Being HOD-of-a-set is invariant throughout the generic multiverse

Iowa State Capitol - Law Library _ Flickr - Photo Sharing!The axiom V=HOD, 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 x is definable using parameter p” 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 HOD, 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 V=HOD holds, if for every set x, there is an ordinal θ with xVθ, for which which x is definable by some formula ψ(x) in the structure Vθ, using ordinal parameters. Since Vθ is a set, we may freely make reference to first-order truth in Vθ without requiring any truth predicate in V. Certainly any such x as this is also ordinal-definable in V, since we may use θ and the Gödel-code of ψ also as parameters, and note that x is the unique object such that it is in Vθ and satisfies ψ in Vθ. (Note that inside an ω-nonstandard model of set theory, we may really need to use ψ as a parameter, since it may be nonstandard, and x may not be definable in Vθ 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 x is definable in V using formula φ(x,α) with ordinal parameters α, then it follows by the reflection theorem that x is defined by φ(x,α) inside some Vθ. So this formulation of V=HOD is expressible and exactly captures the desired second-order property that every set is ordinal-definable.

Consider next the axiom V=HOD(b), asserting that every set is definable from ordinal parameters and parameter b. Officially, as before, V=HOD(b) asserts that for every x, there is an ordinal θ, formula ψ and ordinals α<θ, such that x is the unique object in Vθ for which Vθ,ψ(x,α,b), 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 b(V=HOD(b)), asserting that the universe is HOD 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 b(V=HOD(b)) is forcing invariant.

  • If it holds in V, then it continues to hold in every set forcing extension of V.
  • If it holds in V, then it holds in every ground of V.

Thus, the truth of this axiom is invariant throughout the generic multiverse.

Proof. Suppose that ZFC+V=HOD(b), and V[G] is a forcing extension of V by generic filter GPV. By the ground-model definability theorem, it follows that V is definable in V[G] from parameter P(P)V. Thus, using this parameter, as well as b and additional ordinal parameters, we can define in V[G] any particular object in V. Since this includes all the P-names used to form V[G], it follows that V[G]=HOD(b,P(P)V,G), and so V[G] is HOD of a set, as desired.

Conversely, suppose that W is a ground of V, so that V=W[G] for some W-generic filter GPW, and V=HOD(b) for some set b. Let b˙ be a name for which b˙G=b. Every object xW is definable in W[G] from b and ordinal parameters α, so there is some formula ψ for which x is unique such that ψ(x,b,α). Thus, there is some condition pP such that x is unique such that pψ(xˇ,b˙,αˇ). If pββ<|P| is a fixed enumeration of P in W, then p=pβ for some ordinal β, and we may therefore define x in W using ordinal parameters, along with b˙ and the fixed enumeration of P. So W thinks the universe is HOD 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 b(V=HOD(b)) is constant throughout the generic multiverse. QED

Theorem. If V=HOD(b), then there is a forcing extension V[G] in which V=HOD holds.

Proof. We are working in ZFC. Suppose that V=HOD(b). We may assume b is a set of ordinals, since such sets can code any given set. Consider the following forcing iteration: first add a Cohen real c, and then perform forcing G that codes c, P(ω)V and b into the GCH pattern at uncountable cardinals, and then perform self-encoding forcing H above that coding, coding also G (see my paper on Set-theoretic geology for further details on self-encoding forcing). In the final model V[c][G][H], therefore, the objects c, b, P(ω)V, G and H are all definable without parameters. Since VV[c][G][H] has a closure point at ω, it satisfies the ω1-approximation and cover properties, and therefore the class V is definable in V[c][G][H] using P(ω)V as a parameter. Since this parameter is itself definable without parameters, it follows that V is parameter-free definable in V[c][G][H]. Since b is also definable there, it follows that every element of HOD(b)V=V is ordinal-definable in V[c][G][H]. And since c, G and H are also definable without parameters, we have V[c][G][H]V=HOD, as desired. QED

Corollary. The following are equivalent.

  1. The universe is HOD of a set: b(V=HOD(b)).
  2. Somewhere in the generic multiverse, the universe is HOD of a set.
  3. Somewhere in the generic multiverse, the axiom V=HOD holds.
  4. The axiom V=HOD is forceable.

Proof. This is an immediate consequence of the previous theorems. 14321. QED

Corollary. The axiom V=HOD, 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 V=HOD to fail, simply by adding a Cohen real. If V=HOD is true, then by the first theorem, every forcing extension has V=HOD(b) for some b, in which case V=HOD remains forceable, by the second theorem. QED

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