Acta Mathematica Sinica, New Series

1990, Vol.6, No. I , pp. 4 2 - - 46

The Consistencies of MA, S O C A , OCA

and ISA w i t h KT(o92)
Z h a o Xishun ( ~ ) t ~ )
Department of Mathematics, Henan Normal University

Received September 13, 1988

Abstract. In this paper, we prove that i f Z F C is consistent, then so are the following theories:

ZFC+ M,4+ KT(co2)+ 2 a . = ~ ~'

ZFC+ SOCA + KT(o~2).
ZFC+ SOCA I + K T ( ~ ) ,
ZFC+ OCA+ KT(o~2) ,
ZFC+ ISA+ KT(e,'2),
where MA denotes Martin's axiom, KT(a;2)the statement :"There exists an a,'~-Kurepa tree", and SOCA,
SOCA1, OCA and ISA are axioms introduced in [ I].

1. Introduction
W e work in ZFC set theory. F o r the most part of this paper, our notations will
be those c o m m o n l y employed in set theory. ~, r , 7,-.- denote ordinals and x, 2, ~, ...
cardinals. F o r any set X, IX[ denotes its cardinality. A tree is a poset T = ( T, ~< r )
such that for any x~T, the set ~ = {yeT[y< TX} is well ordered by < r 9 F o r any xeT,
the height ofx,ht (x), is the order type o f ~ under ~< r . F o r any ordinal ~, the a's lev-
el of ? is the set T= = {x~TI ht(x) = a }. The height of T , ht(T ) , is the least ordi-
nal~suchthatT==~.WewriteTl'a for the set U T~, and Y['a for the re-
striction o f t to T ['~ .Frorm now on, we denote a tree simply by T = ( T , ~< ). The detz
initions of branches, a- branches, cofinal branches and antichains are the same as
those in [ 5], respectively. For any two trees T~, T 2 , T~ is an end-extension of T2 if
ht (Tl) >Iht (Tz) and T2 = Tl ~ht (T~).
Let x be a regular cardinal. An x-Souslin tree (x-ST)is a tree such that ht(T )= x,
'v'b ~ T (b is a branch--" [b[< x) and V A ~ T (A is an antichain ~ [ A [ < x ); an x-
Kurepa tree (x- K T ) is a tree such that h t ( T ) = x , V a < x ([ T, [ < ~ : ) a n d T has at
least x + cofinal branches.
Let o~t < ~ <~ rs 2 . A regular a-tree is a tree satisfying
(i) ht ( T ) = a ;
(ii) k/ /~<=(ITpl~< ~ L);
(iii) T has a unique minimal element (root);
(iv) V f l < ~ , V y < f l , V x ~ T~,3Yt ,Y2 ~ T~ (Yt ~Y2 /~ x<rY~ ,Y2) ;
(v) V f l < ~ , V x , y ~ T ~ ( l i m ( f l ) -~ ( x = y ~ ~="f )).
Trees have been discussed in some references. It has been proved in [3] that
C o n s i s ( Z F C ) -" Consis ( ZFC + KT( ~2 )+ -7KT( o~ ) ) , where KT( r. ) denotes the
 The consistencies of MA ,SOCA ,OCA and ISA with KT (o92) 43

statement :" There exists an x - K T : We write S T ( x ) for the statement : "There is an

~- KT". A natural question is whether Consis ( Z F C ) ~ Consis ( Z F C + K T ( c o 2 ) +
--7 S T ( co I )). Our answer is positive. In fact, we obtain a stronger result which is
Consis ( Z F C ) ~ Consis ( Z F C + M A + K T( cos) + 2 No = ~2).
The axioms SOCA, SOCA 1, OCA and ISA were introduced in [ 1]. In this paper,
we prove that if Z F C is consistent, then so are the following theories:
(i) Z F C + KT(coz) + SOCA ,
(ii) Z F C + K T ( c o z ) + SOCA1 ,
(iii) Z F C + KT(co2)+ OCA ,
(iv) Z F C + KT(co2) + ISA
Since M A , SOCA, SOCA 1, OCA and ISA are consistent relative to Z F C , our
method is as follows. Let M be a countable transitive model (c . t . m .) of Z F C + A,
where A denotes an arbitrary one of the five axioms above. Then we use an cos-dosed
poset to construct an o~fKT. Finally we prove that the co2-closed poset does not de-
stroy A.
2. Several Lemmas
Lemma 2.1. Let M be a c. t.m. o f Z F C , ~ M a poset such that (~ is co2-closed) M,
G a M-genericfilter over ~.
(i) I f W~M[ G] and W c ~ t M t a l X ~ t c l , then W~M.
(ii) I f X~M[ G] , X c M , (Ix]-- ~ , ) ~ J , then X ~ M and PM(X) = P~GI(X).
Lemma 2.2. Let M , N be two transitive models o f Z F C s u c h that M ~ _ N , and let
( X, J ) ~ M . Then the fact that ( X , ~ ) is a topological space in N implies that
( X, ,.er )is a topological space in M .
Lemma 2.3. Let M be a c.t.m, o f Z F C , ~ e M a poset which is oh-closed in M , G
an M-generic filter over ~. Let (X.,.~/" ~e M[ G] , X % M and(IX1 = ~ t)u[~ I f ( X . , ~ )
is a second countable Hausdorff space in M[ G], then ( X, ,.er ) ~ M and is a second
countable Hausdorff space in M , too.
Proof. Bv Lemma 2.2, X~ M, and ~ " ~ M . Let ~ ~ ~r be a base of,.~r ( .~b'=
0)~l.Then~M and p M ~ = p~a~ I :~j. Thuso~r {UI q ~ ' ~ P ~ G ~ I ( U = w ~,~') }
= { UI 3 7ff~PMI.~I( U = U . ~ ' ) } e M . Clearly, ( X, ~ e ' ) i s a second countable
Hausdorff space in M. [-I
Lemma 2.4. Let M be a c. t. m. o f Z F C + 2 ~'' = ~ z . Define I~0= { ( T , f )q T is a
regular ~-tree , o)~<~<co~ , T ~ c o z ,and ITI~< ~ ~; f is a 1-1 function such that
dom (f)~co3, Idom(f)l~< ~t ,and for any i ~ d o m (f ), f (i ) is an ~-branch o f T } , and de
fine a partial order on ~o as follows: i f (T~ , f ), ( T 2 , f2 ) ~ o , then (T~ , f ~) <~( Tz , f 2 )
iff T~ is an end-extension o f T 2 and d o m ( f ) ~ dom( f~)and 'ff i~dom(f~) (f ( i ) ~f2( i ) ).
I f G is an M-generic filter over ~o , then M[ G] ~ Z F C + KT(co2).
Proof. This lemma follows from the following claims.
Claim 1. MI= ~0 is c%-c. c.
Let W = { ( T ~ , f ~ ) e ~01~<~o3}. By 2 '~ = ~2, there exists a set Z ' ~ c o 3 such
that IZ ' I= ~ 3 and ~ 0~, /~ ~ Z '( T~ = T~ ). Consider the set {dom(f~ ) I0~~ Z '}. By
2 ~t = ~ 2, and A-system lemma, there exist Z " ~ Z ' and S ~ co3 such that
 44 Zhao Xishun

I z "1= and V' a, fl~Zt'(a :~ fi ~ dom ( f ) n dom(f~) = S). ,Using 2 ~' = ~ 2

again, we get a set Z "_~ Z " such that IZ " I= ~ 3 and V a, ~ ~ Z " ' ( a 4:3 ~f~ ['S
=f~ ['S). Any two elements of {(T, , f )[ a~Z "'} are compatible.
Claim 2. M [-=-~0, is co~- closed.
Let (T,,f~ > ~ 0 , a<7::-co2 , be a decreasing sequence, i.e. V a , 3 < y (a<
~ ( T ~ , J ~ > ~< (T~ , f > ) . Now put T = ~ T ~ . Clearly [T[= ~ , h t ( T )
< co2 and T is regular. We define a function f a s follows: dora (f)= U dora (f~); and
for any i ~ d o m ( f ) , f ( i ) = U f~(i).Clearly(T,f>~ ~0and for a n ~ < ? , ( r , f ><<,
(L
Claim 3. For any ~ < c%, let D~.= {(T,f>l y ~dom (f)}. Then D:, is dense in ~o 9
Let(T,f>~0,a=ht (T ). We are to find a c o n d i t i o n ( T ', f ' > ~ 0 such
that ( T ', f ' > <~( T, f > and ~,~dom ( f '). Now let T ' be a regular ( a + 1 )- tree ob-
tained from T by extending the a-branches in ran (f)(In fact, if a is a limit ordinal,
then we only extend a-branches in ran ( f ) , while ifa is a successor, then we must ex-
tend all a-branches o f T ) . Fix an a-branch b in ran ( f ) . Then it has two extensions
b,, bz. We define a ftmction f ' as follows: dom ( f 9=dom (J)U{v},f '(~) =bl ; and
for any i~ d o m ( f ) , f (i) is an (a+ 1 )-branch of T ' such t h a t f '(i) 2 f ( i ) and f '(i)
4: b. Clearly ( T ', f ' > is as required.
Claim4. Foranya<co2,1et H, ={(T,f)sPolht (T)~> a}. Then Ha is dense in Po.
Since P0 is co2 closed, it suffices to prove that for any ( T o , f0 > ~ % ' there exists
( T , f ) ~ ~o such that ( T , f 7<,.(To ,fo >and ht(T) = ht(To) + 1. For any (To ,f0 >eP0,
let T be a regular (a+ 1 )- tree obtained from To by extending a-branch in ran ( J0 ),
where a = ht (To). Now we define a function f as follows: dom ( f ) = dom ()Co); and
for any i ~ dom ()c),f(i) ~s an (a+ 1 )-branch of T and f(i)~_fo(i). Clearly ( T , f > is
as required.
Now we prove the lemma. By Claims 1 - 2 , we get co~=co~tal cof=cozMIa~,
and col= c o ~ . Put ~-- = ~ { T[ ~ f ( ( T , f >eG)}. Define a function ,~- as folows:
d o m l ~ ' ~ = ~ { d o m ( J )t ~ T(( T, f > s G ) } ; for any i e d o m ~ ' ) . ~ - ( i ) = ~ { f ( i )
I i ~ d o m ( f ) / k ~ T ( ( T , f ) ~ G)}. By Claim 4,.~" is an mz-tree. By Claim 3, dom(.~--)
= ~o3. It is easy to verify that .~" is a 1 - 1 function and for any i s dora (~') .,-9"(i) is a
cofinal branch of . ~ . Thus ~ is an co2-KT in M[G], and we complete the proot:
3. Main Results
Theorem 3.1. I f ZFC is consistent, then ZFC+ M A + SOCA+ OCA+ ISA+
KT(co2 ) is consistent, too.
Proof. By the result of [ 1], ZFC+ MA + SOCA + OCA + ISA is consistent. Thus
let M be a c.t.m, of ZFC+ MA+ SOCA+ OCA+ ISA. Since M A + OCA --; 2 ~o =
2, we get that M ~ 2 , 0 = 2 "' = ,'t 2. Let G be an M-generic filter over ~o defined
in Lemma 2.4. Then M[G] ~KT(co2).
(i) M[ G] N M A . Let ( col, ~< )~ M[ G] be a c. c. c. poset, .~ sM[ G] a family of
dense sets of<cot, ~< >such that (1-~1= ~ ,)~al. By Lemma 2. 1, we get that <cot, ~<>
e M and .~_=M. Thus in M, <co,, ~< > is also a c. c. c. poset and . ~ also a family of
dense sets of <co,, ~<>such that (I-~t = ~,)u. Since M ~ M A , we conclude that there ex-
ists an F e M such that F is a .~-generic filter over <co,, ~< >. Clearly, in M[ G], F
 The consistencies of MA ,SOCA ,OCA and ISA with KT(og~) 45

is also a ~ genetic filter over <o9,, ~<>. Thus M[G] t=-MA.

(ii) M[G] ~ SOCA. Let <X,f)e M[G] be an SOC pair. There is no loss of gener-
ality in assuming that X= o~ sM.By Lemma 2.1 and 2.3, we obtain that <X,f >eM
and that < X , f >is also an SOC pair in M. Since M l= SOCA, there must be an
uncountable homogeneous set AEM. Clearly, in M[G] ,A is also uncountable and hom-
ogeneous. Thus M[ G] ~ SOCA.
(iii) M[G] NOCA. Let <X.VA(,'eM[G] be an OC pair,We'= {UI,--., U,}be an open
covering o l D ( X ) = {<a, b>[a, be X/k a'~ b}. There is no loss of generality in assum-
ing that X = e)t. By Lemma 2.1 and 2.3, we obtain that <X,~'2e"> e M and that
<Jr, v2~/>is also an OC pair in M. Since M I=- OCA,X must be a union of countably
man) ~'2e'-homogeneous sets. Clearly, in M[G], X is a union of countably many
~e'-homogeneous sets, too. Thus M [G] I=- OCA.
(iv) M[ G] ]=ISA.Since Ml=ISA,there must exist an AeM which is an increasing
set in M. Now we prove that in M[ G] A is also an increasing set. Let B e M[ G] be a
uncountable set of pairwise disjoint sequences of elements of A. Since I A I = ~ , we
get IBI-- "~, .Thus B e M, and hence there are two sequences <a~ ,-.-, a, >, <b~,---, b, >
with the same length such that a~ < b t ,.-., G < b, .Thus M[ G] ~ ISA and we complete
the proof. 17
Corollary 3.2. I f ZFC is consistent, then ZFC + KT( o~2)+ --7ST(~o~)is consistent,
too.
Theorem 3.3. I f ZFC is consistent, then ZFC+ KT( co2) + SOCA 1 is consistent,
too.
Proof. By[ 1] ,ZFC+ SOCAI+ M A + 2 N0 = ,'4 2 is consistent. Then let M be a
c.t.m, of Z F C + S O C A I + M A + 2 N0 = ~z. Clearly, M ~ 2 N 0 = 2 " 1 = ~ 2 . L e t
be an M -genetic filter over P0 defined in Lemma 2.4. Then M[G] ~KT(o92). Now
we prove that M[G] 1=-SOCA1.Let <X, f>e M[G] be a n SOC pair and X=~ol 9 By
Lemma 2.1 and 2.3, we conclude that <X, f >e M and that <X, f > is also an SOC pair
in M. Suppose that there is no uncountable k-homogeneous set in M[G].Then there
is no such a set in M either. Thus there exist Ai, i < ~ , such that X = U i<w
Ai , where
each Ai is a ( 1 - k ) - h o m o g e n e o u s set in M. Clearly each Ai is also
( 1 - k ) - h o m o g e n e o u s in M[G] . T h u s M[G] ~ S O C A 1 and we complete the
proof.
4. Several Remarks
4.1. The consistent relation between MA and CH is clear. By the result of[ 1] ,we
get that SOCA implies that every uncountable Boolean algebra has an uncountable
antichain. However, E. S. Berney had constructed by using CH an uncountable
Boolean algebra which has no uncountable antichain. Thus SOCA ---"-'TCH. By[ 1],
both OCA and ISA are consistent with--7CH. However we do not know whether they
are consistent with CH.
4.2. We have known that MA~-7ST(o~z ). Now we claim that SOCA~-TST(O~I).
Suppose that there exists an %-ST, T. Then we can construct an uncountable
Souslin algebra B which has no uncountable antichain. Thus-zSOCA, and hence
SOCA ~ --7ST(091 ). Although both M A and SOCA imply--7ST(09L ), MA implies
 46 Z h a o Xishun

that every oJ~-tree with no uncountable antichain has cofinal branches, while SOCA
implies that every 09~-tree has uncountable antichains. By [ 1], OCA, ISA are consistent
with --7 ST(091). But we do not know whether they are consistent with ST(091 ). In
[5], Devlin had proved that MA+--7KT(09~ )is consistent (relative to ZFC+ "there ex-
ists an inaccessible cardinal). We d o not know whether SOCA, OCA and ISA are
consistent with --7 KT(09~ ).
4.3. By [2], if CH, then we can find an 092- closed poset which constructs an
09: - S T . However, SOCA and SOCA1 are inconsistent with CH and the relations of
OCA, ISA with CH are not clear, so we can not use the method o f this paper to prove
the consistencies of SOCA + ST ( 092 ), SOCA 1 + S T (092), OCA + S T ( 092 ) and
ISA + ST (092).
The auther is very grateful to Professor Zhang Jinwen.

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[2] Jech,T., Set Theory, 1978.
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[4] Jech,T., Trees, The Journal of Symbolic Log/c, 36(1971 ), 1 - - 14.
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