The Basics of Namba Forcing

An attempt at a minimal proof. March 22nd, 2024

Everybody knows Namba forcing and everybody knows the basic facts about Namba forcing:

$(1)$ Namba forcing does not collapse $\omega_1$, in fact it preserves stationary subsets of $\omega_1$.

$(2)$ If $\mathrm{CH}$ holds then Namba forcing does not add reals.

Nonetheless, I am not aware of a streamlined exposition of these facts.

For example Chapter XI in Shelah's Proper and Improper forcing is an amazing resource, but introduces a lot of overhead through the "$S$-condition" which is overkill if one is only interested in, e.g. $(1)$.

Similarly, Jensen shows that under $\mathrm{CH}$, Namba forcing is subcomplete so $(2)$ follows and so does $(1)$ under the additional assumption of $\mathrm{CH}$. However, proving the subcompleteness of Namba forcing under $\mathrm{CH}$ is significantly more complicated than anything we will do here.

Jech's Set Theory only proves $(2)$ but not $(1)$, the list goes on. We hope that the arguments below constitute a reasonably short path toward these facts. Along the way, we will proof another important fact about Namba forcing due to Shelah:

• Namba forcing is semiproper iff the cofinal Strong Chang Conjecture ($\mathrm{SCC}_{\mathrm{cof}}$) holds.

We work with the standard Namba forcing $\mathsf{Nm}$ consisting of Namba trees, i.e. subtrees $p$ of $\omega_2^{<\omega}$ so that for each $t\in p$, $$\vert\{s\in p\mid t\subseteq s\}\vert=\omega_2,$$ ordered by inclusion. So a subtree of $\omega_2^{<\omega}$ is a condition in $\mathsf{Nm}$ if any node can be extended to one with $\omega_2$-many immediate successors.

There is another version of Namba forcing consisting of subtrees $p\subseteq\omega_2^{<\omega}$ so that every node above the stem has $\omega_2$-many immediate successors. These two versions are not forcing equivalent (this is due to Magidor-Shelah, see Proper and Improper Forcing XI Claim 4.2), but it should be clear that the arguments below work in either case.

The most basic fact about Namba forcing is that it adds an $\omega$-cofinal sequence to $\omega_2$, given by the union of stems of conditions in the generic filter. It is not hard to see that the generic extension is generated over $V$ by this sequence.

The interesting thing is that $\mathsf{Nm}$ does this without collapsing $\omega_1$. This shows that the formulation of Jensen's covering lemma is optimal, i.e. it may be that a countable set of ordinals is not covered by a countable set $A\in L$, yet $0^\sharp$ does not exist.

We will prove one crucial technical combinatorial lemma about Namba forcing which is at the core of all the basic properties of Namba forcing. For a tree $p\in\mathsf{Nm}$, we denote the set of cofinal branches through $p$ by $[p]$.

Lemma

Suppose $p\in\mathsf{Nm}$ and $f\colon [p]\rightarrow\omega_1$. Then there is some $\alpha<\omega_1$ so that $\bigcup f^{-1}[\{\alpha\}]$ contains a Namba tree.

Proof

For a tree $T\subseteq\omega_2^{<\omega}$ consider the game $\mathcal G^{\mathsf{Nm}}_T$: At most $\omega$-many rounds are played. In round $n$, player I plays some ordinal $\gamma_n<\omega_2$ and player II replies with some $t_n\in T$ properly extending the previously played $t_0,\dots,t_{n-1}$ so that the top ordinal of $t_n$ is $\geq\gamma_n$. Player I wins if player II has no valid moves, but loses in case II manages to survive through $\omega$-many rounds. Observe that $T$ contains a Namba subtree iff player II has a winning strategy in $\mathcal G^{\mathsf{Nm}}_T$. For the more difficult direction, note that if $\tau$ is a winning strategy for II then the tree of plays by II consistent with $\tau$ that come up in a run of the game is a Namba tree.

For $\alpha<\omega$, let $\mathcal G_\alpha$ be $\mathcal G^{\mathsf{Nm}}_{\bigcup f^{-1}[\{\alpha\}]}$. We are done if we can show that player II has a winning strategy in $\mathcal G_\alpha$ for some $\alpha<\omega_1$.

So suppose toward a contradiction that this is not the case. As all games $\mathcal G^{\mathsf{Nm}}_T$ are open, this means that player I has a winning strategy $\sigma_\alpha$ in each game $\mathcal G_\alpha$.

We will now take on the role of player II and play against all $\sigma_\alpha$ simultaneously. In round $n$, let $\Gamma_n$ be the supremum over all responses of $\sigma_\alpha$ to our moves so that we did not yet lose against $\sigma_\alpha$. We now properly extend our previously played $t_0,\dots, t_{n-1}$ to some $t_n\in p$ so that the top ordinal of $t_n$ is $\geq\Gamma_n$ which is possible as $p\in\mathsf{Nm}$ and $\Gamma_n<\omega_2$.

After $\omega$-many rounds, we have constructed a cofinal branch $b$ through $p$, namely the downwards closure of $$\{t_n\mid n<\omega\}.$$ But then for $\alpha=f(b)$, we have survived against $\sigma_\alpha$, contradiction!

$\Box$

We now get creative in exploiting this in several ways.

If $p\in\mathsf{Nm}$, then $t\in p$ is a splitting node if $t$ has $\omega_2$-many immediate successors in the tree $p$. We say that $t$ is $n$-splitting if $t$ is splitting and exactly $n$ many proper initial segments of $t$ are splitting in $p$. We write $r\leq_n p$ if $q\leq p$ and $q, p$ agree up to and including their $n$-splitting nodes. This allows for typical fusion arguments: If $p_{n+1}\leq_n p_n$ for all $n<\omega$ then $\bigcap_{n<\omega} p_n\in \mathsf{Nm}$. We call such sequences $(p_n)_{n<\omega}$ fusion sequences and $\bigcap_{n<\omega} p_n$ the fusion along $(p_n)_{n<\omega}$.

Lemma

Suppose $\mathrm{CH}$ holds. Then Namba forcing does not add reals.

Proof

Suppose $\dot x$ is a name for a real and $p\in\mathsf{Nm}$. We can build a fusion sequence $(p_n)_{n<\omega}$ blow $p$ so that for each $n$-splitting node $t$ of $p_n$, $p_n\upharpoonright t$ decides $\dot x_n$. Here, $p_n\upharpoonright t=\{s\in p_n\mid s\subseteq t \vee t\subseteq s\}$. Let $p_\omega$ be the fusion along this sequence.

We now define a function $f\colon [p_\omega]\rightarrow \mathbb R$ so that for every cofinal branch $b$ through $p_\omega$, $f(b)$ is the unique real $y$ which collects the decision of $p_\omega$ about $\dot x$ along $b$, i.e. $$\forall n<\omega\exists t\in b\ p_\omega\upharpoonright t\Vdash\dot x(\check n) = \check y(\check n).$$ By the technical lemma and $\mathrm{CH}$, there is some real $y$ so that $f^{-1}[\{y\}]$ contains some $q\in\mathsf{Nm}$. But now it is clear that if $G$ is $\mathsf{Nm}$-generic with $q\in G$ then $\dot x^G=y\in V$.

$\Box$

It is even easier to show that $\mathsf{Nm}$ preserves $\omega_1$: do the same argument with $\dot x$ a name for a function $x\colon\omega\rightarrow\omega_1$ and define $f(b)$ as the supremum of all the values $\dot x(n)$ decided along the branch $b$.

More work is required for showing that $\mathsf{Nm}$ is stationary set preserving. Recall that $X\sqsubseteq Y$ means that $X\subseteq Y$ and $X, Y$ contain the same countable ordinals.

Definition

Suppose that $X\prec H_\theta$ is countable. Then the Chang tree for $X$ is $$\mathrm{Chang}_X=\{t\in\omega_2^{<\omega}\mid \exists X\sqsubseteq Y\prec H_\theta\ t\in Y\}.$$ We say that $X$ is a Namba model if $\mathrm{Chang}_X$ contains a Namba tree.

Note that if $X$ is a Namba model and $p\in\mathsf{Nm}\cap X$ then $p\cap \mathrm{Chang}_X\in\mathsf{Nm}$. In fact, it suffices that $p\in\mathsf{Nm}$ is the fusion along a fusion sequence through $X\cap \mathsf{Nm}$. Let us call $p\cap \mathrm{Chang}_X$ the Chang reduction of $p$ along $X$.

Definition

Let $\mathbb{P}$ be a forcing, $\theta$ sufficiently large and regular. If $X\prec H_\theta$ is countable with $\mathbb{P}\in X$ and if $p\in\mathbb{P}\cap X$, we say that $X$ is $(p,\mathbb{P})$-semiproper iff there is some $q\leq p$ with $$q\Vdash \check X\sqsubseteq \check X[\dot G].$$ We also say that $X$ is $\mathbb{P}$-semiproper if $X$ is $(p,\mathbb{P})$-semiproper for all $p\in \mathbb{P}\cap X$.

Note that $\mathbb{P}$ is semiproper iff every countable $X\prec H_\theta$ is $\mathbb{P}$-semiproper for sufficiently large regular $\theta$.

The relevance of Namba models is easily explained through the following.

Lemma

For sufficiently large regular $\theta$ and countable $X\prec H_\theta$, the following are equivalent:

$(1)$ $X$ is $\mathsf{Nm}$-semiproper.

$(2)$ $X$ is a Namba model.

Proof

$(1)\Rightarrow(2):$ Let $G$ be $\mathsf{Nm}$-generic so that $X\sqsubseteq X[G]$ and let $b$ be the generic branch through $\omega_2^{<\omega}$. Clearly, $\mathrm{ran}(\bigcup b)$ is cofinal in $\omega_2$, $b\in X[G]$ and $b\subseteq X[G]$. It is not difficult to see that for any $t\in b$, we must have that there is some $X\sqsubseteq Y\prec H_\theta^V$ with $t \in Y$ and $Y\in V$ (in $V[G]$, we may take $Y=X[G]\cap V$ and the existence of such $Y$ is absolute).

This shows that if $q\in G$ is such that $q\Vdash \check X\sqsubseteq\check X[\dot G]$ then $q\subseteq \mathrm{Chang}_X$, so $X$ is a Namba model.

$(2)\Rightarrow(1):$ Let $p_0\in X\cap \mathsf{Nm}$ and let $D_n$ enumerate the dense subsets of $\mathsf{Nm}$ in $X$. By gluing together trees, we can find a fusion sequence $p_{n}$ so that whenever $1\leq n$, $t\in p_n$ is a $n$-splitting node of $p_n$ then for all immediate successors $s$ of $t$ in $p_n$, the condition $$p_n\upharpoonright s=\{u\in p_n\mid u\subseteq s \vee s\subseteq u\}$$ is in $D_{n-1}$. In fact, we may assume $p_n\in X$ by elementarity. Hence the fusion $p_\omega=\bigcap_{n<\omega} p_n$ is a $\mathsf{Nm}$-condition.

Now let $q_\ast$ be the Chang reduction of $p_\omega$ along $X$. We will see that $q_\ast\Vdash\check X\sqsubseteq \check X[\dot G]$. Suppose that $\dot x\in X$ is a name for a countable ordinal and $r\leq q_\ast$ decides the value of $\dot x$. For some $n<\omega$, $D_n$ is the set of conditions deciding $\dot x$. So if $s$ is the immediate successor of a $n$-splitting node in $p_{n+1}$ and $s\in r$ then $p_{n+1}\upharpoonright s$ and $r$ must decide the same value $\alpha$ for $\dot x$ as they are compatible. Finally, as $s\in \mathrm{Chang}_X$, there is some $X\sqsubseteq Y\prec H_\theta$ with $s\in Y$ and hence $p_{n+1}\upharpoonright s\in Y$, so in fact $\alpha\in Y$. But $Y$ and $X$ have the same countable ordinals, so $\alpha\in X$.

$\Box$

Recall that $\mathrm{SCC}_{\mathrm{cof}}$ holds if for any countable $X\prec H_\theta$ there are unboundedly many $\alpha<\omega_2$ for which $\exists X\sqsubseteq Y\prec H_\theta$ with $\alpha\in Y$. It is easy to see that $\mathrm{SCC}_{\mathrm{cof}}$ is equivalent to "all $X\prec H_\theta$ are Namba models", simply note that if $\mathrm{SCC}_{\mathrm{cof}}$ holds then player I wins $\mathcal G_{\mathrm{Chang}_X}^{\mathsf{Nm}}$ for any countable $X\prec H_{\theta}$.

Corollary

Namba forcing is semiproper iff $\mathrm{SCC}_{\mathrm{cof}}$ holds.

We will use the technical lemma to prove that there are sufficiently many Namba models and then use these Namba models in turn to show that $\mathsf{Nm}$ preserves statioary sets.

Proposition

Let $\theta$ be sufficiently large and regular. The set of Namba models is projective stationary in $[H_\theta]^\omega$. That is, for every club $\mathcal C\subseteq[H_\theta]^\omega$, the set $\{X\cap\omega_1\mid X\in\mathcal C\wedge X\text{ is a Namba model}\}$ contains a club.

Proof

Let $\mathcal C$ be a club in $[H_\theta]^\omega$ and let $S\subseteq \omega_1$ be stationary. We have to find a Namba model $X\in\mathcal C$ with $X\cap\omega_1\in S$. We may enrich $H_\theta$ with some structure, resulting in $\mathcal H$ so that any countable $X\prec \mathcal H$ is in $\mathcal C$. We will also assume that $\mathcal H$ admits definable Skolem terms, so we can take hulls.

Define $f\colon[\omega_2^{<\omega}]\rightarrow\omega_1$ via $f(b)=$ least $\alpha\in S$ so that $\mathrm{Hull}^{\mathcal H}(\alpha\cup b)\cap\omega_1=\alpha$. Note that such an $\alpha$ must exist as $S$ is stationary. By the technical lemma, there is some $\alpha\in S$ so that $f^{-1}[\{\alpha\}]$ contains some $q\in\mathsf{Nm}$. If we let $X=\mathrm{Hull}^{\mathcal H}(\alpha)$, this means that $q\subseteq \mathrm{Chang}_X$ and hence $X$ is a Namba model, $X\in\mathcal C$ and $X\cap\omega_1\in S$.

$\Box$

It remains to put everything together.

Corollary

Namba forcing is statioary set preserving.

Proof

Let $S\subseteq\omega_1$ be stationary and $\dot C$ a $\mathsf{Nm}$-name for a club in $\omega_1$ and $p\in\mathsf{Nm}$. By the previous proposition, if $\theta$ is sufficienlty large and regular, there is some Namba model $X\prec H_\theta$ so that $\delta:=X\cap\omega_1\in S$ and $\dot C, p\in X$.

Hence $X$ is $\mathsf{Nm}$-semiproper. If $q\leq p$ is any condition so that $q\Vdash\check X\sqsubseteq \check X[\dot G]$ then it is easy to see that $q\Vdash\check\delta\in\dot C$.

$\Box$

TL;DR

We give a short proof of the basic facts about Namba forcing: It preserves stationary subsets of $\omega_1$ (in particular it does not collapse $\omega_1$) and if $\mathrm{CH}$ holds then it does not add reals. Along the way we also prove that Namba forcing is semiproper iff the cofinal Strong Chang Conjecture holds.