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\chapter{Forcing} | |
We are now going to introduce Paul Cohen's technique of \vocab{forcing}, | |
which we then use to break the Continuum Hypothesis. | |
Here is how it works. | |
Given a transitive model $M$ and a poset $\Po$ inside it, | |
we can consider a ``generic'' subset $G \subseteq \Po$, where $G$ is not in $M$. | |
Then, we are going to construct a bigger universe $M[G]$ which contains both $M$ and $G$. | |
(This notation is deliberately the same as $\ZZ[\sqrt2]$, for example -- in the algebra case, | |
we are taking $\ZZ$ and adding in a new element $\sqrt 2$, plus everything that can be generated from it.) | |
By choosing $\Po$ well, we can cause $M[G]$ to have desirable properties. | |
Picture: | |
\begin{center} | |
\begin{asy} | |
size(14cm); | |
pair A = (12,30); | |
pair B = -conj(A); | |
pair M = midpoint(A--B); | |
pair O = origin; | |
MP("V", A, dir(10)); | |
draw(A--O--B); | |
fill(A--O--B--cycle, opacity(0.3)+palecyan); | |
MP("V_0 = \varnothing", origin, dir(-20)); | |
MP("V_1 = \{\varnothing\}", 0.05*A, dir(0)); | |
MP("V_2 = \{\varnothing, \{\varnothing\} \}", 0.10*A, dir(0)); | |
pair A1 = 0.4*A; | |
pair B1 = 0.4*B; | |
draw(MP("V_\omega", A1, dir(0))--B1); | |
draw(MP("V_{\omega+1} = \mathcal P(V_\omega)", 0.45*A, dir(0))--0.45*B); | |
Drawing("\omega", 0.45*M, dir(45)); | |
filldraw(O--A1--(A1+0.30*M)..(0.85*M)..(B1+0.30*M)--B1--cycle, | |
opacity(0.3)+lightgreen, heavygreen+1); | |
draw(O--0.85*M, heavygreen+1); | |
filldraw(O--(1.3*A1)..(0.85*M)..(1.3*B1)--cycle, | |
opacity(0.1)+lightred, heavyred+1); | |
Drawing("\aleph_1^V", 0.95*M, dir(0)); | |
pair F = 0.55*B+0.10*A; | |
Drawing("f", F, dir(90)); | |
draw(F--0.55*M, dotted, EndArrow, Margins); | |
draw(F--0.45*M, dotted, EndArrow, Margins); | |
Drawing("\aleph_1^M", 0.55*M, dir(45)); | |
Drawing("\aleph_1^{M[G]}", 0.65*M, dir(45)); | |
draw(0.85*M--M); | |
MP("\mathrm{On}^V", M, dir(90)); | |
MP("\mathrm{On}^M = \mathrm{On}^{M[G]}", 0.85*M, dir(135)); | |
MP("M \subseteq M[G]", 0.85*M, 3*dir(0)+dir(45)); | |
Drawing("\mathbb P", 0.3*M+0.3*A, dir(135)); | |
Drawing("G", 0.55*A+0.1*B, dir(45)); | |
\end{asy} | |
\end{center} | |
The model $M$ is drawn in green, and its extension $M[G]$ is drawn in red. | |
The models $M$ and $M[G]$ will share the same ordinals, which is represented here | |
as $M$ being no taller than $M[G]$. | |
But one issue with this is that forcing may introduce some new bijections between cardinals of $M$ | |
that were not there originally; this leads to the phenomenon called \vocab{cardinal collapse}: | |
quite literally, cardinals in $M$ will no longer be cardinals in $M[G]$, and instead just an ordinal. | |
This is because in the process of adjoining $G$, we may accidentally pick up some bijections which were not in the earlier universe. | |
In the diagram drawn, this is the function $f$ mapping $\omega$ to $\aleph_1^M$. | |
Essentially, the difficulty is that ``$\kappa$ is a cardinal'' is a $\Pi_1$ statement. | |
In the case of the Continuum Hypothesis, we'll introduce a $\Po$ such that | |
any generic subset $G$ will ``encode'' $\aleph_2^M$ real numbers. | |
We'll then show cardinal collapse does not occur, meaning $\aleph_2^{M[G]} = \aleph_2^M$. | |
Thus $M[G]$ will have $\aleph_2^{M[G]}$ real numbers, as desired. | |
\section{Setting up posets} | |
\prototype{Infinite Binary Tree} | |
Let $M$ be a transitive model of $\ZFC$. | |
Let $\Po = (\Po, \le) \in M$ be a poset with a maximal element $1_\Po$ | |
which lives inside a model $M$. | |
The elements of $\Po$ are called \vocab{conditions}; | |
because they will force things to be true in $M[G]$. | |
\begin{definition} | |
A subset $D \subseteq \Po$ is \vocab{dense} if for all $p \in \Po$, | |
there exists a $q \in D$ such that $q \le p$. | |
\end{definition} | |
Examples of dense subsets include the entire $\Po$ as well | |
as any downwards ``slice''. | |
\begin{definition} | |
For $p,q \in \Po$ we write $p \parallel q$, | |
saying ``$p$ is \vocab{compatible} with $q$'', | |
if there exists $r \in \Po$ with $r \le p$ and $r \le q$. | |
Otherwise, we say $p$ and $q$ are \vocab{incompatible} | |
and write $p \perp q$. | |
\end{definition} | |
\begin{example}[Infinite binary tree] | |
Let $\Po = 2^{<\omega}$ be the \vocab{infinite binary tree} shown below, | |
extended to infinity in the obvious way: | |
\begin{center} | |
\begin{asy} | |
size(8cm); | |
pair P = Drawing("\varnothing", (0,4), dir(90)); | |
pair P0 = Drawing("0", (-5,2), 1.5*dir(90)); | |
pair P1 = Drawing("1", (5,2), 1.5*dir(90)); | |
pair P00 = Drawing("00", (-7,0), 1.4*dir(120)); | |
pair P01 = Drawing("01", (-3,0), 1.4*dir(60)); | |
pair P10 = Drawing("10", (3,0), 1.4*dir(120)); | |
pair P11 = Drawing("11", (7,0), 1.4*dir(60)); | |
pair P000 = Drawing("000", (-8,-3)); | |
pair P001 = Drawing("001", (-6,-3)); | |
pair P010 = Drawing("010", (-4,-3)); | |
pair P011 = Drawing("011", (-2,-3)); | |
pair P100 = Drawing("100", (2,-3)); | |
pair P101 = Drawing("101", (4,-3)); | |
pair P110 = Drawing("110", (6,-3)); | |
pair P111 = Drawing("111", (8,-3)); | |
label("$\vdots$", (-7,-3), dir(-90)); | |
label("$\vdots$", (-3,-3), dir(-90)); | |
label("$\vdots$", (3,-3), dir(-90)); | |
label("$\vdots$", (7,-3), dir(-90)); | |
draw(P01--P0--P00); | |
draw(P11--P1--P10); | |
draw(P0--P--P1); | |
draw(P000--P00--P001); | |
draw(P100--P10--P101); | |
draw(P010--P01--P011); | |
draw(P110--P11--P111); | |
\end{asy} | |
\end{center} | |
\begin{enumerate}[(a)] | |
\ii The maximal element $1_\Po$ is the empty string $\varnothing$. | |
\ii $D = \{\text{all strings ending in $001$}\}$ is an example of a dense set. | |
\ii No two elements of $\Po$ are compatible unless they are comparable. | |
\end{enumerate} | |
\end{example} | |
Now, I can specify what it means to be ``generic''. | |
\begin{definition} | |
A nonempty set $G \subseteq \Po$ is a \vocab{filter} if | |
\begin{enumerate}[(a)] | |
\ii The set $G$ is upwards-closed: | |
$\forall p \in G (\forall q \ge p) (q \in G)$. | |
\ii Any pair of elements in $G$ is compatible. | |
\end{enumerate} | |
We say $G$ is \vocab{$M$-generic} if for all $D$ which are \emph{in the model $M$}, | |
if $D$ is dense then $G \cap D \neq \varnothing$. | |
\end{definition} | |
\begin{ques} | |
Show that if $G$ is a filter then $1_\Po \in G$. | |
\end{ques} | |
\begin{example}[Generic filters on the infinite binary tree] | |
Let $\Po = 2^{<\omega}$. | |
The generic filters on $\Po$ are sets of the form | |
\[ \left\{ 0,\; b_1,\; b_1b_2,\; b_1b_2b_3,\; \dots \right\}. \] | |
So every generic filter on $\Po$ corresponds | |
to a binary number $b = 0.b_1b_2b_3\dots$. | |
It is harder to describe which reals correspond to generic filters, | |
but they should really ``look random''. | |
For example, the set of strings ending in $011$ is dense, | |
so one should expect ``$011$'' to appear inside $b$, | |
and more generally that $b$ should contain every binary string. | |
So one would expect the binary expansion of $\pi-3$ might correspond to a generic, | |
but not something like $0.010101\dots$. | |
That's why we call them ``generic''. | |
\end{example} | |
\begin{center} | |
\begin{asy} | |
size(8cm); | |
pair P = Drawing("\varnothing", (0,4), dir(90), red); | |
pair P0 = Drawing("0", (-5,2), 1.5*dir(90), red); | |
pair P1 = Drawing("1", (5,2), 1.5*dir(90)); | |
pair P00 = Drawing("00", (-7,0), 1.4*dir(120)); | |
pair P01 = Drawing("01", (-3,0), 1.4*dir(60), red); | |
pair P10 = Drawing("10", (3,0), 1.4*dir(120)); | |
pair P11 = Drawing("11", (7,0), 1.4*dir(60)); | |
pair P000 = Drawing("000", (-8,-3)); | |
pair P001 = Drawing("001", (-6,-3)); | |
pair P010 = Drawing("010", (-4,-3), red); | |
pair P011 = Drawing("011", (-2,-3)); | |
pair P100 = Drawing("100", (2,-3)); | |
pair P101 = Drawing("101", (4,-3)); | |
pair P110 = Drawing("110", (6,-3)); | |
pair P111 = Drawing("111", (8,-3)); | |
draw(P01--P0--P00); | |
draw(P11--P1--P10); | |
draw(P0--P--P1); | |
draw(P000--P00--P001); | |
draw(P100--P10--P101); | |
draw(P010--P01--P011); | |
draw(P110--P11--P111); | |
draw(P--P0--P01--P010--(P010+2*dir(-90)), red+1.4); | |
MP("G", P010+2*dir(-90), dir(-90), red); | |
\end{asy} | |
\end{center} | |
\begin{exercise} | |
Verify that these are every generic filter $2^{<\omega}$ has the form above. | |
Show that conversely, a binary number gives a filter, but it need not be generic. | |
\end{exercise} | |
Notice that if $p \ge q$, then the sentence $q \in G$ tells us more information than the sentence $p \in G$. | |
In that sense $q$ is a \emph{stronger} condition. | |
In another sense $1_\Po$ is the weakest possible condition, | |
because it tells us nothing about $G$; we always have $1_\Po \in G$ | |
since $G$ is upwards closed. | |
\section{More properties of posets} | |
We had better make sure that generic filters exist. | |
In fact this is kind of tricky, but for countable models it works: | |
\begin{lemma}[Rasiowa-Sikorski lemma] | |
Suppose $M$ is a \emph{countable} transitive model of $\ZFC$ | |
and $\Po$ is a partial order. | |
Then there exists an $M$-generic filter $G$. | |
\end{lemma} | |
\begin{proof} | |
Essentially, hit them one by one. | |
\Cref{prob:rslemma}. | |
\end{proof} | |
Fortunately, for breaking $\CH$ we would want $M$ to be countable anyways. | |
% This is really just the proof of the Baire category theorem. | |
The other thing we want to do to make sure we're on the right track is guarantee | |
that a generic set $G$ is not actually in $M$. | |
(Analogy: $\ZZ[3]$ is a really stupid extension.) | |
The condition that guarantees this is: | |
\begin{definition} | |
A partial order $\Po$ is \vocab{splitting} if | |
for all $p \in \Po$, there exists $q,r \le p$ | |
such that $q \perp r$. | |
\end{definition} | |
\begin{example}[Infinite binary tree is (very) splitting] | |
The infinite binary tree is about as splitting as you can get. | |
Given $p \in 2^{<\omega}$, just consider the two elements right under it. | |
\end{example} | |
\begin{lemma}[Splitting posets omit generic sets] | |
Suppose $\Po$ is splitting. Then if $F \subseteq \Po$ is a filter | |
such that $F \in M$, then $\Po \setminus F$ is dense. | |
In particular, if $G \subseteq \Po$ is generic, then $G \notin M$. | |
\end{lemma} | |
\begin{proof} | |
Consider $p \notin \Po \setminus F \iff p \in F$. | |
Then there exists $q, r \le p$ which are not compatible. | |
Since $F$ is a filter it cannot contain both; | |
we must have one of them outside $F$, say $q$. | |
Hence every element of $p \in \Po \setminus (\Po \setminus F)$ | |
has an element $q \le p$ in $\Po \setminus F$. | |
That's enough to prove $\Po \setminus F$ is dense. | |
\begin{ques} | |
Deduce the last assertion of the lemma about generic $G$. \qedhere | |
\end{ques} | |
\end{proof} | |
\section{Names, and the generic extension} | |
We now define the \emph{names} associated to a poset $\Po$. | |
\begin{definition} | |
Suppose $M$ is a transitive model of $\ZFC$, $\Po = (\Po, \le) \in M$ is a partial order. | |
We define the hierarchy of \vocab{$\Po$-names} recursively by | |
\begin{align*} | |
\Name_0 &= \varnothing \\ | |
\Name_{\alpha+1} &= \PP(\Name_\alpha \times \Po) \\ | |
\Name_{\lambda} &= \bigcup_{\alpha < \lambda} \Name_\alpha. | |
\end{align*} | |
Finally, $\Name = \bigcup_\alpha \Name_\alpha$ denote the class of all $\Po$-names. | |
% For $\tau \in \Name$, let $\nrank(\tau)$ be the least $\alpha$ such that $\tau \in \Name_\alpha$. | |
\end{definition} | |
(These $\Name_\alpha$'s are the analog of the $V_\alpha$'s: | |
each $\Name_\alpha$ is just the set of all names with rank $\le \alpha$.) | |
\begin{definition} | |
For a filter $G$, we define the \vocab{interpretation} of $\tau$ by $G$, | |
denoted $\tau^G$, using the transfinite recursion | |
\[ \tau^G | |
= \left\{ \sigma^G | |
\mid \left<\sigma, p\right> \in \tau | |
\text{ and } p \in G\right\}. \] | |
We then define the model | |
\[ M[G] = \left\{ \tau^G \mid \tau \in \Name^M \right\}. \] | |
In words, $M[G]$ is the interpretation of all the possible $\Po$-names | |
(as computed by $M$). | |
\end{definition} | |
\textbf{You should think of a $\Po$-name as a ``fuzzy set''.} | |
Here's the idea. | |
Ordinary sets are collections of ordinary sets, | |
so fuzzy sets should be collections of fuzzy sets. | |
These fuzzy sets can be thought of like the Ghosts of Christmases yet to come: | |
they represent things that might be, rather than things that are certain. | |
In other words, they represent the possible futures of $M[G]$ for various choices of $G$. | |
Every fuzzy set has an element $p \in \Po$ pinned to it. | |
When it comes time to pass judgment, | |
we pick a generic $G$ and filter through the universe of $\Po$-names. | |
The fuzzy sets with an element of $G$ attached to it materialize into the real world, | |
while the fuzzy sets with elements outside of $G$ fade from existence. | |
The result is $M[G]$. | |
\begin{example}[First few levels of the name hierarchy] | |
Let us compute | |
\begin{align*} | |
\Name_0 &= \varnothing \\ | |
\Name_1 &= \PP(\varnothing \times \Po) \\ | |
&= \{\varnothing\} \\ | |
\Name_2 &= \PP(\{\varnothing\} \times \Po) \\ | |
&= \PP\left( \left\{ | |
\left<\varnothing, p\right> | |
\mid p \in \Po | |
\right\} \right). | |
\end{align*} | |
\end{example} | |
Compare the corresponding von Neuman universe. | |
\[ V_0 = \varnothing, \; V_1 = \{\varnothing\}, \; | |
V_2 = \left\{ \varnothing, \left\{ \varnothing \right\} \right\}. \] | |
\begin{example}[Example of an interpretation] | |
As we said earlier, $\Name_1 = \{\varnothing\}$. | |
Now suppose | |
\[ \tau = | |
\left\{ | |
\left<\varnothing, p_1\right>, | |
\left<\varnothing, p_2\right>, | |
\dots, | |
\left<\varnothing, p_n\right> | |
\right\} | |
\in \Name_2. \] | |
Then | |
\[ | |
\tau^G | |
= \left\{ \varnothing \mid | |
\left<\varnothing, p\right> \in \tau \text{ and } p \in G\right\} | |
= | |
\begin{cases} | |
\{\varnothing\} & \text{if some } p_i \in G \\ | |
\varnothing & \text{otherwise}. | |
\end{cases} | |
\] | |
In particular, remembering that $G$ is nonempty we see that | |
\[ \left\{ \tau^G \mid \tau \in \Name_2 \right\} = V_2. \] | |
In fact, this holds for any natural number $n$, not just $2$. | |
\end{example} | |
So, $M[G]$ and $M$ agree on finite sets. | |
Now, we want to make sure $M[G]$ contains the elements of $M$. | |
To do this, we take advantage of the fact that $1_\Po$ must be in $G$, and define | |
for every $x \in M$ the set | |
\[ \check x = \left\{ \left<\check y, 1_\Po\right> \mid y \in x \right\} \] | |
by transfinite recursion. | |
Basically, $\check x$ is just a copy of $x$ where we add check marks and tag every element with $1_\Po$. | |
\begin{example} | |
Compute $\check 0 = 0$ and $\check 1 = \left\{ \left<\check 0, 1_\Po\right> \right\}$. | |
Thus \[ (\check 0)^G = 0 \quad\text{and}\quad (\check 1)^G = 1. \] | |
\end{example} | |
\begin{ques} | |
Show that in general, $(\check x)^G = x$. | |
(Rank induction.) | |
\end{ques} | |
However, we'd also like to cause $G$ to be in $M[G]$. | |
In fact, we can write down the name exactly: we define | |
\[ \dot \Po \defeq \left\{ \left<\check p, p\right> \mid p \in \Po \right\}. \] | |
\begin{ques} | |
Show that $(\dot \Po)^G = G$. | |
\end{ques} | |
\begin{ques} | |
Verify that $M[G]$ is transitive: | |
that is, if $\sigma^G \in \tau^G \in M[G]$, show that $\sigma^G \in M[G]$. | |
(This is offensively easy.) | |
\end{ques} | |
In summary, | |
\begin{moral} | |
$M[G]$ is a transitive model extending $M$ (it contains $G$). | |
\end{moral} | |
Moreover, it is reasonably well-behaved even if $G$ is just a filter. | |
Let's see what we can get off the bat. | |
\begin{lemma}[Properties obtained from filters] | |
Let $M$ be a transitive model of $\ZFC$. | |
If $G$ is a filter, then $M[G]$ is transitive | |
and satisfies $\Extensionality$, $\Foundation$, | |
$\EmptySet$, $\Infinity$, $\Pairing$, and $\Union$. | |
\end{lemma} | |
This leaves $\PowerSet$, $\Replacement$, and Choice. | |
\begin{proof} | |
Hence, we get $\Extensionality$ and $\Foundation$ for free. | |
Then $\Infinity$ and $\EmptySet$ follows from $M \subseteq M[G]$. | |
For $\Pairing$, suppose $\sigma_1^G, \sigma_2^G \in M[G]$. | |
Then | |
\[ \sigma = | |
\left\{ \left<\sigma_1, 1_\Po\right>, \left<\sigma_2, 1_\Po\right> \right\} | |
\] | |
satisfies $\sigma^G = \{\sigma_1^G, \sigma_2^G\}$. | |
(Note that we used $M \vDash \Pairing$.) | |
$\Union$ is left as a problem, which you are encouraged to try now. | |
\end{proof} | |
Up to here, we don't need to know anything about when a sentence is true in $M[G]$; | |
all we had to do was contrive some names like $\check x$ or | |
$\left\{ \left<\sigma_1, 1_\Po\right>, \left<\sigma_2, 1_\Po\right> \right\}$ | |
to get the facts we wanted. | |
But for the remaining axioms, we \emph{are} going to need this extra power | |
are true in $M[G]$. | |
For this, we have to introduce the fundamental theorem of forcing. | |
\section{Fundamental theorem of forcing} | |
The model $M$ unfortunately has no idea what $G$ might be, | |
only that it is some generic filter.\footnote{You might | |
say this is a good thing; here's why. | |
We're trying to show that $\neg \CH$ is consistent with $\ZFC$, | |
and we've started with a model $M$ of the real universe $V$. | |
But for all we know $\CH$ might be true in $V$ (what if $V=L$?), | |
in which case it would also be true of $M$. | |
Nonetheless, we boldly construct $M[G]$ an extension of the model $M$. | |
In order for it to behave differently from $M$, it has to be out of reach of $M$. | |
Conversely, if $M$ could compute everything about $M[G]$, | |
then $M[G]$ would have to conform to $M$'s beliefs. | |
That's why we worked so hard to make sure $G \in M[G]$ but $G \notin M$.} | |
Nonetheless, we are going to define a relation $\Vdash$, | |
called the \emph{forcing} relation. | |
Roughly, we are going to write | |
\[ p \Vdash \varphi(\sigma_1, \dots, \sigma_n) \] | |
where $p \in \Po$, $\sigma_1, \dots, \sigma_n \in M[G]$, if and only if: | |
\begin{quote} | |
For \emph{any} generic $G$, | |
if $p \in G$, | |
then $M[G] \vDash \varphi(\sigma_1^G, \dots, \sigma_n^G)$. | |
\end{quote} | |
Note that $\Vdash$ is defined without reference to $G$: | |
it is something that $M$ can see. | |
We say $p$ \vocab{forces} the sentence $\varphi(\sigma_1, \dots, \sigma_n)$. | |
And miraculously, we can define this relation in such a way that the converse is true: | |
\emph{a sentence holds if and only if some $p$ forces it}. | |
\begin{theorem} | |
[Fundamental theorem of forcing] | |
Suppose $M$ is a transitive model of ZF. | |
Let $\Po \in M$ be a poset, and $G \subseteq \Po$ is an $M$-generic filter. | |
Then, | |
\begin{enumerate}[(1)] | |
\ii Consider $\sigma_1, \dots, \sigma_n \in \Name^M$, | |
Then | |
\[ M[G] \vDash \varphi[\sigma_1^G, \dots, \sigma_n^G] \] | |
if and only if there exists a condition $p \in G$ | |
such that $p$ \emph{forces} the sentence $\varphi(\sigma_1, \dots, \sigma_n)$. | |
We denote this by $p \Vdash \varphi(\sigma_1, \dots, \sigma_n)$. | |
\ii This forcing relation is (uniformly) definable in $M$. | |
\end{enumerate} | |
\end{theorem} | |
I'll tell you how the definition works in the next section. | |
\section{(Optional) Defining the relation} | |
Here's how we're going to go. | |
We'll define the most generous condition possible such that | |
the forcing works in one direction ($p \Vdash \varphi(\sigma_1, \dots, \sigma_n)$ means | |
$M[G] \vDash \varphi[\sigma_1^G, \dots, \sigma_n^G]$). | |
We will then cross our fingers that the converse also works. | |
We proceed by induction on the formula complexity. | |
It turns out in this case that the atomic formula (base cases) | |
are hardest and themselves require induction on ranks. | |
For some motivation, let's consider how we should define | |
$p \Vdash \tau_1 \in \tau_2$ given that we've | |
already defined $p \Vdash \tau_1 = \tau_2$. | |
We need to ensure this holds iff | |
\[ \forall \text{$M$-generic $G$ with $p \in G$}: | |
\ M[G] \vDash \tau_1^G \in \tau_2^G. \] | |
So it suffices to ensure that any generic $G \ni p$ hits a condition $q$ which forces $\tau_1^G$ to \emph{equal} a member $\tau^G$ of $\tau_2^G$. | |
In other words, we want to choose the definition of $p \Vdash \tau_1 \in \tau_2$ to hold if and only if | |
\[ | |
\left\{ q \in \Po | |
\mid \exists \left<\tau, r\right> \in \tau_2 | |
\left( q \le r \land q \Vdash(\tau=\tau_1) \right) \right\} | |
\] | |
is dense below in $p$. | |
In other words, if the set is dense, then the generic must hit $q$, so it must hit $r$, meaning that $\left<\tau_r\right> \in \tau_2$ will get interpreted such that $\tau^G \in \tau_2^G$, and moreover the $q \in G$ will force $\tau_1 = \tau$. | |
Now let's write down the definition\dots | |
In what follows, the $\Vdash$ omits the $M$ and $\Po$. | |
\begin{definition} | |
Let $M$ be a countable transitive model of ZFC. | |
Let $\Po \in M$ be a partial order. | |
For $p \in \Po$ and $\varphi(\sigma_1, \dots, \sigma_n)$ | |
a formula in the language of set theory, | |
we write $\tau \Vdash \varphi(\sigma_1, \dots, \sigma_n)$ | |
to mean the following, defined by induction on formula complexity plus rank. | |
\begin{enumerate}[(1)] | |
\ii $p \Vdash \tau_1 = \tau_2$ means | |
\begin{enumerate}[(i)] | |
\ii For all $\left<\sigma_1, q_1\right> \in \tau_1$ the set | |
\[ D_{\sigma_1, q_1} | |
\defeq | |
\left\{ r \mid | |
r \le q_1 \lthen \exists \left<\sigma_2, q_2\right> \in \tau_2 \left( r \le q_2 \land r \Vdash (\sigma_1 = \sigma_2) \right)\right\}. | |
\] | |
is dense in $p$. | |
(This encodes ``$\tau_1 \subseteq \tau_2$''.) | |
\ii For all $\left<\sigma_2, q_2\right> \in \tau_2$, | |
the set $D_{\sigma_2, q_2}$ defined similarly is dense below $p$. | |
\end{enumerate} | |
\ii $p \Vdash \tau_1 \in \tau_2$ means | |
\[ | |
\left\{ q \in \Po | |
\mid \exists \left<\tau, r\right> \in \tau_2 | |
\left( q \le r \land q \Vdash(\tau=\tau_1) \right) | |
\right\} \] | |
is dense below $p$. | |
\ii $p \Vdash \varphi \land \psi$ means $p \Vdash \varphi$ and $p \Vdash \psi$. | |
\ii $p \Vdash \neg \varphi$ means $\forall q \le p$, $q \not\Vdash \varphi$. | |
\ii $p \Vdash \exists x \varphi(x, \sigma_1, \dots, \sigma_n)$ means that the set | |
\[ | |
\left\{ q \mid \exists \tau \left( q \Vdash | |
\varphi(\tau, \sigma_1, \dots, \sigma_n ) \right) | |
\right\} | |
\] | |
is dense below $p$. | |
\end{enumerate} | |
\end{definition} | |
This is definable in $M$! | |
All we've referred to is $\Po$ and names, which are in $M$. | |
(Note that being dense is definable.) | |
Actually, in parts (3) through (5) of the definition above, | |
we use induction on formula complexity. | |
But in the atomic cases (1) and (2) we are doing induction on the ranks of the names. | |
So, the construction above gives us one direction (I've omitted tons of details, but\dots). | |
Now, how do we get the converse: that a sentence is true if and only if something forces it? | |
Well, by induction, we can actually show: | |
\begin{lemma}[Consistency and Persistence] | |
We have | |
\begin{enumerate}[(1)] | |
\ii (Consistency) If $p \Vdash \varphi$ and $q \le p$ then $q \Vdash \varphi$. | |
\ii (Persistence) If $\left\{ q \mid q \Vdash \varphi \right\}$ | |
is dense below $p$ then $p \Vdash \varphi$. | |
\end{enumerate} | |
\end{lemma} | |
You can prove both of these by induction on formula complexity. | |
From this we get: | |
\begin{corollary}[Completeness] | |
The set $\left\{ p \mid p \Vdash \varphi \text{ or } p \Vdash \neg\varphi \right\}$ | |
is dense. | |
\end{corollary} | |
\begin{proof} | |
We claim that whenever $p \not\Vdash \varphi$ then | |
for some $\ol p \le p$ we have $\ol p \Vdash \neg\varphi$; | |
this will establish the corollary. | |
By the contrapositive of the previous lemma, | |
$\{q \mid q \Vdash \varphi\}$ is not dense below $p$, | |
meaning for some $\ol p \le p$, every $q \le \ol p$ gives $q \not\Vdash \varphi$. | |
By the definition of $p \Vdash \neg\varphi$, | |
we have $\ol p \Vdash \neg\varphi$. | |
\end{proof} | |
And this gives the converse: the $M$-generic $G$ has to hit some condition | |
that passes judgment, one way or the other. | |
This completes the proof of the fundamental theorem. | |
\section{The remaining axioms} | |
\begin{theorem}[The generic extension satisfies $\ZFC$] | |
Suppose $M$ is a transitive model of $\ZFC$. | |
Let $\Po \in M$ be a poset, and $G \subseteq \Po$ is an $M$-generic filter. | |
Then \[ M[G] \vDash \ZFC. \] | |
\end{theorem} | |
\begin{proof} | |
We'll just do $\Comprehension$, as the other remaining axioms are similar. | |
Suppose $\sigma^G, \sigma_1^G, \dots, \sigma_n^G \in M[G]$ | |
are a set and parameters, and | |
$\varphi(x,x_1, \dots, x_n)$ is a formula | |
in the language of set theory. | |
We want to show that the set | |
\[ A = \left\{ | |
x \in \sigma^G \mid M[G] \vDash \varphi[x, \sigma_1^G, \dots, \sigma_n^G] | |
\right\} \] | |
is in $M[G]$; i.e.\ it is the interpretation of some name. | |
Note that every element of $\sigma^G$ is of the form $\rho^G$ | |
for some $\rho \in \dom(\sigma)$ (a bit of abuse of notation here, | |
$\sigma$ is a bunch of pairs of names and $p$'s, | |
and the domain $\dom(\sigma)$ is just the set of names). | |
So by the fundamental theorem of forcing, we may write | |
\[ A = | |
\left\{ \rho^G \mid \rho \in \dom(\sigma) | |
\text{ and } | |
\exists p \in G | |
\left( p \Vdash \rho \in \sigma | |
\land \varphi(\rho, \sigma_1, \dots, \sigma_n) | |
\right) | |
\right\}. | |
\] | |
To show $A \in M[G]$ we have to write down a $\tau$ | |
such that the name $\tau^G$ coincides with $A$. | |
We claim that | |
\[ | |
\tau | |
= | |
\left\{ \left<\rho, p\right> | |
\in \dom(\sigma) \times \Po \mid | |
p \Vdash \rho \in \sigma | |
\land \varphi(\rho, \sigma_1, \dots, \sigma_n) | |
\right\} | |
\] | |
is the correct choice. | |
It's actually clear that $\tau^G = A$ by construction; | |
the ``content'' is showing that $\tau$ is in actually a name of $M$, | |
which follows from $M \vDash \Comprehension$. | |
So really, the point of the fundamental theorem of forcing | |
is just to let us write down this $\tau$; | |
it lets us show that $\tau$ is in $\Name^M$ | |
without actually referencing $G$. | |
\end{proof} | |
\section\problemhead | |
\begin{problem} | |
For a filter $G$ and $M$ a transitive model of $\ZFC$, | |
show that $M[G] \vDash \Union$. | |
\end{problem} | |
\begin{problem}[Rasiowa-Sikorski lemma] | |
\label{prob:rslemma} | |
Show that in a countable transitive model $M$ of $\ZFC$, | |
one can find an $M$-generic filter on any partial order. | |
\begin{hint} | |
Let $D_1$, $D_2$, \dots be the dense sets (there are countably many of them). | |
\end{hint} | |
\begin{sol} | |
Since $M$ is countable, there are only countably many dense sets (they live in $M$!), | |
say \[ D_1, D_2, \ldots, D_n, \ldots \in M. \] | |
Using Choice, | |
let $p_1 \in D_1$, and then let $p_2 \le p_1$ such that $p_2 \in D_2$ | |
(this is possible since $D_2$ is dense), and so on. | |
In this way we can inductively exhibit a chain | |
\[ p_1 \ge p_2 \ge p_3 \ge \dots \] | |
with $p_i \in D_i$ for every $i$. | |
Hence, we want to generate a filter from the $\{p_i\}$. | |
Just take the upwards closure -- let $G$ be the set of $q \in \Po$ such that $q \ge p_n$ for some $n$. | |
By construction, $G$ is a filter (this is actually trivial). | |
Moreover, $G$ intersects all the dense sets by construction. | |
\end{sol} | |
\end{problem} | |
%\begin{exercise} | |
% Show that $\rank \sigma^G \le \nrank(\sigma)$ for any $\sigma \in \Name^M$. | |
%\end{exercise} | |
%\begin{exercise} | |
% Check that | |
% \begin{enumerate}[(1)] | |
% \ii $(\check x)^G = x$. | |
% \ii $(\dot G)^G = G$. | |
% \end{enumerate} | |
%\end{exercise} | |