This work is supported by the DFG research project GELO
The field of the Reals and the Random Graph are not Finite-Word Ordinal-Automatic
Abstract.
Recently, Schlicht and Stephan lifted the notion of automatic-structures to the notion of (finite-word) ordinal-automatic structures. These are structures whose domain and relations can be represented by automata reading finite words whose shape is some fixed ordinal . We lift Delhommé’s relative-growth-technique from the automatic and tree-automatic setting to the ordinal-automatic setting. This result implies that the random graph is not ordinal-automatic and infinite integral domains are not ordinal-automatic with respect to ordinals below where is the first uncountable ordinal.
Key words and phrases:
Ordinal-automatic structures, automatic integral domains, Rado graph, growth rates2012 Mathematics Subject Classification:
[Theory of computation]: Formal languages and automata theory—Automata over infinite objects1. Introduction
Finite automata play a crucial role in many areas of computer science. In particular, finite automata have been used to represent certain infinite structures. The basic notion of this branch of research is the class of automatic structures (cf. [10]). A structure is automatic if its domain as well as its relations are recognised by (synchronous multi-tape) finite automata processing finite words. This class has the remarkable property that the first-order theory of any automatic structure is decidable. One goal in the theory of automatic structures is a classification of those structures that are automatic (cf. [3, 12, 11, 9, 13]). Besides finite automata reading finite or infinite (i.e., -shaped) words there are also finite automata reading finite or infinite trees. Using such automata as representation of structures leads to the notion of tree-automatic structures [1]. The classification of tree-automatic structures is less advanced but some results have been obtained in the last years (cf. [3, 5, 7]). Schlicht and Stephan [14] and Finkel and Todorčević [4] have started research on a new branch of automatic structures based on automata processing -words where is some ordinal. An -word is a map for some finite alphabet . We call a finite -word if there is one symbol such that for all but finitely many ordinals . We call the structures represented by finite-word -automatic structures -automatic. Many of the fundamental results on automatic structures have analogues in the setting of -automatic structures.
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The first-order theory of every -automatic structure is decidable and the class of -automatic structures is closed under expansions by first-order definable relations for all [6].
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The sum-of-box-augmentation technique of Delhommé [3] for tree-automatic structures has an analogue for ordinal-automatic structures which allows to classify all -automatic ordinals [14] and give sharp bounds on the ranks of -automatic scattered linear orderings [14] and well-founded order trees [8].
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In summary one can say that all known techniques which allow to prove that a structure is not tree-automatic have known counterparts for ordinal-automaticity. The only exception to this rule has been Delhommé’s growth-rate-technique [3]. We close this gap by showing that the maximal growth rates of ordinal automatic structures also has a polynomial bound. This allows to show that the Rado graph is not -automatic. In fact, we show that the bound on the maximal growth-rate of -automatic structure that we provide is strictly smaller than the bound for tree-automatic and strictly greater than the bound for word-automatic structures. Exhibiting this fact, we provide a new example of a structure that is -automatic but not word-automatic. This example also shows that our growth-rate bound for -automatic structure is essentially optimal.
One of the long-standing open problems in the field of automatic structures is the question whether the field of the reals has a presentation based on finite automata. Due to cardinality reasons it is clear that this structure is not word- or tree-automatic. Recently, Zaid et al. [15] have shown that (as well as every infinite integral domain) is not infinite-word-automatic. This leaves infinite-tree-automata as the last classical candidate that might allow to represent . Note that the cardinality argument also shows that is not -automatic for all countable (because the set of finite -words is countable). Nevertheless the set of finite -words is uncountable whence may be a priori -automatic for some uncountable ordinal . Using the growth rate argument we can show that no infinite integral domain is -automatic for any ordinal . Let us mention that it also remains open whether is automatic with respect to automata that also accept infinite -words for some .
1.1. Outline of the Paper
In the next section we recall the necessary definitions on -automatic structures and the fundamental notions concerning growth rates. In Section 3 we recall basic results on -automatic structures which are needed to obtain the growth rate bound in Section 4. Finally, Section 5 contains applications of the growth rate argument to the random graph, integral domains and concludes with the construction of a new example of an -automatic structure which is not word-automatic because its growth-rate exceeds the known bound for word-automatic structures.
2. Definitions
2.1. Ordinals
We identify an ordinal with the set of smaller ordinals . We say has countable cofinality if or there is a sequence of ordinals such that . Otherwise we say has uncountable cofinality. We denote the first uncountable ordinal by . Note that it is the first ordinal with uncountable cofinality.
For every ordinal and every , let be the ordinal of the form for some ordinal such that
for some natural numbers .
2.2. Ordinal-Shaped Words
First of all, we agree on the following convention: In this article, every alphabet contains a distinguished blank symbol which is denoted by or, if the alphabet is clear from the context, just by . Moreover, for alphabets , the distinguished symbol of the alphabet will always be .
For some limit ordinal and a map we introduce the following notation for the set of images cofinal in :
Definition 1.
An -word (over ) (called a finite word over ) is a map whose support, i.e., the set
is finite. The set of all -words over is denoted by . We write for the constantly valued word , for all .
Definition 2.
If are ordinals and some -word, we denote by the restriction of to the subword between position (included) and (excluded).
2.3. Automata and Automatic Structures
Büchi [2] has already introduced automata that process -words. These behave like usual finite automata at successor ordinals while at limit ordinals a limit transition that resembles the acceptance condition of a Muller-automaton is used.
Definition 3.
An ordinal automaton is a tuple where is a finite set of states, a finite alphabet, the initial states, the final states and
is the transition relation.
Definition 4.
A run of on the -word is a map such that
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for all
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for all limit ordinals .
The run is accepting if and . For , we write if there is a run of on with and .
In the following, we always fix an ordinal and then concentrate on the set of -words that a given ordinal automaton accepts. In order to stress this fact, we will call the ordinal-automaton an -automaton.
Definition 5.
Let be some ordinal and be an -automaton. The -language of , denoted by , consists of all -words which admit an accepting run of on . Whenever is clear from the context, we may omit the subscript and just write instead of .
Automata on words (or infinite words or (infinite) trees) have been applied fruitfully for representing structures. This can be lifted to the setting of -words and leads to the notion of -automatic structures. In order to use -automata to recognise relations of -words, we need to encode tuples of -words by one -word:
Definition 6.
Let be an alphabet and .
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We regard any tuple of -words over some alphabet as an -word over the alphabet by defining
for each .
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An -dimensional -automaton over is an -automaton over . The -ary relation on recognised by is denoted
Usually, this interpretation of as an -word is called convolution of and denoted . For the sake of convenience, we just omit the symbol .
Definition 7.
Let be a finite relational signature and let relation symbol be of arity . A structure is -automatic if there are an alphabet and -automata such that
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is an -automaton over ,
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for each , is an -dimensional -automaton over recognising an -ary relation on ,
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is a -dimensional -automaton over recognising a congruence relation on the structure , and
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the quotient structure is isomorphic to , i.e., .
In this situation, we call the tuple an -automatic presentation of . This presentation is said to be injective if is the identity relation on . In this case, we usually omit from the tuple of automata forming the presentation.
2.4. Definitions Concerning Growth Rates
The basic idea behind the growth rate technique is the question how many elements of a structure can be distinguished using a fixed finite set of relations and a set of parameters which has elements. We call two elements and distinguishable by a -ary relation with parameters from if there are such that while . If and is some relation, it is clear that there are at most many elements that are pairwise distinguishable by with parameters from . Delhommé [3] has shown that for every tree-automatic relation there are always sets with elements such that there are at most pairwise distinguishable elements where is a constant only depending on (and not on or ). For word-automatic structures this bound even drops to . We now provide basic definitions that allow to derive a similar bound for -automatic structures.
Definition 8.
Let be an -automatic structure with domain and be a finite set of -automata such that each recognises a -ary relation . Let be a finite set and let be an infinite family of subsets of with .
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For all we write if
for all and all , i.e., and are indistinguishable with the automata from and parameters in .
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We say is --free if for all .
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We say some set is maximal --free if is --free and there is no --free strict superset of .
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For all we write for
Set
and for , set
(where ).
measures the minimal growth rate of sets definable from with a finite set of parameters with respect to some infinite family . In most applications can be defined to be the set of all subsets. In this case just measures the growth rate of sets definable from with a finite set of parameters. Let us comment on how such a function is usually used. Typical results on growth rate are of the form “there are infinitely many such that ” for a certain polynomial . If is the set of all subsets of the domain of the given structures, this says that for infinitely many values of there is a subset of size such that every maximal - free set has size at most .
3. Basic Results
In this Section we cite some results from [6] that turn out to be useful in the following sections.
Proposition 9 (Proposition 3.6 of [6]).
Let be an ordinal of countable cofinality and let be an automaton with . For all and ,
Proposition 10 (cf. Proposition 3.7 of [6]).
Let be an ordinal of uncountable cofinality and let be an automaton with . For all and ,
Lemma 11 (Lemma 3.19 of [6]).
For every finite alphabet , there is an -automaton that recognises a well-order on the set . Moreover the relation given by if and only if is -automatic.
4. The Growth Rate Technique
Delhommé proved the following bounds on the growth rates of maximal ---free sets in the word- and tree-automatic setting.
Proposition 12 ([3]).
For each set of word-automatic relations, there is a constant such that for infinitely many .
For each set of tree-automatic relations, there is a constant such that for infinitely many .
The basic proof idea is to show that any --free set can be transformed into an --free set such that whose elements are all words (or trees) that have a domain that is similar to the union of the domains of all parameters from . In order to prove a similar result we first provide a notion of having similar domains for -words.
Definition 13.
Let , a finite set of ordinals and and ordinal of the form
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Let denote the set of ordinals such that one of the following holds:
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,
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and for maximal with , we have and for all , or
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for some and for all .
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Let .
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Let and for .
A crucial observation is that, roughly speaking, there are few -words with support in . Using the following abbreviations, we make this idea precise in the following lemma:
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,
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, and
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Lemma 14.
Suppose that is a finite set of ordinals and . Then
Proof.
A simple induction shows that all satisfy for some .
One also proves inductively that the coefficient of of an element of is bounded by . ∎
In this section, we fix an ordinal , and a finite set of -automata
Without loss of generality, each automaton has the same state set . We fix the constant .
The following proposition contains the main technical result that allows to use the relative growth technique for ordinal-automatic structures. This proposition implies that for all and there is a --free set of maximal size with support in . Since is small this provides an upper bound on the minimal size of maximal --free sets.
Proposition 15.
Let and . There is a word such that .
For better readability we first provide a simple tool for the proof
Lemma 16.
Let and . Let and some ordinal such that . If there is an ordinal such that and
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then there are natural numbers such that for
, i.e., for all and
Proof.
Set . We define the function
such that contains if and only if there is a run of from state to state on . By choice of there are with . Thus,
from which we immediately conclude that . ∎
Proof of Proposition 15.
The proof is by outer induction on and by inner (transfinite) induction on
Fix the presentation
with and proceed as follows.
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If there is some such that and
then we can apply the previous lemma and obtain a word such that and
or
has a presentation
with .
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Assume that the conditions for the previous case are not satisfied. Either for or there is a minimal such that . We first show that the latter case cannot occur. Assuming we have
Thus, there is some with
such that whence contradicting the definition of .
Thus, we can assume that for all . By definition of we conclude that for for all . We proceed with one of the following cases depending on the cofinality of .
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If has countable cofinality, let
From the definition of it follows that and that . Note that is of shape for some ordinal of countable cofinality. By definition of , is of shape for some ordinal . Choose an ordinal such that is isomorphic to and define
For all and we conclude that
whence . Moreover
because the letter at position in has been shifted to position
Since all we conclude that this position belongs to .
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If has uncountable cofinality, Let
From the definition of and the uncountable cofinality of it follows that and that . Let
and note that because since has been chosen minimal. If , then we do the following preparatory step that locally changes to some such that and shrinking the corresponding value of . For this purpose, note that for all . By choice of there are numbers such that for all , all and all we have
(2) Choose an ordinal such that and set
Now because for all
Note that the definitions of , , and with respect to agree with those for . Thus, from now on we replace by whence we can assume that .
Note that is of shape for some ordinal of uncountable cofinality. By definition of , is of shape for some ordinal . Choose an ordinal such that is isomorphic to and define
For all and we conclude that
whence . Moreover
because the letter at position in has been shifted to position
and since all we conclude that this is position is contained in because for some and some . ∎
The previous result allows us to directly deduce the following bound on the growth rates of ordinal-automatic relations.
Theorem 17.
Fix an infinite family of sets of -words with . For every , for infinitely many .
Proof.
Heading for a contradiction, assume that there is a natural number such that
where .
Take a finite set of parameters with . Having defined a finite set such that we can use the previous lemma to choose some maximal --free set with . By assumption, there is some with and . By induction we obtain .
On the other hand, all elements of have support in which by Lemma 14 is at most of size
for some constants and . Since grows faster than any polynomial in we have for some large which leads to a contradiction. ∎
5. Applications
5.1. Random Graph
The random graph (or Rado graph) is the unique countable graph that has the property that for any choice of finite subsets there is a node which is adjacent to every element of but not adjacent to any element of .
Theorem 18.
Given an ordinal , the random graph is not -automatic.
Proof.
Heading for a contradiction assume that the random graph was -automatic. As shown by Delhommé [3], the random graph satisfies for all where consists of only one automaton recognising the edge relation of the random graph and contains all subsets of the domain of the random graph. This contradicts Proposition 15. ∎
Remark 19.
Similarly, taking to be the family of all antichains, one proves that the random partial order is not -automatic (cf. [11] for an analogous result for automatic structures).
5.2. Integral Domains
In this part we show that there is no infinite -automatic integral domain for any . We cannot use the growth rate theorem directly but use a variant of its proof. The difference is that we do not use a fixed set of relations when defining the sequence but in each step we take a different relation but ensure that we can still apply Proposition 15 with a fixed constant in each step. This is ensured by using relations defined by a fixed automaton which has an additional parameter which is chosen very carefully. In fact, we follow the proof of Khoussainov et al. [11] from the automatic case. Let us recall the basic definitions and some observations from their proof. An integral domain is a commutative ring with identity such that or for all .
Lemma 20 (cf. Proof of Theorem 3.10 from [11]).
Let be an integral domain and a finite subset. There is some such that for all , if , then and , i.e., the function , is injective.
Proposition 21.
Let be an -automatic integral domain for some .111Without loss of generality, we can assume that has a injective representation by the automata such that , i.e., is a set of -words (cf. [6]).
There is a constant such that for every finite set of ordinals we have
Proof.
As an abbreviation, we use the expression for
Let denote the formula
and the formula
where denotes the -automatic well-order from Lemma 11. Due to the previous lemma for every there is a unique satisfying . Moreover, the map is injective when the domain is restricted to words with support contained in .
Since is -automatic and -automatic structures are close under first-order definitions, there is an automaton corresponding to the following formula
For each finite set of ordinals, choose an -word such that . Set
Since we are dealing with an injective presentation, Proposition 15 implies that for every there is some such that accepts and . Moreover, implies and whence we conclude that
∎
Remark 22.
We crucially rely on because otherwise we cannot be sure that there is an automaton corresponding to .
Corollary 23.
Let . There is no -automatic infinite integral domain. In particular, there is no -automatic infinite field.
Proof.
Assume is the domain of an -automatic infinite integral domain. Choose two elements from and let . Set
Iterated application of the previous lemma yields that
satisfies . Since we conclude that and . From Lemma 14 we conclude that there are only many elements in with support in for some polynomial which results in a contradiction for large . ∎
6. Optimality of the Bound on the Growth-Rate
Recall that word-automatic structures satisfy that for some constant where is a family as before and is a finite set of word-automatic relations. In contrast, our bound for -automatic structures is only for every constant . In this section, we give an example that, if , then there are -automatic structures violating any bound of the form for every constant .222It is easily shown that for every -automatic structure is word-automatic and vice versa whence the stronger bound from the word-automatic case applies.
Definition 24.
For every , let
and let be the set -words over such that if and only if . For , we also define functions
It is not difficult to see that the graphs of and are -automatic relations. Let consist of two automata, one corresponding to the graph of and one corresponding to the graph of . It is straightforward to verify that . Moreover, since and are functions, it follows that any maximal --free set is of the form for some -word . A simple calculation shows that whence .
Corollary 25.
Setting to be the family of the sets for every , we obtain that
Proof.
Just note that . ∎
Since there for every constant there is some value such that this shows that only holds for finitely many . This shows that there is no word-automatic presentation of the -automatic structure and that the bound in Theorem 17 cannot be replaced by .
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