The axiom , introduced by Gödel, asserts that every set is ordinal definable. This axiom has a subtler foundational aspect than might at first be expected. The reason is that the general concept of “object is definable using parameter ” is not in general first-order expressible in set theory; it is of course a second-order property, which makes sense only relative to a truth predicate, and by Tarski’s theorem, we can have no first-order definable truth predicate. Thus, the phrase “definable using ordinal parameters” is not directly meaningful in the first-order language of set theory without further qualification or explanation. Fortunately, however, it is a remarkable fact that when we allow definitions to use arbitrary ordinal parameters, as we do with , then we can in fact make such qualifications in such a way that the axiom becomes first-order expressible in set theory. Specifically, we say officially that holds, if for every set , there is an ordinal with , for which which is definable by some formula in the structure using ordinal parameters. Since is a set, we may freely make reference to first-order truth in without requiring any truth predicate in . Certainly any such as this is also ordinal-definable in , since we may use and the Gödel-code of also as parameters, and note that is the unique object such that it is in and satisfies in . (Note that inside an -nonstandard model of set theory, we may really need to use as a parameter, since it may be nonstandard, and may not be definable in using a meta-theoretically standard natural number; but fortunately, the Gödel code of a formula is an integer, which is still an ordinal, and this issue is the key to the issue.) Conversely, if is definable in using formula with ordinal parameters , then it follows by the reflection theorem that is defined by inside some . So this formulation of is expressible and exactly captures the desired second-order property that every set is ordinal-definable.
Consider next the axiom , asserting that every set is definable from ordinal parameters and parameter . Officially, as before, asserts that for every , there is an ordinal , formula and ordinals , such that is the unique object in for which , and the reflection argument shows again that this way of defining the axiom exactly captures the intended idea.
The axiom I actually want to focus on is , asserting that the universe is of a set. (I assume ZFC in the background theory.) It turns out that this axiom is constant throughout the generic multiverse.
Theorem. The assertion is forcing invariant.
- If it holds in , then it continues to hold in every set forcing extension of .
- If it holds in , then it holds in every ground of .
Thus, the truth of this axiom is invariant throughout the generic multiverse.
Proof. Suppose that , and is a forcing extension of by generic filter . By the ground-model definability theorem, it follows that is definable in from parameter . Thus, using this parameter, as well as and additional ordinal parameters, we can define in any particular object in . Since this includes all the -names used to form , it follows that , and so is of a set, as desired.
Conversely, suppose that is a ground of , so that for some -generic filter , and for some set . Let be a name for which . Every object is definable in from and ordinal parameters , so there is some formula for which is unique such that . Thus, there is some condition such that is unique such that . If is a fixed enumeration of in , then for some ordinal , and we may therefore define in using ordinal parameters, along with and the fixed enumeration of . So thinks the universe is of a set, as desired.
Since the generic multiverse is obtained by iteratively moving to forcing extensions to grounds, and each such movement preserves the axiom, it follows that is constant throughout the generic multiverse. QED
Theorem. If , then there is a forcing extension in which holds.
Proof. We are working in ZFC. Suppose that . We may assume is a set of ordinals, since such sets can code any given set. Consider the following forcing iteration: first add a Cohen real , and then perform forcing that codes , and into the GCH pattern at uncountable cardinals, and then perform self-encoding forcing above that coding, coding also (see my paper on Set-theoretic geology for further details on self-encoding forcing). In the final model , therefore, the objects , , , and are all definable without parameters. Since has a closure point at , it satisfies the -approximation and cover properties, and therefore the class is definable in using as a parameter. Since this parameter is itself definable without parameters, it follows that is parameter-free definable in . Since is also definable there, it follows that every element of is ordinal-definable in . And since , and are also definable without parameters, we have , as desired. QED
Corollary. The following are equivalent.
- The universe is of a set: .
- Somewhere in the generic multiverse, the universe is of a set.
- Somewhere in the generic multiverse, the axiom holds.
- The axiom is forceable.
Proof. This is an immediate consequence of the previous theorems. . QED
Corollary. The axiom , if true, even if true anywhere in the generic multiverse, is a switch.
Proof. A switch is a statement such that both it and its negation are necessarily possible by forcing; that is, in every set forcing extension, one can force the statement to be true and also force it to be false. We can always force to fail, simply by adding a Cohen real. If is true, then by the first theorem, every forcing extension has for some , in which case remains forceable, by the second theorem. QED
The proof begins by assuming that . That stands to reason, of course. But may be a model of .
In that case the theorems about ground model definability might fail.
I was working in ZFC, so we have ZFC+V=HOD(b). So this is not an issue; but I have edited to clarify.