THE AUTOMORPHISM TOWER OF A CENTERLESS GROUP

WITHOUT CHOICE
ITAY KAPLAN AND SAHARON SHELAH

Abstra t. For a enterless group

+1

G = G, G

= Aut (G )

G,

we an dene its automorphism tower. We dene

and for limit ordinals

G =

<

G .

ordinal when the sequen e stabilizes. Thomas' elebrated theorem says

Let

G < 2

be the

|G| +

and

more.
If we onsider Thomas' proof too set theoreti al, we have here a shorter proof with little
set theory.

However, set theoreti ally we get a parallel theorem without the axiom of

Choi e.
Moreover, we give a des riptive set theoreti approa h for al ulating an upper bound for

for all ountable groups

G.

We atta h to every element in

G ,

unique quantier free type over

the

-th

member of the automorphism tower of

(whi h is a set of words from

G hxi)

G,

. This situation

modified:2009-07-20

is generalized by dening  (G, A) is a spe ial pair.

1.

Introdu tion

Ba kground. Given any enterless group G, we an embed G into its automorphism

group Aut(G) as inner automorphisms. Sin e Aut(G) is also without enter, we an do
this again, and again. Thus we an dene an in reasing ontinuous sequen e hG | ordi
- the automorphism tower. The natural question that arises, is whether this pro ess stops,

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and when. We dene G = min { |G+1 = G }.

In 1939 (see [6) Wielandt proved that for nite G, G is nite. But there exist examples
of enterless innite groups su h that this pro ess does not stop in any nite stage. For
example - the innite dihedral group D = hx, y |x2 = y 2 = 1 i satises Aut (D )
= D .
The se ond author would like to thank the United States-Israel Binational S ien e Foundation for partial
support of this resear h. Publi ation 882.

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

So the question remained open until 1984, when Simon Thomas' elebrated work (see [4)

+

+
proved that G 2|G| . He later (see [5) improved this to G < 2|G| .

For a ardinal we dene as the smallest ordinal su h that > G for all enterless

groups G of ardinality . As an immediate on lusion from Thomas' theorem we have

< (2 )+ .

Notation

1.1. For a group G and a subgroup H G, let norG (H) be the normalizer of H

in G (sometime denoted NG (H)).

For H G, we dene the normalizer tower hnorG (H) | ordi of H in G by
S

nor0G (H) = H , nor+1

{norG (H) | < } for limit.
G (H) = nor(norG (H)) and norG (H) =
 

Let G,H = min nor+1 (H) = nor (H) .
G

This onstru tion turns out to be very useful, thanks to the following:

For a ardinal , let nlg be the smallest ordinal su h that nlg > Aut(A),H , for every
stru ture A of ardinality and every group H Aut (A) of ardinality .

modified:2009-07-20

In [1, Just, Shelah and Thomas found a onne tion between these ordinals: nlg .
In this paper we deal with an upper bound of , but there are results regarding lower
bounds as well, and the inequality above is used to prove the existen e of su h lower
bounds by nding stru tures with long normalizer towers. In [4, Thomas proved that
+ , and in [1 the authors found that one annot prove in ZF C a better expli it

upper bound for than (2 )+ (using set theoreti for ing). In [3, Shelah proved that if
is strong limit singular of un ountable onality then > 2 (using results from P CF

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theory).
It remains an open question whether or not there exists a ountable enterless group G
su h that G 1 .
In a subsequent paper ([2) we prove that nlg is also true without Choi e.

Results. Our main theorem: (of ourse, Thomas did not need to distinguish G and > G)

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

Theorem 1.2. (ZF ) |G| < P(> G)

and a fun tion from

enterless group

P (> G)

su h that

for a enterless group

onto it su h that

G.

G < .

That is, there is an ordinal

Moreover,

G <

for every

|G | |G|.

This is essentially theorem 3.17.

As one an gather from the theorem, here we deal with nding G without Choi e. We
dene an algebrai and absolute property of G and a subset A ((G, A) is spe ial - see
denition 3.6), that allows us to nd a bound to G (see 3.16) in terms of A. We do that
by atta hing to ea h element of G its quantier free type over A.
As a onsequen e, we get Thomas' Theorem without Choi e in 3.15. Sin e Thomas used
Fodor's lemma (and it is known that its negation is onsistent with ZF ), our result is a
stri t generalization.
We on lude that for every ardinal , if V is a sub lass of V whi h is a model of ZF

V
L(R)
su h that P() V, then < P()
and so 0 < R . (see on lusion 3.20)

Moreover, we give a des riptive set theoreti approa h to nding 0 in se tion 4. We show

there that 0 is less than or equal to the indu tive ordinal of se ond order number theory

modified:2009-07-20

(see that se tion for the denition, and on lusion 4.4).

In the last se tion, we improve the main result in some aspe ts for a wider lass of groups
that satisfy a weaker algebrai property, though not absolute ((G, A) is weakly spe ial see denition 5.1). There, instead of working with quantier free types over A, we work
with partial fun tions from

>

A to G, and we redu e the bound in the ase where A is

nite.

A note about reading this paper. How should you read this paper if you are not

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interested in the axiom of Choi e but only in the new and simpler proof of Thomas'
Theorem?
You an read only se tion 3, and in there, you should read:
Denition 3.6, laim 3.9, on lusion 3.11, laim 3.13, laim 3.14, and then nally on lusion
3.15.
Notation

1.3.

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

(1) For a group G, its identity element, will be denoted as e = eG .

(2) if A G then hAiG is the subgroup generated by A in G. Similarly, if x G,
hA, xiG is the subgroup generated by A {x}.

(3) The language of a stru ture is its vo abulary.

(4) V will denote the universe of sets; V will denote a transitive lass whi h is a model
of ZF .
(5) For a group G, and a subset H G, H G means that H is a subgroup of G.
2.

The normalizer tower without Choi e

Denition 2.1.
(1) For a group G and a subgroup H G, we dene norG (H) for every ordinal number
by:
nor0G (H) = H .
nor+1
(H) = norG (norG (H)) (see 1.1).
G
S
norG (H) = {norG (H) | < }, for limit.

 
nlg
(H) = norG (H) .
= G,H = min nor+1
(2) We dene G,H
G
modified:2009-07-20

nlg
(3) For a set k , we dene |k|
as the smallest ordinal , su h that for every stru ture

A of power kAk |k|, Aut(A),H < for every subgroup H Aut (A) of power
S
nlg
|H| |k|. Note that |k|
Aut(A),H + 1 | for su h A and H}.
=

(4) For a ardinal number (i.e. some - so an ordinal) , dene nlg similarly.
Remark

nlg
2.2. Note that |k|
is well dened (in ZF ) sin e we an restri t ourselves to

stru tures with a spe i (depending only on k ) language and universe ontained in k . See

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observation 2.3.
Observation

2.3.

(1) (ZF ) For any stru ture A whose universe is |A| = A there is a stru ture B su h
that:
A, B have the same universe (i.e. A = |B|).
A, B have the same automorphism group (i.e. Aut (A) = Aut (B)).

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

the language of B is of the form LB = {Ra |

a > A} where ea h Ra is a lg (
a)

pla e relation.
(2) (ZF C ) If A is innite then the language of B has ardinality at most |A|.
Proof.

Dene B as follows: its universe is |A|. Its language is L = {Ra |a n A, n < }

where RaB
a), whi h is dened by o (
a) = {f (
a) |f Aut (A) } - the orbit of a
under
= o (
Aut (A).

Denition 2.4. For a set A, we dene A = (A) to be the rst ordinal > 0 su h that
there is no fun tion from A onto .
Remark

2.5.

(1) ZF C A = |A|+
(2) ZF A is a ardinal number (i.e. some ), and if A is innite (i.e. there is an
inje tion from into A) then A > 0 .

(3) Usually, we shall onsider AV where V is a transitive sub lass of V whi h is a

882

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modified:2009-07-20

model of ZF .
Claim

2.6. (ZF ) If G is a group, H G a subgroup then G,H < G .

Proof.

If G,H = 0 it is lear. If not, dene F : G G,H by F (g) = i g

nor+1
(H) \ norG (H), and if there is no su h , F (g) = 0. By denition of G,H , F
G

is onto. From the denition of , G,H < G .

We an do even more:
Claim

nlg
< P(> k) .
2.7. (ZF ) For every set k , |k|

Proof.

We may assume k is not nite. Let


Bk = {(A, f, x) A is a stru ture, LA > k , |A| k , f : k |A| |A|,
x G = Aut (A) and H G, H = image (f )}

nlg
And let |k|
=

{G,H |G = Aut (A) , H = image (f ) , (A, f, x) Bk for some x }. Let

nlg
F : Bk |k|
be the following map: F (A, f, x) = i x nor+1
(H) \ norG (H), and
G

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

if there is no su h , F (A, f, x) = 0 (where G = Aut (A), and H = image (f )). Sin e

nlg
nlg
nlg
F is onto |k|
, and obviously |k|
|k|
+ 1, and P(> k) is an innite ardinal (in

parti ular - a limit ordinal), it's enough to show that there is a one to one fun tion from
Bk to P (> k). It is enough to ode A, f and x separately, as |> (P (> k))| = |P (> k)|

(this an be proved using the equality |> (> k)| = |> k| (whi h is proved using a denable
well known inje tive fun tion cd : and the fa t that 2 |k| )).
x G, hen e x k k .
f k (a a) for some a k , and there is a denable bije tion k (a a) ka a, so ode f as a

subset of k k k .
A is a sequen e of subsets of

>

k , i.e. a fun tion in k P (> k), and we an en ode su h

>

> > k

 >

2  =  k2  =
a fun tion as a member of P (> k). (Why?  k P (> k) =  k
>

|P (> k)|).

Claim

2.8. Assume that V is a transitive sub lass of V whi h is a model of ZF , G V

V
V
V
a group, H V a subgroup then G,H
= G,H
< G
.

Proof.

V
V
By laim 2.6, it remains to show that G,H
= G,H
. By indu tion on V, one

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modified:2009-07-20

an see that (norG (H))V = (norG (H))V (the formula that says that x is in norG (H ) is
bounded with the parameters G and H ).
nlg
It is also true that |k|
is preserved in V , for every k V , su h that P (> k) V:

2.9. Assume that V is a transitive sub lass of V whi h is a model of ZF .


V 
V
nlg
nlg
V
= |k|
< P(
(1) If P (> k) V then |k|
> k) .

V

V
V
(2) If k = a ardinal number and P () V then nlg
= nlg < P()

Claim

Proof.

(2) follows from (1), as we have an absolute denable bije tion cd : > .

For a set k V , su h that P (> k) V let

Ak = {(G, H) |There is a stru ture A, with |A| k , su h that
G = Aut (A) and H G, |H| |k|}

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

It is enough to prove that (Ak )V = (Ak )V , be ause by denition


V
o

[n

nlg
G,H + 1 (G, H) (Ak )V
|k|
=

o
[n


G,H + 1 (G, H) (Ak )V
=

V
nlg
V
= |k|
< P(
> k)

So let us prove the above equality: (Ak )V (Ak )V , sin e if (G, H) (Ak )V and A V

a stru ture su h that G = Aut (A) then A V and (Aut (A))V = (Aut (A))V , be ause
(Aut (A))V

|A|

|A| P (k k) V . So (G, H) (Ak )V , as witnessed by the same

stru ture.
On the other hand, suppose (G, H) (Ak )V . So let A be a stru ture on s k su h that
G = Aut (A). By observation 2.3, we may assume that LA = {Ra |
a > s }, and ea h Ra

is a lg (
a) pla e relation. (This is not ne essary, it just makes it more onvenient). Dene





a) = lg b b RaA
XA = a
b lg (
. Observe that:

modified:2009-07-20

XA V, as XA > k .

A an be absolutely dened using XA and s: its universe is s, and for ea h a

> s,
 



Ra = b lg b = lg (
a) ab XA .

So in on lusion, A V, and so G V as before. In addition H V, be ause H is the

image of a fun tion in k (s s). But there is an absolute denable bije tion
and

ks

ks

s k (s s),

s P (k k k) V . By denition (G, H) (Ak )V and we are done.

3.

The automorphism tower without Choi e

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Denition 3.1. For a enterless group G, we dene the sequen e hG | ordi:

G0 = G.
G+1 = Aut (G )
S
G = {G | < } for limit.

3.2. Re all that Inn (G) is the group of all inner automorphisms of G, i.e. onjugations by elements of G. Sin e G is enterless, this denition makes sense - G
= Inn (G)
Remark

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

Aut (G), and Aut (G) is again without enter . So we identify G with Inn (G), and so
G G+1 . This sequen e is therefore monotone and ontinuous.

Denition 3.3.
(1) Dene an ordinal G by G = min { |G+1 = G }. We shall show below that G is
well dened.
(2) For a set k , we dene |k| to be the smallest ordinal su h that > G for all
groups G with power |k|.
(3) For a ardinal number (i.e. some ), dene similarly.

Denition 3.4. For a group G (not ne essarily enterless) and a subset A, we dene
an equivalen e relation EG,A on G by xEG,A y i tpqf (x, A, G) = tpqf (y, A, G) where
tpqf (x, A, G) =
{ (z, a) |

a
n A, n < , a term in the language of groups (i.e. a word)

with parameters from A,

modified:2009-07-20

z is its only free variable and G |= (x, a

) = e}
Remark

3.5.

(1) Note that xEG,A y i there is an isomorphism between hA, xiG and hA, yiG taking
x to y and xing A pointwise.

(2) The relation EG,A is denable and absolute (sin e tpqf (x, A, G) is absolute).

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Denition 3.6. We say (G, A) is a spe ial pair if A G, G is a group and EG,A =
{(x, x) |x G } (i.e. the equality).

Example 3.7.
(1) If G = hAiG then (G, A) is spe ial.
(2) If AG and CG (A) = {e} then (G, A) is spe ial (be ause for all g G, hgag 1 |a Ai
determines g ).

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

(3) If G is enterless then (Aut (G) , G) is spe ial (see laim 3.9), so in general, the
onverse of (1) is not true.
(4) There is a group G with enter su h that (Aut (G) , Inn (G)) is spe ial, e.g. Z/2Z,
but
(5) If G is not enterless then (3) is not ne essarily true, even if |Z (G)| = 2:
It is enough to nd a group whi h satises the following properties:
(a) Z (G) = {a, e} where a 6= e.
(b) Hi G for i = 1, 2 are two dierent subgroups of index 2.
( ) Z (G) = Z (Hi ) for i = 1, 2
Let be the homomorphism : G Aut (G) taking g to ig (ig (x) = gxg 1 ). Then
Inn (G) = image ()
. We wish to nd x1 6= x2 Aut (G) with x1 EAut(G),Inn(G) x2 .
ag g
/ Hi
So dene xi (g) =
. Sin e x2i = id, xi (g) x1
= (xi (g)) = (g)
i
g g Hi
and the fa t that xi
/ Inn (G) (be ause Z (G) = Z (Hi )) it follows that
tpqf (x1 , Inn (G) , Aut (G)) = tpqf (x2 , Inn (G) , Aut (G)). Now we have to onstru t

su h a group. Noti e that it is enough to nd a enterless group satisfying only the
modified:2009-07-20

last two properties, sin e we an take its produ t with Z/2Z. So take G = D =
ha, b |a2 = b2 = ei, and Ha = ker a where a : G Z/2Z takes a to 1 and b to 0.

In the same way we dene Hb , and nish.

Notation

3.8. Let G be a group, and A some subset of G, then CG (A) is the entralizer of

A in G (i.e. {x G |a A [xa = ax] }).

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The following is the ru ial laim:

Claim

3.9. Assume G1 E G2 , CG2 (G1 ) = {e} and that (G1 , A) is a spe ial pair. Then

(G2 , A) is a spe ial pair.

Proof.

First we show that CG2 (A) = {e}. Suppose that x CG2 (A), so xax1 = a for all

a A. Sin e onjugation by x (i.e. the map h 7 xhx1 in G1 ) is an automorphism of G1 ,

(as G1 is a normal subgroup of G2 ), it follows from (G1 , A) being a spe ial pair (by remark

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

10

3.5, lause (1)) that it must be id. Hen e, x CG2 (G1 ), but we assumed CG2 (G1 ) = {e}
and hen e x = e .
Next assume that xEG2 ,A y where x, y G2 and we shall prove x = y . There is an
isomorphism : hx, AiG2 hy, AiG2 taking x to y and xing A. We wish to show that
x = y , so it is enough to show that x1 (x) CG2 (A). This is equivalent to showing
x1 (x) a (x1 ) x = a, i.e. x1 (xax1 ) x = a, i.e. (xax1 ) = xax1 (remember

that (a) = a) for every a A. But xax1 is an element of G1 (as G1 E G2 ), and

: hxax1 , AiG1 h (xax1 ) , AiG1 must be id be ause (G1 , A) is a spe ial pair, and we

are done.
Note

3.10. If G is enterless then G E Aut (G), and CAut(G) (G) = {e}.

Con lusion

3.11. Assume G is enterless and (G, A) is a spe ial pair. Then:

(1) (G , A) is a spe ial pair for every ord.

(2) CG (A) = {e} for every .

modified:2009-07-20

Proof.

(2) follows from (1). (why? by the rst stage in the proof of laim 3.9 with G1 = G2 ).

Prove (1) by indu tion on . For limit ordinal, its lear from the denitions, and for
su essors, the previous laim nishes the job using the above note.
Con lusion

3.12. Let be an ordinal, G a enterless group. Then:

(1) CG (G) = {e}.

(2) norG G = G+1 , for < .

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(3) norG (G) = G for .

Proof.

(1) Follows from on lusion 3.11 and from the fa t that (G, G) is a spe ial pair.


(2) The dire tion norG G G+1 is lear from the denition of the a tion of G+1


on G . The dire tion norG G G+1 follows from the previous lause: suppose




y norG G , so onjugation by y is in Aut G . By denition there is z G+1

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

11

su h that yxy 1 = zxz 1 for all x G , in parti ular - for all x G, So y = z (by
(1))
(3) By indu tion on .

Claim

3.13. If G is enterless and (G, A) is a spe ial pair then:

(1) (ZF C ) |G | 2|A|+0 for all ordinals .

(2) (ZF ) There is a one to one absolutely denable (with parameters G , A, and at
most 2 distinguished elements from G) fun tion from G into P (> A) for ea h
ordinal .
Proof.

(1) follows from (2). The natural way to dene the fun tion f is

f (g) = tpqf (g, A, G ), whi h is a set of equations. Lu kily it is easy to en rypt equations

as elements of

>

A: We an assume that there are at least two elements in A - a, b

(if not, G = {e} be ause CG (A) = {e}). Let (z, c) be a word over A (i.e. c is a
n

i+1
. . . where ni , mi Z, ci c, and
sequen e in A), so it is of the form . . . z mi cni i z mi+1 ci+1

modified:2009-07-20

i = 0, . . . , k 1. First we ode the exponents sequen e with a natural number, m, using

the bije tion cd : > , and then we ode the sequen e of indi es where z appears, all
it l. Then we en rypt by al bam b and after that - the list of elements of A in by
order of appearan e.
Note that our fun tion is denable as promised.
Claim

3.14. If G is enterless then:

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(1) (ZF C ) If |G | for all ordinals , then G < + .

(2) (ZF ) If |G | |A| for all ordinals and a set A, then G < A . It is enough to
assume that there is a fun tion from A onto G for ea h ordinal .
Proof.

(1) follows from (2), but with Choi e, it is mu h simpler - G+ =

{G | < + }.

Sin e |G+ | and hG i is in reasing, it follows that there must be some < + su h
that G = G+1 .

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

12

For the se ond part, rst we show that G is well dened. For this we note that if G 6= G+1
then G+1 ,G = + 1 (see on lusion 3.12). By laim 2.6, A G+1 > + 1. Sin e A is
well dened, G is well dened as well. Applying the same argument to GG , we see that
A GG > G .

So as promised, here is Thomas' theorem proved in a dierent way, without Choi e:

Con lusion

3.15. (ZF C ) Thomas' theorem: if G is a enterless group then G < 2|G|

Moreover, < (2 )+ .
Proof.

+

Taking A = G, so that (G, A) is a spe ial pair, applying 3.13 and 3.14 we get the

result regarding G . Noting that (2 )+ is regular and that there are, up to isomorphism,
at most 2 groups of order we are done.

Now we deal with the ase without Choi e.

Main Theorem 3.16. (ZF ) If (G, A) is a spe ial pair and G is a enterless group, then
G < P(> A) .

modified:2009-07-20

Proof.

By laim 3.14, lause (2), we only need to show that |G | |P (> A)|, but this is

exa tly laim 3.13, lause (2).

Now we shall improve this by:

Main Theorem 3.17. (ZF ) For every set k, |k| < P(> k).
We may assume 2 |k|. Re all that
S
= {G + 1 |G is enterless and |G| |k|}, but we an repla e this by
S
= {G + 1 |G G } where

Proof.

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|k|
|k|

G = {G |G is enterless and G k }. By the previous theorem (3.16), we know that |k|

P(> k) (be ause for all G G , (G, G) is a spe ial pair, so G < P(> G) P(> k) ), but we

want a stri t inequality.

S
>
{G |G G }. |k|
Let
|k| =
|k| + 1, and sin e P( k) > 0 (see remark 2.5), it is
>
enough to prove
|k| < P( k) .

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

13

For ea h G G we dene a fun tion RG : P (> k) G whi h is onto: rst we dene a

fun tion from P (> k) onto GG (using laim 3.13) , then from GG onto G (using laim
2.6, and laim 3.12).
Let B = {(x, G) |G G, x P (> k) }. Dene a fun tion R1 : B
|k| by R ((x, G)) =
RG (x) (note - sin e RG is denable, there is no use of Choi e). By denition, R1 is onto.

Now it is enough to nd an inje tive fun tion R2 : B P (> k). A group G = h|G| , , 1 i
is a triple of nonempty subsets of

>

k (|G| is the universe set of G). As we already

mentioned (see the proof of 2.7), |> P (> k)| = |P (> k)| (as 2 |k|), and we are done. 
We postpone the proof of the following absoluteness lemma to the appendix.

Lemma 3.18.

Let

V V

a transitive sub lass, whi h is a model of

G, P (> A) V . Then, for


G | < in V is the same in V (i.e.

be a spe ial pair, and suppose

automorphism tower


V |= G | <

is the automorphism tower up to

ZF .

every ordinal

Let

(G, A)

V,

the

).

modified:2009-07-20

Using this lemma, we an nally dedu e the following theorem.

Theorem 3.19.
(1) Let V V a transitive sub lass, whi h is a model of ZF . If P (> k) V, then

V

V
V
|k| = |k|
< P(
> k) .

L(R)

(3) In parti ular, 0 < R

revision:2009-07-19

Proof.

882

V
(2) If is a ardinal number in V su h that P () V, then ( )V = ( )V < P()
.

Obviously, we need only to see (1). Let

G = {G |G is a enterless group and G k }. By the assumption on k , it is easy to see

that G V = G V . Hen e



S
S

V
V
G + 1 G G V = |k|
G + 1 G G V =
|k|
=
(the se ond equality is lemma

V
V
< P(
3.18). By theorem 3.17, we have |k|
> k) .

If we apply lemma 1.8 from [1, whi h says that nlg and get:

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

Main Con lusion

14

3.20. Let V V be as before (but now assume V |= ZF C ). If P (> k)

nlg
V
V, then |k|
|k| < P(
> k) .

Note

3.21. We a tually don't need to assume that V is a model of ZF C and we address

this subje t in [2. For a ardinal number , we show that nlg is true even without

|kh<i | (see the denitions there).

Choi e, but for a general k , we get nlg
|kh<i |

4.

The des riptive set theoreti approa h

In this short se tion we give a des riptive set theoreti approa h into nding a bound
on 0 . We start with the denition.

Denition 4.1. Let A be stru ture with universe A = |A|.

(1) For a formula (x, X) - a rst order formula in the language of A, where x is a
single variable and X is a monadi variable (i.e. serve as a unary predi ate - vary on
subset of the stru ture, so not quantied inside the formula) - we dene a sequen e
hX A | Ordi by:

modified:2009-07-20

X0 = .

= X {x A | (x, X ) is satised in A }.
X+1

S
X | < for limit.
X =
 

.
(2) For su h a formula , let = min X = X+1

(3) Let = (A) - the indu tive ordinal of the stru ture - be the rst ordinal su h that
for any su h formula (allowing members of A as parameters) , < .

Theorem 4.2.

For a enterless group

with set of elements

882

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phism tower is smaller than the indu tive ordinal of the stru ture
the operations of
Note

, membership, and

the height of its automor-

A with universe P ()

(i.e. its produ t and inverse).

4.3. In this version of the theorem we do not need to use parameters in denition

4.1. However the theorem holds even without assuming that the stru ture ontains G, but
then we need parameters (G (as a group) an be en oded as a subset of ). In that ase
this is se ond order number theory. Hen e the on lusion is:

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

Con lusion

15

4.4. If A is the standard model of se ond order number theory (as above), then

0 (A).
Proof.

(of the theorem; sket h) By the denition it is enough to nd a formula su h

that X en odes G (in luding its multipli ation and inverse). By (G, G) being spe ial,
we know that we an identify members of G with sets of nite sequen es of (see the
proof of laim 3.13). It is well known that the operations of N allow us to en ode nite
sequen es, and in this stru ture we an en ode nite sequen es of subsets of .
Hen e, mu h like the proof of lemma 3.18 (in the appendix - it is advised to read it in
order to understand this proof), we an nd three formulas as in denition 4.1 - (x, X),
(x, y, X) and (x, y, z, X) su h that if X en odes G then:


x satises x, X i x en odes a quantier free type of an element in G+1 .


x, y satises x, y, X i x, y G+1 and x y = id.


x, y, z satises x, y, z, X i x y = z .


Dene x, X to say that x en odes a triple (a, b, c) where a G+1 , b en odes a pair
(d, d1) where d G+1 and c en odes a triple (e, f, e f ) where e and f are from G+1 .
modified:2009-07-20

Now we have su essfully en oded G+1 as required.

5.

Strengthening the main theorem

Here we improve the main theorem by onsidering pairs (G, A) that satisfy a weaker
ondition than being spe ial. We nd a bound on G for enterless groups G with a subset
A su h that (G, A) is weakly spe ial. This bound, when interperted in ZF C , is the same

882

revision:2009-07-19

bound as one gets using Thomas' proof from [5.

Denition 5.1.
(1) For a enterless group G, and subgroups H1 , H2 , we say that a homomorphism
(really a monomorphism) : H1 H2 is good if there is an automorphism :
GG GG (so a tually an inner automorphism) su h that = H1 .
k
k
be an equivalen e relation on G dened by: xEG,A
y i there is
(2) If A G, let EG,A

a good homomorphism taking x to y and xing A pointwise.

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

16

k
(3) We say that the pair (G, A) is weakly spe ial if EG,A
is {(x, x) |x G }.

Remark

k
5.2. If xEG,A
y then also xEG,A y but not ne essarily the other dire tion, and so if

(G, A) is spe ial, it is also weakly spe ial (so the name is justied).
Claim

5.3. If G1 is enterless, G2 = Aut (G1 ), and (G1 , A) is weakly spe ial, then so is

(G2 , A).
Proof.

The proof is identi al to the proof of 3.9, sin e onjugation is a good homomorphism,

G1 E G2 and G1G1 = G2G2 .

And mu h like on lusion 3.11 we have:

Con lusion

5.4. If G is a enterless group and (G, A) is (weakly) spe ial then so is (G , A)

for every ordinal , and CG (A) = {e}.

The onverse is true as well:
Claim

5.5. If for every ordinal , CG (A) = {e} then (G, A) is weakly spe ial (so one an

modified:2009-07-20

take this as the denition).

Proof.

Suppose is a good homomorphism taking x to y and xing A pointwise. Let

Aut (GG ) be su h that G = . Then, by denition, has to be onjugation by

some element of GG , and by assumption CGG (A) = {e}, hen e = id.



Denition 5.6. Denote by PF (A, B) the set of all partial fun tions from A to B (i.e.

882

revision:2009-07-19

su h that the domain is a subset of A).

Denition 5.7. Say that a set A is pseudo nite if there is no fun tion from A onto
(i.e. A ). Obviously, if A is nite, it's also pseudo nite.

Denition 5.8. Let w0 (x) = x, wn+1 (x, hyi |i < n + 1 i) = wn (xyn x1 , hyi |i < ni).
Denition 5.9. Call a tuple (G, A, B, h) 2-spe ial if

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

17

(1) (G, A) is weakly spe ial.

(2) A B G.
(3) h is a fun tion, with domain G and if A is pseudo nite then h : G
and if not, then h : G PF (> A, B).

{PF (n> A, B) |n < },

(4) For any g G, a dom (h (g)), wlg(a) (g, a) = h (g) (a).

) = h (g) (
a) for all a
dom (h (g)), then g = g .
(5) If g G, g GG and wlg(a) (g , a
Remark
Claim

5.10. If (G, A, B, h) is 2-spe ial then by (4) and (5) h is inje tive.

5.11. Suppose that (G, A, B, h) is 2-spe ial, then there is some h h1 su h that

(Aut (G) , A, B, h1 ) is 2-spe ial.

Proof.

Denote G1 = Aut (G). As (G, A) is weakly spe ial, CG1 (A) = {e}. Dene h1 as

follows:
h1 G = h. For g G1 \G, and a A, let fg,a = h (gag 1) (as G G1, this is well dened).



Let dom (h1 (g)) = ba b dom (fg,a ) , a A , and

882

revision:2009-07-19

modified:2009-07-20

h1 (g) ba = fg,a b .

Now we he k that the denition holds: (1) holds by 5.3. (2) is obvious.
(3): Obviously dom (h1 (g))

>

A, so if A is not pseudo nite we are done. In the

ase where A is pseudo nite, there is some n su h that dom (fg,a )

n>

A for all a A

(otherwise, the fun tion a 7 min {n < |dom (fg,a ) n> A} is onto an unbounded subset
of , and for every su h subset there is a fun tion from it onto ). Hen e
S
dom (h1 (g)) n+1> A, so h1 : G1 {PF (n> A, B) |n < }.

(4): For g G, sin e h1 (g) = h (g), there is nothing to prove. Suppose g G1 \G and
ba dom (h1 (g)) (re all that by denition, the length of an element from dom (h1 (g)) is
not zero). We have








wlg(ba) g, ba = wlg(b) gag 1, b = fg,a b = h1 (g) ba

(5): Suppose g G1 , g GG , and wlg(a) (g , a

) = h1 (g) (
a) for all a
dom (h (g)). If
g G, then sin e h1 (g) = h (g), g = g by assumption. Suppose g G1 \G. In this ase,

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

18

we have that for all a A and b dom (fg,a ),




1

wlg(ba) g , ba = wlg(b) g a (g ) , b







= h gag 1 b = fg,a b = h1 (g) ba .




I.e. wlg(b) g a (g )1 , b = h (gag 1) b for all b dom (h (gag 1)). By assumption,
g a (g )1 = gag 1 for all a A. By (1), and by 5.4, g = g .

Claim

5.12. Let (G, A) be weakly spe ial. The fun tion h, dened by h (g) = {(hi , g)}

witnesses that (G, A, G, h) is 2-spe ial.

Proof.

Che king the denition, all lauses are trivial, for example, (4): for any g G,

w0 (g) = h (g) (hi) = g .


Con lusion

5.13. Assume (G, A) is weakly spe ial. Then for all G , there is a fun tion

h that shows that (G , A, G, h ) is 2-spe ial.

By indu tion on we nd h su h that for < , h h . For = 0, this is

S
exa tly the previous laim. For = +1, this is 5.11. For limit, let h = {h | < }.

modified:2009-07-20

Proof.

It is easy to see that denition 5.9 holds.

We on lude with:

882

revision:2009-07-19

Theorem 5.14.

If

(G, A)

is a weakly spe ial pair, then:

(1) (ZF )

If

is pseudo nite,

(2) (ZF )

If

is nite,

G < S{PF(n> A,G)|n< } ,

G < S{n (G{g})|n< }

where

and if not,

g
/ G.

G < PF(> A,G) .

If, moreover, there is a

onto G, then G < = 1 .


+
(3) (ZF C ) G < |G||A| + 0 .
fun tion from

Proof.
|A|

(3) follows from (1) by lassi al ardinal arithmeti 's (re all that |PF (A, B)| =

|B| , provided that 2 |B|).

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

19

To prove (1), we use laim 3.14, lause (2): from 5.13, we know that for all , if A is
S
pseudo nite, then |G | | {PF (n> A, G) |n < }|, and if not, |G | |PF (> A, G)| as

witnessed by h .



(2): |PF (A, B)| = A (B {b}), where b
/ B so if A is nite, sin e |> A| = ||,

G < S{n (G{g})|n< } where g

/ G. If there is a fun tion from onto G, there is su h

a fun tion from onto G {g}. Sin e || = |> |, there is a fun tion from onto
S n
{ (G {g}) |n < }, and we are done.

The ZF C version of 5.14 is not new, although it is not mentioned expli itly in [5: one
an prove it using a slight modi ation of the proof there (i.e. using Fodor).
From (2) above, we easily get:
Con lusion

5.15. If G is (pseudo) nitely generated then G < = 1 .

The ase where G is nitely generated is interesting, also due to the fa t that the tower
is absolute:

modified:2009-07-20

Lemma 5.16.

revision:2009-07-19

V V

a transitive sub lass, whi h is a model of

enterless group, nitely generated by

A.

Then, for every ordinal


G | < in V is the same in V (i.e.


V |= G | < is the automorphism tower

ZF .

Let

be a

V, the automorphism

tower

up to

).

We prove this lemma in the appendix. In on lusion, we have:

Con lusion

882

Let

5.17. If G is nitely generated then G < L1 .

Comparing theorem 5.14 with theorem 3.16:

First of all, the ondition - (G, A) is weakly spe ial - is weaker than (G, A) is spe ial (note
that spe ialty is absolute, while weak spe ialty is not) so 5.14 is stronger in that aspe t. In
3.16, G does not appear in the bound, only A, so the bounds are not dire tly omparable.
However, the bound in the last theorem is better in the ase where A is nite. If G = A,
then the theorems are the same, be ause |PF (> G, G)| = |P (> G)|.

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

6.

20

Appendix - absoluteness lemmas

Here we shall prove the absoluteness lemmas (lemma 3.18, 5.16).

Lemma 6.1.

Let

V V

a transitive sub lass, whi h is a model of

G, P (> A) V . Then, for


G | < in V is the same in V (i.e.

be a spe ial pair, and suppose

automorphism tower

ZF .

every ordinal

Let

(G, A)

V,

the


V |= G | < is the automorphism tower up to ).
E
D 
V

. We shall prove by indu tion on < that T + 1 is
Proof. Let T = G  ord

the automorphism tower in V up to + 1.

For = 0 this is lear sin e G V.

For limit this follows from the denitions.
Suppose = + 1. By the indu tion hypothesis T is the automorphism tower in V,

V

V


V . For every Aut G = G in V, we need to show that
= G
so G

(G )V .

A short explanation of what follows: by our assumption, the set of quantier free types
over A is in V . To show that is in V, we would want to identify, in an absolute way,
modified:2009-07-20

its quantier free type over A. In order to do that, we identify small pie es of the a tion
of on G : for ea h h G , we nd what is hA {h}i, by des ribing the quantier
free type of , h in G over A (i.e. a type in 2 variables). These types amount to normal
subgroups of A hx, yi. After des ribing the restri tions of to hA {h}i for all h, we
demand that they agree on their ommon domains, and this allows us to dene as their
union.

882

revision:2009-07-19

Without loss of generality A is a subgroup of G - if not, repla e it with hAiG (we an dene
a fun tion from

>

A onto

>

hAiG as in laim 3.13). Let A = A hxi i.e. the free produ t

of A and the innite y li group. As in 3.13 there is an absolute denable fun tion from
>

A onto A, so P (A) V. Let B = A hx, yi, and by the same reasoning P (B) V.

For every g G , there is a homomorphism g from A onto hA {g}iG dened by

x 7 g , and xing A pointwise. By 3.11 ((G , A) is spe ial), g 7 ker (g ) is inje tive, and

absolutely denable (ker (g ) is basi ally just tpqf (g, A, G)). Note that by the indu tion

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

21

hypothesis, V
g = g for g G . Similarly, for g, h G , there is a homomorphism

g,h from B onto hA {g, h}iG xing A pointwise and taking x to g and y to h, and
(g, h) 7 ker (g,h ) is inje tive.

The following denition allows us to interpret the type of g in the type of some pair (h1 , h2 )
(see example below):

Denition 6.2. Let B B

(1) For every B, Let : A B be the homomorphism dened by x 7 ,
A = id.

(2) For g G we say that g is aliated with B (denoted g B ) if there is a word

(B).
g = (x, y, a) B (a are parameters from A) su h that ker (g ) = 1
g

Example 6.3. Let G, h G . If B = ker (,h ) then for every g G , g B i

there exists g su h that ,h (g ) = g (i.e. g hA {h, }iG G ). It ould easily be
veried that this is indeed true, using the equality ,h () = ,h for every B,

modified:2009-07-20

and 3.11.


We shall nd an absolute rst order formula H, P (> A) , G that will say  H is a


normal subgroup of A = A hxi and there exists an automorphism Aut G = G

su h that H = ker ( ).

If we su eed then if (G )V then ker ( ) , P (> A) , G will hold. Sin e ker ( )

V, and was absolute, there is some (G )V su h that ker ( ) = ker ( ) so =

and we are done.

882

revision:2009-07-19

Let us des ribe . It will say that H is a normal subgroup of A and that for ea h h G
there exists a subgroup B = Bh B with the following properties:
(1) B is a normal subgroup of B.
(2) H B , and B A = H .
(3) For every a A, a B and a = a (equivalently B A = {e})
(4) h B and h = y .
(5) If g B and both 1 and 2 witness that, then 1 21 B .

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

22

(6) If g1 , g2 B then so is g1 g2 and g1 g2 = g1 g2 .

(7) If g B then there exists g G su h that g B and xg x1 = g .


B = Bh indu es a monomorphism B whose domain is HB = g G |g Bh . It is a
subgroup of G ontaining A and h (why? be ause of the onditions on Bh ). For every

g HB dene B (g) to be the element g G as promised from property (7) (so the
B then g1 = g2 .
range of B is also HB ). Note that for every g1 , g2 HB , if g1 g1
2

Why? Sin e B is normal, indu es : A B/B , and so the ondition g B

 
be omes ker (g ) = ker g . Now, if 0 B , then 0 = so g1 = g2 and hen e
ker (g1 ) = ker (g2 ) .

Now it an easy exer ise to see that B is a well dened monomorphism,

After dening B we demand that for every h1 , h2 G and all suitable B1 and B2 , B1


S
Bh h G , and
and B2 agree on their ommon domain. Thus we an dene H =
demand that H will be an automorphism (i.e. onto). Now all that is left is to say that

H = ker (H ), and is written.

(There is no problem with writing this in rst order. Moreover, the formula is bounded in

modified:2009-07-20

its parameters.)
Why is orre t? be ause if (H, . . .) is true, then H = ker (H ) by denition. On the
other hand, if H = ker ( ) for some , then:
For ea h h, ker (,h ) will be a suitable Bh (by the example above).
If B satises the onditions above, then B A = A be ause by ondition (2)




1
1
ker B (a) = xax
B A = id and by 3.11,
1 (H) = ker (a) . Hen e,

882

revision:2009-07-19

B HB = HB . So all the B s agree on their ommon domains.

In on lusion, the demands on H are satised, and we are done.

Lemma 6.4.

Let

V V

a transitive sub lass, whi h is a model of

enterless group, nitely generated by

A.

Then, for every ordinal


G | < in V is the same in V (i.e.


V |= G | < is the automorphism tower

tower

up to

).


ZF .

Let

G V

be a

V, the automorphism

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

Proof.

23

E
D 


As above, let T = G  ordV , and we shall prove by indu tion on < that

T + 1 is the automorphism tower in V up to + 1.

For = 0 this is lear sin e G V.

For limit this follows from the denitions.
Suppose = + 1. By the indu tion hypothesis T is the automorphism tower in V, so

V

V

G = G
V . Let Aut G = G in V. We need to show that (G )V .

We prove by indu tion on j , that the sequen e Ij = h Gi |i j i is in V. For j = ,

we have that = G V .
j = 0: Sin e A is nite,

V

V

, so A V . hAi = G, so G V .

(It is just the set of pairs (g, h) where g G, h G , and there is a nite sequen e
Q (i)
Q
a0 , . . . , an1 A and a fun tion : n {1}, su h that g = ai and h = (ai )(i) .)
S
j limit: Let Gj = { Gi |i < j }. Using it we an dene Ij = h Gi |i j i.
j = i + 1: Gj is the set of all pairs (g, h) su h that

g Gj , h G and for all g Gi , (gg g 1 ) = h (g ) h1 .

Note that this ondition is absolute, and hen e we are done if it works. Why is that true?
modified:2009-07-20

Obviously if (g, h) Gj , then this ondition holds. Conversely, it is enough to show

that for ea h g , there is exa tly one h su h that (g, h) satises this ondition. Suppose
1

that for h1 , h2 we have that for all g Gi , h1 (g ) h1

1 = h2 (g ) h2 . So, working in V,

we let h1 = 1 (h1 ) , h2 = 1 (h2 ), and we get that onjugation by (h1 )1 h2 is id on Gi .

By the fa t that (G, A) is spe ial, this implies that h1 = h2 , so h1 = h2 .
Note that this proof is simpler than the proof of the previous lemma. This is due to the
fa t that here, given , we have that G is automati ally in V, while this is not the

882

revision:2009-07-19

ase in general.


Referen es
[1 Winfried Just, Saharon Shelah, and Simon Thomas. The automorphism tower problem revisited. Advan es in Mathemati s, 148:243-265, 1999.

englishTHE AUTOMORPHISM TOWER OF A CENTERLESS GROUP WITHOUT CHOICE

24

[2 Itay Kaplan and Saharon Shelah, Representing groups as automorphism groups of elds without Choi e,
913 in Shelah ar hive. To appear.
[3 Saharon Shelah, The height of the automorphism tower of a group, 810 in Shelah ar hive. To appear.
[4 Simon Thomas. The automorphism tower problem. Pro eedings of the Ameri an Mathemati al So iety,
95:166-168, 1985.
[5 Simon Thomas. The automorphism tower problem II. Israel Journal of Mathemati s, 103:93-109, 1998.
[6 H. Wielandt. Eine Verallgemeinerung der invarianten Untergruppen. Mathematis he Zeits hrift, 45:209-

882

revision:2009-07-19

modified:2009-07-20

244, 1939.