
TL;DR
This paper constructs a set-theoretic model assuming a Mahlo cardinal where certain combinatorial properties of $ ext{cof}( ext{omega})$ subsets of $ ext{omega}_2$ are demonstrated, including the existence of an $ ext{omega}_2$-Aronszajn tree.
Contribution
It introduces a new model under large cardinal assumptions where specific reflection and approachability properties fail or hold, advancing understanding of set-theoretic combinatorics.
Findings
Existence of an $ ext{omega}_2$-Aronszajn tree in the model
Failure of the $ ext{omega}_1$-approachability property
Stationary subsets of $ ext{omega}_2 ext{∩ cof}( ext{omega})$ reflect
Abstract
Assuming the existence of a Mahlo cardinal, we construct a model in which there exists an -Aronszajn tree, the -approachability property fails, and every stationary subset of reflects.
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A Note on the Eightfold Way
Thomas Gilton and John Krueger
Thomas Gilton
Department of Mathematics
University of California, Los Angeles
Box 951555
Los Angeles, CA 90095-1555
John Krueger
Department of Mathematics
University of North Texas
1155 Union Circle #311430
Denton, TX 76203
(Date: December 2018; revised June 2019)
Abstract.
Assuming the existence of a Mahlo cardinal, we construct a model in which there exists an -Aronszajn tree, the -approachability property fails, and every stationary subset of reflects. This solves an open problem of [1].
2010 Mathematics Subject Classification: Primary 03E35; Secondary 03E05.
Key words and phrases. Stationary reflection, Aronszajn tree, approachability property, disjoint stationary sequence.
The second author was partially supported by the National Science Foundation Grant No. DMS-1464859.
Cummings, Friedman, Magidor, Rinot, and Sinapova [1] proved the consistency of any logical Boolean combination of the statements which assert the -approachability property, the tree property on , and stationary reflection at . For most of these combinations, they assumed the existence of a weakly compact cardinal in order to construct the desired model. This is a natural assumption to make, since the -tree property implies that is weakly compact in . On the other hand, Harrington and Shelah [4] proved that stationary reflection at is equiconsistent with the existence of a Mahlo cardinal. Cummings et al. [1] asked whether a Mahlo cardinal is sufficient to prove the consistency of the existence of an -Aronszajn tree, the failure of the -approachability property, and stationary reflection at . In this article we answer this question in the affirmative.
We begin by reviewing the relevant definitions and facts. We refer the reader to [1] for a more detailed discussion of these ideas and their history. A stationary set is said to reflect at an ordinal if is a stationary subset of . If does not reflect at any such ordinal, is non-reflecting. We say that stationary reflection holds at if every stationary subset of reflects to some ordinal in .
An -Aronszajn tree is a tree of height , whose levels have size less than , and which has no cofinal branches. The -tree property is the statement that there does not exist an -Aronszajn tree. A well-known fact is that if the -tree property holds, then is a weakly compact cardinal in . Therefore, if one starts with a Mahlo cardinal which is not weakly compact in (for example, if is the least Mahlo cardinal in ), then in any subsequent forcing extension in which equals , there exists an -Aronszajn tree.
The -approachability property is the statement that there exists a sequence of countable subsets of and a club such that for all limit ordinals , is approachable by in the following sense: there exists a cofinal set with order type equal to such that for all , is a member of . Essentially, this property is a very weak form of the square principle . The failure of the -approachability property is known to hold in Mitchell’s model [6] in which there does not exist a special -Aronszajn tree, which he constructed using a Mahlo cardinal.
A solution to the problem of [1] addressed in this article was originally discovered by the first author, using a mixed support forcing iteration similar to the forcings appearing in [1] and [2]. Later, the second author found a different proof using the idea of a disjoint stationary sequence. The latter proof is somewhat easier, since it avoids the technicalities of mixed support iterations, and also can be easily adapted to arbitrarily large continuum. In this article we present the second proof.
In Section 1, we discuss the idea of a disjoint stationary sequence, which was originally introduced by the second author in [5]. In Section 2, we prove the main result of the paper. In Section 3, we adapt our model to arbitrarily large continuum using an argument of I. Neeman, which we include with his kind permission.
1. Disjoint Stationary Sequences
Recall that for an uncountable ordinal , denotes the set of all countable subsets of . A set is club if it is cofinal in and closed under unions of countable increasing sequences. A set is stationary if it has non-empty intersection with every club in . For an infinite cardinal , a forcing is said to be -distributive if it adds no new subsets of of size less than .
Let be an uncountable ordinal in . Fix an increasing and continuous sequence of countable sets with union equal to (for example, fix a bijection and let ). Note that the set is club in . A set is stationary in iff the set is a stationary subset of . Indeed, if is a club which is disjoint from , then the set is a club subset of which is obviously disjoint from . On the other hand, if is a club which is disjoint from , then the set is a club in , and this club is clearly disjoint from .
Definition 1.1**.**
A disjoint stationary sequence on is a sequence , where is a stationary subset of , satisfying:
- (1)
for all , is a stationary subset of ; 2. (2)
for all in , .
As we will show below, the existence of a disjoint stationary sequence on implies the failure of the -approachability property (more specifically, that the set is not in the approachability ideal ). In our main result, the failure of the -approachability property will follow from the existence of a disjoint stationary sequence.
One of the advantages of disjoint stationary sequences over other methods for obtaining the failure of approachability, such as using the -approximation property, is their upward absoluteness.
Lemma 1.2**.**
Suppose that is a disjoint stationary sequence. Let be a forcing poset which preserves and , preserves the stationarity of , and preserves stationary subsets of . Then forces that is a disjoint stationary sequence.
The proof is straightforward.
Corollary 1.3**.**
Assume that is a disjoint stationary sequence. Let be a forcing poset which is either c.c.c., or -distributive and preserves the stationarity of . Then forces that is a disjoint stationary sequence.
The next result describes a well-known consequence of approachability; we include a proof for completeness.
Proposition 1.4**.**
Assume that the -approachability property holds. Then for any stationary set , there exists an -distributive forcing which adds a club subset of .
Proof.
Fix a sequence of countable subsets of and a club such that for all limit ordinals , there exists a set which is cofinal in , has order type , and for all , .
Define as the forcing poset consisting of all closed and bounded subsets of , ordered by end-extension. We will show that is -distributive. Observe that if and , then there is with (for example, ). Using this, a straightforward argument shows that, if is -distributive, then adds a club subset of .
To show that is -distributive, fix and a family of dense open subsets of . We will find in .
Fix a regular cardinal large enough so that all of the objects mentioned so far are members of . Fix a well-ordering of . Since is stationary, we can find an elementary substructure of such that , , , , , and are members of and . In particular, . Fix a cofinal set with order type such that for all , . Enumerate in increasing order as . Note that since is a subset of by elementarity, for all , . Consequently, for each , the sequence is a member of .
We define by induction a strictly descending sequence of conditions , starting with , together with some auxiliary objects. We will maintain that for each , the sequence is definable in from parameters in , and hence is a member of .
Given a limit ordinal , assuming that is defined for all , we define to be equal to . Then clearly is an ordinal of cofinality . Hence, is a condition and is a strict end-extension of for all . Now assume that and is defined for all . Let be the -least strict end-extension of such that . Now let be the -least condition in which is below . This completes the construction. Define .
Reviewing the inductive definition of the sequence , we see that for all , is definable in from parameters in , including specifically the sequence . Therefore, each is in . In addition, for each , . Since is cofinal in , . Let . Then is a condition since , and for all , and in particular, . For each , , so . ∎
Proposition 1.5**.**
Suppose that is a disjoint stationary sequence. Then is stationary.
Proof.
Let be club in . By induction, it is easy to define an increasing and continuous sequence satisfying:
- (1)
each is a countable elementary substructure of containing the objects and ; 2. (2)
for each , .
Let . Then by elementarity, and has cofinality and is in .
We claim that , which completes the proof. Suppose for a contradiction that . Then is defined and is a stationary subset of . On the other hand, is a club subset of . So we can fix such that .
Now the sequence is a member of , and also . So by elementarity, there exists such that . Then , so . Thus, we have that is a member of both and , which contradicts that . ∎
Corollary 1.6**.**
Assume that there exists a disjoint stationary sequence on . Then the -approachability property fails.
Proof.
Suppose for a contradiction that is a disjoint stationary sequence and the -approachability property holds. By Proposition 1.4, fix an -distributive forcing which adds a club subset of . In particular, forces that is non-stationary in . By Proposition 1.5, the sequence is not a disjoint stationary sequence in .
Now is -distributive, and it preserves the stationarity of because it adds a club subset of . By Corollary 1.3, is a disjoint stationary sequence in , which is a contradiction. ∎
2. The main result
Assume for the rest of the section that is a Mahlo cardinal. Without loss of generality, we may also assume that , since this can be forced while preserving Mahloness. Define as the set of inaccessible cardinals below .
We will define a two-step forcing iteration with the following properties. The forcing collapses to become and adds a disjoint stationary sequence on . In , is an iteration for destroying the stationarity of non-reflecting subsets of . The forcing will be -distributive and preserve the stationarity of , which implies by Corollary 1.3 that there exists a disjoint stationary sequence in . Thus, in we have that stationary reflection holds at and the -approachability property fails. If, in addition, we assume that the Mahlo cardinal is not weakly compact in , then there exists an -Aronszajn tree in as discussed above.
The remainder of this section is divided into two parts. In the first part we will develop the forcing , and in the second we will handle the forcing in . We will use the following theorem of Gitik [3]. Suppose that are transitive models of ZFC with the same ordinals and the same and . If is non-empty, then in the set is stationary in . For a regular cardinal , we let denote the usual Cohen forcing consisting of all functions from some into , ordered by reverse inclusion.
We define by induction a forcing iteration
[TABLE]
This iteration will be a countable support forcing iteration of proper forcings. We will then let .
Fix and assume that has been defined. We split the definition of into three cases. If is an inaccessible cardinal, then let be a -name for the forcing . If where is inaccessible, then let be a -name for . For all other cases, let be a -name for . Note that in any case, is forced to be proper. Now let be . At limit stages , assuming that is defined for all , we let denote the countable support limit of these forcings.
This completes the construction. For each , is a countable support iteration of proper forcings, and hence is proper. Also, by standard facts, if , then is a regular suborder of , and in , the quotient forcing is forcing equivalent to a countable support iteration of proper forcings, and hence is itself proper. We let be a -name for this proper forcing iteration which is equivalent to in .
One can show by well-known arguments that for all inaccessible cardinals , has size , is -c.c., and forces that . Namely, since is inaccessible, for all , . Hence has size by definition. A standard -system argument shows that is -c.c., and since collapses are used at cofinally many stages below , turns into .
Let . In , let us define a disjoint stationary sequence. Recall that is the set of inaccessible cardinals in in the ground model . Since is Mahlo, is a stationary subset of in . As is -c.c., remains stationary in . And since is proper and forces that , each member of has cofinality in .
The set will be the domain of the disjoint stationary sequence in . Consider . Then forces that . We have that is forcing equivalent to and is forcing equivalent to
[TABLE]
Clearly, is still equal to after forcing with or .
Since there exists a subset of in , in the set
[TABLE]
is a stationary subset of by Gitik’s theorem. Now the tail of the iteration is proper in . Therefore, remains stationary in in .
Observe that if are both in , then by definition , whereas . Thus, . It follows that in , is a disjoint stationary sequence on .
For the second part of our proof, we work in to define a forcing iteration of length which is designed to destroy the stationarity of any subset of which does not reflect to an ordinal in . This forcing will be shown to be -distributive and preserve the stationarity of . It follows from Corollary 1.3 that preserves the fact that is a disjoint stationary sequence. Note that since is -c.c. and has size , easily in .
The definition of and arguments involving are essentially the same as in the original construction of Harrington and Shelah [4]. The main differences are that we are using to collapse to become instead of , and that we are now required to show that preserves the stationarity of . We will sketch the main points of the construction, but leave some of the routine technical details to be checked by the reader in consultation with [4].
Many of the facts which we will need to know about can be abstracted out more generally to a kind of forcing iteration which we will call a suitable iteration. So before defining , let us describe this kind of iteration in detail. We will assume in what follows that .
Let us define abstractly the idea of a suitable iteration
[TABLE]
where . Such an iteration is determined by the following recursion. A condition in is any function whose domain is a subset of of size less than such that for all , is a non-empty closed and bounded subset of such that forces in that . We let if and for all , is an end-extension of . And is a nice -name for a subset of .111In our construction below, our specific suitable iteration will be shown to be -distributive. However, being -distributive is not a part of the abstract definition of a suitable iteration.
Suppose that is a transitive model of which is closed under -sequences. Then if models that is a suitable iteration, then in fact it is. Specifically, all the notions used in the recursion above are upwards absolute for such a model, since contains all -sized sets. For example, contains all closed and bounded subsets of and being a nice name is absolute.
Observe that if , then immediately implies that has size . On the other hand, if , then a straightforward application of the -system lemma shows that is -c.c. Using a covering and nice name argument, it then follows that if is -distributive for all , then so is .
Lemma 2.1**.**
Suppose that for all , forces that is non-stationary. Then for any , is forcing equivalent to .
Proof.
First we claim that contains an -closed dense subset. For each let be an -name for a club disjoint from . Define as the set of conditions such that for all , forces that . It is easy to prove that is dense and -closed.
Reviewing the definition of , clearly is separative and every condition in it has -many incompatible extensions. By a well-known fact, any -closed separative forcing of size for which any condition has -many incompatible extensions is forcing equivalent to . ∎
Having described the main facts which we will use about a suitable iteration, let us show how this kind of iteration can be used to obtain a model satisfying that stationary reflection holds at . Suppose that we have a ground model in which . Using a standard bookkeeping argument, we can define a suitable iteration
[TABLE]
so that every nice name for a non-reflecting subset of is equal to some . Specifically, assuming that is defined for some , then using and the fact that has size , we can list out all nice -names for subsets of in order type . Now choose to be the first name (according to the bookkeeping function) which was listed at some stage less than or equal to which is forced by to be non-reflecting. In this manner, we can arrange that after -many stages, all names which arise during the iteration are handled, and thus that the iteration destroys the stationarity of all non-reflecting sets. Of course this construction breaks down if we reach some such that is not -distributive. So proving the -distributivity of such a suitable iteration will be the main remaining goal.
This completes the abstract description of a suitable iteration and how it will be used to obtain stationary reflection at . Let us now return to our construction. Fix a generic filter on . Then in we have that , , and . Working in , we define a suitable iteration . We will prove that each is -distributive and preserves the stationarity of . By the discussion above, this will complete the proof of our main result.
Fix . In , fix -names for all and for all which are forced to satisfy the definitions of these objects given above (we will abuse notation by writing for the -name for the -name ).
We would like to prove that is -distributive and preserves the stationarity of . In order to prove this, we will make two inductive hypotheses. The first inductive hypothesis is that for all , is -distributive and preserves the stationarity of .
Before describing the second inductive hypothesis, we need to develop some ideas and notation. For each , define in the set to consist of all sets satisfying:
- (1)
; 2. (2)
contains as members and ; 3. (3)
and ; 4. (4)
.
An easy application of the stationarity of and the inaccessibility of shows that each is a stationary subset of . Also note that if and , then .
Consider in . Since is -c.c., the maximal condition in is -generic. So if is a -generic filter on , then . In particular, . Let be the transitive collapsing map of in . Let , which is a -generic filter on .
Lemma 2.2**.**
The following statements hold.
- (1)
* is the transitive collapsing map of in ;* 2. (2)
, , and ; in particular, is a member of ; 3. (3)
* is closed under -sequences in .*
Proof.
(1) and (2) are straightforward. Since in by the closure of and is -c.c., (3) follows immediately by a standard fact. ∎
Now we are ready to state our second inductive hypothesis: for all and for all , letting be the transitive collapsing map of and , for all , the forcing poset is forcing equivalent to in .
We begin the proof of the two inductive hypotheses for , assuming that they hold for all . Let . Let be the transitive collapsing map of and . Since is an isomorphism, by the absoluteness of suitable iterations we have that in ,
[TABLE]
is a suitable iteration of length . Applying Lemma 2.1 to this suitable iteration in the model , the second inductive hypothesis for will follow from the next lemma.
Lemma 2.3**.**
For all , forces over that is non-stationary in .
Proof.
Consider . Then by the choice of the names used in the iteration, forces that is a subset of which does not reflect to any ordinal in . In particular, forces that is non-stationary in .
Consider . We will find a -generic filter on which contains such that in , is non-stationary in . Because is arbitrary, this proves that forces that is non-stationary. Since is in and , is in . By the second inductive hypothesis, is forcing equivalent to in . By definition, the forcing iteration forces with at stage . Hence, we can write as , where is some -generic filter on .
Now is an isomorphism between the posets and . Therefore, is a filter on . The fact that is a -generic filter on easily implies that meets every dense subset of which is a member of . Now a lower bound of can be easily constructed by taking the coordinate-wise closure of the union of the clubs appearing in the conditions of . Namely, the fact that meets every dense set in implies that the maximum member of any such club is equal to , which has cofinality in and hence is not in any of the sets .
Fix a -generic filter on which contains . Now is an elementary embedding of into which satisfies that . So by a standard fact about extending elementary embeddings, we can extend to an elementary embedding which maps to . Let and . Then clearly, .
Since is the critical point of , . As forces that does not reflect to , is a non-stationary subset of in the model . By the first inductive hypothesis, is -distributive. Therefore, any club of in is actually in . Thus, is non-stationary in . But is a generic extension of by the proper forcing . So is non-stationary in . ∎
This completes the proof of the second inductive hypothesis. It remains to prove the first inductive hypothesis that is -distributive and preserves the stationarity of .
Lemma 2.4**.**
For all , for all , there exists a filter on in containing which meets every dense subset of in .
Proof.
This is similar to a part of the proof of the Lemma 2.3. Let be the transitive collapsing map of and . Let . Then . By the second inductive hypothesis which we have now verified for , is forcing equivalent to in . By definition, the forcing iteration forces with at stage . Hence, we can write as , where is some -generic filter on .
Now is an isomorphism between the posets and . Therefore, is a filter on . The fact that is a -generic filter on easily implies that meets every dense subset of which is a member of . ∎
We can now complete the proof that is -distributive and preserves the stationarity of . Given a family of fewer than many dense open subsets of and a condition , we may pick so that and are members of . Then . By Lemma 2.4, fix a filter on in which contains and meets every dense subset of in (and in particular, meets every dense set in ). It is easy to define a lower bound of in by taking the coordinate-wise closure of the union of the clubs appearing in the conditions in . Then and is in every dense open set in .
Similarly, given an -name for a club subset of and , we may choose such that and are in . Fix a filter on in which contains and meets every dense subset of in . As usual, let be a lower bound of . Then is an -generic condition, which implies that forces that is in .
3. Arbitrarily large continuum
In the model of the previous section, holds. A violation of CH is necessary, since CH implies the -approximation property, as witnessed by any enumeration of all countable subsets of in order type . In this section, we will show how to modify this model to obtain arbitrarily large continuum. This modification will use an unpublished result of I. Neeman.
Theorem 3.1** (Neeman).**
Assume that stationary reflection holds at . Then for any ordinal , forces that stationary reflection still holds at .
Proof.
We first prove the result in the special case that . Let , and suppose that forces that is a stationary subset of . We will find and an ordinal such that forces that is stationary in .
Let be the set of ordinals such that for some , forces that . Then . An easy observation is that forces that , and consequently is a stationary subset of . For each , fix a witness which forces that , and define
[TABLE]
Using Fodor’s lemma, we can find a stationary set and a set satisfying that for all , . Observe that is a condition which extends . Applying the fact that stationary reflection holds in the ground model together with an easy closure argument, we can fix such that is stationary in and for all , .
We claim that forces that is stationary in , which finishes the proof. Suppose for a contradiction that there is which forces that is non-stationary in . Using the fact that is c.c.c. and , there exists a club in the ground model such that forces that . As is finite, we can fix such that .
Since is stationary in , fix larger than . We claim that and are compatible. By the choice of , , and by the choice of , . Suppose that . Then , so . Thus, . So , and hence . On the other hand, , and so .
This proves that and are compatible. Fix . Since , forces that . On the other hand, , and forces that . So , and hence , forces that , which is a contradiction.
Now we prove the result for arbitrary ordinals . If , then is isomorphic to . Since stationary reflection holds in , it also holds in the submodel , since a non-reflecting stationary set in the latter model would remain a non-reflecting stationary set in the former model.
Suppose that . Let be a condition in which forces that is a stationary subset of , for some nice name . Then by the c.c.c. property of and the fact that conditions are finite, it is easy to show there exists a set of size such that is a nice -name and . Since has size , is isomorphic to . By the first result above, we can find in and such that forces in that is stationary in . Since is isomorphic to and is c.c.c. in , an easy argument shows that forces in that is stationary in . ∎
Now start with the model from the previous section. Then is not weakly compact in , there exists a disjoint stationary sequence in , and stationary reflection holds at in . Let be any ordinal and let be a -generic filter on . Since is c.c.c., Corollary 1.3 implies that there exists a disjoint stationary sequence in . As is not weakly compact in , there exists an -Aronszajn tree in . And stationary reflection holds in by Theorem 3.1.
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