Universes

Basics

A universe annotation on a term takes the form u#l, where l is a universe level. The universe levels are terms from the following grammar:

k ::= 0 | 1 | 2 | ...    any natural number constant
l ::= k                  universe constant
    | l + k | k + l      constant offset from level l
    | max l1 l2          maximum of two levels
    | a | b | c | ...    level variables

Let’s revisit our first example, this time using explicit universe annotations to make things clearer.

We’ve defined, below, instances of Type for universe levels 0, 1, 2 and we see that each of them has a type at the next level. The constant Type u#0 is common enough that F* allows you to write Type0 instead.

let ty0 : Type u#1 = Type u#0
let ty0' : Type u#1 = Type0
let ty1 : Type u#2 = Type u#1
let ty2 : Type u#3 = Type u#2

If you try to define ty_bad below, F* complains with the following error:

let ty_bad : Type u#0 = Type u#0

Expected expression of type "Type0"; got expression "Type0" of type "Type u#1"

The restriction that prevents a Type from being an inhabitant of itself if sometimes called predicativity. The opposite, impredicativity, if not suitably restricted, usually leads to logical inconsistency. F* provides a limited form of impredicativity through the use of squash types, which we’ll see towards the end of this chapter.

Expected expression of type "Type"; got expression "Type" of type "Type"

Now, instead of defining several constants like ty0, ty1, ty2 etc., F* definitions can be universe polymorphic. Below, we define ty_poly as Type u#a, for any universe variable a, and so ty has type Type u#(a + 1).

let ty_poly : Type u#(a + 1) = Type u#a

One way to think of ty_poly is as a “definition template” parameterized by the by the universe-variable a. One can instantiate ty_poly with a specific universe level l (by writing ty_poly u#l) and obtain a copy of its definition specialized to level l. F* can prove that instantiation of ty_poly are equal to the non-polymorphic definitions we had earlier. As the last example shows, F* can usually infer the universe instantiation, so you often don’t need to write it.

let _ = assert (ty_poly u#0 == ty0)
let _ = assert (ty_poly u#1 == ty1)
let _ = assert (ty_poly u#2 == ty2)
let _ = assert (ty_poly == ty0)

Universe computations for other types

Every type in F* lives in a particular universe. For example, here are some common types in Type u#0.

let _ : Type0 = nat
let _ : Type0 = bool
let _ : Type0 = nat -> bool

Universe of an arrow type: In general, the universe of an arrow type x:t -> t' is the the maximum of the universe of t and t'.

This means that functions that are type-polymorphic live in higher universes. For example, the polymorphic identity function that we saw in an earlier section, is actually also polymorphic in the universe level of its type argument.

let id_t : Type u#(i + 1) = a:Type u#i -> a -> a
let id : id_t = fun a x -> x

That is, the type of the identity function id is id_t or a:Type u#i -> a -> a—meaning, for all types a in universe Type u#i, id a is function of type a -> a.

Now, id_t is itself a type in universe Type u#(i + 1), and since the id function can be applied to types in any universe, it can be applied to id_t too. So, it may look like this allows one to write functions that can be applied to themselves—which would be bad, since that would allow one to create infinite loops and break F*’s logic.

let seemingly_self_application : id_t = id _ id

However, if we write out the universe levels explicitly, we see that actually we aren’t really applying the id function to itself. Things are actually stratified, so that we are instead applying an instance of id at universe u#(i + 1) to the instance of id at universes u#i.

let stratified_application : id_t u#i = id u#(i + 1) (id_t u#i) (id u#i)

One intuition for what’s happening here is that there are really infinitely many instances of the F* type system nested within each other, with each instance forming a universe. Type-polymorphic functions (like id) live in some universe u#(a + 1) and are parameterized over all the types in the immediately preceding universe u#a. The universe levels ensure that an F* function within universe level u#a cannot consume or produce terms that live in some greater universe.

type list (a:Type u#a) : Type u#a  =
 | Nil : list a
 | Cons : hd:a -> tl:list a -> list a

type list' (a:Type u#a) : Type u#(1 + a)  =
 | Nil' : list' a
 | Cons' : hd:a -> tl:list' a -> list' a

type pair (a:Type u#a) (b:Type u#b) : Type u#(max a b) =
  | Pair : fst:a -> snd:b -> pair a b

noeq
type top : Type u#(a + 1) =
  | Top : a:Type u#a -> v:a -> top

Russell’s Paradox

Type theory has its roots in Bertrand Russell’s The Principles of Mathematics, which explores the logical foundations of mathematics and set theory. In this work, Russell proposed the paradoxical set \(\Delta\) whose elements are exactly all the sets that don’t contain themselves and considered whether or not \(\Delta\) contained itself. This self-referential construction is paradoxical since:

• If \(\Delta \in \Delta\), then since the only sets in \(\Delta\) are the sets that don’t contain themselves, we can conclude that \(\Delta \not\in \Delta\).

• On the other hand, if \(\Delta \not\in \Delta\), then since \(\Delta\) contains all sets that don’t contain themselves, we can conclude that \(\Delta \in \Delta\).

To avoid such paradoxes, Russell formulated a stratified system of types to prevent nonsensical constructions that rely on self-reference. The universe levels of modern type theories serve much the same purpose.

In fact, as the construction below shows, if it were possible to break the stratification of universes in F*, then one can code up Russell’s \(\Delta\) set and prove False. This construction is derived from Thorsten Altenkirch’s Agda code. Liam O’Connor also provides some useful context and comparison. Whereas the Agda code uses a special compiler pragma to enable unsound impredicativity, in F* we show how a user-introduced axiom can simulate impredicativity and enable the same paradox.

assume
val lower ([@@@strictly_positive] a:Type u#a) : Type u#0

assume
val inject (#a:Type u#a) (x:a) : lower a

assume
val project (#a:Type u#a) (x:lower a) : a

assume
val inj_proj (#a:Type u#a) (x:a)
  : Lemma (project (inject x) == x)

noeq
type _set : Type u#1 =
  | Set : x:Type0 -> f:(x -> set) -> _set
and set : Type0 = lower _set

let zero : set = inject (Set False (fun _ -> false_elim()))
let one : set = inject (Set True (fun _ -> zero))
let two : set = inject (Set bool (fun b -> if b then zero else one))

let mem (a:set) (b:set) : Type0 =
  (v:(project b).x & (a == (project b).f v))

let not_mem (a:set) (b:set) : Type0 = mem a b -> False

let delta_big = Set (s:set & not_mem s s) dfst
let delta : set = inject delta_big

let x_in_delta_x_not_in_delta (x:set) (mem_x_delta:mem x delta)
  : not_mem x x 
  = let (| v, r |) = mem_x_delta in // mem proofs are pairs
    let v : (project delta).x = v in // whose first component is an element of delta's comprehension domain
    let r : (x == (project delta).f v) = r in //and whose second component proves that x is equal to an element in delta
    inj_proj delta_big; // we use the unsound axiom to conclude that `v` is actually the domain of delta_big
    let v : (s:set & not_mem s s) = v in //and now we can retype `v` this way
    let (| s, pf |) = v in //and unpack it into its components
    let r : (x == s) = r in //and the axiom also allows us to retype `r` this way
    let pf : not_mem x x = pf in //which lets us convert pf from `not_mem s s` to the goal
    pf //not_mem x x

let delta_not_in_delta
  : not_mem delta delta
  = fun (mem_delta_delta:mem delta delta) ->
      x_in_delta_x_not_in_delta 
          delta
          mem_delta_delta
          mem_delta_delta

let x_not_mem_x_x_mem_delta (x:set) (x_not_mem_x:x `not_mem` x)
  : x `mem` delta
  = let v : (s:set & not_mem s s) = (| x, x_not_mem_x |) in //an element of the domain set of delta_big
    inj_proj delta_big; // the unsound axiom now lets us relate it to delta
    let s : (x == (project delta).f v) = //and prove that projecting delta's comprehension and applying to v return x`
        FStar.Squash.return_squash Refl
    in
    (| v,  s |)

let delta_in_delta
  : mem delta delta
  = x_not_mem_x_x_mem_delta delta delta_not_in_delta
  
let ff : False = delta_not_in_delta delta_in_delta

Refinement types, FStar.Squash, prop, and Impredicativity

We’ve seen how universes levels are computed for arrow types and inductive type definitions. The other way in which types can be formed in F* is with refinement types: x:t{p}. As we’ve seen previously, a value v of type x:t{p} is just a v:t where p[v/x] is derivable in the current scope in F*’s SMT-assisted classical logic—there is no way to extract a proof of p from a proof of x:t{p}, i.e., refinement types are F*’s mechanism for proof irrelevance.

Universe of a refinement type: The universe of a refinement type x:t{p} is the universe of t.

Since the universe of a refinement type does not depend on p, it enables a limited form of impredicativity, and we can define the following type (summarized here from the F* standard library FStar.Squash):

let squash (p:Type u#p) : Type u#0 = _:unit { p }
let return_squash (p:Type u#p) (x:p) : squash p = ()

This is a lot like the lower and inject assumptions that we saw in the previous section, but, importantly, there is no project operation to invert an inject. In fact, FStar.Squash proves that squash p is proof irrelevant, meaning that all proofs of squash p are equal.

val proof_irrelevance (p: Type u#p) (x y: squash p) : squash (x == y)

FStar.Squash does provide a limited way to manipulate a proof of p given a squash p, using the combinator bind_squash shown below, which states that if f can build a proof squash b from any proof of a, then it can do so from the one and only proof of a that is witnessed by x:squash a.

val bind_squash (#a: Type u#a) (#b: Type u#b) (x: squash a) (f: (a -> squash b)) : squash b

It is important that bind_squash return a squash b, maintaining the proof-irrelevance of the squash type. Otherwise, if one could extract a proof of a from squash a, we would be perilously close to the unsound project axiom which enables paradoxes.

This restriction is similar to Coq’s restriction on its Prop type, forbidding functions that match on Prop to return results outside Prop.

The F* type prop (which we saw first here) is defined primitively as type of all squashed types, i.e., the only types in prop are types of the form squash p; or, equivalently, every type t : prop, is a subtype of unit. Being the type of a class of types, prop in F* lives in u#1

let _ : Type u#1 = prop

However, prop still offers a form of impredicativity, e.g., you can quantify over all prop while remaining in prop.

let _ : Type u#1 = a:prop -> a
let _ : Type u#0 = squash (a:prop -> a)
let _ : prop = forall (a:prop). a
let _ : prop = exists (a:prop). a

• The first line above shows that, as usual, an arrow type is in a universe that is the maximum of the universes of its argument and result types. In this case, since it has an argument prop : Type u#1 the arrow itself is in u#1.

• The second line shows that by squashing the arrow type, we can bring it back to u#0

• The third line shows the more customary way of doing this in F*, where forall (a:prop). a is just syntactic sugar for squash (a:prop -> a). Since this is a squash type, not only does it live in Type u#0, it is itself a prop.

• The fourth line shows that the same is true for exists.

Raising universes and the lack of cumulativity

In some type theories, notably in Coq, the universe system is cumulative, meaning that Type u#i : Type u#(max (i + 1) j); or, that Type u#i inhabits all universes greater than i. In contrast, in F*, as in Agda and Lean, Type u#i : Type u#(i + 1), i.e., a type resides only in the universe immediately above it.

Cumulativity is a form of subtyping on universe levels, and it can be quite useful, enabling definitions at higher universes to be re-used for all lower universes. However, systems that mix universe polymorphism with cumulativity are quite tricky, and indeed, it was only recently that Coq offered both universe polymorphism and cumulativity.

Lacking cumulativity, F* provides a library FStar.Universe that enables lifting a term from one universe to a higher one. We summarize it here:

val raise_t ([@@@ strictly_positive] t : Type u#a) : Type u#(max a b)

val raise_val (#a:Type u#a) (x:a) : raise_t u#a u#b a

val downgrade_val (#a:Type u#a) (x:raise_t u#a u#b a) : a

val downgrade_val_raise_val (#a: Type u#a) (x: a)
  : Lemma (downgrade_val u#a u#b (raise_val x) == x)

val raise_val_downgrade_val (#a: Type u#a) (x: raise_t u#a u#b a)
  : Lemma (raise_val (downgrade_val x) == x)

The type raise_t t is strictly positive in t and raises t from u#a to u#(max a b). raise_val and downgrade_val are mutually inverse functions between t and raise_t t.

This signature is similar in structure to the unsound signature for lower, inject, project that we use to exhibit Russell’s paradox. However, crucially, the universe levels in raise_t ensure that the universe levels increase, preventing any violation of universe stratification.

In fact, this signature is readily implemented in F*, as shown below, where the universe annotation on raise_t explicitly defines the type in a higher universe u#(max a b) rather than in its minimum universe u#a.

noeq
type raise_t (a : Type u#a) : Type u#(max a b) =
  | Ret : a -> raise_t a

let raise_val #a x = Ret x
let downgrade_val #a x = match x with Ret x0 -> x0
let downgrade_val_raise_val #a x = ()
let raise_val_downgrade_val #a x = ()

Tips for working with universes

Whenever you write Type in F*, you are implicitly writing Type u#?x, where ?x is a universe metavariable left for F* to infer. When left implicit, this means that F* may sometimes infer universes for your definition that are not what you expect—they may be too general or not general enough. We conclude this section with a few tips to detect and fix such problems.

• If you see puzzling error messages, enable the following pragma:

  #push-options "--print_implicits --print_universes"
  

  This will cause F* to print larger terms in error messages, which you usually do not want, except when you are confronted with error messages of the form “expected type t; got type t”.

• Aside from the built-in constants Type u#a, the -> type constructor, and the refinement type former, the only universe polymorphic F* terms are top-level definitions. That is, while you can define i at the top-level and use it polymorphically:

  let i (#a:Type) (x:a) = x
  let _ = i u#0 0, i u#1 nat, i u#2 (Type u#0)
  

  You cannot do the same in a non-top-level scope:

  let no_universe_poly_locally () = 
    let i (#a:Type) (x:a) = x in
    let _ = i u#0 0, i u#1 nat, i u#2 (Type u#0) in
    ()
  

  Of course, non-universe-polymorphic definitions work at all scopes, e.g., here, the i is polymorphic in all types at universe u#0.

  let type_poly_locally () = 
    let i (#a:Type) (x:a) = x in
    let _ = i #unit (), i #bool true, i #nat 0 in
    ()
  

• If you write a val f : t declaration for f, F* will compute the most general universe for the type t independently of the let f = e or type f = definition.

  A simple example of this behavior is the following. Say, you declare tup2 as below.

  val tup2 (a:Type) (b:Type) : Type
  

  Seeing this declaration F* infers val tup2 (a:Type u#a) (b:Type u#b) : Type u#c, computing the most general type for tup2.

  If you now try to define tup2,

  let tup2 a b = a & b
  

  F* complains with the following error (with --print_universes on):

  Type u#(max uu___43588 uu___43589) is not a subtype of the expected type Type u#uu___43590
  

  Meaning that the inferred type for the definition of tup2 a b is Type u#(max a b), which is of course not the same as Type u#c, and, sadly, the auto-generated fresh names in the error message don’t make your life any easier.

  The reason for this is that one can write a val f : t in a context where a definition for f may never appear, in which case F* has to compute some universes for t—it chooses the most general universe, though if you do try to implement f you may find that the most general universe is too general.

  A good rule of thumb is the following:

  • Do not write a val declaration for a term, unless you are writing an interface. Instead, directly write a let or type definition and annotate it with the type you expect it to have—this will lead to fewer surprises. For example, instead of separating the val tup2 from let tup2 just write them together, as shown below, and F* infers the correct universes.

    let tuple2 (a:Type) (b:Type) : Type = a & b
    

  • If you must write a val f : t, because, say, the type t is huge, or because you are writing an interface, it’s a good idea to be explicit about universes, so that when defining f, you know exactly how general you have to be in terms of universes; and, conversely, users of f know exactly how much universe polymorphism they are getting. For example:

    val tup2_again (a:Type u#a) (b:Type u#b) : Type u#(max a b)
    let tup2_again a b = a & b
    

• When defining an inductive type, prefer using parameters over indexes, since usually type parameters lead to types in lower universes. For example, one might think to define lists this way:

  noeq
  type list_alt : Type u#a -> Type u#(a + 1) = 
    | NilAlt: a:Type -> list_alt a
    | ConsAlt: a:Type -> hd:a -> tl:list_alt a -> list_alt a
  

  Although semantically equivalent to the standard list

  type list (a:Type u#a) : Type u#a  =
   | Nil : list a
   | Cons : hd:a -> tl:list a -> list a
  

  list_alt produces a type in u#(a + 1), since both NilAlt and ConsAlt have fields of type a:Type u#a. So, unless the index of your type varies among the constructors, use a parameter instead of an index.

  That said, recall that it’s the fields of the constructors of the inductive type that count. You can index your type by a type in any universe and it doesn’t influence the result type. Here’s an artificial example.

  type t : Type u#100 -> Type u#0 = 
    | T : unit -> t (FStar.Universe.raise_t unit)