Local properties in set theory

V_thetaSet-theoretic arguments often make use of the fact that a particular property φ is local, in the sense that instances of the property can be verified by checking certain facts in only a bounded part of the set-theoretic universe, such as inside some rank-initial segment Vθ or inside the collection Hκ of all sets of hereditary size less than κ. It turns out that this concept is exactly equivalent to the property being Σ2 expressible in the language of set theory.

Theorem. For any assertion φ in the language of set theory, the following are equivalent:

  1. φ is ZFC-provably equivalent to a Σ2 assertion.
  2. φ is ZFC-provably equivalent to an assertion of the form “θVθψ,” where ψ is a statement of any complexity.
  3. φ is ZFC-provably equivalent to an assertion of the form “κHκψ,” where ψ is a statement of any complexity.

Just to clarify, the Σ2 assertions in set theory are those of the form xyφ0(x,y), where φ0 has only bounded quantifiers. The set Vθ refers to the rank-initial segment of the set-theoretic universe, consisting of all sets of von Neumann rank less than θ. The set Hκ consists of all sets of hereditary size less than κ, that is, whose transitive closure has size less than κ.

Proof. (32) Since Hκ is correctly computed inside Vθ for any θ>κ, it follows that to assert that some Hκ satisfies ψ is the same as to assert that some Vθ thinks that there is some cardinal κ such that Hκ satisfies ψ.

(21) The statement θVθψ is equivalent to the assertion θx(x=Vθxψ). The claim that xψ involves only bounded quantifiers, since the quantifiers of ψ become bounded by x. The claim that x=Vθ is Π1 in x and θ, since it is equivalent to saying that x is transitive and the ordinals of x are precisely θ and x thinks every Vα exists, plus a certain minimal set theory (so far this is just Δ0, since all quantifiers are bounded), plus, finally, the assertion that x contains every subset of each of its elements. So altogether, the assertion that some Vθ satisfies ψ has complexity Σ2 in the language of set theory.

(13) This implication is a consequence of the following absoluteness lemma.

Lemma. (Levy) If κ is any uncountable cardinal, then HκΣ1V.

Proof. Suppose that xHκ and Vyψ(x,y), where ψ has only bounded quantifiers. Fix some such witness y, which exists inside some Hγ for perhaps much larger γ. By the Löwenheim-Skolem theorem, there is XHγ with TC({x})X, yX and X of size less than κ. Let π:XM be the Mostowski collapse of X, so that M is transitive, and since it has size less than κ, it follows that MHκ. Since the transitive closure of {x} was contained in X, it follows that π(x)=x. Thus, since Xψ(x,y) we conclude that Mψ(x,π(y)) and so hence π(y) is a witness to ψ(x,) inside Hκ, as desired. QED

Using the lemma, we now prove the remaining part of the theorem. Consider any Σ2 assertion xyφ0(x,y), where φ0 has only bounded quantifiers. This assertion is equivalent to κHκxyφ0(x,y), simply because if there is such a κ with Hκ having such an x, then by the lemma this x works for all yV since HκΣ1V; and conversely, if there is an x such that yφ0(x,y), then this will remain true inside any Hκ with xHκ. QED

In light of the theorem, it makes sense to refer to the Σ2 properties as the locally verifiable properties, or perhaps as semi-local properties, since positive instances of Σ2 assertions can be verified in some sufficiently large Vθ, without need for unbounded search. A truly local property, therefore, would be one such that positive and negative instances can be verified this way, and these would be precisely the Δ2 properties, whose positive and negative instances are locally verifiable.

Tighter concepts of locality are obtained by insisting that the property is not merely verified in some Vθ, perhaps very large, but rather is verified in a Vθ where θ has a certain closeness to the parameters or instance of the property. For example, a cardinal κ is measurable just in case there is a κ-complete nonprincipal ultrafilter on κ, and this is verified inside Vκ+2. Thus, the assertion “κ is measurable,” has complexity Σ12 over Vκ. One may similarly speak of Σmn or Σmα properties, to refer to properties that can be verified with Σm assertions in Vκ+α. Alternatively, for any class function f on the ordinals, one may speak of f-local properties, meaning a property that can be checked of xVθ by checking a property inside Vf(θ).

This post was made in response to a question on MathOverflow.