borel and contained in Cn , hence by
boundedness is countable, and finally F itself is countable. This contradiction finishes
the proof. %
There are quite different characterizations of the set C1 in ω ω , which link it to

the smallest inner model of set theory, Gödel’s universe L. For this and other deep
properties of C1 , see Kechris [Kec75].
Not sure about the
reference – K
186
7 Borel Hierarchies
7.1 The Borel hierarchy Σ0ξ , Π0ξ , ∆0ξ
7.1.1 Σ0ξ -ranks on Σ0ξ
We defined the Borel hierarchy in Subsection 3.1.2, and proved the existence of (good)
universal sets for the classes Σ0ξ and Π0ξ in Subsections 3.3.5 and 3.3.9, from which the
strictness of the hierarchy follows in Theorem 3.3.4. Here, we pursue the study of the
structural properties of these classes. As for the class Π11 , most results come from the
existence of nice ranks.
Given a class Γ of sets (in recursive spaces), let us recall from Subsection 4.3.3 that
for a set A Ď X, an ordinal assignment ϕ : A Ñ On is a Γ-rank on A if the relations
` ˘
x P A ^ y R A _ ϕpxq ď ϕpyq
` ˘
and x P A ^ y R A ^ ϕpxq ă ϕpyq
are both in Γ. For Γ “ Π11 (or Π11 ), this is the definition we took for the notion of a
Π11 -rank.
Theorem 7.1.1. Let ξ ě 2. Then any Σ0ξ set A in some space X admits a Σ0ξ -rank
with values in ω.
The same is true for ξ “ 1, i.e. for open sets, if X is 0-dimensional.
Proof. Write A “ n An , where each An is Π0ηn for some ηn ă ξ. For x P A, let

Ť
ϕpxq “ least npx P An q. We check that ϕ is a Σ0ξ -rank:
` ˘
x P A ^ y R A _ ϕpxq ď ϕpyq ÐÑ x P A ^ Dn px P An ^ @m ă n y R Am q
` ˘
x P A ^ y R A _ ϕpxq ă ϕpyq ÐÑ x P A ^ Dn px P An ^ @m ď n y R Am q
These equivalences easily show that ϕ is a Σ0ξ -rank. In case ξ “ 1 and X is 0-

dimensional, we can argue as before, choosing the An ’s ∆01 in X. Then the equivalences
above show that ϕ is a Σ01 -rank on A. %
Remarks 7.1.2. (1) It should be clear from the proof above that a similar result holds
for the lightface classes: Every Σ0n set admits a Σ0n -rank, for n ě 2, and for n “ 1
if X is dim0-recursive. One can even extend it to the Σ0ξ classes, ξ ă ω1CK as
defined in Subsection 5.2.2. One just needs the fact that Σ0ξ is closed under D0
and bounded quantifications @ď , which is easy to establish.
187
7 Borel Hierarchies
(2) The Σ0ξ -rank given in the above proof is not any Σ0ξ -rank: If we fix n P ω, the
set tx P A : ϕpxq ď nu is not only ∆0ξ but in fact – as it is mďn Am – it is a Π0η
Ť
set for some η ă ξ.
From the existence of nice ranks, we can infer, as in Subsections 4.3.4 to 4.3.7,
reduction and separation results.
Corollary 7.1.3. Let X be a recursive space, and ξ ě 2 – or ξ ě 1 if X is dim0-

recursive. Then
I think this should be
stated as a result on 0 0
metrizable separable
(i) (ω-reduction) If pAn q is Ť Ť of Σξ sets, there is a sequence pBn q of Σξ
a sequence
spaces. – YP sets such that Bn Ď An , n Bn “ n An and the Bn ’s are pairwise disjoint.
(ii) (reduction) If A0 and A1 are two Σ0ξ sets, there are two disjoint Σ0ξ sets B0 and
B1 with B0 Ď A0 , B1 Ď A1 and B0 Y B1 “ A0 Y A1 .
(iii) (separation of Π0ξ sets) If A0 , A1 are two disjoint Π0ξ sets, there is a ∆0ξ set B
which separates A0 from A1 , i.e. such that A0 Ď B and B X A1 “ H.
(iv) There are in ω ω two disjoint Σ0ξ sets which cannot be separated by a ∆0ξ set.
Proof. It is just an adaptation of the proof in Subsections 4.3.4 to 4.3.7, and is left to
the reader. %
One may think that boundedness theorems also extend to this context. But note
that the results in Section 4.4 used not only the existence of Γ-ranks (for Γ “ Π11 ), but
also the closure of the dual class (Σ11 ) under DX . Now for ξ ě 2, the classes Π0ξ are not
closed under DX , even in the case where X “ ω. And in fact there are no interesting
boundedness results. For ξ “ 1, there is one case where we can apply the methods of
Section 4.4: if X is a compact dim0-recursive space, then Π01 is closed under DX – as
projections of compact sets in X ˆ X are compact. But the boundedness result one
gets from this, that given a Σ01 -rank ϕ on a Σ01 set A Ď X, and a Π01 subset B of A,
the rank ϕ is bounded on B, is trivial – this is just the compactness of the Π01 set B.
7.1.2 Differences
Any ordinal ξ can be written in a unique way as ξ “ λ ` n, with λ limit (or 0) and
n P ω. By definition the parity, parpξq, of ξ is the parity of the corresponding integer
(so limit ordinals are even).
Let xA ˘ an increasing sequence of sets, with ξ ě 1. We define a set
` η : η ă ξy be
A “ Dξ xAη : η ă ξy , the difference set of the sequence xAη : η ă ξy, by
xPA ÐÑ Dη ă ξ x P Aη ^ least η px P Aη q has parity opposite to that of ξ.
188
So
D1 pxA0 yq “ A0
D2 pxA0 , A1 yq “ A1 zA0
ď
D3 pxA0 , A1 , A2 yq “ pA2 zA1 q A0
¨¨¨
` ˘ ď
Dω xAn : n P ωy “ pA2n`1 zA2n q
n
` ˘ ´ ď ¯ ď
Dω`1 xAn : n ď ωy “ Aω z An Y pA2n`2 zA2n`1 q Y A0
n n
etc.
` ˘
If Γ is any family of sets, we denote as usual by Dξ pΓq the family of all Dξ xAη : η ă ξy ,
where xAη : η ă ξy is an increasing sequence of length ξ of sets in Γ.
In the sequel, we will be mainly interested in the classes Dξ pΣ0ξ q, ξ, η are countable
ordinals (ě 1), and their dual classes Ďη pΣ0ξ q “ tA : A P Dη pΣ0ξ qu, in recursive
spaces. Note that (i) these classes are preserved under continuous preimages, and
(ii) if X is a recursive subspace of Y , a set is Dη pΣ0ξ q in X iff it is the trace on X of a
@ D
Dη pΣ0ξ q subset of Y . This is almost immediate. The only point is that if Aη1 : η 1 ă η
is an increasing sequence of Σ0ξ sets in X, and Bη1 is Σ0ξ in Y with Aη1 “ X X Bη1 , then
the sets Bη‹1 “ η2 ďη1 Bη2 are Σ0ξ in Y , increasing, and with Aη1 “ X X Bη‹1 . Fact (ii)
Ť
easily follows from this.
There is another standard way of introducing differences, as done in Kuratowski’s
book, by considering decreasing sequences of sets xBη : η ă ξy and the set
ref to Kuratowski’s
˚
` ˘ ď ` ˘ book – YP
Dξ xBη : η ă ξy “ Bη zBη`1
η even
ηăξ
where if ξ “ ξ 1 ` 1 is odd, we let Bξ “ H by convention, so that the last difference in

the above formula is Bξ1 zH “ Bη1 .
Of course if xBη : η ă ξy is a decreasing sequence, Aη “ Bη form an increasing
sequence.
` And ˘for η `` 1 ă ξ, Bη zB ˘ η`1 “ Aη`1 zAη . So in case ξ is even, we get
D˚ξ xBη : η ă ξy “ Dξ xAη : η ă ξy . If now ξ is odd, we can extend the sequence by
` ˘ ` ˘
letting Bξ “ H, hence Aξ “ X, and get D˚ξ xBη : η ă ξy “ Dξ`1 xAη : η ă ξy a X .
And an immediate computation gives
Dξ`1 xAη : η ă ξy a X “ XzDξ xAη : η ă ξy

` ˘ ` ˘
` ˘ ` ˘
so that D˚ξ xBη : η ă ξy “ Dξ xAη : η ă ξy .
So that we also get, for any class Γ with dual class Γˇ the formulas:
#
Dξ pΓq if ξ is even,
D˚ξ pΓˇq “
Ďξ pΓq if ξ is odd,
189
7 Borel Hierarchies
which allow to correlate Kuratowski’s presentation with ours. Our choice of Dξ instead
of D˚ξ is motivated mainly by the fact that all the Dη pΣ0ξ q classes share the same
structural properties, as we will see in ref missing.
?? – YP
7.1.3 Hausdorff’s theorem

Let X be some recursive space, A a subset of X. We define a derivation dA on closed
subsets of X by
dA pF q “ A X F .
Suppose now A0 and A1 are two subsets of X. We define inductively on ξ closed
sets Fξ “ Fξ pA0 , A1 q by ¨ ˛
č
Fξ “ dAparpξq ˝ Fη ‚
ηăξ
Ş
where by convention H “ X, so that
F0 “ A0
F1 “ A0 X A1
F2 “ A0 X A1 X A0
etc.
The sequence pFξ qξPOn is decreasing, hence there exists a leastŞordinal ξ “ ξpA0 , A1 q,
the Hausdorff ordinal of pA0 , A1 q which satisfies Fξ “ Fξ`1 “ η Fη , and ξpA0 , A1 q ă
ω1 . Set F8 pA0 , A1 q “ FξpA0 ,A1 q pA0 , A1 q and Gξ pA0 , A1 q “ XzFξ pA0 , A1 q, G8 pA0 , A1 q “
XzF8 pA0 , A1 q.
Proposition 7.1.4 (Hausdorff).
(i) F8 pA0 , A1 q is the largest closed subset F of X with the property that A0 X F and
A1 X F are both dense in F .
(ii) G8 pA0 , A1 q is the largest open subset U of X such that for some ξ ă ω1 there
is a Dξ pΣ01 q set C which separates U X Aparpξq from U X A1´parpξq , i.e. satisfies
U X Aparpξq Ď C and U X A1´parpξq “ H. Moreover, ξpA0 , A1 q is the least ordinal
ξ for which the preceding statement holds for G8 pA0 , A1 q.
Ş
Proof. (i) Fix ξ ă ω1 . As Fξ “ Aparpξq X ηăξ Fη , we get
č
Aparpξq X Fξ Ě Aparpξq X Fη .
ηăξ
Ş
Hence in fact Aparpξq X Fξ “ Aparpξq X ηăξ Fη is dense in Fξ .
So in particular both Aparpξq and A1´parpξq are dense in Fξ for ξ ě ξpA0 , A1 q, i.e.
in F8 pA0 , A1 q.
190
Conversely if F is closed and A0 X F “ F , A1 X F “ F , then immediately by

induction, F Ď Fξ pA0 , A1 q for all ξ – as both dA0 and dA1 are monotone. So
F Ď F8 pA0 , A1 q as desired.
(ii) To simplify notation

` let ξ “ ξpA
˘ 0 , A1 q, Gη “ Gη pA0 , A1 q, etc. We first show that
the set C “ Dξ xGη : η ă ξy separates G8 X Aparpξq from G8 X A1´parpξq .
Suppose x P G8 XAparpξq , and let η be the least so that x P Gη . Then x P Aparpξq X
Ş
η 1 ăη Fη 1 , but x R Fη . By the definition of Fη this implies that parpηq ‰ parpξq,
hence x P C. The proof that C X A1´parpξq “ H is similar, and we skip it.
Let now U be` an open set,˘ and xUη : η ă θy an increasing sequence of open sets
such that Dθ xUη : η ă θy separates Aparpηq X U from A1´parpηq X U . Clearly we
may assume that Uη Ď U for all η ă θ. Let Hη “ XzUη . We claim that for all
η ă θ, Fη Ď Hη . This is proved by induction. The separation assumption implies
that A0 X U0 “ H and so F0 “ A0 Ď H0 . Suppose it is true for all η 1 ă η. Then
č č
Fη “ Aparpηq X Fη1 Ď Aparpηq X Hη1 .
η 1 ăη η 1 ăη
Ş
Now by the separation assumption Aparpηq X η 1 ăη Hη1 Ď Hη . So we get Fη Ď Hη
as desired.
Now note that the sequence xUη : η ă θy a U is increasing, and
Dθ`1 xUη : η ă θy a U “ U zDθ xUη : η ă θy

` ˘ ` ˘
separates Aparpθ`1q XU from Aparpθq XU , hence by the preceding fact U XFθ “ H.

So a fortiori U X F8 “ H, and U Ď G8 , as desired.
Finally suppose that in the preceding discussion U “ G8 . Then as before we get,
setting U “ Uθ , that for all η ď θ Fη Ď Hη . In particular Fη Ď Hη “ XzU “ F8 .
But then ξpA0 , A1 q ď θ, as desired. %
Theorem 7.1.5 (Hausdorff). Let X be a Polish recursive space, and A0 , A1 two

disjoint Π02 subsets of X. Then
(i) there exists ξ ă ω1 and a Dξ pΣ01 q set C which separates Aparpξq from A1´parpξq .
Moreover the least such ξ is ξpA0 , A1 q.
(ii) In particular ∆02 “ 1ďξăω1 Dξ pΣ01 q in Polish recursive spaces.

Ť
Proof. (i) By the above proposition, it is enough to prove that if F is closed and
non-empty, F X A0 and F X A1 cannot be both dense in F . But as X is Polish,
F is a Baire space, and F X A0 and F X A1 are Gδ in F . So as they are disjoint,
they cannot be both dense.
(ii) If A is ∆02 , we can apply (i) to A0 “ A and A1 “ XzA. We get that for
ξ “ ξpA0 , A1 q, some Dξ pΣ01 q set C separates Aparpξq from A1´parpξq “ XzAparpξq ,
191
7 Borel Hierarchies
i.e. C “ Aparpξq is Dξ pΣ01 q. If ξ is even, A P Dξ pΣ01 q. If ξ is odd, A P Ďξ pΣ01 q Ď

Dξ`1 pΣ01 q.
Conversely it is enough to show that Dξ pΣ01 q Ď Σ02 , for then Ďξ pΣ01 q Ď Dξ`1 pΣ01 q Ď
Σ02 , hence Dξ pΣ01 q Ď ∆02 . And the inclusion Dξ pΣ01 q Ď Σ02 is immediate, as dif-
ferences pAzA1 q of Σ01 sets are clearly Σ02 , and Σ02 is closed under countable
union. %
7.1.4 Kuratowski’s transfer theorem

In order to extend the results in Subsection 7.1.3 to ∆0ξ sets, we will use a method
due to Kuratowski, and based on a strengthening of Theorem 5.1.13. Recall that
by Theorem 5.1.13 every Borel set A in a Polish recursive space X is the one-to-one
continuous image of a Π01 subset of ω ω , hence the projection of a closed graph F in
X ˆ ω ω . By Theorem 5.1.8 F is the graph of a function f : A Ñ ω ω which must be
Borel. The next result gives the best bounds on the complexity of such a function.
In fact,
Theorem 5.1.8 only Theorem 7.1.6. Let X be a Polish recursive space, ξ ě 1 and pAn qnPω a sequence of
gives ∆11 , and one
needs Suslin’s Σ01`ξ subsets of X. There exists a function f : X Ñ ω ω such that
Theorem 4.4.6 to get
Borel. – YP
(i) F “ Graphpf q is closed in X ˆ ω ω ,
really? – YP
(ii) for each n, π ´1 pAn q “ tpα, f pαqq : α P An u is Σ01 in F (where π is the first
projection, restricted to F ),
(iii) f is of class ξ from X to ω ω . In fact, if for k P ω fk : X Ñ ω is defined by

fk pxq “ f pxqpkq, we can ensure that for some ηk ă ξ fk´1 p0q P Π01`ηk and for
i ‰ 0 fk´1 P ∆01`ηk , when ξ ě 2, or ξ “ 1 and X is 0-dimensional.
Proof. We will prove the theorem by induction on ξ. Note that we did not write
anything for ξ “ 0; this is because any constant function : X Ñ ω ω satisfies the
conclusion when ξ “ 0 – and it is of no interest anyway.
The first interesting case is when ξ “ 1. So we have An P Σ02 , hence An “ p An,p
Ť
with An,p closed in X.
Suppose first X is 0-dimensional, and write XzAn,p “ k An,p n,p 0
Ť
k with Ak ∆1 in X.
ω
Define a function fn,p : X Ñ ω by
#
0 if x P An,p ,
fn,p pxq “
k ` 1 if x P An,p n,p
Ť
k z k1 ăk Ak1 .
Finally define f : X Ñ ω ω by
f pxqpxn, pyq “ fn,p pxq.

´1 pkq is Π0 if k “ 0, and ∆0 if k ą 0.
We claim that f works. Clearly (iii) holds, for fn,p 1 1
So f is a first class function. Also
x P An,p ÐÑ f pxqpxn, pyq “ 0,
192
hence π ´1 pAn,p q is clopen in F “ Graphpf q for all n, p and π ´1 pAn q is then Σ01 in F
for all n.
It remains to show that F is closed in X ˆ ω ω . So suppose xi Ñ x in X, and
f pxi q Ñ α in ω ω . Then for all xn, py the sequence f pxi qpxn, pyq is eventually constant,
equal to αpxn, pyq. But then all but finitely many xi ’s are in An,p or in some An,p k ,
which are closed. Hence x is also in this set, i.e. f pxqpxn, pyq “ αpxn, pyq. As this
holds for all xn, py, f pxq “ α, i.e. px, αq P F and F is closed.
In case X is not 0-dimensional, Ť the proof is slightlyn,pmore complicated. Set now
B n,p “ XzAn,p and write B n,p “ k An,p k , where the Ak ’s are closed, and increasing
in k. Set Bk “ Ak zAk´1 (with An,p
n,p n,p n,p
´1 “Ť H). Each Bkn,p is now D2 pΣ01 q, hence
in particular Σ02 , and we can write Bkn,p “ l An,p n,p
k,l with Ak,l closed and increasing,
n,p
and set Bk,l “ An,p n,p
k,l zAk,l´1 , etc. So inductively we build As
n,p
and Bsn,p for s P ω ăω ,
n,p n,p n,p
` n,pA˘s closed and
with Bs P D2 pΣ01 q such that Bs is the increasing union of the sets
Asa k kPω , and Bsk “ An,p
n,p
sa k
zAn,p
sa k´1
(with the convention An,p sa ´1
“ H). Note that
n,p
for lhpsq “ l, the sets Bs are pairwise disjoint, and have XzAn,p as union. Also by
construction we have Bsn,p n,p n,p
a k Ď As a k Ď B s .
Define now f : X Ñ ω ω by
f pxqpxn, p, lyq “ fn,p,l pxq,
where
$
&0
’ if x P An,p ,
fn,p,l pxq “ k ` 1 if x R An,p and sk is the unique element of ω ăω
such that lh sk “ l ` 1 and x P Bsn,p
’
k .
%
´1
First f is Baire class 1. To see this, note that fn,p,l p0q “ An,p is Π01 and that
#
´1 H if lhpsk q ‰ l ` 1,
fn,p,l pk ` 1q “
Bsn,p
k if lhpsk q “ l ` 1
is D2 pΣ01 q. So f is Baire class 1 as desired. (ii) is clear as before. We now prove that
F “ Graphpf q is closed in X ˆ ω ω . Let xi Ñ x and f pxi q Ñ α. We want to prove
that for all n, p, l fn,p,l pxq “ αpxn, p, lyq. As before, this is clear if αpxn, p, lyq “ 0.
So suppose that for some s of length l ` 1 αpxn, p, lyq “ xsy ` 1, and hence all but
finitely many points xi are in Bsn,p . We want to infer that x P Bsn,p too. Now note that
Bsn,p X An,p “ H, hence x R An,p . So if we consider αpxn, p, l ` 1yq, its value cannot
be 0, for otherwise all but finitely many xi ’s, hence x, would be in An,p . So for some
t of length l ` 2, αpxn, p, l ` 1yq “ xty ` 1, and all but finitely many xi ’s are in Btn,p .
But then Btn,p X Bsn,p ‰ H, hence for some k t “ sa k. But then x P Btn,p Ď Bsn,p and
fn,p,l pxq “ xsy ` 1, as desired. This finishes the proof for ξ “ 1.
Note that by this proof, we may assume that F is 0-dimensional, by putting, among
the sets An,p , the sets XzVnX , for n P ω.
193
7 Borel Hierarchies
Let now ξ ě 2, and assume the result is known for all η, 1 ď η ă ξ. By the
hypothesis each An is Σ1`ξ , XzAn “ p An,p where An,p is Π01`ηpn,pq , for some ηpn, pq
0
Ť
with 1 ď ηpn, pq ă ξ. Write XzAn,p as a union of disjoint ∆01`ηpn,pq sets An,p,k .

Applying the induction hypothesis to the Σ01`ηpn,pq sets An,p,k and their complements,
we get a function gn,p : X Ñ ω ω which is of class ηpn, pq, and such that A1n,p,k “
tpx, gn,p pxqq : x P An,p,k u is clopen for each k in the closed set Graphpgn,p q.
Let g : X Ñ ω ω be defined by gpxqpxn, p, myq “ gn,p pxqpmq. Clearly G “ Graphpgq
is closed in X ˆ ω ω , and moreover A˚n,p,k “ tpx, gpxqq : x P An,p,k u is clopen in G, as
px, αq P A˚n,p,k ÐÑ px, αq P G ^ px, pαqxn,py q P A1n,p,k .
So for all n, p A˚n,p “ tpx, gpxqq : x P An,p u is Π01 in G. We now apply case ξ “ 1, for
the space G and the sequence A˚n,p of Π01 , with complements written as the disjoint
union of the clopen sets A˚n,p,k .
By the above proof, there is a Baire class 1 function h : G Ñ ω ω with H “ Graphphq
closed in G ˆ ω ω , and such that for all xn, py, the function hxn,py : G Ñ ω defined by
hxn,py px, αq “ hpx, αqpxn, pyq satisfies
h´1 ˚
xn,py p0q “An,p
´1
and hxn,py pk ` 1q “A˚n,p,k .
Define f : X Ñ ω ω by f pxq “ xgpxq, hpx, gpxqqy. Clearly F “ Graphpf q is closed as
px, αq P F ÐÑ px, pαq0 q P G ^ px, pαq0 , pαq1 q P H.
Moreover
tpx, αq P F : x P An,p u “ tpx, αq P F : pαq1 pxn, pyq “ 0u
is ∆01 in F , hence for each n tpx, αq : x P An u is Σ01 as desired. It remains to prove
(iii). So fix k, and consider fk pxq “ f pxqpkq. If k is even, say k “ 2 xn, py, then
fk pxq “ gxn,py pxq, which is by construction of class ηpn, pq. So for each i P ω fk´1 piq is
∆01`ηpkq with ηpkq ă ξ. If k is odd, say k “ 2 xn, py`1, then fk pxq “ hxn,py px, gpxqq and
by the choice of h fk´1 p0q “ An,p is Π01`ηpn,pq , whereas fk´1 pi ` 1q “ An,p,i is ∆01`ηpn,pq .
This proves (iii), and finishes the proof. %
7.1.5 The Hausdorff–Kuratowski theorem

Theorem 7.1.7 (Hausdorff–Kuratowski). Let X be a Polish recursive space, and ξ an
really? – YP
ordinal with 1 ď ξ ă ω1 . Then
ď
∆0ξ`1 “ Dη pΣ0ξ q.
1ďηăω1
Proof. Case ξ “ 1 is Theorem 7.1.5 (ii). So suppose ξ “ 1 ` ξ ˚ ą 1. First clearly any

Dη pΣ0ξ q is Σ0ξ`1 , and so is its complement, which is Dη`1 pΣ0ξ q. So Dη pΣ0ξ q Ď ∆0ξ`1 .
194
Conversely, let A Ď X be ∆01`ξ˚ `1 . We can get a function f : X Ñ ω ω of Baire

class ξ ˚ such that A˚ “ tpx, f pxqq : x P Au is ∆02 in the closed set F “ Graphpf q –
by applying Theorem
Ť 7.1.6 to some Ť family tXzAn , XzBn : n P ωu where An , Bn are
0
Π1`ξ˚ with A “ n An and XzA “ n Bn .
Now F is Polish, hence Theorem 7.1.5 applies to A˚ , so that for some η with 1 ď
η ă ω1 , A˚ P Dη pΣ01 q. And as f is of Baire class ξ ˚ , A “ tx P X : px, f pxqq P A˚ u is
clearly in Dη pΣ01`ξ˚ q, as desired. %
7.1.6 Dη pΣ0ξ q-ranks on Dη pΣ0ξ q

The structural properties of the classes Dη pΣ0ξ q are very similar to those of Σ0ξ , except
of course for closure properties. It is not hard to see that for η ě 2 the classes Dη pΣ0ξ q
are closed under (i) intersection with Σ0ξ sets (ii) union with Σ0ξ sets iff η ě ω or η is
finite odd (iii) intersection with Π0ξ sets iff η ě ω or η is finite even, and (iv) are never
closed union with Π0ξ sets.
Of course the negative parts@ of these resultsD come from a hierarchy theorem, that
ω 0
for X “ ω , the hierarchy Dη pΣξ q : ξ ă ω1 is strict, which itself comes from the
existence of (good) universal sets for Dη pΣ0ξ q. To establish this, let ϕ : η Ñ ω be a
bijection between η and a subset of ω, and W 1 Ď ω ω ˆ X a (good) universal set for
Σ0ξ . Set
the sequence
1
` ˘ Wpαq ϕpη 1 q
, η 1 ă η, is
pα, xq P W ÐÑ Dη 1 ă η pαqϕpη1 q , x P W 1 not increasing in
and the least such η 1 has parity opposite to η. general, no? is it a
problem? – YP
It is straightforward to check that W is a (good) universal set for Dη pΣ0ξ q subsets of It is not increasing in
general indeed, but
X.
it’s not a problem,
Despite the lack of closure properties, one still has the existence of nice ranks: you take the
intersections. – K
Theorem 7.1.8. Let X be a recursive space, and ξ ě 2, or ξ “ 1 and X of dimension
really? – YP
0. Then any Dη pΣ0ξ q subset A of X admits a Dη pΣ0ξ q-rank.
`@ D˘ 1
Proof. Let A “ Dη Aη1 : η 1 ă η , with Aη in Σ0ξ . Let P “ tη 1 ă η : parpη 1 q ‰
1
parpηqu, and for η 1 P P let Aη1 ,k be disjoint ∆0ξ sets with Aη “ kPω Aη1 ,k (this is
Ť
possible if ξ “ 1 by the dimension hypothesis). Fix a bijection n ÞÑ pηn , kn q between
ω and P ˆ ω, and set for x P A:
ˆ ď ˙
ϕpxq “ least n x P Aηn ,kn z Aη 1 .
η 1 ăηn
We claim that ϕ is a Dη pΣ0ξ q-rank on A. To see this, define for every η 1 ă η a Σ0ξ set
Bη1 by
– if η 1 R P , px, yq P Bη1 ÐÑ x P Aη 1 ,
195
7 Borel Hierarchies
– if η 1 P P ,
ď
px, yq P Bη1 ÐÑ x P Aη2 _
η 2 ăη 1
˜ ˆ ˙¸
ď
Dn ηn “ η 1 ^ x P Aηn ,kn ^ @m ă n y R Aηm ,km z Aη 2
η 2 ăηm
One easily checks that these sets are Σ0ξ . Moreover for all η 1 ă η
ď
pAη2 ˆ Xq Ď Bη1 Ď Aη1 ˆ X,
η 2 ăη 1
hence this sequence is increasing. We claim that

`@ D˘
x P A ^ py R A _ ϕpxq ď ϕpyqq ÐÑ Bη1 : η 1 ă η .
px, yq P Dη
Ť
Suppose Ť first ϕpxq “ n, and y R A or ϕpyq “ m ě n. Then x R η1 ăηn Aη1 , hence
px, yq R η1 ăηn Bη1 . But clearly px, yq P Bηn , as witnessed by η 1 “ ηn and n. As
`@ D˘
1 ăη .
ηn P P , px, yq P Dη Bη1 : η`@ D˘
Conversely if px, yq P Dη Bη1 : η 1 ăŤη , let η 1 P P be the least with px, yq P Bη1 .
Then x P Aη1 , and we claim that x R η2 ăη1 Aη2 . For otherwise, pick such an η 2 . If
η 2 R P , then px, yq P Aη2 ˆ X “ Bη2 , a contradiction. If η 2 P P ,Ťthen as η 2 ă η 1 ,
η 2 ` 1 ă η 1 and as before px, yq P Bη2 `1 , a contradiction. So x P η2 ăη1 Aη2 , hence
x P A and ϕpxq “ n with ηn “ η 1 . But then by definition of Bηn one easily gets y R A
or ϕpyq ě ϕpxq, as desired.
The proof for the relation x P A ^ py R A _ ϕpxq ă ϕpyqq is similar (by replacing
in the definition of Bη1 , η 1 P P , the quantifier @m ă n by @m ď n), and is left to the
reader. %
As before, one easily gets from the existence of Dη pΣ0ξ q-ranks the property of
reduction for Dη pΣ0ξ q sets, and the separation property for Ďη pΣ0ξ q sets. The ω-
uniformization property is less clear (in Theorem 4.3.5, the proof uses closure under
finite intersections!), but still holds, by a better choice the the above ranks (depending
in fact under @ă –
YP on the parity and finiteness or non-finiteness of η). For this and related results, we
refer the reader to Louveau–Saint Raymond ??.
ref missing – YP
7.1.7 Wadge’s theorem for ∆0λ

Theorem 7.1.7 does not give the structure of ∆0λ when λ is a limit ordinal. In order to
do this, we first introduce new operations.
Let pA
` n qn be a sequence
˘ of disjoint
Ť sets, and pBn qn a sequence of sets. We denote
by SU pAn qn , pBn qn the set A “ n pAn X Bn q. SU stands for separated union. If
now ξ ě 1 and Γ is` some class, we
˘ let SUξ pΓq be the family, in recursive spaces, of sets
A of the form SU pAn qn , pBn qn where the sets An are in Σ0ξ and Bn in Γ. Note that
196
at least for ξ ě 2 or in dim0 recursive spaces, this is the same as saying that there is a
family pAn qn of Σ0ξ sets covering A such that A X An is in Γ in the space An – for by
reduction such sets can always be supposed disjoint.
Given now λ a limit ordinal ă ω1 , define a sequence SUλξ , for ξ ă ω1 , as follows.
First recall that any ordinal ξ ă ω1 can be written uniquely as ξ “ λ ¨ ξ0 ` Ťξ1 , with
ξ0 ă ω1 and ξ1 ă λ. We define SUλξ by induction on ξ0 . If ξ0 “ 0, let Γ0 “ ηăλ Σ0η ,
and set SUξ1 “ SU1`ξ1 pΓ0 q. Suppose SUλξ has been defined for ξ0 ă η, ξ1 ă λ. Let
then Γη “ ξ0 ăη SUλξ and set SUλ¨η`ξ1 “ SU1`ξ1 pΓη q. Clearly ξăω1 SUλξ is the
Ť Ť
least family containing all Σ0ξ , ξ ă λ, and closed under all operations SUξ , ξ ă λ.
Theorem 7.1.9 (Wadge). Let X be a Polish recursive space. Then for each λ ă ω1
really? – YP
ď
∆0λ “ SUλξ .
ξăω1
` ˘
Proof. If ξ ă λ, then Σ0ξ Ď ∆0λ . Also if A “ SU pAn qn , pBn qn with An P Σ0ξ for some
ξ ă λ and Bn P ∆0λ , then An X Bn P ∆0λ , hence A is Σ0λ . But also
´ ď ¯ ` ˘
XzA “ Xz An Y SU pAn qn , pXzBn qn
n
is in Σ0λ , hence A P ∆0λ . This proves that ξăω1 SUλξ Ď ∆0λ (in any recursive space).
Ť
separable metrizable?
For the converse, we will use Theorem 7.1.6. So let A be ∆0λ in X Polish, and apply – YP
Theorem 7.1.6 to A and its complement. We get a function f : X Ñ ω ω such that
F “ Graphpf q is closed in X ˆ ω ω , A˚ “ tpx, f pxqq : x P Au is ∆01 in F , and for each
k there is an ηk ă λ such that for all i P ω, tx P X : f pxqpkq “ iu is ∆0ηk `1 . And
without loss of generality, we may assume that Vn˚ “ pVnX ˆ ω ω q X F is clopen in F .
Let d be a complete distance on F , and define a tree S on ω ˆ ω by induction on the
length of ps, tq P ω ăω by pH, Hq P S, and if s “ pn0 , . . . , nk´1 q, t “ pm0 , . . . , mk´1 q
are such that ps, tq P S, then
psa n, ta mq P S ÐÑ Vn˚ Ď Vn˚k´1 (with for k “ 1, Vn˚ Ď F ) and diampVnX q ď 2´k

and Dx, y P VnX ta m Ď f pxq, ta m Ď f pyq, and x P A, y R A.
The main point is that the tree S is wellfounded. Ş This because any branch pα, βq
through S defines a unique point px, βq P F with x P n Vαpnq X . Now pα, βq is either in
A˚ or in F zA˚ , which are both open, hence for some n the set Vαpnq ˚ X tpx, γq : γn “
˚ ˚
βn u is included either in A or in F zA , contradicting the fact that pαn`1 , βn`1 q P S.
View S as a subtree of
˚ ˚ ˚
(
T “ ps, tq : @i ă lh sVspiq Ď Vspi´1q and diampVspiq q ď 2í .
We claim that for all ps, tq P T , if we set AH,H “ X and for lh s ě 1

X
(
As,t “ x P X : x P Vsplh s´1q and t Ď f pxq ,
197
7 Borel Hierarchies
then for some ξ ă ω1 , A X As,t is in SUλξ in As,t . This is clearly true if ps, tq R S, for
then on As,t , A is either H or As,t . Now as S is wellfounded, it is enough to show that
if ps, tq P S and for all n, m with psa n, ta mq P T there is ξn,m ă λ such that A is in
SUλξn,m onŤAsa n,ta m , then for some ξ ă λ, A is in SUλξ on As,t . Let k “ lh s. Now
note that psa n,ta mqPT Asa n,ta m “ As,t , and
Asa n,ta m “ As,t X VnX X tx P X : f pxqpkq “ mu
is by our choice of f , Σ0ηk `1 in As,t . So if ξ0 is minimal with λξ0 ą ξn,m for all
psa n, ta mq P T , we get that A is in SUλλ¨ξ0 `ηk `1 on As,t This proves the claim. And
applying this claim to pH, Hq yields the result. %
One can again prove for the classes SUλξ structural properties analogous to those of
the classes Dη pΣ0ξ q. We refer the reader to Louveau–Saint Raymond ??.
réf – YP
One can also ask: Can one get similar results for the classes
∆pDη pΣ0ξ qq “Dη pΣ0ξ q X Ďη pΣ0ξ q

ˇ λ?
and ∆pSUλξ q “SUλξ X SU ξ
And if so, what about the ∆ of the new classes, etc. ?

We will study these questions from a different point of view by introducing a priori
the ultimate hierarchy, which is called the Wadge hierarchy, in Section 7.3.
7.1.8 Louveau’s theorem

We now turn to effective results for the sets in the Borel hierarchy.
First note that we have seen in Subsection 5.2.8 that the effective hierarchy
the proof was in fact
left to the reader –
YP pΣ0ξ , Π0ξ , ∆0ξ qξăωCK
1
is strict on the space ω, where the Borel hierarchy collapses to ∆01 – as the topology
is discrete. So there seems to be no relationship between the two hierarchies. This is
true at the recursive level, but not at all at the ∆11 level.
Let us define, in any recursive space X, for ξ ă ω1CK :
ď
Σ0ξ p∆11 q “ Σ0ξ pαq,
αP∆11
and similarly for Π0ξ p∆11 q and ∆0ξ p∆11 q.
Theorem 7.1.10 (Louveau). Let ξ ă ω1CK , and X a Polish recursive space.
(i) If A0 , A1 are two disjoint Σ11 sets and there is a Σ0ξ set separating A0 from A1 ,
then there is a set C in Σ0ξ p∆11 q separating A0 from A1 .
In particular,
198
(ii) Σ0ξ X ∆11 “ Σ0ξ p∆11 q,
(iii) Π0ξ X ∆11 “ Π0ξ p∆11 q, and
(iv) ∆0ξ X ∆11 “ ∆0ξ p∆11 q.
Proof. Clearly (iii) and (iv) follow from (ii).

To get (ii) from (i), note that Σ0ξ p∆11 q Ď ∆11 by Proposition 5.2.2, and Σ0ξ p∆11 q Ď Σ0ξ
by Theorem 5.2.7. Conversely if A P Σ0ξ X ∆11 one can apply (i) to the two sets A0 “ A,
A1 “ XzA, and get some Σ0ξ p∆11 q set separating A0 from A1 . This proves A P Σ0ξ p∆11 q.
So it remains to prove (i). Let τ be the Gandy–Harrington topology (see Subsec-
tion 6.2.6), and for each ξ ě 1 define τξ as the topology generated by all sets in
Σ11 X ηăξ Π0η (resp. the ordinary topology for ξ “ 1). We will prove statement (i) by
Ť
induction on ξ ă ω1CK , together with the following two statements:
(‹) If A Ď X is Σ11 , its τξ -closure is Σ11 , and
(‹‹) If A Ď X is Σ0ξ , there exists a τξ -open set A˚ such that A4A˚ “ pAzA˚ qYpA˚ zAq
is τ -meager.
Case ξ “ 1: (‹‹) is trivial in this case, as we can take A˚ “ A. For (‹), one has
1
Dn x P VnX ^ VnX X A “ H
` ˘
xRA ÐÑ
which is clearly Π11 . So we prove (i). Note that the hypothesis on A0 , A1 just
1 ` ˘
means A0 X A1 “ H, i.e. for each x P A0 , Dn x P VnX ^ VnX X A “ H . Hence
by Theorem 4.3.5 there exists a ∆11 -recursive f : X Ñ ω such that for every
x P A0 , x P VfXpxq ^ VfXpxq X A1 “ H. So the set B0 “ tn : Dx P A0 n “ f pxqu
is Σ11 , and contained in B1 “ tn : VnX X A1 “ Hu, which is Π11 . By separation
(Theorem 4.3.8), there exists a ∆11 set C with B0 Ď C Ď B1 .
Define now
#
0 if p ‰ 1,
αn ppq “ if n R C, and
1 if p “ 1,
#
0 if p ‰ n ` 2,
αn ppq “ if n P C,
1 if p “ n ` 2,
and set α “ 2a xαn : n P ωy. By definitionŤof a Borel code, we get that α P BCΣ1,
and clearly α is ∆11 -recursive. So BαX “ nPC VnX is Σ01 p∆11 q, and separates A0
from A1 .
General case: We assume (i), (‹) and (‹‹) for all 1 ď η ă ξ, and prove these statements
for ξ.
199
7 Borel Hierarchies
ξ
(a) Proof of (‹). Let A Ď X be Σ11 . Note that if x R A , there exists 1 ď η ă ξ
and a Σ11 X Π0η set B such that x P B and A X B “ H. But then A
is separable from B by a Σ0η set (namely XzB), hence by the induction
hypothesis there exists a Σ0η p∆11 q set C with A Ď C and B X C “ H, so
that x R C. Conversely if there is a Σ0η p∆11 q set C with A Ď C and x R C,
ξ
as C is also in Σ0η we clearly have x R A . So we get, if α0 is a recursive
code for ξ, α0 P WO,
´ ¯
ξ
xRA ÐÑ Dn Dα P ∆11 α P BCΠ |α0 n| ^ A Ď|
B X
α ^ x R B X
α
ξ
which gives a Π11 definition of XzA . This proves (‹).
(b) Proof of (‹‹). Let A Ď X be Σ0ξ , and write A “ n An , where for some
Ť
1 ď ηn ă ξ, An P Π0ηn . By the induction hypothesis, there exists a τηn -closed

set A˚n with An 4 A˚n τ -meager. Set
ď! ď )
˚ 1 0
A “ B : B P Σ1 X Πη and and BzA is τ -meager .
ηăξ
Clearly the set A˚

is τξ -open, and A˚ zA is τ -meager. So it remains to show
that AzA˚ is τ -meager too. Now
ď ď
AzA˚ “ pAn zA˚ q Ď pAn zA˚n Y A˚n zAq.
n n
Each set An zA˚n is τ -meager, so it is enough to study A˚n zA˚ . Now A˚n is
τηn -closed, and A˚ is τξ -open. As τηn Ď τξ Ď τ , A˚n zA˚ is τ -closed, and the
proof will be complete if we can show that it is τ -rare.
So let B be Σ11 , B Ď A˚n zA˚ , towards proving B “ H. Consider the τηn -
ηn
closure B of B. By the induction hypothesis for (‹), it is a Σ11 set, and as
clearly τηn -open sets are Σ0ηn , it is also a Π0ηn set. Also as A˚n is τηn -closed,
ηn ηn
B Ď A˚n , hence B zA Ď A˚n zA Ď A˚n zAn is τ -meager. By definition of
ηn
A˚ , it follows that B Ď A˚ , and a fortiori B Ď A˚ . But by hypothesis
B Ď A˚n zA˚ . So B “ H, and (‹‹) is proved.
(c) Proof of (i). Let A0 , A1 be Σ11 sets in X and A some Σ0ξ set with A0 Ď A
and A1 X A “ H. Using (‹‹), let A˚ be τξ -open with A˚ 4 A τ -meager. As
A1 X A “ H, A1 X A˚ is τ -meager. But A1 is Σ11 , and A˚ is τ -open, hence
A1 XA˚ is τ -open. By the Baire category theorem for τ (see Subsections 6.2.2
and 6.2.6), A1 X A˚ is empty.
ξ ξ
As A˚ is τξ -open, it follows that A1 XA˚ “ H, and hence A1 XA0 Ď AzA˚
ξ ξ
is τ -meager. Now A1 is Σ11 by (‹), hence A1 X A0 “ H, again by the Baire
category theorem for the Gandy–Harrington topology.
The end of the proof is now as in case ξ “ 1: For each x P A0 there is α P ∆11
and n such that, if α0 a recursive code for ξ,α P BCΠ X
|α0 n| ^Bα XA1 “ H^x P
|
BαX .
200
Let pD1 , d1 q be the Π11 coding of ∆11 points in ω ω given by Theorem 5.1.3,
and note that
” ı
@x P A0 Dm P D1 Dnd1 pnq P BCΠ |α0 n|
|
^ B X
d1 pnq X A 1 “ H ^ x P B X
d1 pnq .
The relation in brackets is Π11 , hence by Theorem 4.3.5 there is a ∆11 -

recursive f : X Ñ ω such that for every x P A0 , f pxq satisfies the relation.
Set
B0 “ tm : Dx P A0 m “ f pxqu.
It is Σ11 , and contained in the Π11 set
B1 “ tm P D1 : Dn d1 pmq P BCΠ X
|α0 n| ^ Bd1 pmq X A1 “ Hu.
|
So by separation (Theorem 4.3.8), there is a ∆11 set C with B0 Ď C Ď B1 .

Set
#
0 if p ‰ 1,
αm ppq “ if m R C, and
1 if p “ 1,
αm ppq “d1 pmqppq if m P C.
Then α “ 2a xαm : m P ωy is ∆11 , and a BCΣ ξ -code. Moreover

ď
BαX “ BdX1 pmq
mPC
clearly separates A0 from A1 , so (i) is proved. This finishes the proof of the
theorem. %
The preceding theorem is not specific to the Borel classes. Once lightface versions of
the classes Dη pΣ0ξ q and SUλη (for η, ξ, λ ă ω1CK ) have been defined, analogous results
are true for these classes. The same results can even be obtained for the more general
Wadge classes, that we will study in Section 7.3. See Louveau [??].
ref missing – YP
7.1.9 Borel sets in product spaces

As usual, effective results imply both effective and boldface results in product spaces.
The consequences of Theorem 7.1.10 deal with the study of sets with sections in some
fixed Borel class.
Corollary 7.1.11. Let X, Y be Polish recursive spaces.
(i) If A0 , A1 are two Σ11 (resp. Σ11 ) sets in X ˆ Y , and ξ is a recursive ordinal (resp.
a countable ordinal) then
x P X : pA0 qx is separable from pA1 qx by a Σ0ξ set

(
is Π11 (resp. Π11 ) in X.
201
7 Borel Hierarchies
(ii) If A0 , A1 are Σ11 (resp. Σ11 ) in X ˆ Y , and ξ ă ω1CK (resp. ξ ă ω1 ) is such that
every section pA0 qx of A0 is separable from the section pA1 qx by a Σ0ξ set, then
there is some ∆11 (resp. Borel) set B with Σ0ξ sections such that A0 Ď B and
A1 X B “ H.
(iii) If A Ď X ˆY is ∆11 (resp. Borel) and ξ ă ω1CK (resp. ξ ă ω1 ) then tx : Ax is Σ0ξ u

and tx : Ax is Σ0ξ u are Π11 (resp. Π11 ) in X.
Proof. Clearly (i)Ñ(iii), by considering A0 “ A and A1 “ XzA, respectively A0 “

XzA and A1 “ A. Also (ii) is a consequence of (i) by the First Reflection Theorem
I can’t see that right
now – YP (Theorem 4.6.1). So it is enough to prove the lightface version of (i) – as the boldface
version follows by relativization.
So let A0 , A1 be Σ11 , and ξ ă ω1CK . By the relativized version of Theorem 7.1.10 one
gets pA0 qx is separable from pA1 qx by a Σ0ξ set if and only if
Dα P ∆11 pxq α P BCΣ X X

ξ ^ pA0 qx Ď Bα ^ A1 X Bα “ H,
which by the properties of the coding BC is clearly Π11 , as desired. %
Another corollary deals with a structural characterization of Borel sets with Σ0ξ
sections. As for the previous (boldface) corollary, case ξ “ 1 is due to Azsenin and
Kunugui, ξ “ 2 to Saint Raymond and ξ “ 3 to Bourgain (see Louveau [??]).
ref missing – YP
Let X, Y be Polish recursive spaces, and define sequences of classes pBξΣ , BξΠ qξăω1 in
X ˆ Y , by
B0Σ “ B0Π “ tB ˆ VnY : B P ∆11 pXq, n P ωu,

!ď ď )
BξΣ “ An : An P BηΠ
n ηăξ
BξΠ “ BξΣ .
Theorem 7.1.12 (Louveau). Let X, Y be Polish recursive spaces. The following are
equivalent for A Ď X ˆ Y and 1 ď ξ ă ω1 :
(i) A is a Borel set with Σ0ξ sections,
(ii) A P BξΣ .
(iii) There is a Polish topology on X finer than the original one, such that A is Σ0ξ
in X ˆ Y , where X is equipped with this topology and X ˆ Y with the product
topology.
Proof. (iii)Ñ(i): The identity from X ˆ Y with the new topology to X ˆ Y with the
old one is continuous, and one-to-one, so the image of the Σ0ξ set A is Borel in
X ˆ Y with the original topology. And as the topology on Y is the same, the
sections of A are still Σ0ξ .
202
7.2 Complements on low-level Borel classes
(ii)Ñ(iii): Clearly each set A in BξΣ is built up as a Σ0ξ set, starting from countably
many sets of the form Bn ˆ VnY , with Bn Borel in X. So it is enough to show
that for every sequence pBn qnPω of Borel sets in X there is a finer Polish topology
on X for which each Bn is clopen. To see this let η ă ω1 be such that each Bn
is ∆01`η in X and apply Theorem 7.1.6 to the sets Bn and their complements.
One gets a Borel (class η) function f : X Ñ ω ω with closed graph F and such
that π ´1 pBn q is clopen in F for each n. The topology on X obtained by transfer
remark that the
from that of F is then Polish, and each Bn is ∆01 for it, as desired. projection π : F Ñ X
is a bijection and F
(i)Ñ(ii): By induction on ξ, it is clearly enough to prove that any Borel set A Ď X ˆ Y is Polish! – YP
with Σ0ξ sections is a countable union of Borel sets An with sections in Π0ηn
for some ηn ă ξ (resp., for ξ “ 1 with sections of the form VnY ). And by
relativization, it is enough to prove the result when A is ∆11 in X ˆ Y , and
ξ ă ω1CK . By the relativized version of Theorem 7.1.10, one then gets
@x P X Dα∆11 pxq α P BCΣ X

` ˘
ξ ^ Ax “ B α .
As the relation in parentheses is Π11 , one gets by the ∆11 -Uniformization The-
orem 5.1.6 a ∆11 -recursive function f : X Ñ ω ω such that for all x P X,
f pxq P BCΣ X
ξ ^ Ax “ Bf pxq . Now for ξ “ 1 set
Y
px, yq P An ÐÑ y P Bpf pxq` qn ,
and for ξ ą 1, pick a recursive code α0 for ξ and set

´ ¯
px, yq P An ÐÑ Dm ď n pf pxq` qm P BCΠ |α0 n||
^ y P B Y
pf pxq qm .
`
One immediately
Ť checks that each An is ∆11 with Π0ηn sections for ηn “ |α0 |n|,
and A “ n An , as desired. %

In this section, we will present a number of results which are specific to Borel sets in
the first two levels of the Borel hierarchy in Polish spaces.
7.2.1 Bases of Π01 sets

By Subsection 5.1.10, we know that there are non-empty Π01 sets in ω ω with no ∆11
member, and Borel sets with closed sections with no Borel uniformizing function. We
now give sufficient criteria to get positive basis and uniformization results. There is a
vast literature about “uniformization” or “selection” results, dealing with Borel sets of
various kinds and giving selections of various complexities. We will prove here the most
basic one, the Kuratowski–Ryll–Nardjewski Theorem, and a few of its generalizations.
For more specific results, we refer the reader to the survey paper of Wagner [??].
ref missing – YP
203
7 Borel Hierarchies
In fact, we have already presented the main idea of these results when we discussed
in Subsections 3.5.2 to 3.5.5 the characterization of Polish recursive spaces: We proved
in Subsection 3.5.4 that if X is a non-empty closed subset of a Polish recursively
presented space and its diagram DX “ tn : VnX ‰ Hu is Σ01 , then X admits a recursive
presentation with the induced distance. And the main point in the proof is to show,
under the hypotheses on X, that the set of recursive points in X is dense. Relativizing
this to the ∆11 level will eventually give the Kuratowski–Ryll–Nardjewski Theorem.
Lemma 7.2.1. Let X be Polish recursive, and A Ď X a closed subset. Then the
following are equivalent:
(i) A is ∆11 , and tx P A : x P ∆11 u is dense in A,
(ii) DA “ tn P ω : A X VnX ‰ Hu is ∆11 in ω.

Proof. (i)Ñ(ii) From (i), we get
Dx P X x P A ^ x P VnX
` ˘
n P DA ÐÑ
Dx P ∆11 x P A ^ x P VnX ,
` ˘
and n P DA ÐÑ
hence DA is both ∆11 and Π11 (by Theorem 5.1.4), as desired.

added – YP
(ii)Ñ(i) We assume DA is ∆11 . Then as A is closed, one gets
x P A ÐÑ @n x P VnX Ñ n P DA ,
` ˘
hence A is ∆11 too. For the second statement, we use the relativized version of
Subsection 3.5.4: Let α0 be the characteristic function of DA . Then α0 is ∆11 in
ω ω , and DA is Σ01 pα0 q. By Subsection 3.5.4, tx P A : x P ∆01 pα0 qu is dense in A.
As ∆01 pα0 q Ď ∆11 , we are done. %
7.2.2 Borel sets with closed sections

As usual, the the ∆11 -Uniformization Theorem 5.1.6 allows to convert a basis result
into a uniformization result. The preceding lemma gives the following:
Theorem 7.2.2. Let Y be a recursive space, X a Polish recursive space, and A Ď Y ˆX
a ∆11 set with closed sections, and such that for each n the set Dn “ ty P Y : Ay XVnX ‰
Hu is ∆11 in Y .
Then there exists a ∆11 -recursive function f , defined on the ∆11 subset DA “ n Dn
Ť
weird, no?
∆11 -measurable, or of Y , with @y P DA py, f pyqq P A.
simply bianalytic? – Moreover if Y is a Suslin recursive space, f is a Borel uniformization of A
YP
why not Suslin Proof. We use the relativization of Lemma 7.2.1. As the relativized result is similar
space? Alain wrote we may assume that A and the relation y P Dn are ∆11 . Then for each y P Y the
Suslin space and then set DAy “ tn : y P Dn u is ∆11 pyq, hence by Lemma 7.2.1 (relativized) if Ay is non-
rectified to Suslin
empty, it contains a ∆11 pyq member (in fact a dense set of ∆11 pyq members). But then
recursive space, but I
am not sure why... – Theorem 5.1.6 applies, and gives the uniformizing functions. %
YP
204
7.2.3 The Kuratowski–Ryll–Nardjewski theorem

In this paragraph, we briefly depart from our convention of working in metrizable
separable spaces, to illustrate how results like Theorem 7.2.2 can be used to get results
in the setting of “abstract measurable spaces”. The main trick here goes back to
Spilrajn–Marczewski.
A measurable space pE, Eq is a set E together with a σ-field of subsets of E (i.e.
a family of subsets containing H, and closed under complementation and countable
union).
Theorem 7.2.3 (Kuratowski–Ryll–Nardjewski). Let pE, Eq be a measurable space, X

a Polish space, and Φ : E Ñ PpXq a function with values in the closed subsets of X.
Suppose that for each open U in X
Φ´1 pU q “ tx P E : Φpxq X U ‰ Hu
belongs to E. Then D “ tx P E : Φpxq ‰ Hu is in E, and there exists a function

ϕ : D Ñ X which is E-measurable, i.e. satisfies ϕ´1 pU q P E for each open set U in X,
and uniformizes Φ, i.e. @x P D ϕpxq P Φpxq.
Proof. Let En “ tx P E : Φpxq X VnX ‰ Hu, which by the hypothesis on Φ is in E.

Define f : E Ñ 2ω by f pxqpnq “ 1En pxq. Then f is E-measurable, as for each s P 2ăω
´ ω¯ ”` ˘ı
2
˘ `
x P f ´1 Vxsy ÐÑ @n ă lh s spnq “ 1 Ñ x P En ^ spnq “ 0 Ñ x R En .
Let E ˚ “ tf pyq : y P Eu, and set

! ` ˘)
˚ ˚
A “ pα, xq P E ˆ X : Dy P E f pyq “ α ^ x P Φpyq .
Now notice that if α “ f pyq, then A˚α “ Φpyq. This is because if f pyq “ f py 1 q, then
tn : y P En u “ tn : y 1 P En u, i.e. tn : Φpyq X VnX ‰ Hu “ tn : Φpy 1 q X VnX ‰ Hu, and
hence Φpyq “ Φpy 1 q as Φ has values in the the closed subsets of X.
So A˚α is closed, and moreover
A˚α X VnX ‰ H ÐÑ Dy f pyq “ α ^ Φpyq X VnX ‰ H

` ˘
ÐÑ Dy P En f pyq “ α
ÐÑ αpnq “ 1.
This gives pα, xq P A˚ Ø α P E ˚ ^ @n px P VnX Ñ αpnq “ 1q.

Consider then
! ˘)
A “ pα, xq P 2ω ˆ X : @n x P VnX Ñ αpnq “ 1 .
`
The set A is closed (in fact Π01 ) in 2ω ˆ X. Let

! ˘‰)
ω X X
“ `
B “ α P 2 : @n αpnq “ 1 Ñ Dx P X x P Vn ^ @mpx P Vm Ñ αpmq “ 1q .
205
7 Borel Hierarchies
The set B is Σ11 in 2ω , and moreover E ˚ Ď B, for if α P E ˚ , there is y with f pyq “ α,

and if αpnq “ 1, then y P En , i.e. Dx P VnX X Φpyq, and @mpx P VmX Ñ αpmq “ 1q.
Now for α P B, one clearly has
Aα X VnX ‰ H ÐÑ αpnq “ 1,
so we can apply Theorem 7.2.2: We get a Borel function g, defined on the Borel subset
tα P B : Dn αpnq “ 1u “ B X DX A of B, satisfying for every α P B X DX A that Ť gpαq P
Aα . Composing g with f , we get a function ϕ defined on E 1 “ f ´1 pB X DX Aq “ n En
and which satisfies
@y P E 1 ϕpyq “ gpf pyqq P Φpyq “ Af pyq “ A˚f pyq .
It remains to check that ϕ is E-measurable, and this follows easily, by induction on the
Borel class of g, from the fact that f is E-measurable. %
Note that we could replace the space X by VnX in the preceding considerations, for
each n P ω, and get a Borel uniformizing function on En for Φn pxq “ Φpxq X VnX .
This gives, under the Ťsame hypotheses, the existence of a sequence of E-measurable
functions ϕn on E 1 “ n En such that for each x P E 1 the set tϕn pxq : n P ωu is dense
in Φpxq, a result due to Castaing.
7.2.4 Burgess’ theorem

Combining the preceding ideas and the Thomason–Hinman basis result of Subsec-
tion 6.2.13, one gets another uniformization result, due to Burgess.
Theorem 7.2.4 (Burgess). Let X be Polish recursive, Y recursive, and A Ď Y ˆ X a
∆11 set such that for each n P ω
An “ y P Y : Ay X VnX ‰ H
(
is ∆11 . Suppose that for each y the set Ay is comeager in Ay (this is always satisfied if
the sections are Π02 ).
Then DX A is ∆11 in Y and A can be uniformized on DX A by a ∆11 -recursive function.
again,
∆11 -measurable, or Proof. We prove the case where A and the relation y P An are ∆11 , the relativized result
simply bianalytic
being similar. And again, it is enough to show (by relativization and Theorem 5.1.6)
function – YP
that if a non-empty set B Ď X is ∆11 , has a ∆11 diagram DB “ tn : B X VnX ‰ Hu, and
is comeager in its closure, then it has a ∆11 member. As B X VnX ‰ H Ø B X VnX ‰ H,
DB “ DB is ∆11 , hence B is Polish recursive in some ∆11 point α0 by Subsection 3.5.4.
And as B is ∆11 and comeager in B, Theorem 6.2.15 gives a ∆11 point in B. %
7.2.5 Bases for compact sets

The hypotheses about the diagrams in the results presented in Subsections 7.2.1 to 7.2.4
are usually not easy to check. However there is an important particular case where the
hypothesis is automatically satisfied, the case of compact sets.
First, we begin with a representation result for compact ∆11 sets.
206
Lemma 7.2.5. Let X be Polish recursively presented, with distance d, and K Ď X a

compact ∆11 set. Then there exists a ∆11 tree T on ω such that
(i) T is finitely branching, i.e. s P T implies tn : sa n P T u is finite,
X has d-diameter ď 2ń and V X Ď V X
(ii) for s P T of length n ` 1, Vspnq spnq spn´1q ,
and such that

X
xPK ÐÑ Dα P rT s @n x P Vαpnq
X
` ˘
ÐÑ @n Ds P T lh s “ n ` 1 ^ x P Vspnq .
Proof. First we show that there exists a ∆11 point α0 P ω ω such that XzK “ X
Ť
n Vα0 pnq
and VαX0 pnq X K “ H for all n (We assume here that VnX0 “ H for some n0 , which is no
real restriction).
Hu. As K is ∆11 , A is Π11 , and nPA VnX “ XzK. Now
Ť
Consider A “ tn : VnX X K “Ť
the property, for a set C that nPAXC VnX “ŤXzK is Π11 on Π11 , hence by reflection
(Theorem 4.6.1) there is a ∆11 set B Ď A with nPB VnX “ XzK. We can set α0 pnq “ n
if n P B, and n0 otherwise.Ť
Let P “ tn P ω : K Ď iălh sn VsX n piq
u. The set P is a Π11 subset of ω. Define then
Q Ď ω 3 by
pp, q, nq P Q ÐÑ p P P ^ q P P ^ @i ă lh sq diam VsX
` ˘
q piq
ď 2ń
X
` ˘
^ @i ă lh sq Dj ă lh sp VsX q piq Ď V sp pjq
^ @i ă lh sq VsX X
` ˘
q piq
X V α0 pnq “ H .
Again Q is Π11 in ω 3 . Now notice that given n P ω and p P P there is a q with

pp, q, nq P Q: For the basic open sets VsXp piq
cover K, and K X VαX0 pnq “ H, hence the
family of basic open sets VkX with closure contained in some VsX p piq
, of diameter ď 2ń
and disjoint from VαX0 pnq also covers K. By compactness, a finite subfamily still covers
K, and this gives the desired q.
By ∆11 -uniformization (Theorem 5.1.6), there is a ∆11 -recursive function f : P ˆ ω Ñ
P such that @pp, nq P P ˆ ω pp, f pp, nq, nq P Q.
Fix now some p0 P P such that for each i ă lh sp0 we have diam VsX p piq
ď 1 and
0
VsX
p piq
X VαX0 pnq “ H, and define α1 P ω ω by α1 p0q “ p0 and α1 pn ` 1q “ f pα1 pnq, nq.
0
Then α1 is ∆11 -recursive, and for all n we have α1 pnq P P and pα1 pnq, α1 pn ` 1q, nq P Q.
Define a tree T on ω by
„
s P T ÐÑ s “ H _ Di ă lh sp0 sp0q “ sp0 piq^
´
@k 0 ă k ă lh s Ñ Di ă lh sα1 pkq Dj ă lh sα1 pk´1q
¯
X X
spkq “ sα1 pkq piq ^ spk ´ 1q “ sα1 pk´1q pjq ^ Vspkq Ď Vspk´1q .
207
7 Borel Hierarchies
As α1 is ∆11 , so is T . And by the choice of α1 it is immediate to check that T satisfies

(i) and (ii). So it remains to show that
X X
` ˘
x P K Ø Dα P rT s @n x P Vαpnq Ø @n Ds P T lh s “ n ` 1 ^ x P Vspnq .
First suppose that x P K, and let n P ω. As α1 pnq P P , there is i ă lh sα1 pnq such
that x P VsX
α pnq piq
. Now by the definition of Q and the choice of α1 , one has that for
1
each sα1 pnq piq there is an s P T of length n ` 1 with sα1 pnq piq “ spnq. This proves that
` X .
˘
@n Ds P T lh s “ n ` 1 ^ x P Vspnq
Suppose now that x satisfies this property. Then tHu Y ts P T : x P Vsplh X
s´1q u is
a subtree of T , hence is finitely branching, and is infinite. By König’s Lemma, this
tree has an infinite branch, hence Dα P rT s @n x P VαpnqX . Finally, if this last property
holds, then as for every non-empty s P T one has Vsplh X X

s´1q X Vα0 plh s´1q “ H, it follows
Ť X
that x R n Vα0 pnq , i.e. x P K, and we are done. %
Theorem 7.2.6. Let X be Polish recursive, and K Ď X compact. Then the following
are equivalent:
(i) K is ∆11 in X,
(ii) DK “ tn P ω : K X VnX ‰ Hu is ∆11 in ω.
In particular every non-empty ∆11 compact set has a ∆11 member.
Proof. By Lemma 7.2.1, if (ii) holds then K is ∆11 in X and if non-empty has a ∆11
member. So it remains to show (i)Ñ(ii).
Let T be associated to K by the preceding lemma. Note that by Lemma 7.2.1 it is
enough to show that the ∆11 points are dense in K. Moreover if K 1 is any compact and
∆11 set, then so is K 1 X VnX for every n. It is therefore enough to show that if K ‰ H,
then it has a ∆11 member. NowŞif K is non-empty, the tree T has a branch. And if α is
a ∆11 branch of T , then txu “ n VαpnqX is a ∆1 -singleton, hence x is a ∆1 point which
1 1
belongs to K. So it is enough to show that if T is a ∆11 tree on ω which is finitely
branching and infinite, it has a ∆11 branch – the effective version of König’s lemma.
To see this define
nPP ÐÑ sn P T ^ tt : sn a t P T u is infinite.
The set P is ∆11 in ω, and by our hypotheses 0 P P (s0 “ H P T and T is infinite),
and clearly for each n P P there is m with xsn a my P P . By ω-uniformization (The-
Alain says
∆11 -uniformization, orem 4.3.5), there is a ∆11 -recursive f : ω Ñ ω such that @n P P xsn a f pnqy P P .
but? – YP But then α defined inductively by αpnq “ f pxαn yq is ∆11 and a branch through T , as
desired. %
Corollary 7.2.7. Let X, Y be Polish recursive, and A Ď X ˆ Y a ∆11 (resp. Borel) set
with compact sections. Then DY A is ∆11 (resp. Borel) in X and A can be uniformized
by a ∆11 -recursive function (resp. Borel) function.
Proof. Use the previous basis theorem and the ∆11 -Uniformization Theorem 5.1.6. %
208
7.2.6 Bases for σ-compact sets

We now show that the results in Subsection 7.2.5 for compact sets can be extended to
σ-compact, or Kσ , sets
Lemma 7.2.8. Let X be Polish recursive, and A Ď X be a ∆11 set and σ-compact set.
Ť
(i) There is a sequence pAn qnPω of compact sets such that A “ n An , and moreover
the relation x P An is ∆11 in X ˆ ω (so in particular each An is ∆11 ).
(ii) If A ‰ H, then A has a ∆11 member.
Proof. (i) As A is Kσ and ∆11 , A is Σ02 and ∆11 , hence is Σ02 p∆11 q by Theorem 7.1.10,
and hence is a ∆11 union of Π01 p∆11 q sets. However, this is not enough to conclude,
for these Π01 p∆11 q sets may not be compact in X (although they are certainly Kσ
again). To overcome this difficulty, note that by Theorem 3.5.7 X admits a
completion X p which is Polish recursive and compact. Now being compact, resp.
Kσ , in X is the same as being closed, resp. Σ02 , in X. p And as X is Π0 in X,
2
p
1
being ∆1 in X and being ∆1 in X1 p are equivalent for a subset of X. So A is Σ0
2
and ∆11 in X,p hence by Theorem 7.1.10 there is a sequence An of Π0 sets in X
1
p
with A “ n An and x P An a ∆11 relation in X
Ť p ˆ ω. And these An ’s do work.
(ii) If A is non-empty, one of the An ’s must be non-empty too, and Lemma 7.2.5
applies to give a ∆11 member of An , hence of A. %
As usual, these results can be turned into boldface results in product spaces.
Theorem 7.2.9. Let X, Y be Polish spaces, and B Ď X ˆY a Borel set with σ-compact
sections.
(i) (Arsenin–Kunugui) The set DY B is Borel in X, and B can be uniformized by a

Borel function.
(ii) (Saint Raymond) ThereŤis a sequence Bn of Borel sets in X ˆ Y with compact

sections such that B “ n Bn .
We now turn to two results which are specific to the class Π02 (in Polish spaces), i.e.
to the property of being Polish. The first result, due to Hurewicz, is a characterization
of Polish spaces among co-Suslin spaces. The second result, due to Saint Raymond,
gives a sufficient condition for the continuous image of a Polish space (i.e. a Suslin
space) to still be Polish.
7.2.7 Hurewicz’s characterization of Polish spaces

Let D0 Ď 2ω be the countable set of all α P 2ω which are eventually 0, i.e. such that
for some n P ω αpmq “ 0 for all m ě n.
This set is countable, hence Σ02 (in fact Σ02 ) in 2ω and is dense and meager in 2ω ,
hence cannot be Π02 by the Baire category theorem.
209
7 Borel Hierarchies
So if X is any metrizable separable space, and there is in X a closed subset homeo-

morphic to D0 , certainly X cannot be Polish. The next theorem is a converse to this,
in case X is co-Suslin.
Theorem 7.2.10 (Hurewicz). Let A be a Π11 set in a Polish recursive space X. If A

Polish space? I don’t
understand how is not Π02 in X, there exists a one-to-one continuous function f : 2ω Ñ X such that
Alain chooses to α P D0 Ñ f pαq P A, and α R D0 Ñ f pαq P A.
state a theorem for In particular, if Y is a co-Suslin space, then Y is Polish iff it contains no closed
recursive spaces or subset homeomorphic to D0 .
just spaces... – YP
Proof. Let B “ XzA. Then B is Σ11 in X, hence is the projection of some closed set
F Ď X ˆ ω ω . Let π be the projection : X ˆ ω ω Ñ X, and consider the family U of
open sets U in X ˆ ω ω which satisfy
(‹) there is a Σ02 set C Ď X such that πpF X U q Ď C Ď B.

a bit fast! And I As U is closed under countable unions, U0 “
Ť
U is in U. Now if F Ď U0 , then
think U is not
countable in general! πF “ B Ď C Ď B for some Σ2 set C, i.e. B is Σ2 and A is Π02 . So F0 “ F zU0 is a
0 0
However, in fact U is non-empty closed set in X ˆ ω ω . Moreover for any open U in X ˆ ω ω , if F0 X U ‰ H,

also downard closed, then πpF0 X U q cannot be contained in a Σ02 set C contained in B, for otherwise
i.e. if V is open and πpF X U q Ď πpF X U0 q Y πpF0 X U q would too, and U would be in U, a contradiction.
V Ď U P U,Ťthen ω
V P U. So U is
So in particular for each n such that Vn “ VnXˆω meets F0 , πpF0 X Vn q X A ‰ H.
equal to the union of We now can define, on inductively on lh s, for s P 2ăω , non-empty subsets Us of F0
the basic open sets
ω
and points xs in A, satisfying:
VnXˆω which are in
U, and hence belongs (a) xs P πUs X A,
to U. – YP
1
since we would then (b) Usa 0 Ď Us , xsa 0 “ xs , diampπUsa 0 q ď 2 diampπUs q,
have U Ď U0 by
1
maximality of U0 , a (c) Usa 1 Ď Us , diampUsa 1 q ď 2 diampUs q, Usa 0 X Usa 1 “ H.
contradiction with
F0 X U “ H. – YP (Here the diameters refer to some complete distances in X and X ˆ ω ω , respectively.)
Start with UH “ F0 , and xH P πUH X A. Suppose Us and xs have been defined. Let
ys P πUs , and Vs , Ws be neighborhoods of xs , ys , respectively, with Vs X Ws “ H and
diameter ď 21 diampπUs q. Set Usa 0 “ pVs ˆ ω ω q X Us , then Usa 0 is non-empty open set
in F0 ,and xs “ xsa 0 P πUsa 0 X A. So this choice ensures (b). If now pys , αs q P Us , let
Usa 1 be a neighborhood of pys , αs q, with Usa 1 Ď Us , of small enough diameter; by the
property of F0 we have πUsa 1 X A “ H, hence we can choose xsa 1 in it. This ensures
(a) and (c).
If α is eventually 0 in 2ω , the sequence xαn is eventually constant. If α is not
eventually 0, the sequence Uαn converges, by (c), to some point
Ş Ş in F0 , and hence
n πU αn
‰ H. So we can define f pαq as the unique point in n πUαn . By (c), f is
clearly one-to-one and continuous : 2ω Ñ X, and moreover for α P D0 f pαq P A, where
as for α P 2ω zD0 , f pαq P πF0 Ď XzA, as desired.
The last statement follows easily. As we said before, a Polish space cannot have
a closed countable and dense in itself subset. For the converse, we can view the co-
it means without
isolated points, Suslin non Polish space Y as a Π11 subset of a Polish recursive space X, and apply the
right? old
terminology, I think.
Have we defined this
before? Btw it’s not 210
exactly what we’ve
said before, is it clear
that it implies that it
contains a closed
subset homeomorphic
to D0 ? – YP
first part of the theorem, to get a continuous one-to-one function f : 2ω Ñ X with

f ´1 pY q “ D0 . Then f pD0 q is a countable dense in itself relatively closed subset of Y ,
as desired. %
The preceding result is asymmetric. In fact, it cannot be proved in ZFC that any
Suslin space which is not Polish contains a relatively closed subset homeomorphic to
D0 . (Note that this statement easily implies the perfect set property for Π11 sets, which
cannot be proved in ZFC either).
Hurewicz’ theorem gives a characterization, among all Π11 sets (in Polish spaces),
of the Borel class Π02 . To get a generalization to other Borel classes, we need, by the
preceding discussion, to restrict ourselves to Borel sets. We will see in Subsection 7.3.10
verify this ref – YP
that with this restriction, there are results analogous to Hurewicz’ theorem at all levels
of the Borel hierarchy.
7.2.8 Polish continuous images of Polish spaces

We now study when the continuous image of a Polish space is still Polish. As the
class of continuous images of Polish spaces – in metrizable spaces, is the class Σ11 ,
these results are somehow dual to the case studied in Subsection 7.2.7. But here the
conditions will be put not on the image, but on the function.
Let us say that a continuous function f : X Ñ Y is semi-proper if for every countable
compact set K in Y there exists a compact set L in X with f rLs “ K (so that in
particular f is onto Y ). This terminology comes from Bourbaki’s terminology of a
proper continuous function as a function such that the inverse images of compact sets
are compact. Of course, proper surjective functions are semi-proper. The latter notion
is rather weak: For example closed or open continuous surjections from a Polish space
X onto a metrizable (separable) space Y are semi-proper, see exercises.
really? :-) – YP
The next result was proved (in slightly less general terms, and by a different methods)
by Saint Raymond [??].
ref missing – YP
Theorem 7.2.11 (Saint Raymond). Let X be a Polish space, and f : X Ñ Y be a
continuous semi-proper map onto a metrizable (necessarily separable) space Y . Then
Y is Polish.
Proof. We will use here Theorem 6.2.5. By this result, it is enough to describe a
winning strategy for Player II in the strong Choquet game on Y . To do this we will
use the following:
Fact. Let U be open in Y , and y P U . Let also pWn qnPω be a sequence of open sets
in X covering f ´1 pU q. Then there exists anŤ open subset V of Y and k P ω such that
y P V and the restriction of f to f ´1 pV q X kn“0 Wn is semi-proper (with values in V ).
Assume the Fact is false, and let Vn “ Bpy, n1 q X U where the ball Bpy, n1 q refers
to some distance on Y . Then we get that for each n there is a countable
Ťn compact
set Kn Ď Vn such that no compact set L contained in f ´1 pV q X W satisfies
Ť n i“0 i
f rLs “ K. Let then K “ n Kn Y tyu. The set K is countable and compact, hence for
211
7 Borel Hierarchies
some compact L, Ťnf rLs “ K. As K Ď U , L is covered by the sets pWi q, hence for some
n we have L Ď ´1
Ť i“0 Wi . But then Ln “ L X f pKn q is also compact and contained
in f ´1 pVn q X ni“0 Wi , and f rLn s “ Kn , a contradiction which proves the fact.
We now define inductively the winning strategy for Player II as follows. At each step
n, if I has played Un and yn P Un , II plays Vn containing yn and a sequence pWin qki“0 n
,
for some kn P ω, of open sets in X such that:
(a) f : f ´1 pVn q X ki“0 Win Ñ Vn is semi-proper,
Ť n
(b) each Win is non-empty with diameter (for some complete distance on X) ď 2ń ,
and
(c) @i ď kn`1 Dj ď kn Win`1 Ď Wjn .
This can clearly be done, using at level n`1 the above Fact, applied to f f ´1 pVn qXŤkn Win
,
i“0
the open set Un`1 , yn`1 , and a sequence pWin qiPω
of open sets covering f ´1 pUn`1 q X
` ´1 Ťkn n
˘
f pVn q X i“0 Wi , of small enough diameters, and with closure contained in one
of the Win ’s.
Ş strategy is winning for II, i.e. that in any run pUn , yn , Vn qnPω
It remains to show that this
played this way, we have n Vn ‰ H. Consider the associated open sets pWin qiďkn ,
n P ω, in X. Let T be the tree on ω defined by
i`1 i
sPT ÐÑ @i ă lh s ´ 1 Wspi`1q Ď Wspiq .
Then clearly this tree is finitely branching and infinite,Şhence has an

Şinfinite branch α
by König’s Lemma. But then for some x P X with x P n Wαpnq n “ n Wαpnqn , we have
Ş Ş
f pxq P n Vn , so n Vn ‰ H and we are done. %
7.3 The Wadge hierarchy

7.3.1 Wadge classes and the Wadge ordering
The finest topological classification of Borel sets is modulo homeomorphisms. In this
section, we will study a slightly weaker notion, which is due to Wadge. And to simplify
a bit the discussion, we will work in this section in 0-dimensional Polish spaces, which
we can consider (up to homeomorphism) as closed subspaces of the space ω ω .
Let X, Y be two such spaces, and A Ď X, B Ď Y . We say that f : X Ñ Y
reduces (or is a reduction of) A to B if f ´1 pBq “ A, i.e. x P A Ñ f pxq P B and
x R A Ñ f pxq R B.
And we say that A is Wadge reducible to B, in symbols A ďW B, if there is a
continuous reduction of A to B.
Note that this notion is extrinsic, i.e. is a property of the pairs pX, Aq and pY, Bq
rather than only of A and B. The space in which our sets live will usually by under-
stood, unless there is a risk of confusion.
Clearly ďW is a quasi-order, called the Wadge ordering. This section will be devoted
to its study, when restricted to the Borel sets.
212
A class Γ (or pointclass in Moschovakis []) is a family of sets in 0-dimensional Polish

ology! I choose
to call them spaces closed under preimage by continuous functions, i.e. if A Ď X is in Γ and
intclasses – YP f : X Ñ Y is continuous, then f ´1 pAq Ď Y is also in Γ.
A pointclass Γ is called a Wadge class if it is generated by one set A, i.e. if
I chose to denote by
ΓrAs the Wadge class
Γ “ ΓrAs “ tB : B ďW Au. generated by A, since
we already denote by
Such a generator A is called a Γ-complete set. (We have already seen in Subsection 5.5.2 ΓpXq the restriction
the notion of a Π11 -complete set, but it referred there to reductions by Borel functions, of Γ to some space
a much weaker notion). X. – YP
To each pointclass Γ we associate two other classes. First its dual class Γ̌ is defined
by
Γ̌ “ t A “ XzX : A P Γu.
And the ambiguous class ∆pΓq is the class Γ X Γ̌ of sets which are in Γ as well as their
complements. It is immediate to check that Γ̌ and ∆pΓq are both pointclasses. And
if Γ is a Wadge class, so is Γ̌, and the Γ̌- complete sets are just the complements of
the Γ-complete ones. However ∆pΓq may not be a Wadge class: For example Σ11 is a
Wadge class (it is generated by any Σ11 -complete set), but ∆11 “ ∆pΣ11 q is not, as any
We could refer to
Borel set is in some class Σ0ξ , hence can generate at most that class. Theorem 4.3.1 for
We say that Γ is self-dual if Γ “ Γ̌ “ ∆pΓq, and that Γ is non-self-dual if Γ ‰ Γ̌. In example. But is any
the latter case, a set in ΓzΓ̌ is called a true Γ-set. And clearly if Γ is a non-self-dual Σ11 -complete set for
the Borel reduction a
Wadge class, any Γ-complete sets is a true Γ-set. complete set for
By the very definition of the Wadge classes one has continuous
reduction? – YP
A ďW B ÐÑ ΓrAs Ď ΓrBs,
so that studying ďW is the same as studying the inclusion relation between Wadge
classes.
First, an easy lemma.
Lemma 7.3.1. (i) The class tHu, its dual tHuˇ and ∆01 are Wadge classes. In fact
if A Ď X is ∆01 and is neither H nor X itself, then A is ∆01 -complete.
(ii) If Γ is a pointclass and Γpω ω q “ Γ X Ppω ω q admits a universal set, then Γ is a

non-self-dual Wadge class. So in particular the classes Σ0ξ , Dη pΣ0ξ q and SUηξ , as
well as their dual classes, are all non-self-dual Wadge classes of Borel sets.
(iii) If Γ is a pointclass, A Ď X is in Γ and Y Ď X is Π01 , then A X Y is in ΓpY q.

Conversely if A Ď Y is in ΓpY q, then A “ B X Y for some Γ set B Ď X.
(iv) If Γ is a Wadge class, and A Ď X is locally in Γ, i.e. is such that for every x P X
there is a clopen set V containing x with A X V P ΓpV q, then A is in Γ.
Proof. (i) Trivially tHu is a pointclass, hence a Wadge class. And in X ‰ H, clearly
X R tHu, i.e. tHu is non-self-dual. Note also that if A Ď X is different from
X and x0 P XzA, then the constant function with value x0 reduces H to A,
213
7 Borel Hierarchies
i.e. H ďW A. Similarly if A ‰ H and Y is any dim0 Polish space, Y ďW A

by any constant function with value in A. So tHu and tHuˇ are the two ďW -
minimal Wadge classes. If now A Ď X is ∆01 and A ‰ H, A ‰ X, pick x0 P A,
x1 P XzA; if now B Ď Y is ∆01 , the function f which is x0 on B and x1 on Y zB
is continuous, and reduces B to A. This shows that ∆01 is a Wadge class, and
that A is ∆01 -complete. Note that ∆01 is an example of a self-dual Wadge class.
(ii) Let A Ď ω ω ˆ ω ω be universal for Γpω ω q. To show that Γ is non-self-dual, we use

Cantor’s diagonal. Clearly D “ tα P ω ω : pα, αq P Au is in Γ, as α ÞÑ pα, αq is
continuous, and as usual ω ω zD R Γ. To see that A is Γ-complete, and hence that
Γ “ ΓrAs, we first note that for B P Γ, B Ď ω ω , there is an α P ω ω with B “ Aα .
So f pβq “ pα, βq reduces B to A.
If now B Ď X with X an arbitrary (non-empty) Π01 subspace of ω ω , we use the
existence of a retraction ρ : ω ω Ñ X, i.e. a continuous function ρ with ρX “ IdX .
The existence of such a retraction is easy to prove: If T0 Ď ω ăω is the canonical
tree for X, define f : ω ăω Ñ T0 by f pHq “ H, and f psa nq “ f psqa k where k is
the largest number ď n with f psqa k P T0 if such a k exists, and is the smallest
k with f psqa k P T0 otherwise. Then ρpαqpnq “ f pαn`1 qpnq defines the desired
retraction.
Using this retraction, we get B ˚ “ ρ´1 pBq is in Γ, and as B “ Id´1 ˚
X pB q,
˚ ˚
B ďW B . So as B ďW A, B ďW A too and A is Γ-complete, as desired.
(iii) We may assume that Y ‰ H, and Y Ď X Ď ω ω are Π01 sets. So there is a

retraction ρ : X Ñ Y . If A Ď X is in Γ, as the inclusion i : Y Ñ X is continuous,
A X Y “ i´1 pAq is in Γ. Conversely if A Ď Y is in Γ, then ρ´1 pAq Ď X is in
Γ and A “ ρ´1 pAq X Y . These remarks show that for most purposes, we may
Maybe this should be
said outside of the restrict ourselves to the case of X “ ω ω .
proof – YP
(iv) By (iii) if A X V is in ΓpV q and W Ď V is clopen, A X W is in ΓpW q. Hence if
A is locally in Γ, we can find a partition pWn qnPω of X in clopen sets such that
A X Wn is in ΓpWn q for every n. Let B Ď Y be Γ-complete. Then for each n
there is a continuous fn : Wn Ñ Y with fn´1 pBq “ A X Wn . But then f : X Ñ Y
defined by f Wn “ fn is continuous, and f ´1 pBq “ A, as desired. %
7.3.2 Wadge games

Define A ”W B if A ďW B and B ďW A, i.e. if ΓrAs “ ΓrBs. Set also A ăW B if
A ďW B and A ıW B, i.e. if ΓrAs ( ΓrBs.
Theorem 7.3.2. (i) (Wadge) For every Borel sets A, B:
– either A ăW B and A ăW B̌,
– or A ”W B,
– or A ”W B̌,
– or A ąW B and A ąW B̌.
214
So for any Borel set A, the only Borel sets which are not ďW -comparable to A
are, in case ΓrAs is non-self-dual, the sets which are equivalent to Ǎ.
(ii) (Martin) The quasi-ordering ăW is wellfounded on the Borel sets.
The key for proving these two results is a device due to Wadge. If X, Y are Π01
subsets of ω ω , with associated canonical trees TX , TY , and A Ď X, B Ď Y , consider
the following Wadge game WpA, Bq:
I: n0 n1 n2
¨¨¨
II : m0 m1 m2
I plays positions in TX , II plays positions in TY . In a run, I plays α P X, and II

plays β P Y . Then II wins WpA, Bq if α P A Ñ β P B, and α R A Ñ β R B.
If σ is a winning strategy for II, σ induces a function f : X Ñ Y which to each α
played by I associates the answer f pαq played by II. This function is continuous, in
fact Lipschitz, and by definition of the game f ´1 pBq “ A, i.e. A ďW B. Now if σ is a
winning strategy for player I, then σ induces a continuous (in fact Lipschitz) function
g : Y Ñ X (which to each β played by II associates gpβq played by I), and as σ is
winning for I, β P B Ñ gpβq R A and β R B Ñ gpβq R A, so B ďW A.
Proof of Theorem 7.3.2. (i) If A, B are Borel, the game WpA, Bq is Borel too, hence
by Theorem 6.1.5 is determined. So we get by the preceding discussion that
either A ďW B or B ďW Ǎ. If A ıW B and A ıW B̌, the only remaining
possibilities are A ăW B, or B ăW Ǎ. To finish the proof, note that if A ăW B,
then also A ăW B̌. This is because otherwise, by the previous result, B ďW A.
Finally if A and B are incomparable, we must have A ďW B̌ and B ďW Ǎ, i.e.
B ”W Ǎ, and moreover A ıW Ǎ. This proves the last statement in (i).
(ii) We argue by contradiction, and assume that pAn qnPω is a ăW -decreasing sequence
of Borel sets, which we may assume are in ω ω , by Subsection 7.3.1 (iii).
By the preceding discussion, player I has a winning strategy, call it σn0 , in
WpAn , An`1 q, as An W An`1 . Also, as An`1 ăW Aˇn , player I has a winning
ˇ q.
strategy σn1 in WpAn , An`1
Given ε P 2ω , consider the following sequence of runs in the Wadge games:
215
7 Borel Hierarchies
εp0q εp1q εp2q εp3q

σ0 σ1 σ2 σ3
I II I II I II I II ¨¨¨
n00 n10 n10 n20 n20 n30 n30

.. ..
n01 n11 n11 n21 n21 . .
.. ..
n02 n12 n12 . .
.. ..
n03 . .
..
.
α0 α1 α1 α2 α2
εpnq
Player I plays in all games following his strategies σn . II answers in the nth
game by copying I’s moves in the n ` 1st game. This uniquely defines, for each ε,
a sequence pαn qnPω of points in ω ω such that for all n the point αn is the answer
εpnq
by I following σn to αn`1 played by II. Moreover the function ε ÞÑ pαn qpεq is
continuous.
So B “ tε P 2ω : α0 pεq P A0 u is a Borel set in 2ω , hence has the Baire property in
2ω . So there exists a finite sequence s P 2ăω , of length say k, such that B is either
meager or comeager on Vs “ tε P 2ω : s Ď εu. Let ϕ : Vs Ñ Vs be the involution
which associates to ε the image ϕpεq defined by ϕpεqpnq “ εpnq if n ‰ k, and
ϕpεqpkq “ 1 ´ εpkq. It is an homeomorphism, so B is meager in Vs if and only if
ϕpBq is meager in Vs . To get a contradiction, it is enough to check that for ε P B,
ϕpεq P 2ω zB, i.e. α0 pϕpεqq R A0 . Now note that αn pεq, n ą k, depends only on
the values of εppq, p ą k, hence αn pεq “ αn pϕpεqq for n ą k. Now if εpkq “ 0,
αk pεq P Ak Ø αk`1 pεq R Ak`1 , and if εpkq “ 1, αk pεq P Ak Ø αk`1 pεq P Ak`1 .
So we get αk pεq P Ak Ø αk pϕpεqq R Ak ; and easily as εk “ ϕpεqk , we get for
i ď k, αi pεq P Ai Ø αi pϕpεqq R Ai , so that α0 pεq P A0 Ø α0 pϕpεqq R A0 . This
gives the contradiction, and finishes the proof. %
Corollary 7.3.3. Let Γ be a non-self-dual Wadge class of Borel sets.
(i) Every true Γ-set is Γ-complete,
(ii) Γ admits a universal set for Γ subsets of ω ω .
Proof. (i) Let A be Γ-complete. If B P Γ is not Γ-complete, we get B ăW A, hence

by the previous theorem B ăW Ǎ, i.e. B P Γ̌. So B is not a true Γ-set.
(ii) Let again A be Γ-complete, and without loss of generality A Ď ω ω . Identifying ω ω
216
ăω
with ω ω , consider
ăω
B “ pσ, αq P ω ω ˆ ω ω : σ is a strategy for II in a Wadge game played
on ω ăω and ω ăω , and the answer σ ‹ α
(
when I plays α is in A
As pσ, αq ÞÑ σ ‹ α is continuous, B is in Γ. Now if C is a set in Γ, C Ď ω ω ,

Player I cannot win WpC, Aq, for otherwise A ďW C ďW A, i.e. Γ is self-dual.
So II wins by a strategy σ, and clearly C “ Bσ . So B is universal for Γ subsets
of ω ω . %
The previous results heavily rests on Martin’s theorem that Borel games are deter-
mined. In fact deep results of Martin and Harrington show that the determinacy of all
Wadge games WpA, Bq for A, B in Π11 , or even the consequence that every true Π11 set
is Π11 -complete, are equivalent to the determinacy of all Π11 games on ω, a statement
which is known to be a large cardinal hypothesis (see Martin [Mar] for a discussion of
this and related results).
On the other hand, in the case of Borel sets, the use of Borel determinacy (which,
although provable in ZFC, is not an elementary statement) can be avoided to prove
both the determinacy of Wadge games WpA, Bq for A, B Borel, and its consequences,
as proved by Louveau and Saint Raymond [LS87, LS12].
217
7 Borel Hierarchies
7.3.3 Analyzing the self-dual classes

Lemma 7.3.4. Let A Ď X be a Borel set which generates a self-dual Wadge class.
Then A is locally of strictly lower class, i.e. there is a partition of X in clopen sets
pWn q such that pWn , A X Wn q ăW pX, Aq.
Proof. We argue by contradiction. If not, there is a point α P X Ď ω ω such that

for all n, if Vn “ tβ P X : αn Ď βu, there is a continuous fn : X Ñ Vn with
fn´1 pAXVn q “ A. Also as Ǎ ďW A, there is a continuous g : X Ñ X with g ´1 pAq “ Ǎ.
Set gn “ fn ˝ g : X Ñ Vn , so that gn´1 pA X Vn q “ Ǎ.
We now argue as in the proof of Theorem 7.3.2, and build by induction on lhpsq
a sequence pfs qsP2ăω of continuous functions on X as follows: We set fH pβq “ β. If
pfs qsP2k have been built, we first choose n large enough so that for β P Vn and s P 2k ,
fs pβqk “ fs pαqk . This is clearly possible by continuity of the fs ’s at α. Then we set
for s P 2k
fsa 0 “fs ˝ fn
and fsa 1 “fs ˝ gn .
` ˘
Consider now, for ε P 2ω , the sequence fεn pαq nPω . By construction, we get for m ě n
fεn pαqn “ fεm pαqn ,
hence this sequence converges, uniformly in ε to a point hpεq P ω ω , and h : 2ω Ñ ω ω is

continuous. So B “ h´1 pAq is Borel in 2ω , hence in particular has the Baire property.
So there is an s in, say, 2k such that B is either meager or comeager on Ws “ tε : s Ď εu.
Let again ϕ be the involution on 2ω given by ϕpεqpnq “ εpnq for n ‰ k and ϕpεqpkq “
1 ´ εpkq. To get a contradiction, it is enough to prove that ε P B Ø ϕpεq R B,
i.e. hpεq P A Ø hpϕpεqq P A. Say εpkq “ 0, so that for some t P 2k and ε˚ P 2ω ,
ε “ ta 0a ε˚ and ϕpεq “ ta 1a ε˚ . Clearly by our construction we get, for some β P ω ω ,
This proof is inspired
by a game tableau, hpεq “ fta 0 pβq and hpϕpεqq “ fta 1 pβq, hence hpεq “ ft pfn pβqq and hpϕpεqq “ ft pgn pβqq
the argument was not – where n depends on k as in the construction. Now fn pβq P A Ø β P A and
clear to me until I gn pβq P A Ø β R A, so that we get fn pβq P A Ø gn pβq R A. Hence composing with ft
was able to draw it... – as ft´1 pAq is either A or Ǎ, we finally get hpεq P A Ø hpϕpεqq R A as desired. %
And BTW it could
be simplified using
Theorem 7.3.5.
the Ramsey property
and the shift. Also
(i) Let Γ be a non-self-dual Wadge class of Borel sets. Then Γ` “ tA : A is locally in Γ Y Γ̌u
there is Jacques’s
proof via game that is a self-dual Wadge class, and is successor of Γ (and Γ̌) in ďW .
if such a point α
exists then A is (ii) Let Γn be a strictly ďW -increasing sequence Ť of non-self-dual Wadge classes of
non-self-dual. – YP Borel sets. Then xΓn y` “ tA : A is locally in n Γn u is a self-dual Wadge class,
which is the least upper bound of the sequence pΓn q in ďW .
(iii) Conversely, every self-dual Wadge class of Borel sets is of form (i) or (ii).
218
Proof. (i) We first show Γ` is a Wadge class. Let A0 Ď ω ω be Γ-complete, and A1 Ď ω ω

be Γ̌-complete. Set A “ t0a α : α P A0 u Y t1a α : α P A1 u. Clearly A Ď ω ω is
locally in Γ Y Γ̌, so A P Γ` . To see that A is Γ` -complete, let B Ď X be in
Γ` . Then there is a partition of X into clopen sets Wn with B X Wn in ΓpWn q
or in Γ̌pWn q. In the former, case let in “ 0 and hn : Wn Ñ ω ω be continuous
with h´1 ω
n pA0 q “ B X Wn , and otherwise let in “ 1 and hn “ Wn Ñ Wn Ñ ω be
continuous with h´1 ω a
n pA1 q “ B X Wn . Then h : X Ñ ω defined on Wn by in hn
is continuous, and clearly reduces B to A.
Clearly Γ` is self-dual, Γ Ď Γ` and Γ̌ Ď Γ` . Conversely if Γ Ď Γ1 and Γ̌ Ď Γ1 ,
then Γ Y Γ̌ Ď Γ1 . But by (iv), every set which is locally in Γ is in Γ1 . So in
particular Γ` Ď Γ1 , and (i) is proved.
(ii) is very similar: If An Ď ω ω is Γn -complete, on shows as above that A “ n tna α :

Ť
α P An u is xΓn y` -complete, hence xΓn y` is a Wadge class. To see that xΓn y`
xΓn y` “ xΓ̌n y` . Also it
is self-dual, note that as Γn ( Γn`1 , Γ̌n Ď Γn`1 , hence Ť
`
is immediate that Γn Ď xΓn y for all n. And finally if n Γn Ď Γ then by (iv)
again, xΓn y` Ď Γ. This proves (ii).
(iii) We now prove the converse. Let Γ be a self-dual Wadge class of Borel sets, and
A Ď ω ω be Γ-complete. We first claim that there is a partition of ω ω into clopen
sets Wn such that A X Wn generates on Wn a non-self-dual Wadge class Γn . As,
by Theorem 7.3.2, ďW is wellfounded on the Borel sets, we may prove this fact
by induction on ďW , i.e. assume the result is true for all self-dual Wadge class
Γ1 ( Γ. As Γ is self-dual, we know by the previous lemma that there exists a
partition of ω ω into clopen sets Vn such that A X Vn generates a class Γ1n ( Γ on
Vn . If Γ1n is non-self-dual, Vn is fine. If Γ1 is self-dual, the induction hypothesis
gives a further partition of Vn into clopen sets Wnp such that on Wnp , A X Wnp
generates a non-self-dual Wadge class. Taking these clopen sets together gives
the desired partition.
Fix such a partition Wn for A, and Ť let Γn be the non-self-dual Wadge class
generated on Wn by A X Wn . Clearly n Γn Ď Γ. There are two cases:
Ť
(a) There is an n0 such that for allŤn Γn Ď Γn0 Y Γ̌n0 . Then Γn0 Ď n Γn Ď
Γn0 Γ̌n0 . But one cannot haveŤ n Γn “ Γn0 , for then by (iv) A P Γn0 and
Γ “ Γn0 is non-self-dual. So n Γn “ Γn0 Y Γ̌n0 , and Γn0 Y Γ̌n0 Ď Γ Ď Γ`
n0 .
`
This implies, by part (i), that Γ “ Γn0 .
(b) Otherwise we can inductively define a strictly increasing sequence nk by
n0 “ 0 and nk`1 “ least m ą nk with Ť Γ * Γnk YŤΓ̌nk . By Theorem 7.3.2
this is equivalent to Γnk ( Γm , hence
Ť n Γn “ k Γnk and the sequence
Γnk is strictly increasing. Finally n Γn Ď Γ Ď xΓnk y` , hence by part (ii)
Γ “ xΓnk y` and we are done. %
Remark 7.3.6. Define an equivalence relation « between Wadge classes of Borel sets by
Γ « Γ1 if Γ Y Γ̌ “ Γ1 Y Γ̌1 . Then Theorem 7.3.2 says that up to «, the Wadge ordering
219
7 Borel Hierarchies
of Wadge classes of Borel sets is a wellordering. So we can associate canonically to

each Wadge class of Borel sets Γ its Wadge ordinal wpΓq – the rank of Γ Y Γ̌ in the
wellordering. Part (i) of the preceding result tells us that if η is the Wadge ordinal of a
non self-dual class (and of its dual), then η ` 1 is the Wadge ordinal of a self-dual class.
And part (iii) implies that if η is the Wadge ordinal of a self-dual class, η ` 1 must be
the Wadge ordinal of a pair of non-self-dual and dual classes, for if η ` 1 corresponds to
a self-dual class, η must correspond to a pair of non-self-dual classes. In other words,
self-dual classes and non-self-dual classes pairs alternate at successor ordinals.
We already know that η “ 0 corresponds to the non-self-dual pair tHu, tHuˇ. If
now η is limit of cofinality ω, η is also limit of ordinals corresponding to non-self-dual
pairs, by the previous considerations, hence by part (ii) η corresponds to a self-dual
class. And conversely, by part (iii), if η is limit and corresponds to a self-dual pair,
it must be of countable cofinality, so ordinals of uncountable cofinality correspond to
non-self-dual pairs. This gives a diagram of inclusions, for Wadge classes of Borel sets,
analogous to the classical diagram of Borel classes, see Subsection 3.1.3.
7.3.4 Analyzing the non-self-dual classes

We will now present a description of the non-self-dual Wadge classes of Borel sets. Var-
ious such descriptions have been proposed, by Wadge [??], Louveau [??] and Louveau–
réf – YP
réf – YP
Saint Raymond [??]. The one below is due to Saint Raymond and has the advantage
réf – YP of being the shortest to explain (although for specific uses, more elaborate and explicit
description might be more useful).
First we will associate to each non-self-dual Wadge class Γ of Borel sets a countable
ordinal lpΓq, called its level.
For each ξ ă ω1 , and each class Γ, define in each space X a new class PUξ pΓq by
PUξ pΓq “tA Ď X : there exists a partition pWn q of X in ∆01`ξ sets

there exists pAn q Ď X, An P Γ and @n A X Wn “ An X Wn u
(So in particular PU0 pΓq is the class of sets which are locally in Γ).
The notation PU stands for “partitioned union”, and the notion is originally due to
Myers.
Proposition 7.3.7. Let Γ be a non-self-dual Wadge class of Borel sets. Then if Γ ‰

tHu, tHuˇ, there is a largest ordinal ξ ă ω1 such that PUξ pΓq “ Γ. This ` ordinal
˘ is
ˇ
called the level of Γ and is denoted by lpΓq. (We will also let lptHuq “ l tHu “ ω1 ).
Proof. Clearly for any pointclass Γ, PUξ pΓq is a pointclass. And PUξ pΓ̌q “ pPUξ pΓqqˇ.
If Γ ‰ tHu, tHuˇ, then tHu` Ď Γ. But easily tHu` “ ∆01 , so ∆01 Ď Γ. It follows that
PUξ p∆01 q Ď PUξ pΓq. Now every set in PUξ p∆01 q is clearly in ∆0ξ , and conversely any
∆0ξ set is in PUξ p∆01 q, in fact in PUξ ptHu Y tHuˇq.
Fix Γ, and set A “ tη ă ω1 : PUη pΓq “ Γu. By (iv) 0 P A, and clearly A is
an initial segment of ω1 . By the previous remark, if η P A then ∆0η Ď Γ, so that
A cannot be all of ω1 . So it remains to show that A is a successor ordinal, i.e. it
220
admits a maximum. So we have to show if λ is a limit ordinal, and for all η ă λ

PUη pΓq
Ť “ Γ, then PUλ pΓq “ Γ. Of course, Γ Ď PUλ pΓq. So let A P PUλ pΓq, say
A “ n pAn Y Wn q with An P Γ and Wn P ∆0λ . We now use the analysis of ∆0λ given
by Wadge’s Theorem 7.1.9. By this theorem, the sets Wn are all in some class SUλξ ,
for some ξ ă ω1 , and by induction on ξ, we may assume the result is known whenever
the Wn ’s are disjoint in SUλη for η ă ξ. Let ξ “ λ ¨ ξ0 ` ξ1 . Then one can write
Wn “ p pWnp X Vnp q where Wnp are disjoint Σ01`ξ1 sets, and Vnp P ηăλ¨ξ0 SUλη . The
Ť Ť
sets Wnp X Vnp are disjoint in ηăλ¨ξ0 SUλη , and An P Γ. By the induction hypothesis,
Ť
A X Wn “ p pA X Wnp X Vnp q is also in Γ, for all n. But the sets Wn are in Σ01`ξ1 , and
Ť
“ W ˚ is Π01`ξ1 , so they form a partition of X in ∆01`ξ1 `1 sets, and we can

Ť
Xz n Wn Ť
write A “ n pA X Wn q Y pH X W ˚ q, i.e. A P PUξ1 `1 pΓq. As ξ1 ` 1 ă λ, A P Γ and
we are done. %
7.3.5 Expansions of classes

To each pointclass Γ and ordinal ξ ă ω1 , we define the ξ-expansion Γpξq of Γ, in any
space X, by
Γpξq “ tf ´1 pAq : A Ď Y in Γ, f : X Ñ Y of Baire class ξu.
Clearly as Γ is a pointclass, Γp0q “ Γ. And as class ξ functions are closed under

composition with continuous functions, Γpξq is also a pointclass.
Lemma 7.3.8. A set A Ď X is in Γpξq iff there is a function f : X Ñ ω ω of Baire
class ξ, such that Y “ Graphpf q is closed in X ˆ ω ω , and B “ tpα, f pαqq : α P Au is
in Γ in Y .
Proof. If the right hand side holds, then f˜ : X Ñ Y defined by f˜pαq “ pα, f pαqq is
Baire class ξ and so A “ f˜´1 pBq is in Γ. Conversely suppose A is in Γpξq , and let
C Ď ω ω and g : X Ñ ω ω satisfy C P Γ, g of Baire class ξ and A “ g ´1 pCq. For each
ω
n P ω, Cn “ g ´1 pVnω q is Σ01`ξ in X, so by Kuratowski transfer Theorem 7.1.6 we can
find f : X Ñ ω ω of Baire class ξ, with Y “ Graphpf q closed in X ˆ ω ω , and such that
Bn “ tpα, f pαqq : α P Cn u is Σ01 in Y . If π : Y Ñ X is the first projection, we get
ω
pg ˝πq´1 pVnω q “ π ´1 pCn q “ Bn , i.e. g ˝π : Y Ñ ω ω is continuous. So B “ pg ˝πq´1 pCq
is in Γ. But B “ tpα, f pαqq : α P Au as A “ g ´1 pCq. This proves the lemma. %
Note that in the previous proof, the constructed f is any transfer function which
transforms certain Σ01`ξ sets into open sets. So we can ask that f simultaneously works
for countably many Γpξq sets, and for other Σ01`ξ sets as well. This flexibility is the
key for the next results.
Theorem 7.3.9.
(i) Let Γ be a non-self-dual Wadge class of Borel sets, and ξ ă ω1 . Then Γpξq is also
a non-self-dual Wadge class of Borel sets, and if ∆01 Ď Γ, then lpΓpξq q ě ξ, and
lpΓpξq q ą ξ if lpΓq ą 0.
221
7 Borel Hierarchies
(ii) Conversely if Γ is a non-self-dual Wadge class of Borel sets of level lpΓq “ ξ,

there is a unique non-self-dual Wadge class of Borel sets Γ0 of level 0 such that
pξq
Γ “ Γ0 .
Proof. (i) We first build a set H Ď ω ω ˆ ω ω which is universal for Γpξq subsets of ω ω .
To do this, let G be universal for Σ01`ξ subsets of ω ω , and let L be universal for
Γ subsets of ω ω ˆ ω ω – it exists by Corollary 7.3.3.
Define for each n P ω, pα, βq P Gn Ø ppαqn , βq P G, and by Theorem 7.1.6 let
F : ω ω ˆω ω Ñ ω ω be of Baire class ξ, with Y “ GraphpF q closed in ω ω ˆω ω ˆω ω ,
and with G˚n “ tpα, β, F pα, βqq : pα, βq P Gn u Σ01 in Y .
Define then pα, βq P H Ø ppαq0 , β, F ppαq1 , βqq P L. Clearly H is in Γpξq , as F is
of Baire class ξ and L is in Γ. We now show that H is universal. So let A Ď ω ω
be in Γpξq , and B Ď ω ω , B P Γ, and g : ω ω Ñ ω ω of Baire class ξ, be such that
ω
A “ g ´1 pBq. For each n, g ´1 pVnω q “ Bn is Σ01`ξ , hence for some γn P ω ω Bn “
Gγn . So if γ “ xγn : n P ωy, Bn “ pGn qγ . Set C “ tpβ, F pγ, βqq : gpβq P Bu.
Then if Y “ GraphpF q, C Ď Yγ . Now g ˝ π : Yγ Ñ ω ω , pβ, F pγ, βqq ÞÑ gpβq
ω
is continuous since pg ˝ πq´1 pVnω q “ G˚n X Yγ , hence C “ pg ˝ πq´1 pBq P Γ in
Yγ . By (iii), there exists D Ď ω ω , D P Γ, with C “ Yγ X D. Let δ be such that
D “ Lδ , and set α “ xδ, γy. One then gets
β P Hα ÐÑ pδ, β, F pγ, βqq P L

ÐÑ pβ, F pγ, βqq P D
ÐÑ pβ, F pγ, βqq P C
ÐÑ gpβq P B
ÐÑ β P A
i.e. A “ Hα , as desired.
This proves that Γpξq is a non-self-dual Wadge class – and clearly of Borel sets. Of
course one has tHupξq “ tHu for all ξ. Ť So suppose ∆01 Ď Γ. We want to show that
Γpξq is closed under PUξ . So let A “ n pWn X An q, with An P Γpξq and pWn q a
partition of X into ∆01`ξ sets. Then by the remark following Lemma 7.3.8, there
is an f : X Ñ ω ω of Baire class ξ and closed graph Y such that A˚n “ tpα, f pαqq :
α P An u is in Γ, for all n, and such that the Wn˚ “ tpα, f pαqq : α P Wn u form
a partition of Y into ∆01 sets (by applying the transfer to the Wn ’s and their
complements too). But then A˚ “ tpα, f pαqq : α P Au is in PU0 pΓq in Y , hence
A is in Γpξq , as desired.
The proof for the last statementŤ is similar. Suppose lpΓq ą 0, so that PU1 pΓq “
Γ. Let A Ď X be of the form n pWn X An q with An P Γpξq and Wn in ∆01`ξ`1
with W n,p , Wn,p in Σ01`ξ ,
Ť Ť 1 1
now. Writing Wn “ p Wn,p and XzWn “ p Wn,p
ω
we can find, as before, a Baire class ξ function f : X Ñ ω with closed graph Y ,
which transforms the sets An into Γ sets A˚n in Y , and the Wn,p , Wn,p
1 for n, p P ω,
0 0
into Σ1 sets. Then the Wn ’s are transformed into ∆2 sets, and A is transformed
222
into a set in PU1 pΓq, hence in Γ. So A P Γpξq . This shows PUξ`1 pΓpξq q Ď Γpξq ,
i.e. lpΓpξq q ě ξ ` 1, as desired.
This case does not
(ii) The case of Γ “ tHu is clear, so we assume that ∆01 Ď Γ. It is immediate to check make sense, does it?
that if Γ Ď Γ1 , then Γpξq Ď Γ1pξq and Γ̌pξq “ pΓpξq qˇ. So if Γ ( Γ1 , Γpξq ( Γ1pξq . – YP
By part (i) we also know (for Wadge classes of Borel sets) that Γ ‰ Γ̌ implies I don’t see why. This
follows for nsd
Γpξq ‰ pΓpξq qˇ. So the map Γ ÞÑ Γpξq preserves the Wadge ordering. It follows
pξq Wadge classes from
that if Γ “ Γ0 , the class Γ0 is unique. And by the last assertion of part (i), if the next assertion –
Γ is of level ξ, Γ0 must be of level 0. So the only thing to prove is the existence YP
of Γ0 . Set
G “ tΓ1 : Γ1 is a non-self-dual Wadge class of Borel sets and Γ Ď Γ1pξq u.
G is non empty, as clearly Γ P G. By wellfoundedness of the Wadge ordering,

pξq
there is a minimal element Γ0 in G. As Γ0 P G, Γ Ď Γ0 , and it remains to
pξq
show that Γ0 Ď Γ. We argue by contradiction. Otherwise, by Theorem 7.3.2
pξq
we get Γ Ď ∆pΓ0 q. So if A Ď X is Γ-complete and B Ď ω ω is Γ0 -complete,
there are Baire class ξ functions g0 , g1 : X Ñ ω ω with A “ g0´1 pBq “ g1´1 pB̌q.
Let f : X Ñ ω ω be a Baire class ξ function with closed graph Y such that
g0 ˝ π and g1 ˝ π are continuous. Then A˚ “ tpα, f pαqq : α P Au is in ∆pΓ0 q, as
A˚ “ pg0 ˝πq´1 pBq “ pg1 ˝πq´1 pB̌q. The Wadge class ΓrA˚ s satisfies A P ΓrA˚ spξq ,
and ΓrA˚ s Ď ∆pΓ0 q hence by minimality of Γ0 , ΓrA˚ s must be self-dual. So we
can apply Theorem 7.3.5, and getŤa sequence pΓn0 q of non-self-dual classes with
Γn0 Ď ∆pΓ0 q and ΓrA˚ s “ PU0 p n Γn0 q. For each n, Γn0 Ď ∆pΓ0 q, hence by
minimality of Γ0 , ΓŤ* pΓn0 qpξq , so by Theorem 7.3.2 pΓn0 qŤ
pξq Ď ∆pΓq. So we get
Ť n pξq Ď Γ and n pξq Ď Γ. But as ΓrA˚ s “ PU p n ˜
n pΓ0 q n pΓ̌0 q 0 n Γ0 q and f : X Ñ Y
˜
defined by f pαq “ pα, f pαqq is of Baire class ξ, we get
´ď` ˘ ¯
pξq
A P PUξ Γn0 Ď PUξ pΓq “ Γ,
n
as Γ is of level ξ, and also – as ΓrA˚ s “ PU0 p n Γ̌n0 q – we get

Ť
´ď` ˘ ¯
pξq
Ǎ P PUξ Γn0 Ď Γ.
n
So A P ∆pΓq, contradicting that A is Γ-complete. This finishes the proof. %
7.3.6 Separated differences and the end of the analysis

By the previous theorem, the analysis of non-self-dual Wadge classes of Borel sets
reduces to the case of the classes of level 0.
To do this, we introduce new operations. Let η ă ω1 , η ‰ 0, and suppose pVn,ξ qnPω,ξăη
are Σ01 sets in X with Vn,ξ X Vm,ξ “ H for all ξ and n ‰ m. Let pAn,ξ qnPω,ξăη
` be a se- ˘
quence of subsets of X, A another set. The separated difference A “ SDη pVn,ξ q, pAn,ξ q, A˚
˚
223
7 Borel Hierarchies
is defined by
˜ ¸
ď ´ ď ¯ ´ ď ¯
A“ An,ξ X Vn,ξ z Vm,ξ1 Y A˚ z Vn,ξ
ξăη ξ 1 ăξ ξăη
nPω mPω nPω
If Γ, ∆ are two pointclasses, we set

! ` ˘ )
SDη p∆, Γq “ SDη pVn,ξ q, pAn,ξ q, A˚ : An,ξ P ∆ for all n P ω, ξ ă η, A˚ P Γ .
Clearly SDη p∆, Γq is also a pointclass.

Ť
Theorem 7.3.10. (i) Suppose ∆ “ Γ Y Γ̌ or ∆ “ n Γn , where Γ is a non-self-dual
Wadge class of Borel sets of level ą 0, and pΓn q a strictly increasing sequence of
non-self-dual Wadge classes of Borel sets of level ą 0. Let Γ˚ be a non-self-dual
Wadge class Γ˚ Ď ∆. Then for each η ă ω1 , η ‰ 0, SDη p∆, Γ˚ q is a non-self-dual
Wadge class of level 0.
(ii) Conversely, any non-self-dual Wadge class of Borel sets of level 0 is of this form.
Proof. (i) To check that SDη p∆, Γ˚ q is a non-self-dual Wadge class, it is enough to
exhibit a universal set in ω ω ˆ ω ω . Say that ∆ “ Γ Y Γ̌. Let G be a universal
for Σ01 subsets of ω ω , H for Γ subsets of ω ω and H ˚ for Γ˚ subsets of ω ω . Let
ϕ : η ˆ ω Ñ ω be a bijection, and set for ξ ă η, n P ω,
` ˘
pα, βq P Gξ,n ÐÑ pαqϕpξ,nq , β P G
` ˘
and pα, βq P Hξ,n ÐÑ pαqϕpξ,nq , β P H.
By ω-reduction of Σ01 sets (Corollary 7.1.3), let for each ξ ă η pG˚ξ,n qnPω reduce
pGξ,n qnPω . We leave to the reader the easy checking that the set L Ď ω ω defined
below is universal for SDη p∆, Γ˚ q:
pα, βq P L ÐÑ either for some ξ and n ppαq0 , βq P G˚ξ,n ,

and for the least such ξ and the unique corresponding n,
if pαq1 pnq “ 0 then ppαq2 , βq P Hξ,n ,
and if pαq1 pnq ą 0 then ppαq2 , βq R Hξ,n ,
or otherwise ppαq3 , βq P H ˚ .
Ť
The proof in case ∆ “ n Γn is similar, and we skip it. So it remains to show
that SDη p∆, Γ˚ q is not closed under PU1 . For this note that ∆ Ď SDη p∆, Γ˚ q Ď
PU1 p∆q: The first inclusion is immediate, and the second one comes from the
fact that all sets Aξ,n , A˚ are in ∆ (as Γ˚ Ď ∆) and the separating sets are
differences of open sets, hence are ∆02 . So if PU1 pSDη p∆, Γ˚ qq “ SDη p∆, Γ˚ q,
we get SDη p∆, Γ˚ q “ PU1 p∆q “ PU ˇ 1 p∆q as ∆ “ ∆. ˇ But this contradicts the
fact that SDη p∆, Γ˚ q is non-self-dual. So (i) is proved (even if Γ or the Γn ’s have
level 0).
224
(ii) We let Λ be the Wadge class of level 0 we want to analyze. Let A Ď X be

Λ-complete.
Consider the family Φ of all Wadge classes ΓrA X V s, where V is clopen non-
empty in X, and ΓrA X V s is non-self-dual and of level ą 0. The main point in
the proof is that Φ is non-empty. To see this, note that as the Wadge ordering on
Borel sets is wellfounded, there is a clopen non-empty set V0 in X such that for
every clopen non-empty set V Ď V0 A X V ăW A X V0 , and as A X V ďW A X V0 ,
in fact ΓrA X V s “ ΓrA X V0 s. The claim is that ΓrA X V0 s P Φ. First ΓrA X V0 s
is not self-dual – as any self-dual Wadge class is locally of strictly lower class,
by Lemma 7.3.4. Suppose now Γ1 “ ΓrA X V0 s is of level 0. This Ť means that
PU1 pΓ1 q * Γ1 , hence Γ̌1 Ď PU1 pΓ1 q. So one can write V0 zA “ n pWn X An q
with An ďW AXV0 and Wn a partition of V0 into ∆02 sets. By the Baire category
theorem, one of the sets Wn has non-empty interior, so that one can find a clopen
non-empty set V Ď V0 X Wn0 , for some n0 . But then V zA “ An0 X V ďW A X V0 ,
and as A X V ďW A X V0 , we get ΓrA X V s ( ΓrA X V0 s, contradicting the
minimality of ΓrA X V0 s. This proves that lpΓrA X V0 sq ą 0 and that Φ ‰ H.
Ť
As Φ is countable, either there is a Γ P Φ with Φ Ď Γ Y Γ̌ – in which case
Ť set ∆
we Ť “ Γ Y Γ̌ – or there is a strictly Ťincreasing sequence pΓn q in Φ with
Φ “ n Γn , in which case we set ∆ “ n Γn . This is the class ∆ we were
searching for.
As a second step, we define the ordinal η. To do this we define a derivation on
closed subsets of X by
ď
dpF q “ F z tV : V is clopen non-empty and A X V X F is in ∆ in F u
`Ş 1 ˘
and set X0 “ X, and for each ξ ă ω1 , Xξ “ d ξ ă ξXξ . The sequence pXξ q is
decreasing, hence must stabilize at a countable step. Set η “ least ξpXξ “ Xξ`1 q.
We first claim that Xη “ H, so that in particular η ą 0. Otherwise, consider the
Wadge class A X Xη in Xη , and some clopen W in X such that W X Xη ‰ H
and A X W X Xη generates a Wadge class Γ1 in Xη which is non-self-dual and of
level ą 0 – such a W exists by the previous argument. As Xη “ Xη`1 , Γ1 is not
contained in ∆, so ∆ ( Γ1 . But
ď´ ` ď ˘¯
A X W “ pA X W X Xη q Y A X W X Xξ z Xξ1
ξăη ξ 1 ąξ
is a partitioned union, by ∆02 sets, of sets which are all in Γ1 . So A X W P Γ1 “

I don’t see it – YP
ΓrA X W X Xη s “ ΓrA X W X Xη s, hence ΓrA X W s “ Γ1 . This proves that Γ1 P Φ,
hence Γ1 Ď ∆, a contradiction which proves Xη “ H.
Ş
The second claim is that F “ ξăη Xξ is non-empty. This clear if η is successor.
So suppose η is limit. Note that as Λ ‰ tHu, tHuˇ, one has tHu Ď ∆. For each
ξ ă η, Λξ “ SDξ p∆, tHuq is a non-self-dual Wadge class, and clearly if B Ď Y is
in Λξ the derivation associated to Y and B as above stops at most at ξ `1. By the
225
7 Borel Hierarchies
definition of η, Xξ`1 ‰ H for ξ ă η. So A R Λξ for all ξ ă η. So we get Λξ ( Λ

for all ξ ă η. On the other hand if W is clopen and W X F “ H, then for some
ξ ă η W X Fξ “ H and hence Ť clearly A X W is in SDξ p∆, tHuq. So ifŤF “ H,
we get that A is locally in ξăη Λξ , hence by Lemma 7.3.4 Λ “ PU0 p ξăη Λξ q
is a self-dual class, a contradiction which proves the second claim.
So we can define Γ˚ to be the Wadge class of A X F in F . It remains to show that
Γ˚ is non-self-dual, Γ˚ Ď ∆, and that Λ “ SDη p∆, Γ˚ q. All these facts are based
on the same result: If Γ1 is any class such that A P SDη p∆, Γ1 q, then necessarily
Γ˚ Ď Γ1 . To see this write
ď´ ` ď ˘¯ ´ ď ¯
A“ An,ξ X Wn,ξ z Wp,ξ1 Y A˚ z Wn,ξ ,
ξăη ξ 1 ăξ ξăη
nPω pPω nPω
with Wn,ξ open, ˚ 1

Ť An,ξ in ∆ and A in Γ . Then by immediate induction, if we
set Fξ “ Xz ξ1 ăξ Wn,ξ1 , we get Xξ Ď Fξ , so that in particular F Ď Fη , hence
nPω
A X Fη X F “ A˚ X F is in Γ1 in F , as desired.
Clearly A P SDη p∆, Γ˚ q, so ∆ Ď SDη p∆, Γ˚ q. For the converse, suppose A P
pSDη p∆, Γ˚ qqˇ. As easily pSDη p∆, Γ̌˚ qq, we get by the previous remark Γ̌˚ Ď Γ˚ ,
i.e. Γ˚ is self-dual. ˚
Ť So it is enough to show that Γ is non-self-dual. But if not one
can write X “ n Wn , with the Wn ’s clopen in X, and with AXF XWn ăW AXF
(in F ), by Lemma 7.3.4 (and using a retraction : X Ñ F to get a partition of X,
not only of F ). But then clearly, if Γn is the class generated by A X F X Wn in F ,
we get A X Wn P SDη p∆, Γn q. And as Γ˚ * Γ̌n , we get A R SDη p∆, Γ̌n q, hence
SDη p∆, Γn q ( Λ. So Λ is locally of strictly lower class, i.e. is also self-dual, a
contradiction which proves that Γ˚ is non-self-dual and Λ “ SDη p∆, Γ˚ q. Finally
by choice of η, we have dpF q “ H, i.e. A X F is, in F , locally in ∆. SO if Γ˚ is
not included in ∆, then ∆ ( Γ˚ , hence Γ˚ is locally of strictly smaller class, is
self-dual, a contradiction which finishes the proof of the theorem. %
It is worth noting that in the previous analysis, all classes Γ, pΓn qnPω and Γ˚ are
non-self-dual Wadge classes which are contained in ∆pΓq, so that one gets:
Corollary 7.3.11. The family W of all non-self-dual Wadge classes of Borel sets is
the least family satisfying
(i) tHu, tHuˇ P W,
(ii) If Γ P W and ξ ă ω1 , Γpξq P W,
(iii) If Γ P W, lpΓq ą 0, Γ˚ P W with Γ˚ Ď ΓYΓ̌ and 1 ď η ă ω1 , SDη pΓYΓ̌, Γ˚ q P W,

˚ ˚
Ť
(iv) If Γn P W, the Γn ’s areŤstrictly˚increasing, @n lpΓn q ą 0, Γ P W, Γ Ď n Γn ,
and 1 ď η ă ω1 , SDη p n Γn , Γ q P W.
226
7.3.7 Hausdorff’s operations

Let D be a subset of 2ω . The Hausdorff operation HD with basis D is the following
set theoretic operation defined on arbitrary sequences of sets:
` ˘ (
HD xXn : n P ωy “ x : 1tn:xPXn u P D .
For example, if we take D0 “ 2ω zt0ω u, HD0 is countable union. With D1 “ t1ω u, we

get HD1 is countable intersection. If D2 “ tα P 2ω : Dβ P ω ω @n αpxβn yq “ 1u, we get
HD2 is Suslin’s operation A.
Given D Ď 2ω and Γ a pointclass (in dim0 Polish spaces), we define HD pΓq, in any
space X, as ! ` )
˘
HD xAn : n P ωy : An Ď X, An P Γ .
Theorem 7.3.12. A pointclass Γ is a non-self-dual Wadge class of Borel sets iff there
is a Borel set D Ď 2ω with Γ “ HD pΣ01 q.
Moreover, a non-self-dual Wadge class of Borel sets is of level ě ξ iff there is a Borel
set D Ď 2ω with Γ “ HD pΣ0ξ q.
Proof. We first prove the easy direction. First note that for@ any D, Dany ϕ : X Ñ Y
and any sequence pYn q in Y one has ϕ´1 pHD pxYn yqq “ HD p ϕ´1 pYn q q. Hence if Γ is
any pointclass, HD pΓq is also a pointclass.
If now D is Borel and pAn q is a sequence of Borel sets in X, the function f : X Ñ 2ω
defined by f pxqpnq “ 1An pxq is Borel, and HD pxAn yq “ f ´1 pDq. So HD pxAn yq is Borel
too. So if D is Borel and Γ is a pointclass of Borel sets, HD pΓq is a pointclass of Borel
sets.
Suppose now that Γ is a Wadge class admitting a universal set G for Γ subsets of
ω ω . Set
pα, βq P Gn ÐÑ ppαqn , βq P G,
and let H “ HD pxGn yq.
Then H P HD pΓq, and clearly H is universal for HD pΓq subsets of ω ω . So in particular

for Γ “ Σ01 (or Σ01`ξ ), we get that HD pΓq is a non-self-dual Wadge class of Borel sets.
To prove the converse, we argue by induction, using Corollary 7.3.11. First one has
HH pΓq “ tHu and H2ω pΓq “ tHuˇ for any pointclass Γ, in particular for Γ “ Σ01 (or
Σ01`ξ ).
Secondly suppose Γ “ HpΣ01 q, and let ξ ă ω1 . We claim that Γpξq “ HD pΣ01`ξ q. One
direction is clear: If A P Γpξq , A “ f ´1 pBq D B Ď Y in Γ and some Baire0class
@ ´1for some
ξ function f : X Ñ Y . Then A “ HD p f pBn q q for some sequence xBn y of Σ1 sets
in Y , hence A P HD pΣ01`ξ q. Conversely if A “ HD pxAn : n P ωyq for some sequence
xAn y of Σ01`ξ sets in X, there is by Kuratowski’s transfer Theorem 7.1.6 a Baire class
ξ function f with Y “ Graphpf q closed in X ˆ ω ω such that Bn “ tpα, f pαqq : α P An u
is Σ01 in Y for each n. Now f˜ : X Ñ Y defined by f˜pα, f pαqq is Baire class ξ, and
A “ f˜´1 pHD pxBn yqq, hence A P Γpξq .
227
7 Borel Hierarchies
We now show that for every ξ ă ω1 there is Dξ Ď 2ω with Σ01`ξ “ HDξ pΣ01 q. This
is done by induction on ξ. It is clear for ξ “ 0 (taking e.g. D0 “ 2ω zt0ω u). Suppose
ξ ą 0 and that it is known for all η ă ξ. Let Dη correspond to Σ01`η , η ă ξ; let ϕ be
˚ pmq “ 1 ´ αpϕpm, n, ηqq. Let then
a bijection between ω ˆ ω ˆ ξ and ω, and set αη,n
Dξ “ α P 2ω : Dn Dη ă ξ αη,n ˚
(
P Dη .
One gets, for any sequence xAn : n P ωy:
x P HDξ pxAn yq ÐÑ 1tp:xPAp u P Dξ

` ˘˚
ÐÑ Dη ă ξ Dn 1tp:xPAp u η,n
P Dη
ÐÑ Dη ă ξ Dn 1tp:xRAϕpm,n,ηq u P Dη
ď ď´ @ D¯
ÐÑ XzHDη p Aϕpm,n,ηq q .
ηăξ n
This immediately implies that HDξ pΣ01 q “ Σ01`ξ , as desired.

Finally if Γ “ HD pΣ01 q, set
Dpξq “ α P 2ω : 1tn:pαqn PDξ PDu P D .

(
An easy computation gives, for any sequence xAn : n P ωy

`@ @ D D˘
HDpξq pxAn yq “ HD HDξ p Axn,my : m P ω q : n P ω
so that
HDpξq pΣ01 q “ HD HDξ pΣ01 q “ HD pΣ01`ξ q “ Γpξq ,
` ˘
as desired.
It remains to show that if 1 ď η ă ω1 , Γ˚ “ HD˚ pΣ01 q, Γ “ HDŤ pΣ01 q, lpΓq ą 0
0
and ∆ “ Γ Y Γ̌, or for all n, Γn “ HDn pΣ1 q, lpΓn q ą 0 and ∆ “ n Γn , then for
Λ “ SDη p∆, Γ˚ q, Λ “ HE pΣ01 q for some E Ď 2ω . Let us do the case ∆ “ Λ Y Λ̌, the
other case being entirely similar.
There is a little subtlety in the proof. It is due to the fact that in the definition of
the operation SDη , we use Σ01 sets Wξ,n for ξ ă η and n P ω with the property that
for n ‰ m Wξ,n X Wξ,m “ H. So, as written, SDη is not a Hausdorff operation. We
must split the proof in two cases.
Case 1: ∆ “ tHu Y tHuˇ. In this case, one has Λ “ Dξ pΣ01 q, or Λ “ Ďξ pΣ01 q for some
ξ ă ω1 , ξ ě 1. In the first case, fix a bijection between ξ and a subset A of ω,
and set
Eξ “ tα P 2ω : Dη ă ξ αpϕpηqq “ 1 and the least such η has parity opposite to ξu
In the second case, set α˚ pnq “ 1 ´ αpnq for α P 2ω , and let
Ěξ “ tα : α˚ P Eξ u.
One immediately checks that Eξ , Ěξ work.
228
Case 2: ∆01 Ď ∆. Then H P Γ and H P Γ̌. But then as Γ has level ě 1, Γ is

closed under intersection with Π01 sets, for if A P Γ and A P Π01 , A X F “
pA X F q Y pH X F̌ q is a partitioned union, by ∆02 sets, of sets in Γ, hence is in
Γ. And similarly Γ̌ is closed under intersection with Π01 sets. It follows that if
pAξ,n q is any sequence in ∆, for ξ ă η and n P ω, pWξ,n q is any sequence of Σ01
sets, and A˚ P Γ˚ , the set A defined by
ď´ `ď ď ˘¯ ´ ď ¯
(F) A“ Aξ,n X Wξ,n z Wξ1 ,p Y Wξ,p Y A˚ z Wξ,n
ξ,n ξ 1 ăξ p‰n ξăη
pPω nPω
is in SDη p∆, Γ˚ q. This is because if we

Ť let for each ξ the sequence
˚ q
pWξ,n nPω
˚ ˚
reduce pWξ,n qnPω and set Aξ,n “ pAξ,n z p‰n Wξ,p q, then the sets Aξ,n are in ∆,
` ˘
and A “ SDη pA˚ξ,n q, pWξ,n
˚ q, A˚ .
Conversely any set in SDη p∆, Γ˚ q is of the form (F), trivially. And it is only a
question of coding to get a Hausdorff operation from the expression (F): Let ϕ
be a bijection between ω ˆ η and ω, and set:
α “ xα0 , α1 , α2 , α3 y P E ÐÑ
– either Dξ ă η such that Dn α0 pϕpξ, nqq “ 1 and for the least
such ξ there is a unique n such that α0 pϕpξ, nqq “ 1
and if α1 pϕpξ, nqq “ 0, pα2 qϕpξ,nq P D,
and if α1 pϕpξ, nqq “ 1, pα2 q˚ϕpξ,nq P D,
– or @ξ ă η @n P ω α0 pϕpξ, nqq and α3 P D˚ .
We leave to the reader the checking that E works, i.e. that HE pΣ01 q “ SDη p∆, Γ˚ q.
It remains to prove the last assertion. Note that we have already seen that if Λ “
Γpξq for some non-self-dual Wadge class of Borel sets Γ, and if HD pΣ01 q “ Γ, then
HD pΣ01`ξ q “ Λ. And conversely that HD pΣ01`ξ q “ pHD pΣ01 qqpξq , hence must have
level ě ξ. So it remains to show that any non-self-dual Wadge class Λ of level ξ 1 ě
ξ can be written as Γpξq for some non-self-dual Γ. We already know this for ξ by
Theorem 7.3.9 (ii), so the result follow from the equality pΓpηq qpξq “ Γpξ`ηq . One
direction of this equality is immediate, for if g : X Ñ Y has Baire class ξ, and
h : Y Ñ Z has Baire class η, h ˝ g has Baire class ξ ` η. For the converse, let A Ď X
be of the form f ´1 pBq for some B Ď Y in Γ and f of class ξ ` η. Then easily there
are Σ01`ξ sets An,m in X such that for all n P ω f ´1 pVnY q “ HDη pxAn,m : m P ωyq
(where Dη is defined earlier in the proof). By Kuratowski’s transfer Theorem 7.1.6,
let h : X Ñ ω ω be a Baire class ξ function with closed graph
` Z such
˘ that for all n, m
A˚n,m “ tpα, f pαqq : α P An,m u is Σ01 in Z. If we set g pα, hpαqq “ f pαq, we get a
@ D
function g : Z Ñ Y such that for all n A˚n “ g ´1 pVnY q “ HDη p A˚n,m : m P ω q is Σ01`η .
So g has Baire class η and B ˚ “ g ´1 pBq is in Γpηq . As h̃pαq “ pα, hpαqq : X Ñ Z has
class ξ, A “ h̃´1 pB ˚ q is in pΓpηq qpξq , as desired. %
229
7 Borel Hierarchies
Note that the previous result gives a different characterization of the level of a non-
self-dual Wadge class Γ of Borel sets: It is the largest ordinal (which exists) ξ such
that for some (Borel) D Ď 2ω , Γ “ HD pΣ01`ξ q.
7.3.8 Ramifications
For Borel sets A and B, the Wadge game WpA, Bq is simple to describe, but its
complexity is roughly that of A and B, so that although it is determined by Martin’s
Theorem 6.1.5, it does not give much information, in particular about the complexity
of the reducing maps.
Here we introduce games, due to Louveau and Saint Raymond, which the same job
as the Wadge games (and are some kind of unfoldings of these games), and are open,
so that we know the complexity of their winning strategies. On the other hand, this is
done at the expense of simplicity.
The main tool is a way of transforming open games which is called a ramification in
Louveau–Saint Raymond [??] that we now describe.
réf manquante – YP
In the games we will consider, Player I plays at each step i “ 0 or 1, and player II
plays integer. We define a function r “ pr0 , r1 q which to each position pu, vq P p2ˆωqăω
associates a new position u˚ “ r0 puq, v ˚ “ r1 pu, vq in pu, vq P p2 ˆ ωqăω , and is defined
as follows. We view u as being played on ω 2 :
0 1 2 ¨¨¨ k
0 up0q up2q up5q
1 up1q up4q
2 up3q
..
.
n upxk, nyq
So that upxk, nyq is the nth value of row k. Define ρ0 puq P 2ω by

# ` ˘
0 if Dn xk, ny ă lh u and upxk, nyq “ 1 ,
ρ0 puqpkq “
1 otherwise.
(So ρ0 puq takes eventually value 1.) Intuitively, ρ0 puq is the expected output in the
original game that player I guesses in the new game when playing u. The value u˚ “
r0 puq is a beginning of ρ0 puq, and pu˚ , v ˚ q are defined inductively as follows: First set
r0 pHq “ H, r1 pH, Hq “ H. Suppose r0 puq and r1 pu, vq have been defined, in defining
r0 pua iq and r1 pua i, v a kq, we consider two cases:
230
Case 1: ρ0 pua iq extends r0 puq – so that player I has no reason to change his guess.
Let then r0 pua iq “ ρ0 pua iqlh r0 puq`1 and r1 pua i, v a kq “ r1 pu, vqa k.
Case 2: Otherwise. Note that this can happen only if i has been played on row j “
plh uq0 with j ă lhpr0 puqq, and changes the value of ρ0 puqpjq, i.e. if i “ 1, and it
is the first time a 1 is played on row j, so that ρ0 pjq “ 1 but ρ0 pua 1qpjq “ 0. In
this case we let
r0 pua 1q “ r0 puqj a 0
(i.e. player I erases his wrong guess as much as needed, and start the new one)
and
r1 pua 1, v a kq “ r1 pu, vqj a k.
Suppose now J is a subtree of p2ˆωqăω , which defines an open game GpJq for player
I, by : II wins the run pε, βq in GpJq if pε, βq P rJs. We can use the function r to define
the ramification rpJq by
` ˘
pu, vq P rpJq ÐÑ rpu, vq “ r0 puq, r1 pu, vq P J.
In other words, player II wins the run pε, βq in the ramified game if all guessed positions
rpεk , βk q, for k P ω, are in J.
Lemma 7.3.13. For every pε, βq P 2ω ˆω ω , the set Tε,β “ trpεk , βk q : k P ωu is a sub-
tree of p2ˆωqăω . Moreover rTε,β s is a singleton we denote by ρpε, βq “ pρ0 pεq, ρ1 pε, βqq.
The function ρ : 2ω ˆ ω ω Ñ 2ω ˆ ω ω has Baire class 1, and ρ0 is given by
#
0 if Dn εpxk, nyq “ 1,
ρ0 pεqpkq “
1 otherwise,
(i.e. it extends ρ0 as defined on finite sequences).

So in particular if pε, βq is a winning run for II in rpJq, ρpε, βq is a winning run for
II in J, for any tree J.
Proof. Clearly Tε,β is a subtree of p2 ˆ ωqăω , as any rpua i, v a kq is an immediate

extension of some rpua in , v a kn q (although maybe not of rpu, vq itself). TO see that
rTε,β s is a singleton, it is enough to show that for each n rpεk , βk qpnq is eventually
defined and constant, and moreover r0 pεk qpnq is eventually equal to ρ0 pεqpnq, to get
the third statement. It will also give that ρ has Baire class 1, for
ρpε, βqpnq “ pi, kq ÐÑ Dp @q ě p rpεq , βq qpnq “ pi, kq,

and ρpε, βqpnq ‰ pi, kq ÐÑ Dp @q ě p rpεq , βq qpnq ‰ pi, kq,
from which it follows that the inverse image of any basic clopen set is ∆02 .
The claim is proved by induction on n: Note that r0 pεk qp0q is always defined for
k ą 0, and takes value 1 as long as εk takes only value 0 on row 0, and jumps to 0
only once, in the event εk takes a value 1 on row 0, in which case it remains 0 from
231
7 Borel Hierarchies
that point on. And after that, r0 pεk qp1q is defined, takes value 1 as long εk takes
only value 0 on row 1, and may change to value 0 only once, if εk takes the value 1 on
row 1, etc. And inductively if k is large enough so that r0 pεp qn is constant from k on,
then r0 pεp qpnq is defined for p ą k, and may change only once, hence stabilizes, and
clearly to the value of ρ0 pεqpnq. Moreover by the definition of r1 pεp , βp q, its value at
n stabilizes exactly at the same moment k (with value the corresponding βpkq). This
proves the claim, and hence the lemma. %
The previous lemma implies that it is harder for player II to win rpJq than to win J
– he has to insure that in any run pε, βq we have Tε,β Ď J, not only that ρpε, βq P rJs.
ăω
But we now show that player I has no easy win in rpJq. To see this, let Σ “ 2pω q ,
so that σ P Σ can be viewed as a strategy for player I in our games, and let J be
the set of all subtrees of p2 ˆ ωqăω . We now associate to each game J P J and each
σ P Σ, viewed a strategy for I in rpJq, a strategy σ ˚ “ F pJ, σq for player I in J, defined
informally as follows, together with a function f “ f pJ, σq : ω ăω Ñ 2ăω ˆ ω ăω .
Step 0: Let
LH “ pu, vq P p2 ˆ ωqăω : u is the answer to v by σ,

(
plh uq0 p“ plh vq0 qq “ 0 and pu, vq P rpJq .
Note that pH, Hq P LH . There are two cases:
(i) For all pu, vq P LH , σpvq “ 0. Let then f pHq “ puH , vH q “ pH, Hq and
σ ˚ pHq “ 1.
(ii) For some pu, vq P LH σpvq “ 1. Pick f pHq “ puH , vH q P LH of minimal
length with this property, and set σ ˚ pHq “ 0.
Step 1: Let II answer n0 . If pσ ˚ pHq, n0 q R J, one has already won in J, and we can
take σ ˚ and f to be arbitrary from that point on. So suppose pσ ˚ pHq, n0 q P J.
Note that by the choice of puH , vH q, (i) rpuH a σpvH q, vH a n0 q “ pσ ˚ pHq, n0 q, and
(ii) for any extensions u of uH a σpvH q and v of vH a n0 such that u is the answer
to v by σ and pu, vq P rpJq, one has: rpu, vq is an extension of pσ ˚ pHq, n0 q.
Let then
Lxn0 y “ pu, vq P p2 ˆ ωqăω : u is the answer to v by σ, v extends vH a n0

pu, vq P rpJq and lh r0 pua σpvqq “ 2 .
(
One has puH a σpvH q, vH a n0 q P Lxn0 y . Again there are two cases:
(i) If for all pu, vq P Lxn0 y r0 pua σpvqqp1q is constant, we set uxn0 y “ uH a σpvH q,
vxn0 y “ vH a n0 , f pxn0 yq “ puxn0 y , vxn0 y q, and σ ˚ pxn0 yq “ r0 puxn0 y a σpvxn0 y qqp1q.
(ii) If the value r0 pua σpvqqp1q is not constant on Lxn0 y , it means that it is
1 for uH a σpvH qa σpvH a n0 q but becomes 0 for some pu, vq P Lxn0 y . Let
then f pxn0 yq “ puxn0 y , vxn0 y q be such a pair of minimal length, and set
σ ˚ pxn0 yq “ 0.
232
General case: Suppose f pwq “ puw , vw q and σ ˚ pwq have been defined for w P ω n ,
such that if pσ ˚ pwq, wq P J, then rpuw , vw q “ pσ ˚ pwq, wq, uw is the answer to
vw by σ, r0 puw a σpvw qq is a one-step extension of σ ˚ pwq, and such that for all
pu, vq extending puw , vw q, with u the answer to v by σ, and with pu, vq P rpJq,
rpu, vq is an extension of rpuw , vw q. We define then f pwa kq and σ ˚ pwa kq in
any way if pr0 puw qa σ ˚ pwq, wa kq R J. And if pr0 puw qa σ ˚ pwq, wa kq P J, then
puw a σpvw q, vw a kq is in
Lw “ pu, vq P p2 ˆ ωqăω : pu, vq extends puw a σpvw q, vw a kq,

(
rpu, vq has length n ` 1, pu, vq P rpJq and u is the answer to v by σ .
and as before if r0 pua σpvqqpnq is constant on Lw we set uwa k “ uw a σpvw q, vwa k “

vw a k, f pwa kq “ puwa k , vwa k q and σ ˚ pwa kq “ that constant, and otherwise we
pick f pwa kq “ pu, vq P Lw of minimal length with r0 pua σpvqqpnq “ 0, and set
σ ˚ pwa kq “ 0.
One easily checks that the induction hypotheses are still satisfied with this choice.
Lemma 7.3.14. (i) Let σ, J be fixed, and σ ˚ “ F pJ, σq, f “ pJ, σq be defined as
above. If pξ, βq is a winning
Ť run for player II in the game J with player I following
˚ ˚ ˚
σ , then pε , β q “ k f pβk q is a winning run for player II in the game rpJq,
with player I following σ, and moreover ρpε˚ , β ˚ q “ pε, βq.
In particular if σ is a winning strategy for player I in rpJq, σ ˚ is a winning
strategy for player I in J.
(ii) The functions f : J ˆ Σ ˆ ω ăω Ñ 2ăω ˆ ω ăω and F : J ˆ Σ Ñ Σ are Baire class

1 functions.
Proof. (ii) is an easy computation, which is left to the reader (note that the these
functions are not continuous, a priori, as one decides at each step which case to
apply by a condition which is closed in J and σ, but not necessarily clopen).
(i) By the way f has been defined, we know that if pεk , βk q P J and εk is the answer
to βk by σ ˚ , then puβk , vβk q “ f pβk q satisfies rpuβk , vβk q “ pεŤ
k , βk q, uβk
is the answer to vβk by σ. Moreover f preserves extension, hence k f pβk q is
a play pε˚ , β ˚ q, and ε˚ is the answer to β ˚ by σ. And as puβk , vβk q P rpJq for
all k, pε˚ , β ˚ q P rrpJqs, i.e. is a winning play for player II in rpJq against σ. And
finally as rpuβk , vβk q “ pεk , βk q, ρpε˚ , β ˚ q “ pε, βq as desired.
The final assertion is the immediate, for if σ ˚ is not winning for I in J, it can
be beaten by some β P ω ω , with answer ε, and the corresponding play pε˚, β ˚ q
beats the strategy σ in rpJq. %
The function r : p2 ˆ ωqăω Ñ p2 ˆ ωqăω can be iterated. If rn is the nth iterate, we

can define, for each tree J, its nth ramification rn J by pu, vq P rn J Ø rn pu, vq P J.
233
7 Borel Hierarchies
Then we get rn`1 J “ rn prJq “ rprn Jq. We can also define the nth iterate ρn of
ρ : 2ω ˆ ω ω Ñ 2ω ˆ ω ω , and define by induction F n : J ˆ Σ Ñ Σ by F 1 “ F , and
F n`1 pJ, σq “ F J, F n pσ, rJq .

` ˘
The two lemmas on r then easily give, by induction on n:

Theorem 7.3.15. (i) For every J P J and n P ω, rn J is an open game.
(ii) ρn : 2ω ˆ ω ω Ñ 2ω ˆ ω ω is a Baire class n function, and if pε, βq is a win for II

in rn J, ρn pε, βq is a win for II in J.
(iii) The function F n : J ˆ Σ Ñ Σ has Baire class n, and if σ is a winning strategy

for player I in rn J, F n pσ, Jq is a winning strategy for player I in J.
It is also possible to iterate r in the transfinite. It needs a delicate direct limit process
at limit ordinals. Details become rather messy, so we won’t do it here. We refer the
reader to [??].
ref missing – YP
7.3.9 Separation games

Let A Ď X be some set, and B0 , B1 Ď Y two disjoint sets. We define the extended
Wadge game W* pA; B0 , B1 q as follows, viewing X and Y as closed subsets of ω ω , with
canonical trees TX and TY :
I: αp0q αp1q αp2q

¨¨¨
II : βp0q βp1q βp2q
I produces α P rTX s “ X, II produces β P rTY s “ Y , and II wins if α P A Ñ β P B0

and α R A Ñ β P B1 .
Note that in case B1 “ Y zB0 , W* pA; B0 , B1 q is just the ordinary Wadge game
WpA, B0 q.
Suppose player II wins W* pA; B0 , B1 q. The winning strategy then defines a contin-
uous function f : X Ñ Y , with f rXs Ď B0 Y B1 , and A “ f ´1 pB0 q. In particular
if the Wadge class Γ “ ΓrAs of A in X is non-self-dual, there is no Γ̌ set C in Y
which separates B0 from B1 , i.e. satisfies B0 Ď C and C X B1 “ H. For otherwise
A “ f ´1 pCq would be in Γ̌ too.
Suppose now player I wins W* pA; B0 , B1 q. The winning strategy then defines a
continuous function g : Y Ñ X such that if β P B0 , gpβq R A, and if β P B1 , gpβq P A.
So the set g ´1 pǍq, which is a Γ̌ set in Y , separates B0 from B1 .
So this game, if determined, corresponds to the separation of B0 from B1 by some
Γ̌rAs set.
Suppose now A is Borel in X, and B0 , B1 are Σ11 sets in Y . In this case, W* pA; B0 , B1 q
is Σ11 , so we cannot use general results to insure it is determined – at least under the
usual axioms of set theory. However it can be proved, using the notion of ramification,
234
that these games are determined. Here we will prove this in case A is a true Π0n set,
for n P ω.
First we study the case n “ 1. Let T0 and T1 be two trees on ω, and define an open
game J1 “ J1 pT0 , T1 q P J as follows:
I: εp0q P 2 εp1q P 2
¨¨¨
II : βp0q P ω βp1q P ω
The tree J1 is defined by
pu, vq P J1 ÐÑ either @i ă lh u upiq “ 0, and v P T ,

or for some i ă lh u upiq “ 1, and if i0 is the least such i,
v pi0 q “ xvpi0 q, vpi0 ` 1q, . . . , vplh v ´ 1qy P T1 .
As usual the open game J1 is defined by II wins the run pε, βq in the game J1 if for
all k pεk , βk q P J1 . So II wins a run pε, βq if either I plays only 0’s and II produces a
branch through T0 , or at some point I plays a 1 and II produces, from that point on,
a branch through T1 .
Let T be the set of all subtrees of ω ăω . Define H1 “ t0ω u Ď 2ω , and C1 Ď T ˆ T ˆ Σ
by ` ˘
pT0 , T1 , σq P C1 ÐÑ Du P T0 @i ă lh u σpui q “ 0 ^ σpuq “ 1 .
Lemma 7.3.16. (i) If A Ď X is Π01 , player II wins WpA, H1 q.
(ii) Suppose pε, βq is a winning run for II in J1 pT0 , T1 q. Then if ε P H1 , β P rT0 s.

And if ε R H1 , β P rT1 s.
(iii) Suppose σ is a winning strategy for player I in J1 pT0 , T1 q; Then if rT0 s ‰ H,

pT0 , T1 , σq P C1 . And if rT1 s ‰ H, pT0 , T1 , σq R C1 .
Proof. (i) Let TA be some subtree of TX with rTA s “ A. Let player II answer 0 to
u P TX as long as u P TA , then 1 when u R TA . This clearly is winning in
WpA, H1 q.
(ii) is immediate.
(iii) We argue by contradiction. Suppose rT0 s ‰ H but pT0 , T1 , σq R C1 . Pick β P rT0 s,

and let II play β in J1 pT0 , T1 q. By the definition of C1 , σpβk q “ 0 for all k.
But this means β defeats σ, a contradiction. Similarly, suppose rT1 s ‰ H, but
pT0 , T1 , σq P C1 . Pick β1 P rT1 s, and u1 P T0 such that σpu1 i q “ 0 for i ă lh u1 ,
and σpu1 q “ 1. Let II play u1 a β1 . Clearly this play defeats σ in J1 pT0 , T1 q, a
contradiction which finishes the proof. %
235
7 Borel Hierarchies
Let now B0 and B1 be two disjoint Σ11 subsets of Y Ď ω ω , and fix trees T0 and T1
on ω ˆ ω (in fact in TY ˆ ω ăω ), such that or i “ 0, 1 Bi “ tα P Y : Dβ pα, βq P rTi su.
For each α P Y , we let Ti pαq “ tu P ω ăω : pαlh u , uq P Ti u, so that Ti pαq is a tree on
ω, for i “ 0, 1.
Let n P ω, and define a game Gn`1 pB0 , B1 q as follows:
I: εp0q P 2 εp1q εp2q

¨¨¨
II : αp0q, βp0q αp1q, βp1q αp2q, βp2q
where I plays 0’s and 1’s, II plays the first coordinates in TY and the second ones in
ω ăω . Let pε, α, βq be the
` result of a run.
˘ Then player II wins this run if pε, βq is a win
n
for II in the game r J1 T0 pαq, T1 pαq .
Clearly the game Gn`1 pB0 , B1 q is closed, hence determined. Set Hn`1 “ pρn0 q´1 pH1 q.
If σ is a strategy for I in Gn`1 pB0 , B1 q and α P Y , let σpαq be the induced strategy in
Σ, defined for u P ω ăω by σpαqpuq “ σpαlh u , uq. Define then
(
Cn`1 pσq “ α P Y : pT0 pαq, T1 pαq, σpαqq P C1 .
Theorem 7.3.17. (i) The set Hn`1 Ď 2ω is Π0n`1 . And for every A Ď X in Π0n`1 ,
player II wins WpA, Hn`1 q.
(ii) For each strategy σ for I in Gn`1 pB0 , B1 q, the set Cn`1 pσq is Σ0n`1 , in fact
Σ0n`1 pσ, T0 , T1 q.
(iii) Suppose player II has a winning strategy τ in Gn`1 pB0 , B1 q. Then the strategy ob-
tained by deleting the β-moves is a winning strategy for player II in W* pHn`1 ; B0 , B1 q.
(iv) Suppose player I has a winning strategy σ in Gn`1 pB0 , B1 q. Then the set Cn`1 pσq Ď
Y separates B0 from B1 .
Proof. (i) As H1 is Π01 and ρn has Baire class n, Hn`1 is Π0n`1 in 2ω . We prove that
player II wins WpA, Hn`1 q, for A P Π0n`1 , by induction on n. This part (i) of the
previousŤlemma for n “ 0. Suppose we know it for n ´ 1 ě 0. If A P Π0n`1 , write
XzA “ k Ak where Ak Ď X is Π0n . Let σk be a winning strategy for player II
in WpAk , Hn q. If I plays u P TX , with lh u “ xk, ly, define σpuq “ σk pul q. We
claim σ is winning in WpA, Hn`1 q. Note that if α P Y and β is the answer by σ
to α, then for each k, pβqk is the answer by σk to α. So we get
αPA ÐÑ @k α R Ak ÐÑ @k pβqk R Hn .
Now by definition of the Hn ’s, Hn`1 “ ρ´10 pHn q, and as ρ0 pβqpkq “ 1 Ø pβqk “
0ω , one easily checks by induction that β P Hn`1 Ø @k pβqk R Hn . This proves
(i).
236
` ˘
(ii) As F n is a Baire class n function, so is the composition function α ÞÑ F n J1 pT0 pαq, T1 pαqq, σpαq .
And C1 is clearly open, so Cn`1 pσq is Σ0n`1 . To see that it is Σ0n`1 pσ, T0 , T1 q one
has to check that C1 is in fact Σ01 , and F n is Σ0n`1 -recursive. This is easy, but
tedious, and left to the reader.
(iii) Let τ be winning for II in Gn`1 pB0 , B1 q, and for ε P 2ω let pα, βq be the answer
by II following the strategy τ . Then by definition of Gn`1 the run pε, βq is a win
for II in rn J1 pT0 pαq, T1 pαqq hence by Theorem 7.3.15 ρn pε, βq is a win for II in
J1 pT0 pαq, T1 pαqq. Suppose that ε P Hn`1 . Then ρn0 pεq “ 0ω P H1 , i.e. ρn1 pε, βq is
a branch through T0 pαq by Lemma 7.3.16, hence α P B0 . If ε R Hn`1 , ρn0 pεq P H1 ,
and by Lemma 7.3.16 again, ρn1 pε, βq is a branch through T1 pαq, hence α P B1 .
This proves (iii).
(iv) Let now σ be winning for I in Gn`1 pB0 , B1 q. Then by Theorem 7.3.15 for each α
the strategy F n pJ1 pT0 pαq, T1 pαqqq is winning for I in J1 pT0 pαq, T1 pαqq. But then
by Lemma 7.3.16 if α P B0 , i.e. rT0 pαqs ‰ H, then α P Cn`1 pσq. And if α P B1 ,
i.e. rT1 pαqs ‰ H, then α R Cn`1 pσq. This proves (iv), and finishes the proof of
the theorem. %
Corollary 7.3.18. Let n P ω, and A Ď X be a true Π0n`1 set.
(i) For every pair B0 , B1 of disjoint Σ11 sets in Y , the separation game W* pA; B0 , B1 q
is determined.
(ii) For every pair B0 , B1 of disjoint Σ11 sets in Y , B0 is separable from B1 by a

Σ0n`1 set iff there is no continuous function f : X Ñ Y with f pXq Ď B0 Y1 and
A “ f ´1 pB0 q.
Proof. (ii) is a consequence of (i). To prove (i), suppose first that no Σ0n set sepa-
rates B0 from B1 . Then by the previous theorem, player II has a winning strategy in
Gn`1 pB0 , B1 q, hence in W* pHn ; B0 , B1 q. As A is Π0n`1 , II also has a winning strat-
egy in WpA, Hn q. Composing these strategies, one gets a winning strategy for II in
WpA; B0 , B1 q. Suppose now C is Σ0n`1 and separates B0 from B1 . Then II wins
WpČ, Hn q. For all k let Ak “ tα P ω ω : k a α P Au in Xk “ tα P ω ω : k a α P Xu. If
each Ak is Σ0n`1 in Xk , so is A in X. So pick k0 such that Ak0 R Σ0n`1 . Then by the
first argument, player II has a winning strategy in W* pHn , Ak0 , Aˇk0 q “ WpHn , Ak0 q,
hence by composition in WpČ, Ak0 q. Let then I play in W* pA; B0 , B1 q by first playing
k0 , and then following II’s winning strategy in WpČ, Ak0 q. One easily checks that this
strategy is winning for I in W* pA; B0 , B1 q. %
Remarks 7.3.19. (1) In the previous proof, we haven’t used Borel determinacy. So
this gives a different, and more elementary, proof of the statement: If B is Borel
and A is a true Π0n set, WpA, Bq is determined. The method of proof is extended
in [??] to all Wadge games WpA, Bq with A, B Borel, and in fact to all games
ref missing – YP
W* pA; B0 , B1 q with A Borel and B0 , B1 in Σ11 .
237
7 Borel Hierarchies
(2) It is not hard to check that if B0 , B1 are Σ11 (in a Polish dim0-recursive space
Y ), the game Gn`1 pB0 , B1 q is ∆11 . So if I wins it, he has a winning strategy σ
which is ∆11 -recursive by Theorem 6.1.2. But then Cn`1 pσq is Σ0n`1 p∆11 q, hence
one gets as a corollary the instances of Louveau’s Theorem 7.1.10 corresponding
to the classes Σ0n and Π0n . Again extending these techniques to all non-self-dual
Wadge classes of Borel sets gives ([??],[??]) analogous lightface results for all
ref missing – YP
Wadge classes.
7.3.10 Extending Hurewicz’s theorem

We now give the extension of Theorem 7.2.10 which is valid for the classes Π0n , n ě 2.
Again similar extensions can be obtained also for all non-self-dual Wadge classes of
Borel sets ([??],[??]).
ref missing – YP
Theorem 7.3.20. Let B0 , B1 be two disjoint Σ11 sets in X, and A Ď 2ω be Π0n`1 .
Suppose that either n “ 1 and A “ Ď “ tα P 2ω : α is not eventually 0u, or that
n ą 1 and A “ Hn`1 . Then if B0 is not separable from B1 by a Σ0n`1 set, there is
a continuous and one-to-one function f : 2ω Ñ X such that f r2ω s Ď B0 Y B1 , and
f ´1 pB0 q “ A.
So in particular if B Ď X is Borel and not Σ0n`1 , B contains a relatively closed set
homeomorphic to A; and if B Ď X is Borel and not Π0n`1 , B contains a relatively
closed set homeomorphic to Ǎ.
Proof. The last statements follow easily from the first, by considering the pairs pB, XzBq
and pXzB, Bq, respectively. Suppose first n “ 1. We cannot apply directly Theo-
rem 7.2.10, as the sets B0 and B1 are Σ11 . But by Theorem 7.3.17, the hypothesis im-
plies the existence of a continuous g : 2ω Ñ X with gr2ω s Ď B0 Y B1 and g ´1 pB0 q “ Ď.
Now gr2ω s “ Y is compact, and B0 XY is Borel in Y (as its complement is B1 XY ), and
is still not Σ02 as g ´1 pB0 X Y q “ Ď is complete Π02 . So we can apply Theorem 7.2.10
to B0 X Y , which gives the one-to-one function f as desired.
Assume now n ą 1. We define a variant of the game Gn`1 pB0 , B1 q of Subsec-
tion 7.3.9. Fix i “ 0, 1 a tree Ti on ω ˆ ω with Bi “ tα P ω ω : Dβ P ω ω pα, βq
inTi u, and consider the game G˚n`1 pB0 , B1 q:
I: εp0q P 2 εp1q
¨¨¨
II : s0 P ω ăω βp0q, s1 P ω ăω βp1q, s2 P ω ăω
(so that II starts this game). At the end of a run, I has produced ε P 2ω , and II
some β P ω ω ; moreover we set α “ s0 a εp0qa s1 a εp1qa . . . P ω ω (so that α is played
as in a ˚-game of Subsection 6.3.5). And we say the run is winning for II if pε, βq
is a win for II in rn J1 pT0 pαq, T1 pαqq, as for the Gn`1 pB0 , B1 q game (so the only dif-
ference between the two games is the way α is produced). Again G˚n`1 pB0 , B1 q is
238
7.4 The Baire hierarchy of functions
an open game for player I, hence is determined. Suppose first that II has a win-
ning strategy τ in this game. Let f : 2ω Ñ ω ω be the continuous function de-
fined by: f pεq is the α corresponding to the run where I plays ε and II follows his
strategy τ . For each ε, we know that if β is the other play of II, pε, βq is a win
in rn J1 pT0 pf pεqq, T1 pf pεqqq. By the same proof as for Gn`1 pB0 , B1 q, this gives that
ε P Hn`1 Ñ f pεq P B0 and ε R Hn`1 Ñ f pεq P B1 . And finally f is one-to-one,
for if ε and ε1 differ at n0 for the first time, the images f pεq and f pε1 q will have the
same beginning of the form s0 a εp0qa s1 a ¨ ¨ ¨ a sn0 ´1 , and then differ at the next value.
This gives the theorem. So it remains to show that I cannot win G˚n`1 pB0 , B1 q. So
suppose σ is winning for I in this game. We now argue as for the game G˚1 pAq of Theo-
rem 6.3.6: Say that for a position u “ ps0 , εp0q, pβp0q, s1 q, εp1q, pβp1q, s2 q, . . . , εpk ´ 1qq
and m P ω, pu, mq is critical for α P ω ω if u is a beginning where I follows his strategy
σ, s0 a εp0qa s1 a εp1qa ¨ ¨ ¨ a sk´1 a εpk ´ 1q Ď α, and for no extension ua ppm, sk q, εpkqq
where I follows σ one has s0 a εp0qa s1 a ¨ ¨ ¨ a sk´1 a εpk ´ 1qa sk a εpkq Ď α. As in the
proof of Theorem 6.3.6 if pu, mq is critical for α, pu, mq together with σ entirely de-
termines α. So the set D0 “ tα : Dpu, mq pu, mq is critical for αu is countable. Let
H “ ω ω zD. For each α P H, we can define a strategy σpαq P Σ as follows: Pick
first s0 of minimal length such that the answer εp0q by σ satisfies s0 a εp0q Ď α. If II
plays βp0q, pick s1 of minimal length such that the answer εp1q to ps0 , εp0q, pβp0q, s1 qq
satisfies s0 a εp0qa s1 a εp1q Ď α, etc. This is defined because α P H, and σpαq is clearly
continuous in α. Moreover the strategy σpαq is winning for I in rn J1 pT0 pαq, T1 pαqq,
hence as in Theorem 7.3.17 the set
(
C “ α P H : pT0 pαq, T1 pαq, σpαqq P C1
separates B0 X H from B1 X H. This set is Σ0n`1 in H, hence for some Σ0n`1 set
C 1 Ď ω ω , C “ C 1 X H. Define C 2 “ C 1 Y pB0 zHqzpB1 qzHq. Then C 2 separates B0
from C1 – and so does C 2 X X. Now B0 zH and B1 zH are countable, hence Σ02 in ω ω ,
and by our hypothesis that n ą 1, C 2 is also Σ0n`1 in ω ω , hence C 2 X X is Σ0n`1 in X.
As this contradicts our assumption on pB0 , B1 q, we are done. %

7.4.1 Baire class ξ functions
Recall that a function f : X Ñ Y between recursive spaces is a Baire class ξ function
if for each Σ01 subset A of Y , f ´1 pAq is Π01`ξ in X, or equivalently for each Π01 subset
of A of Y , f ´1 pAq is Π01`ξ in X. And it is enough to assume that f ´1 pVnY q is Σ01`ξ ,
for each n P ω (see Section 3.4).
Let us denote by Bξ pX, Y q the set of all Baire class ξ functions f : X Ñ Y . Clearly,
as Σ01`ξ Ď Σ01`η for ξ ď η, we get Bξ pX, Y q Ď Bη pX, Y q for ξ ď η, so the sequence
` ˘
Bξ pX, Y q, ξ ă ω1 defines a hierarchy, called the Baire hierarchy, among Borel func-
tions.
239
7 Borel Hierarchies
If f : X Ñ Y has Baire class ξ, its graph Graphpf q Ď X ˆ Y is Π01`ξ . This comes

from the equivalence
f pxq “ y ÐÑ @n y P VnY Ñ f pxq P VnY

` ˘
which is immediate (using the regularity of Y ). Note however that the converse is far
from being true: For each ξ, there are by Kuratowski’s transfer Theorem 7.1.6 Baire
class ξ functions ω ω Ñ ω ω with Π01 graph, which are not of Baire class η for any η ă ξ.
To see this, pick any A Ď ω ω which is a true Σ01`ξ , and by Theorem 7.1.6 an f : ω ω Ñ
ω ω of Baire class ξ, with closed graph Y and such that A˚ “ tpα, f pαqq : α P Au
is Σ01 in Y . If f were of Baire class η for some η ă ξ, one would get A in Σ01`η , a
contradiction.
Proposition 7.4.1. Let fn : X Ñ Y , for n P ω, be a sequence of Baire class ξ

functions. Suppose fn converges uniformly, for some compatible distance d on Y , to a
function f : X Ñ Y . Then f has Baire class ξ.
Proof. As fn converges uniformly, let for each k, nk bu such that dpfn pxq, f pxqq ă 2´k
for all x and n ě nk . If A is closed in Y , set Ak “ ty P Y : Dz P A dpy, zq ă 2´k u.
Each Ak is open in Y , so the proposition will follow immediately from the equivalence:
f pxq P A ÐÑ @k @n ě nk pfn pxq P Ak q.
Direction Ñ is obvious by the choice of nk . Conversely if Ş

fn pxq P Ak for n ě nk , then
f pxq P Ak . SO direction Ð comes from the equality A “ k Ak . %
Suppose Y “ R, ir C. As by Subsection 3.4.2 Baire class ξ functions are closed under

composition with continuous functions, one gets that for f, g P Bξ pX, Y q and λ P Y ,
λf , f ` g, and f ¨ g are also of Baire class ξ, i.e. Bξ pX, Y q is an algebra. And by the
proposition above, it is in fact a Banach algebra under the sup–norm.
7.4.2 Pointwise convergence

Another natural notion of convergence for sequences of function is pointwise conver-
gence: If pfn q : X Ñ Y is a sequence of functions between topological spaces X and
Y , we say that pfn q pointwise converges to f : X Ñ Y if for any x P X the sequence
pfn pxqqnPω converges in Y to f pxq.
Proposition 7.4.2. If X, Y are recursive spaces, and pfn qnPω is a sequence of Baire
class ξ functions : X Ñ Y which pointwise converges to f : X Ñ Y , the limit f has
Baire class ξ ` 1.
Proof. Again if A Ď Y is closed, set Ak “ ty P Y : Dz P A dpy, zq ă 2´k u, where d is a

compatible distance on Y . The proposition follows from the equivalence
` ˘
f pxq P A ÐÑ @k Dn ě k fn pxq P Ak ,
240
for then, as fn´1 pAk q is Σ01`ξ , we get f ´1 pAq P Π01`ξ`1 . For direction Ñ, note that for
each k there is nk pxq such that dpfn pxq, f pxqq ă 2´k for n ě nk pxq. This easily gives
the implication. Conversely if the right-hand side holds, we get for infinitely
Ş many n’s
fn pxq P Ak , hence f pxq P Ak , for all k. And again f pxq P A as A “ k Ak . %
The next two paragraphs will be devoted to a proof of the converse to this propo-
sition, the Lebesgue–Hausdorff theorem. However, one has to be a bit cautious: If
X “ R and Y “ 2 “ t0, 1u, the only continuous functions : X Ñ Y are the constants,
which are closed under pointwise limits, so the converse is not always true. But we
will see that this is essentially the only case where it fails.
7.4.3 The Lebesgue–Hausdorff theorem

Theorem 7.4.3 (Lebesgue–Hausdorff). Let X, Y be recursive spaces.
(i) For ξ ě 1, every Baire class ξ ` 1 function f : X Ñ Y is the pointwise limit of
a sequence of Baire class ξ functions fn : X Ñ Y .
(ii) If λ ă ω1 is limit, every Baire class λ ` 1 function is the pointwise limit of a
sequence pfn q of functions of Baire class ă λ.
(iii) In particular, the family of Borel functions : X Ñ Y is the least family of Borel
functions : X Ñ Y is the least family containing the Baire class 1 functions and
closed under pointwise limits of sequences.
(iv) If moreover X has dimension 0, conclusion (i) holds for ξ “ 0, and hence in (iii)
one can replace the Baire class 1 functions by the continuous ones.
Proof. The proof will be by steps. First we will prove the results (i), (ii) and (iv) (in
case X is dim0) when Y is finite. We will then use an approximation argument. So
assume first Y “ ty0 , . . . , yk u. Then the sets Ai “ f ´1 pyi q, for i “ 1, . . . , k form a
partition of X into Σ01`ξ`1 , hence ∆01`ξ`1 , sets.
Write Ai “ n Ai,n , with pAi,n q an increasing sequence of Π01`ξ sets in X.
Ť
Fix n. The sets Ai,n , for i “ 1, . . . , k ar Π01`ξ and disjoint, hence by the separation
property for Π01`ξ , which holds by Corollary 7.1.3, if ξ ě 1 or if ξ ě 0 in dim0 spaces,
there is a partition pA˚i,n qi“1,...k of X in ∆01`ξ sets with Ai,n Ď A˚i,n . Define fn : X Ñ Y
by fn A˚ “ yi . Clearly fn is of class ξ, and it remains to check that fn pointwise
i,n
converges to f to get (i) and (iv). But if x P X, say x P Ai , then eventually x P Ai,n ,
hence eventually x P A˚i,n , i.e. eventually fn pxq “ f pxq.
´1
Ť To get (ii), suppose now ξ is limit. Let Ai “ 0f pyi q as 0
before, and write Ai “
A with pAi,n q an increasing sequence of Π1`ξ “ Πξ sets, and Ǎi “ XzAi “
Ťn i,n
with pBi,n q an increasing sequence of Π0ξ sets. So we can write Ai,n “ j Ai,n,j ,
Ş
n Bi,n Ş
B “ j Bi,n,j with decreasing sequences pAi,n,j qj and pBi,n,j qj of sets in Π0ăξ “
Ťi,n 0
ηăξ Πη . Set, for i “ 1, . . . , k and j P ω:
ď` ˘
Ci,j “ Ai,n,j zBi,n,j .
nďj
241
7 Borel Hierarchies
Each Ci,j is in Π0ăξ , and we claim that if x P Ai , tj : x P Ci,j u is cofinite, and if x R Ai ,

tj : x P Ci,j u is finite. To see this see, suppose first x P Ai , and let n0 be such that
x P Ai,n0 , so that for all j, x P Ai,n0 ,j . As x R Bi,n0 , there is j0 , we may assume ě n0 ,
such that for all j ě j0 , x R Bi,n0 ,j . But then for j ě j0 there is an n ď j, namely
n0 such that x P Ai,n,j and x R Bi,n,j . So x P Ci,j for j ě j0 , as desired. Conversely
suppose x P Ci,j for infinitely many j’s, say for the increasing sequence pjm qmPω . Then
for each m there is an nm ď jm with x P Ai,nm ,jm zBi,nm ,jm . If there is a subsequence
of pnm q which is constant, with say value n, we get x P Ai,n,j for infinitely many j’s,
hence x P Ai,n and x P Ai . Otherwise, there is a strictly increasing subsequence Ť of
the sequence pnm q, and for each n Ť in that subsequence x1 R Bi,n , so x R 0n Bi,n , and
x P Ai . Define now Ci,j 1 “ C z
i,j i1 ăi Ci1 ,j . The sets Ci,j are again in Πăξ , and for
each fixed j are pairwise disjoint. By the same argument as before, there is a function
fj : X Ñ Y of Baire class ηj ă ξ which takes value yi on Ci,j 1 for i “ 1, . . . , k. It
remains to see that fj pointwise converges to f But if x P Ai , i.e. f pxq P yi , we know

that for j large enough x P Ci,j , and x R Ci,j for i1 ‰ i, hence x P Ci,j 1 and f pxq “ y ,
j i
as desired. This proves the theorem when Y is finite.
To get the general result, we need one more remark in the finite case. Suppose
Y is finite, and d is a distance on Y . Let pfn q : X Ñ Y and pgn q : X Ñ Y be
functions of class ξ (resp. ă ξ) which pointwise converge to f and g respectively. Let
D “ suptdpf pxq, gpxqq : x P Xu. Then one can find pgn1 qnPω : X Ñ Y of class ξ (resp.
ă ξ), converging pointwise to g, and with suptdpfn pxq, gn1 pxqq : x P Xu ď D, for all n.
To see this, define gn1 pxq “ gn pxq if dpfn pxq, gn pxqq ď D, and gn1 pxq “ fn pxq otherwise.
Clearly dpfn pxq, gn1 pxqq ď D, and (by finiteness of Y ) gn1 is still of class ξ (resp. ă ξ).
Moreover for each x P X, fn pxq “ f pxq and gn pxq “ gpxq for large enough n, hence
dpfn pxq, gn pxqq ď D for large enough n, hence gn1 pxq “ gn pxq “ gpxq for large enough
n. This proves gn1 converges pointwise to g.
Let now Y be arbitrary. We may view Y as a subset of a compact metric space,
with distance d, and hence find for each k P ω a finite subset Yk of Y , with Yk Ď Yk`1 ,
and such that Y is covered by open balls Bpy, 4´k q, y P Yk . Let f : X Ñ Y be of Baire
class ξ ` 1; the sets f ´1 pBpy, 4´k qq “ Ay , y P Yk , are Σ01`ξ`1 and cover X, so by the
reduction property (cf. Lemma 7.2.1) there is a partition pA˚y , y P Yk q of X in Σ01`ξ`1
– hence ∆01`ξ`1 – sets with A˚y Ď Ay . Let fk : X Ñ Yk be the function that takes
value y on A˚y . Each fk has Baire class ξ, and for all x, dpfk pxq, f pxqq ď 4´k , hence
dpfk pxq, fk`1 pxqq ď 2¨4´k . So using the results for the finite case and the above remark,
one can inductively on k define sequences pfjk qjPω of functions of class ξ (resp. ă ξ if ξ
is limit), with values in Yk , and such that for all x, k and j, dpfjk pxq, fjk`1 q ď 2 ¨ 4´k .
Let gk pxq “ fkk pxq. The proof of (i), (ii) and (iv) will be finished if we can prove
that gk pointwise converges to f . Fix x P X. For l ą k one has
dpf pxq, gl pxqq ďdpf pxq, fk pxqq ` dpfk pxq, flk pxqq ` dpflk , fll pxqq
l´1
ÿ
ď4´k ` 2 ¨ 4í ` dpfk pxq, flk pxqq,
i“k
242
which, as flk pxq Ñ fk pxq as l Ñ 8, can be made as small as we want for large enough
l. This finishes the proof of (i), (ii) and (iv). And (iii) follows immediately from these
results together with Proposition 7.4.2. %
7.4.4 The case of Baire class 1 functions

As we said before, the case of Baire class 1 functions is particular, as the preceding
result doesn’t hold for them in all cases. We showed it works if X has dimension 0.
The next result gives another important case where it holds.
Proposition 7.4.4. Let X be a recursive space, and Y “ r0, 1s, R, or some Rn ,

n ď ω. Then every Baire class 1 function f : X Ñ Y is a pointwise limit of a sequence
of continuous functions fn : X Ñ Y .
Proof. We first reduce to the case of Y “ r0, 1s. Clearly the result for R implies the
result for Rn , n ď ω, by considering the ` projections.
˘ Let ϕ be a homeomorphism
: r0, 1s Ñ R “ R Y t´8, `8u with ϕ s0, 1r “ R. For f a Baire class 1 function
: X Ñ R, let gpxq “ ϕ´1 ˝ f pxq, so that g : X Ñ r0, 1s is also Baire class 1. Assuming
the result is known for g, we get a sequence gn : X Ñ r0, 1s of continuous functions
which pointwise converges to g. Then gn1 pxq “ 2ń ` p1 ´ 2n qgn pxq is also continuous
: X Ñ r0, 1s, and still pointwise converges to g. Moreover as gn1 takes value in s0, 1r,
fn “ ϕ ˝ gn is a continuous function : X Ñ R. And by continuity of ϕ, fn pointwise
converges to f , as desired.
So it is enough to prove the result for Y “ r0, 1s. Let f : X Ñ Y be Baire class
1. As in the proof of the above theorem, we can find a sequence opfk q of Baire class
1 functions : X Ñ r0, 1s with |fk pxq ´ f pxq| ď 4´k , and fk taking only finitely many
values. We claim that it is enough to get the result for functions taking only finitely
many values. This is because we can find continuous functions glk : X Ñ r´1, 1s
converging pointwise to f0 for k “ 0, and to gk “ fk ´ fk´1 for k ą 0, andřsatisfying
|gk pxq| ď 2¨4´k . Then as in the proof of the theorem, the sequence hk pxq “ lďk glk pxq
is continuous, and pointwise converges to f .
So it remains to prove the case where f : X Ñ r0, 1s takes only finitely many
´1 0
values,Ťsay y1 , . . . , yk . Let Ai “ f pyi q. Each Ai is Σ2 in X, hence can be written
Ai “ n Ai,n with pAi,n q an increasing sequence of closed sets. This is where the proof
departs from the theorem, as we cannot use the separation property for Π01 , which
is false unless X has dimension 0. But instead, we can use Urysohn’s Lemma 2.4.7:
Fix n, the sets Ai,n , i “ 1, . . . , k are disjoint closed sets, so we can Ť find for each i
a continuous function ϕi : X Ñ r0, 1s which is 1 on Ai,n and 0 on j‰i Aj,n . But
` řk ˘
then fn “ min i“1 yi ϕi , 1 is continuous X Ñ r0, 1s, and takes value yi on Ai,n for
i “ 1, . . . , k. It follows, as in the proof of the theorem, that fn pointwise converges to
f , as desired. %
243
7 Borel Hierarchies
7.4.5 Baire’s characterization of Baire class 1 functions

As every Borel set has the Baire property, every Borel function f : X Ñ Y is BP-
measurable, hence its restriction to a comeager subset of X is continuous, by Propo-
sition 6.2.11. However, f may very well be discontinuous at every point of X, even
when X is Polish: For example in 2ω , so is the characteristic function of a countable
dense set, which is a Baire class 2 function. But this does not happen with Baire class
1 functions.
Proposition 7.4.5. Let X, Y be recursive spaces, and f : X Ñ Y a Baire class 1

function. The set of discontinuity points of f is a meager Σ02 set in X.
Proof. A point x P X is a discontinuity point of f if there is a neighbourhood VnY of

f pxq such that for all neighourhood VmX of x f pVmX q * VnY , i.e. x belongs to f ´1 pVnY q
but not to its interior Intpf ´1 pVnY qq. So the set of discontinuity points is the union
in n of the sets f ´1 pVnY qz Intpf ´1 pVnY qq. As f is Baire class 1, these sets are Σ02 , and
they have empty interior, hence are meager. This proves the proposition. %
244
List of Symbols
The main symbols used throughout the book are listed below together with a short
description and the number of the page where they first appear.
rT s the set of branches of the tree T 76

xpαq0 , pαq1 y “ α a homeomorphism between ω ω and ω ω ˆ ω ω 48
xpαqi : i ă ωy “ α a homeomorphism between ω ω and pω ω qω 48
X ăω the finite sequences from X 7
xpnq0 , . . . , pnqk´1 yi “ pnqi a recursive bijection from some ω k to ω 6
1X the characteristic function of X 4
A Suslin’s Operation 75
A effective Suslin’s Operation 80
αpn a coding of the initial segment of α P LO below n 85
Bξ pX, Y q the set of all Baire class ξ functions f : X Ñ Y 239

Bα , BαX the Borel subset of X coded by α P BC 118
BC the set of Borel codes 118
BorpΣ11 q the σ-algebra generated by Σ11 135
Borel, BorelpXq the class of borel sets 47
C, Cξ the hierarchy of Selivanosky sets 135
D α , ďα the linear ordering coded by α P LO 83

pD1 , d1 q, pD1 , d1 q nice codings of ∆11 and relatively ∆11 points 110
pD1 , W1 q, pD1 , W1 q nice codings of ∆11 and ∆11 108
Df the diagram of f 34
DpRq the domain of wellfoundedness of R 95
pDα , ďα q the linear ordering coded by α P LO. 83
Dξ Γ the class of difference sets of increasing ξ-sequences 189
from Γ
Dξ xAη : η ă ξy the difference set of xAη : η ă ξy 188
dpT q the derivative of the tree T 77
∆11 pxq, Σ11 pxq, Π11 pxq classes relativized to tn : x P VnX u for a point x P X 109
∆01 recursive sets 4
∆11 the bianalytic sets 54, 55
245
List of Symbols
∆11 , ∆11 pαq the effective(-in-α) bianalytic sets 52

∆0n , ∆0ξ topological ambiguous class 54, 55,
129
∆01 pαq recursive-in-α sets 23
∆0n , ∆0n pαq the nth ambiguous effective class (relativized to α) 51
∆01 pΦq recursive-in-Φ sets 23
DX the diagram of the recursive space X 64
D∆ D∆ A “ tx P X : Dy P ∆11 pxq px, yq P Au 110
Fσ countable union of closed sets 47
Gδ countable intersection of open sets 47

Graphpf q the graph of f 5
ΓrAs tB : B ďW Au, the class generated by A 213
HYP, HYPpαq the class of hyperarithmetical(-in-α) sets 119
iX : X Ñ ω ω the transfer function with recursive inverse jX 67
J the set of all subtrees of p2 ˆ ωqăω 232
Kσ countable unions of compact sets 209
O, O Kleene’s O 130
ω1CK , ω1CK´α the least non recursive (resp. in α) ordinal 91
On the class of ordinals 83
par ξ the parity of the ordinal ξ 188

π X : BC Ñ BorelpXq a coding of Borel subsets of X 118
Π01 effectively closed sets 40, 50
Π11 the coanalytic sets 54, 55
Π11 , Π11 pαq the effective(-in-α) coanalytic sets 52
Π0n , Π0ξ topological multiplicative classes 54, 55,
129
Π0n , Π0n pαq the nth mutliplicative Kleene class (relativized to α) 50
Polish r.p. space Polish recursively presented space 28
qpnq, qn a nice coding of Q 7
Rec the set of recursive functions 1

Recpαq the recursive-in-α functions 23
RecpΦq recursive closure of the family Φ 23
246
List of Symbols
αn the n first terms of α 7

αn the element of ω ω defined by αn pmq “ αpn ` mq 48
r.p. space recursively presented space 28
ăω
Σ the set 2pω q of strategies σ : ω ăω Ñ 2 232
sa α concatenation of sequences 7
spnq, sn a nice coding of ω ăω , sxty “ t 8
Σ0ξ , Π0ξ , ∆0ξ the transfinite Kleene classes 129
Σ01 pXq effectively open subsets of X 32
Σ01 effectively open sets in a space 32
Σ01 semirecursive sets 9
Σ11 the analytic sets 54, 55
Σ11 , Σ11 pαq the effective(-in-α) analytic sets 52
Σ0n , Σ0ξ topological additive classes 54, 55,
129
Σ01 pαq semirecursive-in-α sets 23
Σ0n , Σ0n pαq the nth additive Kleene class (relativized to α) 50
Σ01 pΦq semirecursive-in-Φ sets 23
n
Sm Kleene’s S-m-n function 19
T the set of all subtrees of ω ăω 235
”W A ”W B iff A ďW B and B ďW A 214

ďW the Wadge ordering 212
ăW A ăW B iff A ďW B and A ıW B 214
WF the set of wellfounded trees 145
W Γ , WΓ a good universal set for the Kleene classes Γ and Γ 58
respectively
Wk a good universal for the Σ01 subsets of ω k 18
Wnk the nth Σ01 subset of ω k 18
Wn the nth Σ01 subset of ω 18
247
Index
The main concepts of the book with the pages where they are introduced and treated...
adequate class 51
Borel codes 118
Cauchy sequence 26
code 7
recursive in the codes 7
derivation 97
Σ11 on Σ11 101
difference set 188
distance 25
compatible 25
effective topology 32
function
B-function 72
Γ-measurable function 60
Γ-recursive function 60
Baire class ξ function 59
bianalytic function 60
Borel function 59
partial recursive function 12
recursive function 1
recursive isomorphism 36
retraction 214
semi-proper 211
game
Choquet 165
Wadge game 215
Γ-recursive point 108
hierarchy
Borel hierarchy 47
Kleene arithmetical hierarchy 50
249
Index
Kleene classes 53
measurable space 205

metric space 25
complete 26
operator 97
Π11 on Π11 97
Σ01 in the codes 21
monotone inductive 97
uniformly Σ01 21
ordinal
ω1CK , the Church-Kleene ω1 91
recursive ordinal 91
preordering
Γ-prewellordering 88
prewellordering 88
rank 88, 187

Γ-rank 88
Luzin-Sierpinski indices 89
regular 88
recursive function between spaces 34
recursive presentation 28
recursively closed family 23
recursively presented space 28
Polish recursive space 37
Polish recursively presented space 28
recursive space 37
Γ-absolute space 64
co-Suslin-recursive space 110, 111
dim0-recursive space 68
Luzin-recursive space 71, 117
Suslin-recursive space 70
recursively-in-α presented space 28
relation
domain of wellfoundedness 95
set
B-set 72, 91
Fσ -set 47
Gδ -set 47
Γ-complete set 213
additive class ξ (of) 47
250
Index
ambiguous class ξ (of) 47

analytic 48
bianalytic 48
Borel 47
coanalytic 48
effectively clopen 51
effectively closed 40, 50
effectively open 32
hyperarithmetical 119
locally in Γ 213
meager 164
multiplicative class ξ (of) 47
projective 50
recursive set 4
recursive-in-α sets 23
recursively enumerable set 11
semirecursive set 9
semirecursive-in-α sets 23
Suslin
operation A 75
regular scheme 75
scheme 75
theorem
Kleene’s S-m-n 19
Kleene’s Fixed Point 59
Kuratowski’s “second reduction theorem” 89
Kuratowski’s Reduction Theorem for Π11 90
Recursion Theorem 19
uniform version 20
Sulin-Kleene separation theorem 119
The ∆11 -uniformization Theorem 111
The Prewellordering Theorem 88
The Separation Theorem for Σ11 sets 90
Transfer Theorem to ω ω 67
Urysohn-Tychonoff 40
effective Urysohn-Tychonoff 40
topological space
0-dimensional 68
basic space 30
recursively regular 38
metrizable 25
Polish space 26
Baire space 27
251
Index
Cantor space 27
Hilbert cube 27
Polish recursive space 37
Polish recursively presented space 28
second-countable 25
separable 25
tree 76
branch 76
pruned 76
universal set
good universal set for Σ01 subsets of ω k 17
good universal set for a Kleene class 58
good universal set for a Topological class 58
universal set for Σ01 subsets of ω 11
Wadge class 213

level of non-sefl-dual Wadge class 220
Wadge ordering 212
Wadge reducible 212
wellordering 82
252
Bibliography
[Ale16] Pavel Alexandroff. Sur la puissance des ensembles mesurables B. Comptes
rendus hebdomadaires des séances de l’Académie des sciences, Paris, 162:323–
325, 1916. 182
[Dav64] Morton Davis. Infinite games of perfect information. Annals of Mathematics

Study, 52:85–101, 1964. 159, 183
[Fri71] Harvey M. Friedman. Higher set theory and mathematical practice. Annals
of Mathematical Logic, 2:325–357, 1971. 159
[GH82] Yuri Gurevich and Leo Harrington. Trees, automata, and games. In Proceed-
ings of the Fourteenth Annual ACM Symposium on Theory of Computing,
STOC ’82, pages 60–65. ACM, 1982. 156, 159
[Har66] Joseph Harrison. Some applications of recursive pseudo-well-orderings. PhD

thesis, Stanford University, 1966. 182
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Logic, 43(4):685 – 693, 1978. 164
[Kec75] Alexander S. Kechris. The theory of countable analytical sets. Transactions

of the American Mathematical Society, 202:259–297, 1975. 186
[KLS12] Alexander S. Kechris, Benedikt Löwe, and John R. Steel, editors. Wadge
Degrees and Projective Ordinals: The Cabal Seminar, Volume II. Cambridge
University Press, 2012. 253
[LS87] Alain Louveau and Jean Saint Raymond. Borel classes and closed games:
Wadge-type and Hurewicz-type results. Transactions of the American Math-
ematical Society, 304(2):431–467, 1987. 217
[LS12] Alain Louveau and Jean Saint Raymond. The Strength of Borel Wadge De-
terminacy. In Kechris et al. [KLS12], pages 74–101. First published in 1988.
217
[Luz17] Nikolai N. Luzin. Sur la classification de M. Baire. Comptes rendus heb-

domadaires des séances de l’Académie des sciences, Paris, 164:91–94, 1917.
182
[Mar] Donald A. Martin. Descriptive Set Theory. unpublished book. 217
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Bibliography
[Mar70] Donald A. Martin. Measurable cardinals and analytic games. Fundamenta

Mathematicae, 66:287–291, 1970. 164
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[Mos80] Yannis N. Moschovakis. Descriptive set theory. North-Holland, 1980. 28, 50,
88, 139, 140, 164, 176
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Effective Descriptive Set Theory

LATEX document created the 20th of June 2013.

March 14, 2016

1.5.5 Relativization in this book . . . . . . . . . . . . . . . . . . . . . . 24

2 Metrizable separable and recursive spaces 25

3 Borel and analytic sets. The Kleene classes. 47

3.1.5 The Baire space . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48

3.5.11 Recursive images . . . . . . . . . . . . . . . . . . . . . . . . . . . 71

4 Structural properties of Σ11 and Π11 sets in recursive spaces 75

5.4.4 Basis theorem for Π11 . . . . . . . . . . . . . . . . . . . . . . . . . 137

6 Infinite Games 153

6.3 The perfect set property . . . . . . . . . . . . . . . . . . . . . . . . . . . 180

7 Borel Hierarchies 187

7.4.4 The case of Baire class 1 functions . . . . . . . . . . . . . . . . . 243

List of Symbols 245

L says by Theorem 3.5.6, but I’d rather say – YP . . . . . . . . . . . . . . . . 115

a bit fast! And I think U is not countable in general! However, in fact U is

(1) The constant function with value n, Ckn : ω k Ñ ω, is recursive;

(3) The successor function Spnq “ n ` 1 is recursive;

(4) (closure under composition) If f : ω k Ñ ω is recursive and g0 , . . . , gn´1 : ω k Ñ ω

(5) (closure under primitive recursion) If n0 P ω, and g : ω 2 Ñ ω is recursive, so is

Similarly if f0 : ω k Ñ ω and g : ω k`2 Ñ ω are recursive, so is f : ω k`1 Ñ ω

(6) (closure under minimization) If g : ω k`1 Ñ ω is recursive, and if moreover

the characteristic functions of ď, ă, “ : ω 2 Ñ ω are all recursive.

Proof. (i) and (ii) are by using projections and composition.

(iii) is by using the following recursions

1.1.3 Sets and relations

If we view a subset A of X ˆ ω as a sequence pAn q of subsets X, where An “

for all operations on sets.

1.1.4 Recursive sets, closure properties

(ii) ∆01 is closed under ^, _, Dď , @ď and .

(iii) ∆01 is closed under substitutions by recursive functions: If Apx0 , . . . , xk q is recur-

Bpx0 , . . . , xn´1 q ÐÑ Apf0 px0 , . . . , xn´1 q, . . . , fk´1 px0 , . . . , xn´1 qq

1Dď A px̄, nq “ 1ď pϕpx̄, nq, nq

Closure under @ď follows, as @ď “ Dď .

x̄ P tpn0 , . . . , nk´1 qu ÐÑ px0 “ n0 q ^ ¨ ¨ ¨ ^ pxk´1 “ nk´1 q

1.1.5 Recursive graphs. Definition by cases

Proposition 1.1.4. A function f : ω k Ñ ω is recursive iff its graph Graphpf qpx̄, nq Ø

Proof. If f is recursive, Graphpf q is recursive by substitution into “. And if Graphpf q

f px̄q “ least p pp1 ´ 1Graphpf q qpx̄, pq “ 0q

As an application, let us note the following

Corollary 1.1.5 (Definition by cases). If A0 , . . . , An´1 form a partition of ω k into

Proof. Use closure under ^ and _ to show that Graphpf q recursive. %

1.1.6 Canonical bijections

ψ20 pkq “ largest n p2n divides k ` 1q

Clearly ϕ2 is recursive. For ψ20 , note that

ψ20 pkq “ p ÐÑ Dq ď k pq ¨ 2p “ k ` 1 ^ @r ď k pr ¨ 2p`1 ‰ rqq

and for ψ21

ϕk`1 px̄, xq “ ϕ2 pϕk px̄q, xq

These functions clearly work. %

tpn0 , . . . , nk´1 q : pρpn0 q, . . . , ρpnk´1 qq P Au,

Suppose now X “ ω, and define a coding s : ω Ñ ω ăω by

1.1.10 More recursions

f pn, x̄q “ hpn, xf p0, x̄q, . . . , f pn ´ 1, x̄qy , x̄q.

f p0, x̄q “ f0 px̄q

f pn ` 1, x̄q “ h0 pn, f pn, x̄q, gpn, x̄q, x̄q

Then f and g : ω k`1 Ñ ω are recursive.

(i) Let θ be the recursive function such that

θpn, pq “ xsn p0q, . . . , sn plh sn ´ 1q, py