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 Proper and Improper Forcing
Second Edition

Since their inception, the Perspectives in Logic and Lecture Notes in Logic series have
published seminal works by leading logicians. Many of the original books in the series
have been unavailable for years, but they are now in print once again.
This volume, the 5th publication in the Perspectives in Logic series, studies set-
theoretic independence results (independence from the usual set-theoretic ZFC axioms),
in particular for problems on the continuum. The author gives a complete presentation
of the theory of proper forcing and its relatives, starting from the beginning and avoiding
the metamathematical considerations. No prior knowledge of forcing is required. The
book will enable a researcher interested in an independence result of the appropriate
kind to have much of the work done for them, thereby allowing them to quote general
results.
SAHARON SHELAH works in the Institute of Mathematics at The Hebrew University of
Jerusalem and in the Department of Mathematics at Rutgers University, New Jersey.
PERSPECTIVES IN LOGIC

The Perspectives in Logic series publishes substantial, high-quality books whose central
theme lies in any area or aspect of logic. Books that present new material not now
available in book form are particularly welcome. The series ranges from introductory
texts suitable for beginning graduate courses to specialized monographs at the frontiers
of research. Each book offers an illuminating perspective for its intended audience.

The series has its origins in the old Perspectives in Mathematical Logic series
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der Wissenschaften, whose beginnings date back to the 1960s. The Association for
Symbolic Logic has assumed editorial responsibility for the series and changed its
name to reflect its interest in books that span the full range of disciplines in which logic
plays an important role.

Arnold Beckmann, Managing Editor

Department of Computer Science, Swansea University
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Department of Mathematics, University of Chicago
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Department of Mathematics, Rutgers University

For more information, see www.aslonline.org/books_perspectives.html

 PERSPECTIVES IN LOGIC

Proper and Improper Forcing

SAHARON SHELAH
Hebrew University of Jerusalem

ASSOCIATION f o r s y m b o l i c l o g i c

CAMBRIDGE
UNIVERSITY PRESS
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First and Second editions © 1982, 1998 Springer-Verlag Berlin Heidelberg
This edition © 2016 Association for Symbolic Logic under license to
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Dedicated to My Beloved Son Omri
Table of Contents

Introduction xv
Notation xxi
Content by Subject xxiii
Annotated Content xxviii

I. Forcing, Basic Facts 1

§0. Introduction 1
§1. Introducing Forcing 2
§2. The Consistency of CH (The Continuum Hypothesis) 11
§3. On the Consistency of the Failure of CH 17
N
§4. More on the Cardinality 2 ° and Cohen Reals 23
§5. Equivalence of Forcings Notions, and Canonical Names 28
§6. Random Reals, Collapsing Cardinals and Diamonds 35
§7. * Does Not Imply 0 41

II. Iteration of Forcing 50

§0. Introduction 50
§1. The Composition of Two Forcing Notions 51
§2. Iterated Forcing 57
§3. Martin's Axiom and Few Applications 63
§4. The Uniformization Property 72
§5. Maximal Almost Disjoint Families of Subsets of a; 83
x Table of Contents

III. Proper Forcing 89

§0. Introduction 89
§1. Introducing Properness 90
§2. More on Properness 98
§3. Preservation of Properness Under Countable Support Iteration 107
§4. Martin's Axiom Revisited 117
§5. On Aronszajn Trees 123
§6. Maybe There Is No N2-Aronszajn Tree 127
§7. Closed Unbounded Subsets of uj\ Can Run Away from Many Sets 133
§8. The Consistency of SH + CH + There Are No Kurepa Trees 137

IV. On Oracle-c.c.,the Lifting Problem of the Measure Algebra,

and U/P(o;)/finite Has No Non-trivial Automorphism" 144
§0. Introduction 144
§1. On Oracle Chain Conditions 148
§2. The Omitting Type Theorem 153
§3. Iterations of M-c.c. Forcings 156
§4. The Lifting Problem of the Measure Algebra 161
§5. Automorphisms of V(UJ)/finite 171
§6. Proof of Main Lemma 5.6 175

V. a-Properness and Not Adding Reals 194

§0. Introduction 194

§1. ^-Completeness - a Sufficient Condition for Not Adding Reals 196
§2. Generalizations of Properness 206
§3. a-Properness and (£, a)-Properness Revisited 212
§4. Preservation of u;-Properness + the ^-Bounding Property 216
§5. Which Forcings Can We Iterate Without Adding Reals 224
§6. Specializing an Aronszajn Tree Without Adding Reals 228
§7. Iteration of (£, D)-Complete Forcing Notions 237
§8. The Consistency of SH + CH 4- There Are No Kurepa Trees 241
 Table of Contents xi

VI. Preservation of Additional Properties, and Applications 247

§1. A General Preservation Theorem 252

§2. Examples 278
§3. Preservation of Unboundedness 309
§4. There May Be No P-Point 325
§5. There May Exist a Unique Ramsey Ultrafilter 335
§6. On the Splitting Number s and Domination Number b and on a 346
§7. On $ > b = a 362
§8. On t) < $ = b 366

VII. Axioms and Their Application 372

§0. Introduction 372

§1. On the K-Chain Condition, When Reals Are Not Added 372
§2. The Axioms 377
§3. Applications of Axiom II (so CH Holds) 383
§4. Applications of Axiom I 398
§5. A Counterexample Connected to Preservation 400

VIII. K>pic and Not Adding Reals 403

§0. Introduction 403

§1. Mixed Iteration - N 2 -cc, N2-Complete 404
§2. Chain Conditions Revisited 409
§3. The Axioms Revisited 414
§4. More on Forcing Not Adding ^-Sequences
and on the Diagonal Argument 418

IX. Souslin Hypothesis Does Not Imply

"Every Aronszajn Tree Is Special" 436

§0. Introduction 436

§1. Free Limits 436
§2. Preservation by Free Limit 439
xii Table of Contents

§3. Aronszajn Trees: Various Ways to Specialize 443

§4. Independence Results 452

X. On Semi-Proper Forcing 467

§0. Introduction 467

§1. Iterated Forcing with RCS
(Revised Countable Support) 468
§2. Proper Forcing Revisited 482
§3. Pseudo-Completeness 491
§4. Specific Forcings 499
§5. Chain Conditions and Abraham's Problem 510
§6. Reflection Properties of Sfi:
Refining Abraham's Problem and Precipitous Ideals 513
§7. Friedman's Problem 524

XI. Changing Cofinalities; Equi-Consistency Results 532

§0. Introduction 532
§1. The Theorems 532
§2. The Condition 542
§3. The Preservation Properties Guaranteed by the 5-Condition 546
§4. Forcing Notions Satisfying the 5-Condition 550
§5. Finite Composition 558
§6. Preservation of the I-Condition by Iteration 562
§7. Further Independence Results 576
§8. Relativising to a Stationary Set 586

XII. Improper Forcing 589

§0. Introduction 589
§1. Games and Properness 590
§2. When Is Namba Forcing Semiproper, Chang's Conjecture
and Games 597
 Table of Contents xiii

XIII. Large Ideals o n w i 604

§0. Introduction 604
§1. Semi-Stationarity 609
§2. 5-Suitable Iterations and Sealing Forcing 622
§3. On P(o;i)/© Wl Being Layered or the Levy Algebra 637
§4. Vicj^/iV^ + 5) is Reflective or Ulam 656

XIV. Iterated Forcing with Uncountable Support 679

§0. Introduction 679
§1. /^-Revised Support Iteration 680
§2. Pseudo-Completeness 688
§3. Axioms 715
§4. On Sacks Forcing 720
§5. Abraham's Second Problem - Iterating Changing Cofinality too; 722

XV. A More General Iterable Condition Ensuring

Nx Is Not Collapsed 732
§0. Introduction 732
§1. Preliminaries 733
§2. Trees of Models and UP 735
§3. Preservation of the UP(1, S, W) by Iteration 761
§4. Families of Ideals and Families of Partial Orders 769

XVI. Large Ideals on Hi from Smaller Cardinals 778

§0. Introduction 778
§1. Bigness of Stationary T C <S<NO(A) 778
§2. Getting Large Ideals on Ki 785

XVII. Forcing Axioms 803

§0. Introduction 803
§1. Semiproper Forcing Axiom Implies Martin's Maximum 804
§2. SPFA Does Not Imply PFA+ 809
xiv Table of Contents

§3. Canonical Functions for u\ 829

§4. A Largeness of VUl in Forcing Extensions of L
and Canonical Functions 839

XVIII. More on Proper Forcing 854

§0. Introduction 854
§1. No New Reals: A Counterexample and New Questions 855
§2. Not Adding Reals 867
§3. Other Preservations 888
§4. There May Be a Unique P-Point 932

Appendix. On Weak Diamonds and the Power of Ext 940

§0. Introduction 940
§1. Unif: a Strong Negation of the Weak Diamond 942
§2. On the Power of Ext and Whitehead's Problem 961
§3. Weak Diamond for N2 Assuming CH 982

References 997
More References 1012
Introduction

Even though the title of this book is related to the old Lecture Notes "Proper
Forcing", it is a new book: not only did it have six new chapters and some
sections moved in (and the thirteenth chapter moved out to the author's book
on cardinal arithmetic), but the old material and also the new have been revised
for clarification and corrected several times.
Now, twenty years after its discovery, I feel that perhaps "proper forcing"
is a household concept in set theory, and the reader probably knows the basic
facts about forcing and proper forcing. However we demand no prerequisites
except some knowledge of naive set theory (including stationary sets, Fodor
Lemma, strongly inaccessible, Mahlo, weakly compact etc.; occasionally we
mention some large cardinals in their combinatorial definitions (measurable,
supercompact), things like 0# and complementary theorems showing some large
cardinals are necessary, but ignorance in those directions will not hamper the
reader), and the book aims at giving a complete presentation of the theory of
proper and improper forcing from its beginning avoiding the metamathematical
considerations; in particular no previous knowledge of forcing is demanded
(though the forcing theorem is stated and explained, not proved). This is the
main reason for not just publishing the additional material in a shorter book.
Another reason is the complaints about shortcomings of the Proper Forcing
Lecture Notes.
Forcing was founded by Cohen's proof of the independence of the contin-
uum hypothesis; Solovay and many others developed the theory (works prior
to 1977). Particularly relevant to this book are Solovay and Tennenbaum [ST]
xvi Introduction

and Martin and Solovay [MS], Jensen (see [DeJo]), Silver [Si67], Mitchell [Mil],
Baumgartner [Bl], Laver [LI], Abraham, Devlin and Shelah [ADS:81].
We do not elaborate here on the history of the subject (but of course
there are credits and references to it in each chapter or in its sections, e.g. on
Baumgartner's axiom A see VII §4). And in the first two chapters we review
classical material.
Our aim is to try to develop a theory of iterated forcing for the continuum.
In addition to particular consistency results that are hopefully of some interest,
I try to give to the reader methods which he could use for such independence
results. Many of the results are presented in an "axiomatic" framework for this
reason.
The main aim of the book is thus to enable a researcher interested in an
independence result of the appropriate kind, to have much of the work done
for him, thus allowing him to quote general results.
We know how for any partial order P (which we call here a forcing notion) we
can find an extension Vp of the universe V of set theory (e.g. thinking of V as
being countable); this is explained in Chapter I. So for G C P generic over V
(i.e. not disjoint from any dense subset of P from V), V[G] is an extension of
V, a model of set theory with the same ordinals, consisting of sets constructible
from V and G. By fine tuning P we can get universes of set theory with various
desired properties, we are particularly interested in those of the form "for every
x there is y such that ...".
So, e.g., for every Souslin tree there is a c.c.c. forcing notion P changing the
universe so that it is no longer a Souslin tree, but to prove the consistency of
"there is no Souslin tree" we need to repeat it till we "catch our tail". For this
9 P*Q
an iteration P * Q is defined, and (V )~ —V " i s proved (i.e. two successive
generic extensions can be conceived as one). More delicate is the limit case, and
for this case "finite support iteration" (Pi, Qj : i < a,j < a) works; by natural
bookkeeping we can consider all Souslin trees and even all Souslin trees in VPi
for i < a, and as the c.c.c. is preserved if cf(a) > Hi, since a Souslin tree can
be coded as A C CJI , we "catch our tail".
 Introduction xvii

In other cases countable support iteration can serve for "catching our tail";
some chain condition is then needed.
The main issue is thus preservation, i.e. if each Qi has (in VPi) a property,
does P a , the limit of an iteration, have it (this depends of course on the kind
of the iteration, that is on the support). The most basic property here is not
collapsing Ni, which is treated for several kinds of iteration, i.e. supports.
Classically, a natural condition guaranteeing that Ki is not collapsed is (the
countable chain condition) c.c.c. under finite support iterations; it is preserved
(see Chapter II). It is natural to ask that the stationarity of subsets of uj\ be
preserved as well (as if (Sn : n < u) is a partition of uo\ to stationary sets,
we can force closed unbounded subsets En of uj\ without collapsing Kx (see
Baumgartner, Harrington and Kleinberg [BHK]) but in the limit necessarily
Ni is collapsed). So it is natural to strengthen this somewhat (to preserve the
stationarity of subsets of *S<NO(A) for every A), and we get the notion of proper
forcing, which is preserved under the countable support iteration (see Chapter
III, see alternative proof in XII §1 - and for Ki - free iteration in IX). This is
a major notion here and the proof of its preservation serve as paradigm here.
However some forcing notions preserving Ki are not proper: Prikry forcing,
Namba forcing. We have to use such forcing (i.e. non-proper) when during the
iteration, in some intermediate stage we have to change the cofinality of some
uncountable regular cardinal (e.g. N2) to Ni. To deal with them we prove the
preservation of semiproperness under revised countable support (see Chapter
X) and show that Prikry forcing is (always) semiproper and Namba forcing
is "often" semiproper. But there may be not semiproper non-proper forcing
notions, in particular Namba forcing may be not semiproper (see XII §2), so
we introduced properties like the 5-condition (guaranteeing that no real is
added (see Chapter XI)) and UP (I) (see Chapter XV), and another one (for
continuum > N2) see Chapter XIV.
But of course we really would like to have a general framework for pre-
serving other properties. This is dealt with in Chapter VI §1, §2; a prototypical
property is preserving "every new / G UUJ is dominated by an old g G ^u;"
which is done in V §4 (but this is done only under the assumption that the
xviii Introduction

forcing does not collapse Hi by some of the earlier versions), but includes many-
examples like "(/, #)-bounding for a closed enough family of pairs (/, g)". Later
we deal with more general theorems (XIII §3, with a forerunner VI §3, which
deals e.g. with "no new / e "u dominates F").
However the case of "no new reals" is somewhat harder and it is treated
in several places: in Chapter V §3 (for 5-complete forcing, S C <S<NO(A)

stationary), in Chapter V §6, §7 (for (< u;i)-proper D-complete (e.g. D is a

simple Ki-completeness system)), Chapter VIII §4 (for a generalization, in
particular D is a simple 2-completeness system) and Chapter XVIII §2 (for
essentially strongly proper forcing notions). Some other properties do not fall
(or are not presented) under any of those cases: strongly proper (see IX, VI §6,
IX §4), not collapsing K2 for tti-complete forcing when we use mixed support
(VIII §1).
In all iterations somewhere we need to prove a suitable chain condition in
order to catch our tails; for finite support iteration this is done directly (II),
for countable support iteration see III §4, and more VII §1, VIII §2, and for
revised countable support later in XVII §4 this plays a central role.
Every iteration theorem + chain condition gives the consistency of an
axiom, see VII §3, VIII §4, XVII §1, §2, §3. This stresses the problem of having
a general iteration theorem for "continuum > N3".
Of course much of the book deals with specific problems which serve both
as an illustration of the methods and for their interest per se (see the annotated
content and the separate introductions to the chapters).
The mathematical work was done between 1977 and 1989; the author ap-
proaches other aspects of our subject in Judah and Shelah [JdSh:292], [Sh:630]
(on nicely defined forcing, e.g. Borel), Roslanowski and Shelah [RoSh:470] (on
even more nicely defined forcing, quite explicitly in fact), [Sh:176] §7, §8, Gold-
stern and Shelah [GoSh:295] (on amalgamation and projective sets in the final
model) and [Sh:311] (continuing Chapter XV), [Sh:587], [Sh:F259], [Sh:655] (on
replacing N0,Ni by A,A+) and [Sh:592] (more on FS iteration of c.c.c. forcing
notions).
 Introduction xix

Prerequisites: we assume that the reader has some knowledge of naive set
theory (including stationary sets, Fodor lemma, etc.). The metamathematical
side is avoided by stating the forcing theorem without proof in Chapter I. If
you have read Jech [J] or Kunen [Ku83] you should be well prepared. Several
places present some preservation theorems with less generality and they may
be of some help to the reader (and they can be treated as good preparation
for this book too). Let us list some of them: Baumgartner [B3], Abraham
[Ab], Bartoszynski and Judah [BaJu95], Goldstern [Go], Jech [J86], Judah and
Repicky [JuRe].

There are many people who gave indispensable help for the book in various
stages.
Concerning the old "Proper Forcing" I heard from Baumgartner the idea of
avoiding the metamathematical side, Azriel Levy, who has a much better name
than the author in such matters, made notes from the lectures in the Hebrew
University, rewrote them, and they appear as Chapters I, II, and part of III.
These chapters were somewhat corrected and expanded by Rami Grossberg and
the author. Most of XI §1-5 were lectured on and (the first version) written up
by Shai Ben David. And most of all Rami Grossberg has taken care of it in all
respects and Danit Sharon typed it.
Concerning the present work, Azriel Levy has helped in transforming the
book from Troff to TJTJX. Menachem Kojman in addition wrote up first version
of section I §7 from my lectures in the eighties.
Various parts of the book benefitted a lot from proofreading and pointing
gaps by my students, postdocs and co-workers. All of them contributed in
various ways and I am very grateful for their help, though I failed to make a
complete list of the contributors.
Most of all Martin Goldstern has helped in some very distinct capacities.
Not only did he proofread and revise several chapters but also with his magic
xx Introduction

touch in various TgK-nical aspects he made the appearance of this book pos-
sible.
Last but not least I thank Hagit Levy and Gosia Roslanowska for typing
and retyping and retyping ... the book.
Thank you all.

Saharon Shelah

Institute of Mathematics
The Hebrew University of Jerusalem
91904 Jerusalem, ISRAEL

Department of Mathematics
Rutgers University
Hill Center - Busch Campus
New Brunswick, NJ 08854, USA

shelahOmath.huj i . a c . i l
h t t p : //www. math. r u t g e r s . edu/~shelah

The author thanks "The Israel Science Foundation" administered by The Israel
Academy of Sciences and Humanities, and the United States-Israel Binational
Science Foundation, and National Science Foundation USA for partially sup-
porting this research* (the old and the new one) in various times.

This footnote was omitted by mistake in [Sh:b].

 Notation xxi

Notation

Natural numbers are denoted byfc,£, ra, n.

Ordinals are denoted by z, j , a , / ? , 7,5, £, £, 9 where 8 is reserved for limit
ordinals.
Cardinals (usually infinite) are denoted by A,/i, K, \. Let Ka be the a'th
infinite cardinal, LJa = Ka, UJ = UJQ. Let ^a — {/ : / a function from /? to
/3>
a}, a = | J 7 < / 3 7 a . For sequences of ordinals (i.e., members of some ^a),
£g{r\) = Domr/, 77(2) the z'th ordinal so 77 = (77(2) : z < lg{r\)). We write also
(?7(0),..., 77(71)) or 77(0),..., 77(71) as seems fit. We denote sequences, usually of
ordinals, by 77, v, p and also r. The concatanation of 77, v is denoted by 77" v Let
c.l.u.b. or club mean closed unbounded.
Let |A| denote the cardinality of the set A, V(A) denote the power set of
A, and cf (a) the cofinality of a.
"A real" means here a subset of CJ, or its characteristic functions. The
quantifiers "3*n", "V*n" (sometimes written E3°° and V°°, respectively) are
abbreviations for "for infinitely many n G u" and "for all but finitely many
n € a;", respectively.
Let ip, ij) denote first order formulas. Let (p(xo,..., x n _i) means every free
variable of ip appears in {xo,..., xn-{\.
Let P (and also Q and R) denote a partially ordered set or even a quasi
ordered set (i.e., p < q < p does not necessarily imply p = q). We call such P
a forcing notion, and assume 0 ot 0pis a minimal member of P. We use G for
a generic subset of P , (usually Ga or Gpa for a generic subset of Pa), (for a
definition of generic see I §1). Let p, g, r denote members of forcing notions, we
say p, q are incompatible in P if they have no common upper bound in P.
We do not distinguish strictly between a model M, or a forcing notion P,
and their universe. Y Ai is the cartesian product sometimes also denoted by
f I i € / A i . Distinguish (in principle) it from fLe/MO (multiplication of cardi-
nals). We shall not distinguish notationally between multiplication of cardinals
or ordinals. For an uncountable cardinal A of uncountable cofinality, V\ stands
xxii Introduction

for the filter generated by the closed unbounded subsets of A; when 5 C A is

stationary (also denoted by S ^ 0 mod V\) V\ + 5 is the filter generated by
Vx U {5}.
For ordinals a,/? such that / 5 < a w e let 5^ = {7 < Na : cf7 = H^} but
when /x, A are (infinite) cardinals such that ji < A then S* = {7 < A : cf A = /1}
when no confusion arise.
We made a special effort to uniformize the notation we use but still there
may be some exceptions in the chapters, for example in Chapter III, «SNO(A) is
used to denote the family of countable subsets of A (see Definition III 1.2) but
the same family in Chapter V is denoted by S<^1(A) (see Definition V 3.3).
So since some of the notions are redefined the reader is advised to check the
nearest definition rather than the first.
Models are denoted by letters M, N perhaps with an index. We shall not
always distinguish between the model and its universe, but always \M\ will
denote the universe of M and ||M|| its cardinality.
 Content by Subject xxiii

Content by Subject

1. Results Outside Set Theory

In the Appendix, Sect. 2 there are results on the power of Ext (G, Z) assuming
various weak diamonds.

2. Results in Naive Set Theory

In the Appendix §1 we investigate weak variants of the diamond (continuing
Devlin and Shelah [DvSh:65].)
In the Appendix §3 we prove that CH implies some kind of weak diamond
to Sf (and generalizations).
In IX §3 we discuss various specializations of Aronszajn trees.
In XIII §4 a sufficient condition for the existence of Ulam filters is given.

3. Basics of Forcing
In Chapter I we explain how to use forcing and discuss some basic forcing. In
Chapter II we explain iteration with < /^-support, (in particular finite support)
deal for example with Martin Axiom, and more examples.

4. Specific Independence Results on Trees

In III 5.4 we present a proof that every Ni-Aronszajn tree can be specialized
by a c.c.c. forcing notion (and generally in III §5 deal with /s-trees).
In III §6 we present a proof of the consistency of " ZFC+2K° = N2+ there
is no N2-Aronszajn trees".
In V §6, §7, we present a proof of CON (ZFC+G.C.H.+ every Aronszajn
tree is special) which seems to us more adaptable to further needs (e.g. 2**1
large).
In V §8 we present a proof of the consistency of the Kurepa hypothesis.
In VII §3 we prove consistency results on Aronszajn trees strengthening
the previous ones, motivated by general topology. This implies the consistency
of G.C.H. + there is a count ably paracompact regular space which is not normal
(see VII 3.25).
xxiv Introduction

In VII §3 we present a proof of the consistency of a strengthening of CON

(ZFC-f G.C.H. + there is no Ki-Kurepa tree.)
In VIII §3 we prove the consistency of ZFC+CH+SH+2* 1 > N2-
In IX§4 we prove that S H ^ " every Aronszajn tree is special" and varia-
tions.

5. Theorems on Ni-Complete Forcing

In VIII §1 we prove that we can iterate N2-complee forcing and Ni-complete
forcing satisfying a strong H2-chain condition, without collapsing tti and tt2-
In VIII 2.7A we remark on another strong N2-chain condition preserved
by CS iteration.

6. Chain Conditions
The c.c.c. and AC-C.C. are presented in Chapter II and the preservation of the
c.c.c. by FS is proved there.
In III 4.1 we prove that a CS iteration of proper forcing notions of power
< n, K regular (V/i < K) /XK° < K, of length K satisfies the K-C.C. (by proving
that if the length is < «, it has a dense subset < K).
Of course IV is dedicated to oracle-c.c.
Lemma V 1.5 proves the N2-c.c. o f a e g iteration of ^-complete forcing
notions each of power Ni, (assuming CH).
VII §1 deals with a strong K-chain (ex.a), such that if we have a CS
iteration of length K with the condition we use for not adding reals (in V§7,
VIII§4) then the forcing satisfies the K-C.C. SO this helps to get consistency
results with ZFC+CH.
In VII §2 we deal with K-pic (= /s-properness isomorphism conditions). If
P satisfies it, then P satisfies the AC-C.C, and adds < n reals, and an iteration
of length K, still satisfies the /s-c.c. This helps to get consistency results with
ZFC+2 No = N2 + 2 Kl = A (so we start with V \= "CiJ + 2 Hl = «" and this holds
for the intermediate stages). Application is starting with V \= "CH-l-2^1 = nn
and use a CS iteration Q — (Pi,Qi : i < 002) to specialize all Aronszajn trees
without adding reals.
 Content by Subject xxv

On the K-c.c. for RCS iteration of length K see X §5 (5.3, 5.4) and XI
6.3(2).
On A-c.c. for /c-RS iterations see XIV.

7. Preservation of Properness and Variants

As the book was written in the generic way, i.e. as the author advance, there
are several such proofs. In III §3 the preservation of properness by CS iteration
is proved. In IX §2 the preservation of properness under Ni-free limit is proved.
In X §2 the preservation of properness and semi-properness under RCS is
proved, (remember that semi-proper forcing may change the cofinality of some
regular A > H\ to u). In XII §2 the preservation of properness under CS
iteration is reproved, using the definition of properness by games (similarly
for semiproperness) .
We deal with preservation of a-properness and (w, 1)- properness in V §2,
§3, X §7.

8. Consistency Results on the Uniformization Properties

and Variants
In II §4 we prove the consistency of "some family V of Ni subsets of UJ has k-
uniformization property" i.e. if /A : A —• k for A e V then for some / : u —> k
we have

In V§1, we prove the consistency with G.C.H. of "for some stationary

S C w i , (As ' S < LJI) have the H0-uniformization property if each A& is a set
of order type w, s\ip(As) = 5".
In VIII §4 we prove the consistency with G.C.H. of ~1^^2- Moreover, e.g.:
for (Ag : 5 < u>i limit) as above, ns < 3 then for some / : u)\ —> 3, for every
5 < ui limit, for some m5 e {0,1,2} \ {n5}, we have (V*a e A5)(f{a0 = m5).

9. Consistency of "Large Ideals"

In XIII we get consistency results on wi, in XVI use smaller ones, in XIV with
larger continuum.
xxvi Introduction

In XVII §4 we deal with properties consistent with ->0^ (on UJ\ being an
a-th function from uj\ to LJ\ even a = 2Hl).

10. Other Consistency Results

In III §7 we deal with " for a family of Ni countable subsets Ai of u)\(i < UJ\),
order type (Ai) < Sup Ai, there is a club C C u\ /\{ Sup(C n Ai) < Sup Ai.
In VI §4 we prove the consistency of " there is no P-point".
In VI §5 we prove the consistency of " there is a unique Ramsey ultrafilter
(on a;)".
In X, XI we prove various independence results on U2, read XI §1, X 8.4,
and XI §7's theorem.
In VII §3, §4, many applications are listed.
In XVIII §4 we prove the consistency of "there is a unique P-point (on
(j)" (which necessarily is a Ramsey ultrafilter).

11. Other Preservations of Generalizations of Properness

In V §3 we prove the preservation of a>-properness+ the o^-bounding property
(properness suffices - see VI).
In VI §1, §2, §3, XVIII §3 we deal with general preservation theorems, e.g.
of covering models, hence of various specific properties which can be formulated
this way (F-bounding properties, Sacks property, Laver property, PP-property,
D generates a Ramsey ultrafilter, D generates a P-point (ultrafilter)). Now VI
§2 relies on VI §1 to give specific results (using covering models); a different
approach, guaranteeing only preservation continue to hold in limit stages, is
VI §3, which apply e.g. to "F C ww is not dominated by •"; this is further
developed in XVIII §3.
In IX §4 we deal with preservation of "(T*, S^-preserving" which means T*
looks like Souslin trees at levels 5 ^ 5 , and in the end we comment on possible
generalizations.
Not adding reals is dealt with in V §1, §2 and mainly V §7, VIII §4 and X
§7 and in XVIII §2.
 Content by Subject xxvii

In V §1 and X §3 we deal with preservation of generalizations of Hi-

completeness.
In XI §5, §6 we deal with the preservation of the 5-condition (always
satisfied by Nm which change the cofinality of M2 to Mo but guarantees reals
are not added).
In XV §3 we deal with a generalization, i.e. proving preserving of a condi-
tion implying Mi not collapsed, which is satisfied by all proper forcing notions
and all forcing satisfying the S'-condition.

12. Forcing Axioms

On consistency, see III §4, VII §2, VIII §3, X 2.6, XIII, XIV, XVI §2. Also XVII
§3 (SPFAK weak Chang conjecture), XVII §1 (SPFAEE MM), XVII §2 (SPFAK
PFA+)

13. Counterexamples
In VII §5 we build an iteration ( P n , Q n '- n < u>) such that each Qn does not
collapse any stationary subset of a>i; but any limit we take collapses Mi.
In III §4 we build (in ZFC) a forcing notion of power Mi, not collapsing Mi
but also not preserving the stationarity of some S C w j .
Examples of iteration (P n , Qn : n < u) each Qn is a-proper for each count-
able a not adding reals, but any limit we take that collapses Hi is presented
in V 5.1 using Appendix §1 (really the previous result of Devlin and Shelah
[DvSh:65]).
In XII §2 we show that many forcing notions satisfy the conditions from XI
but are not semiproper. In fact if there is an {Hi}-semiproper forcing notion
changing cofinaltity of M2 to Mo (e.g. if Nm is {Mi}-semiproper then Chang
conjecture holds.
Examples of iteration (Pn,Qn : n < CJ), each Qn is a a-proper and is a
P-complete for some simple Mi-complete completeness system but any limit
adds reals is presented in XVIII §1.
 Introduction

Annotated Content

I. FORCING, BASIC FACTS

§0. Introduction

§1. Introducing Forcing

We define generic sets, names for a forcing notion, and formulate the forcing
theorems.

§2. The Consistency of CH

Our aim is to construct by forcing a model of ZFC were CH holds. First we
explain the problem of not collapsing cardinals, and second prove that Ni-
complete forcing notion does not add reals.

§3. On the Consistency of the Failure of CH

We construct a model of ZFC in which the Continuum Hypothesis fails; define
the c.c.c, prove that forcing with c.c.c. forcing preserves cardinalities and
cofinalities, and prove also the A-system lemma for finite sets.

§4. More on the Cardinality 2^° and Cohen Reals

We construct for every cardinal A in V which satisfies A^° = A a model V[G]
such that V[G] \= 2*° = A. Also Cohen reals are defined.

§5. Equivalence of Forcing Notions, and Canonical Names

We define when two forcing notions are equivalent, introduce canonical names
and prove that for every P-name r there is a canonical P-name q such that
\\-P "T = g".

§6. Random Reals, Collapsing Cardinals and Diamonds

We introduce random reals and the Levy collapse, and prove that for regular
A Levy (Ho 5 < A) satisfies the A-c.c. For every uncountable regular A and a
stationary S C A define a forcing notion P which preserve the regularity of A
and stationarity of S add no bounded subsets to A and such that Vp f= 0 s -
 Annotated Content xxix

§7. & Does Not Imply Diamond

£ is a weak relative of diamond, for S C A stationary Jfc(S') says that we can
find (As : 5 e S) As C S = sup(As), and for every unbounded A C A for some
(= stationarily many) 5 e S, As Q A If Cfl", X(Hi) = ONI, SO we prove the
consistency of J|k(Hi) + -*CH, but forcing three times.
Start with V f= GCH, for 0 s for S = {5 < H2 : cf(J) = ^ 0 } , using it construct a
"very good" Jk(S) sequence (As : 5 e S). Then force by adding > N2 subsets of
Hi by countable conditions, A was constructed to withstood it, lastly collapse
Hi to Ho by Levy(Ho, Hi). As any new unbounded subset of H2 contains an old
one, A still witness Jk(S) but now S is a stationary subset of Hi of the last
universe.

II. ITERATION OF FORCING

§0. Introduction

§1. The Composition of Two Forcing Notions

Composition of two notions and state the associativity lemma are defined.

§2. Iterated Forcing

We define iterated forcing, and prove that the c.c.c is preserved by FS (finite
support) iteration.

§3. Martin's Axiom and Few Applications

We prove that ZFC +2H° > Hi+MA is consistent. Use MA to prove many
simple uniformization properties.

§4. The Uniformization Property

Here we deal with more general uniformization properties some of which con-
tradict MA. We strenghten the demand of almost disjointness to being a kind
of tree and prove the consistency of a version contradicting MA.

§5. Maximal Almost Disjoint Families of Subsets of u

A maximal almost disjoint (MAD) subset of V(u) is a family of infinite subsets
of UJ such that the intersection of any two members is finite and maximal with
xxx Introduction

this property. We prove using MA that every MAD set has cardinality 2^°. Also
the other direction: for every Ni < A < 2n° there exists a generic extension of
V by c.c.c. forcing such that in it there exist mad set of power A.

III. PROPER FORCING

§0. Introduction
§1. Introducing Properness
We define "P is a proper forcing notion ", prove some definitions are equivalent
(and deal with the closed unbounded filter

§2. More on Properness

We define "p is (N, P)-generic " and deal more with equivalent definitions of
properness.

§3. Preservation of Properness Under CS Iteration

We prove the theorem mentioned in the title, CS is countable support.

§4. Martin's Axiom Revisited

We discuss the popularity of the c.c.c, whether we can replace it by a more
natural and weaker condition. We give a sufficient condition for a countable
support iteration of length K to satisfy the K-C.C. We prove the consistency
(assuming existence of an inaccessible cardinal) of "ZFC -I- 2K° = Ni+ Ax[ for
forcing notions not destroying stationary subsets of UJ\ of cardinality Ni]". We
show that the last demand cannot be replaced by "not collapsing cardinalities
or cofinalities".

§5. On Aronszajn Trees

We define n-Aronszajn and «-Souslin trees. We then present existence theorems
(for A4" when A = A<A) and prove that under MA every Aronszajn tree is
special.

§6. Maybe There Is No N2-Aronszajn Tree

We prove the consistency of ZFC +2N° = H2+ there is no N2-Aronszajn tree,
the method being collapsing successively all A, Ni < A < K (K a weakly compact
Another random document with
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organ pealed sweetly), and saw Miss Kilman at the end of the row,
praying, praying, and, being still on the threshold of their underworld,
thought of her sympathetically as a soul haunting the same territory;
a soul cut out of immaterial substance; not a woman, a soul.
But Mr. Fletcher had to go. He had to pass her, and being himself
neat as a new pin, could not help being a little distressed by the poor
lady’s disorder; her hair down; her parcel on the floor. She did not at
once let him pass. But, as he stood gazing about him, at the white
marbles, grey window panes, and accumulated treasures (for he was
extremely proud of the Abbey), her largeness, robustness, and
power as she sat there shifting her knees from time to time (it was so
rough the approach to her God—so tough her desires) impressed
him, as they had impressed Mrs. Dalloway (she could not get the
thought of her out of her mind that afternoon), the Rev. Edward
Whittaker, and Elizabeth too.
And Elizabeth waited in Victoria Street for an omnibus. It was so nice
to be out of doors. She thought perhaps she need not go home just
yet. It was so nice to be out in the air. So she would get on to an
omnibus. And already, even as she stood there, in her very well cut
clothes, it was beginning.... People were beginning to compare her
to poplar trees, early dawn, hyacinths, fawns, running water, and
garden lilies; and it made her life a burden to her, for she so much
preferred being left alone to do what she liked in the country, but
they would compare her to lilies, and she had to go to parties, and
London was so dreary compared with being alone in the country with
her father and the dogs.
Buses swooped, settled, were off—garish caravans, glistening with
red and yellow varnish. But which should she get on to? She had no
preferences. Of course, she would not push her way. She inclined to
be passive. It was expression she needed, but her eyes were fine,
Chinese, oriental, and, as her mother said, with such nice shoulders
and holding herself so straight, she was always charming to look at;
and lately, in the evening especially, when she was interested, for
she never seemed excited, she looked almost beautiful, very stately,
very serene. What could she be thinking? Every man fell in love with
her, and she was really awfully bored. For it was beginning. Her
mother could see that—the compliments were beginning. That she
did not care more about it—for instance for her clothes—sometimes
worried Clarissa, but perhaps it was as well with all those puppies
and guinea pigs about having distemper, and it gave her a charm.
And now there was this odd friendship with Miss Kilman. Well,
thought Clarissa about three o’clock in the morning, reading Baron
Marbot for she could not sleep, it proves she has a heart.
Suddenly Elizabeth stepped forward and most competently boarded
the omnibus, in front of everybody. She took a seat on top. The
impetuous creature—a pirate—started forward, sprang away; she
had to hold the rail to steady herself, for a pirate it was, reckless,
unscrupulous, bearing down ruthlessly, circumventing dangerously,
boldly snatching a passenger, or ignoring a passenger, squeezing
eel-like and arrogant in between, and then rushing insolently all sails
spread up Whitehall. And did Elizabeth give one thought to poor
Miss Kilman who loved her without jealousy, to whom she had been
a fawn in the open, a moon in a glade? She was delighted to be free.
The fresh air was so delicious. It had been so stuffy in the Army and
Navy Stores. And now it was like riding, to be rushing up Whitehall;
and to each movement of the omnibus the beautiful body in the
fawn-coloured coat responded freely like a rider, like the figurehead
of a ship, for the breeze slightly disarrayed her; the heat gave her
cheeks the pallor of white painted wood; and her fine eyes, having
no eyes to meet, gazed ahead, blank, bright, with the staring
incredible innocence of sculpture.
It was always talking about her own sufferings that made Miss
Kilman so difficult. And was she right? If it was being on committees
and giving up hours and hours every day (she hardly ever saw him in
London) that helped the poor, her father did that, goodness knows,—
if that was what Miss Kilman meant about being a Christian; but it
was so difficult to say. Oh, she would like to go a little further.
Another penny was it to the Strand? Here was another penny then.
She would go up the Strand.
She liked people who were ill. And every profession is open to the
women of your generation, said Miss Kilman. So she might be a
doctor. She might be a farmer. Animals are often ill. She might own a
thousand acres and have people under her. She would go and see
them in their cottages. This was Somerset House. One might be a
very good farmer—and that, strangely enough though Miss Kilman
had her share in it, was almost entirely due to Somerset House. It
looked so splendid, so serious, that great grey building. And she
liked the feeling of people working. She liked those churches, like
shapes of grey paper, breasting the stream of the Strand. It was
quite different here from Westminster, she thought, getting off at
Chancery Lane. It was so serious; it was so busy. In short, she would
like to have a profession. She would become a doctor, a farmer,
possibly go into Parliament, if she found it necessary, all because of
the Strand.
The feet of those people busy about their activities, hands putting
stone to stone, minds eternally occupied not with trivial chatterings
(comparing women to poplars—which was rather exciting, of course,
but very silly), but with thoughts of ships, of business, of law, of
administration, and with it all so stately (she was in the Temple), gay
(there was the river), pious (there was the Church), made her quite
determined, whatever her mother might say, to become either a
farmer or a doctor. But she was, of course, rather lazy.
And it was much better to say nothing about it. It seemed so silly. It
was the sort of thing that did sometimes happen, when one was
alone—buildings without architects’ names, crowds of people coming
back from the city having more power than single clergymen in
Kensington, than any of the books Miss Kilman had lent her, to
stimulate what lay slumbrous, clumsy, and shy on the mind’s sandy
floor to break surface, as a child suddenly stretches its arms; it was
just that, perhaps, a sigh, a stretch of the arms, an impulse, a
revelation, which has its effects for ever, and then down again it went
to the sandy floor. She must go home. She must dress for dinner.
But what was the time?—where was a clock?
She looked up Fleet Street. She walked just a little way towards St.
Paul’s, shyly, like some one penetrating on tiptoe, exploring a
strange house by night with a candle, on edge lest the owner should
suddenly fling wide his bedroom door and ask her business, nor did
she dare wander off into queer alleys, tempting bye-streets, any
more than in a strange house open doors which might be bedroom
doors, or sitting-room doors, or lead straight to the larder. For no
Dalloways came down the Strand daily; she was a pioneer, a stray,
venturing, trusting.
In many ways, her mother felt, she was extremely immature, like a
child still, attached to dolls, to old slippers; a perfect baby; and that
was charming. But then, of course, there was in the Dalloway family
the tradition of public service. Abbesses, principals, head mistresses,
dignitaries, in the republic of women—without being brilliant, any of
them, they were that. She penetrated a little further in the direction of
St. Paul’s. She liked the geniality, sisterhood, motherhood,
brotherhood of this uproar. It seemed to her good. The noise was
tremendous; and suddenly there were trumpets (the unemployed)
blaring, rattling about in the uproar; military music; as if people were
marching; yet had they been dying—had some woman breathed her
last and whoever was watching, opening the window of the room
where she had just brought off that act of supreme dignity, looked
down on Fleet Street, that uproar, that military music would have
come triumphing up to him, consolatory, indifferent.
It was not conscious. There was no recognition in it of one fortune, or
fate, and for that very reason even to those dazed with watching for
the last shivers of consciousness on the faces of the dying,
consoling. Forgetfulness in people might wound, their ingratitude
corrode, but this voice, pouring endlessly, year in year out, would
take whatever it might be; this vow; this van; this life; this procession,
would wrap them all about and carry them on, as in the rough stream
of a glacier the ice holds a splinter of bone, a blue petal, some oak
trees, and rolls them on.
But it was later than she thought. Her mother would not like her to be
wandering off alone like this. She turned back down the Strand.
A puff of wind (in spite of the heat, there was quite a wind) blew a
thin black veil over the sun and over the Strand. The faces faded; the
omnibuses suddenly lost their glow. For although the clouds were of
mountainous white so that one could fancy hacking hard chips off
with a hatchet, with broad golden slopes, lawns of celestial pleasure
gardens, on their flanks, and had all the appearance of settled
habitations assembled for the conference of gods above the world,
there was a perpetual movement among them. Signs were
interchanged, when, as if to fulfil some scheme arranged already,
now a summit dwindled, now a whole block of pyramidal size which
had kept its station inalterably advanced into the midst or gravely led
the procession to fresh anchorage. Fixed though they seemed at
their posts, at rest in perfect unanimity, nothing could be fresher,
freer, more sensitive superficially than the snow-white or gold-kindled
surface; to change, to go, to dismantle the solemn assemblage was
immediately possible; and in spite of the grave fixity, the
accumulated robustness and solidity, now they struck light to the
earth, now darkness.
Calmly and competently, Elizabeth Dalloway mounted the
Westminster omnibus.
Going and coming, beckoning, signalling, so the light and shadow
which now made the wall grey, now the bananas bright yellow, now
made the Strand grey, now made the omnibuses bright yellow,
seemed to Septimus Warren Smith lying on the sofa in the sitting-
room; watching the watery gold glow and fade with the astonishing
sensibility of some live creature on the roses, on the wall-paper.
Outside the trees dragged their leaves like nets through the depths
of the air; the sound of water was in the room and through the waves
came the voices of birds singing. Every power poured its treasures
on his head, and his hand lay there on the back of the sofa, as he
had seen his hand lie when he was bathing, floating, on the top of
the waves, while far away on shore he heard dogs barking and
barking far away. Fear no more, says the heart in the body; fear no
more.
He was not afraid. At every moment Nature signified by some
laughing hint like that gold spot which went round the wall—there,
there, there—her determination to show, by brandishing her plumes,
shaking her tresses, flinging her mantle this way and that, beautifully,
always beautifully, and standing close up to breathe through her
hollowed hands Shakespeare’s words, her meaning.
Rezia, sitting at the table twisting a hat in her hands, watched him;
saw him smiling. He was happy then. But she could not bear to see
him smiling. It was not marriage; it was not being one’s husband to
look strange like that, always to be starting, laughing, sitting hour
after hour silent, or clutching her and telling her to write. The table
drawer was full of those writings; about war; about Shakespeare;
about great discoveries; how there is no death. Lately he had
become excited suddenly for no reason (and both Dr. Holmes and
Sir William Bradshaw said excitement was the worst thing for him),
and waved his hands and cried out that he knew the truth! He knew
everything! That man, his friend who was killed, Evans, had come,
he said. He was singing behind the screen. She wrote it down just as
he spoke it. Some things were very beautiful; others sheer
nonsense. And he was always stopping in the middle, changing his
mind; wanting to add something; hearing something new; listening
with his hand up.
But she heard nothing.
And once they found the girl who did the room reading one of these
papers in fits of laughter. It was a dreadful pity. For that made
Septimus cry out about human cruelty—how they tear each other to
pieces. The fallen, he said, they tear to pieces. “Holmes is on us,” he
would say, and he would invent stories about Holmes; Holmes eating
porridge; Holmes reading Shakespeare—making himself roar with
laughter or rage, for Dr. Holmes seemed to stand for something
horrible to him. “Human nature,” he called him. Then there were the
visions. He was drowned, he used to say, and lying on a cliff with the
gulls screaming over him. He would look over the edge of the sofa
down into the sea. Or he was hearing music. Really it was only a
barrel organ or some man crying in the street. But “Lovely!” he used
to cry, and the tears would run down his cheeks, which was to her
the most dreadful thing of all, to see a man like Septimus, who had
fought, who was brave, crying. And he would lie listening until
suddenly he would cry that he was falling down, down into the
flames! Actually she would look for flames, it was so vivid. But there
was nothing. They were alone in the room. It was a dream, she
would tell him and so quiet him at last, but sometimes she was
frightened too. She sighed as she sat sewing.
Her sigh was tender and enchanting, like the wind outside a wood in
the evening. Now she put down her scissors; now she turned to take
something from the table. A little stir, a little crinkling, a little tapping
built up something on the table there, where she sat sewing.
Through his eyelashes he could see her blurred outline; her little
black body; her face and hands; her turning movements at the table,
as she took up a reel, or looked (she was apt to lose things) for her
silk. She was making a hat for Mrs. Filmer’s married daughter,
whose name was—he had forgotten her name.
“What is the name of Mrs. Filmer’s married daughter?” he asked.
“Mrs. Peters,” said Rezia. She was afraid it was too small, she said,
holding it before her. Mrs. Peters was a big woman; but she did not
like her. It was only because Mrs. Filmer had been so good to them.
“She gave me grapes this morning,” she said—that Rezia wanted to
do something to show that they were grateful. She had come into the
room the other evening and found Mrs. Peters, who thought they
were out, playing the gramophone.
“Was it true?” he asked. She was playing the gramophone? Yes; she
had told him about it at the time; she had found Mrs. Peters playing
the gramophone.
He began, very cautiously, to open his eyes, to see whether a
gramophone was really there. But real things—real things were too
exciting. He must be cautious. He would not go mad. First he looked
at the fashion papers on the lower shelf, then, gradually at the
gramophone with the green trumpet. Nothing could be more exact.
And so, gathering courage, he looked at the sideboard; the plate of
bananas; the engraving of Queen Victoria and the Prince Consort; at
the mantelpiece, with the jar of roses. None of these things moved.
All were still; all were real.
“She is a woman with a spiteful tongue,” said Rezia.
“What does Mr. Peters do?” Septimus asked.
“Ah,” said Rezia, trying to remember. She thought Mrs. Filmer had
said that he travelled for some company. “Just now he is in Hull,” she
said.
“Just now!” She said that with her Italian accent. She said that
herself. He shaded his eyes so that he might see only a little of her
face at a time, first the chin, then the nose, then the forehead, in
case it were deformed, or had some terrible mark on it. But no, there
she was, perfectly natural, sewing, with the pursed lips that women
have, the set, the melancholy expression, when sewing. But there
was nothing terrible about it, he assured himself, looking a second
time, a third time at her face, her hands, for what was frightening or
disgusting in her as she sat there in broad daylight, sewing? Mrs.
Peters had a spiteful tongue. Mr. Peters was in Hull. Why then rage
and prophesy? Why fly scourged and outcast? Why be made to
tremble and sob by the clouds? Why seek truths and deliver
messages when Rezia sat sticking pins into the front of her dress,
and Mr. Peters was in Hull? Miracles, revelations, agonies,
loneliness, falling through the sea, down, down into the flames, all
were burnt out, for he had a sense, as he watched Rezia trimming
the straw hat for Mrs. Peters, of a coverlet of flowers.
“It’s too small for Mrs. Peters,” said Septimus.
For the first time for days he was speaking as he used to do! Of
course it was—absurdly small, she said. But Mrs. Peters had chosen
it.
He took it out of her hands. He said it was an organ grinder’s
monkey’s hat.
How it rejoiced her that! Not for weeks had they laughed like this
together, poking fun privately like married people. What she meant
was that if Mrs. Filmer had come in, or Mrs. Peters or anybody they
would not have understood what she and Septimus were laughing
at.
“There,” she said, pinning a rose to one side of the hat. Never had
she felt so happy! Never in her life!
But that was still more ridiculous, Septimus said. Now the poor
woman looked like a pig at a fair. (Nobody ever made her laugh as
Septimus did.)
What had she got in her work-box? She had ribbons and beads,
tassels, artificial flowers. She tumbled them out on the table. He
began putting odd colours together—for though he had no fingers,
could not even do up a parcel, he had a wonderful eye, and often he
was right, sometimes absurd, of course, but sometimes wonderfully
right.
“She shall have a beautiful hat!” he murmured, taking up this and
that, Rezia kneeling by his side, looking over his shoulder. Now it
was finished—that is to say the design; she must stitch it together.
But she must be very, very careful, he said, to keep it just as he had
made it.
So she sewed. When she sewed, he thought, she made a sound like
a kettle on the hob; bubbling, murmuring, always busy, her strong
little pointed fingers pinching and poking; her needle flashing
straight. The sun might go in and out, on the tassels, on the wall-
paper, but he would wait, he thought, stretching out his feet, looking
at his ringed sock at the end of the sofa; he would wait in this warm
place, this pocket of still air, which one comes on at the edge of a
wood sometimes in the evening, when, because of a fall in the
ground, or some arrangement of the trees (one must be scientific
above all, scientific), warmth lingers, and the air buffets the cheek
like the wing of a bird.
“There it is,” said Rezia, twirling Mrs. Peters’ hat on the tips of her
fingers. “That’ll do for the moment. Later ...” her sentence bubbled
away drip, drip, drip, like a contented tap left running.
It was wonderful. Never had he done anything which made him feel
so proud. It was so real, it was so substantial, Mrs. Peters’ hat.
“Just look at it,” he said.
Yes, it would always make her happy to see that hat. He had
become himself then, he had laughed then. They had been alone
together. Always she would like that hat.
He told her to try it on.
“But I must look so queer!” she cried, running over to the glass and
looking first this side then that. Then she snatched it off again, for
there was a tap at the door. Could it be Sir William Bradshaw? Had
he sent already?
No! it was only the small girl with the evening paper.
What always happened, then happened—what happened every
night of their lives. The small girl sucked her thumb at the door;
Rezia went down on her knees; Rezia cooed and kissed; Rezia got a
bag of sweets out of the table drawer. For so it always happened.
First one thing, then another. So she built it up, first one thing and
then another. Dancing, skipping, round and round the room they
went. He took the paper. Surrey was all out, he read. There was a
heat wave. Rezia repeated: Surrey was all out. There was a heat
wave, making it part of the game she was playing with Mrs. Filmer’s
grandchild, both of them laughing, chattering at the same time, at
their game. He was very tired. He was very happy. He would sleep.
He shut his eyes. But directly he saw nothing the sounds of the
game became fainter and stranger and sounded like the cries of
people seeking and not finding, and passing further and further
away. They had lost him!
He started up in terror. What did he see? The plate of bananas on
the sideboard. Nobody was there (Rezia had taken the child to its
mother. It was bedtime). That was it: to be alone forever. That was
the doom pronounced in Milan when he came into the room and saw
them cutting out buckram shapes with their scissors; to be alone
forever.
He was alone with the sideboard and the bananas. He was alone,
exposed on this bleak eminence, stretched out—but not on a hill-top;
not on a crag; on Mrs. Filmer’s sitting-room sofa. As for the visions,
the faces, the voices of the dead, where were they? There was a
screen in front of him, with black bulrushes and blue swallows.
Where he had once seen mountains, where he had seen faces,
where he had seen beauty, there was a screen.
“Evans!” he cried. There was no answer. A mouse had squeaked, or
a curtain rustled. Those were the voices of the dead. The screen, the
coal-scuttle, the sideboard remained to him. Let him then face the
screen, the coal-scuttle and the sideboard ... but Rezia burst into the
room chattering.
Some letter had come. Everybody’s plans were changed. Mrs.
Filmer would not be able to go to Brighton after all. There was no
time to let Mrs. Williams know, and really Rezia thought it very, very
annoying, when she caught sight of the hat and thought ... perhaps
... she ... might just make a little.... Her voice died out in contented
melody.
“Ah, damn!” she cried (it was a joke of theirs, her swearing), the
needle had broken. Hat, child, Brighton, needle. She built it up; first
one thing, then another, she built it up, sewing.
She wanted him to say whether by moving the rose she had
improved the hat. She sat on the end of the sofa.
They were perfectly happy now, she said, suddenly, putting the hat
down. For she could say anything to him now. She could say
whatever came into her head. That was almost the first thing she
had felt about him, that night in the café when he had come in with
his English friends. He had come in, rather shyly, looking round him,
and his hat had fallen when he hung it up. That she could remember.
She knew he was English, though not one of the large Englishmen
her sister admired, for he was always thin; but he had a beautiful
fresh colour; and with his big nose, his bright eyes, his way of sitting
a little hunched made her think, she had often told him, of a young
hawk, that first evening she saw him, when they were playing
dominoes, and he had come in—of a young hawk; but with her he
was always very gentle. She had never seen him wild or drunk, only
suffering sometimes through this terrible war, but even so, when she
came in, he would put it all away. Anything, anything in the whole
world, any little bother with her work, anything that struck her to say
she would tell him, and he understood at once. Her own family even
were not the same. Being older than she was and being so clever—
how serious he was, wanting her to read Shakespeare before she
could even read a child’s story in English!—being so much more
experienced, he could help her. And she too could help him.
But this hat now. And then (it was getting late) Sir William Bradshaw.
She held her hands to her head, waiting for him to say did he like the
hat or not, and as she sat there, waiting, looking down, he could feel
her mind, like a bird, falling from branch to branch, and always
alighting, quite rightly; he could follow her mind, as she sat there in
one of those loose lax poses that came to her naturally and, if he
should say anything, at once she smiled, like a bird alighting with all
its claws firm upon the bough.
But he remembered Bradshaw said, “The people we are most fond
of are not good for us when we are ill.” Bradshaw said, he must be
taught to rest. Bradshaw said they must be separated.
“Must,” “must,” why “must”? What power had Bradshaw over him?
“What right has Bradshaw to say ‘must’ to me?” he demanded.
“It is because you talked of killing yourself,” said Rezia. (Mercifully,
she could now say anything to Septimus.)
So he was in their power! Holmes and Bradshaw were on him! The
brute with the red nostrils was snuffing into every secret place!
“Must” it could say! Where were his papers? the things he had
written?
She brought him his papers, the things he had written, things she
had written for him. She tumbled them out on to the sofa. They
looked at them together. Diagrams, designs, little men and women
brandishing sticks for arms, with wings—were they?—on their backs;
circles traced round shillings and sixpences—the suns and stars;
zigzagging precipices with mountaineers ascending roped together,
exactly like knives and forks; sea pieces with little faces laughing out
of what might perhaps be waves: the map of the world. Burn them!
he cried. Now for his writings; how the dead sing behind
rhododendron bushes; odes to Time; conversations with
Shakespeare; Evans, Evans, Evans—his messages from the dead;
do not cut down trees; tell the Prime Minister. Universal love: the
meaning of the world. Burn them! he cried.
But Rezia laid her hands on them. Some were very beautiful, she
thought. She would tie them up (for she had no envelope) with a
piece of silk.
Even if they took him, she said, she would go with him. They could
not separate them against their wills, she said.
Shuffling the edges straight, she did up the papers, and tied the
parcel almost without looking, sitting beside him, he thought, as if all
her petals were about her. She was a flowering tree; and through her
branches looked out the face of a lawgiver, who had reached a
sanctuary where she feared no one; not Holmes; not Bradshaw; a
miracle, a triumph, the last and greatest. Staggering he saw her
mount the appalling staircase, laden with Holmes and Bradshaw,
men who never weighed less than eleven stone six, who sent their
wives to Court, men who made ten thousand a year and talked of
proportion; who different in their verdicts (for Holmes said one thing,
Bradshaw another), yet judges they were; who mixed the vision and
the sideboard; saw nothing clear, yet ruled, yet inflicted. “Must” they
said. Over them she triumphed.
“There!” she said. The papers were tied up. No one should get at
them. She would put them away.
And, she said, nothing should separate them. She sat down beside
him and called him by the name of that hawk or crow which being
malicious and a great destroyer of crops was precisely like him. No
one could separate them, she said.
Then she got up to go into the bedroom to pack their things, but
hearing voices downstairs and thinking that Dr. Holmes had perhaps
called, ran down to prevent him coming up.
Septimus could hear her talking to Holmes on the staircase.
“My dear lady, I have come as a friend,” Holmes was saying.
“No. I will not allow you to see my husband,” she said.
He could see her, like a little hen, with her wings spread barring his
passage. But Holmes persevered.
“My dear lady, allow me....” Holmes said, putting her aside (Holmes
was a powerfully built man).
Holmes was coming upstairs. Holmes would burst open the door.
Holmes would say “In a funk, eh?” Holmes would get him. But no;
not Holmes; not Bradshaw. Getting up rather unsteadily, hopping
indeed from foot to foot, he considered Mrs. Filmer’s nice clean
bread knife with “Bread” carved on the handle. Ah, but one mustn’t
spoil that. The gas fire? But it was too late now. Holmes was coming.
Razors he might have got, but Rezia, who always did that sort of
thing, had packed them. There remained only the window, the large
Bloomsbury-lodging house window, the tiresome, the troublesome,
and rather melodramatic business of opening the window and
throwing himself out. It was their idea of tragedy, not his or Rezia’s
(for she was with him). Holmes and Bradshaw like that sort of thing.
(He sat on the sill.) But he would wait till the very last moment. He
did not want to die. Life was good. The sun hot. Only human beings
—what did they want? Coming down the staircase opposite an old
man stopped and stared at him. Holmes was at the door. “I’ll give it
you!” he cried, and flung himself vigorously, violently down on to Mrs.
Filmer’s area railings.
“The coward!” cried Dr. Holmes, bursting the door open. Rezia ran to
the window, she saw; she understood. Dr. Holmes and Mrs. Filmer
collided with each other. Mrs. Filmer flapped her apron and made her
hide her eyes in the bedroom. There was a great deal of running up
and down stairs. Dr. Holmes came in—white as a sheet, shaking all
over, with a glass in his hand. She must be brave and drink
something, he said (What was it? Something sweet), for her
husband was horribly mangled, would not recover consciousness,
she must not see him, must be spared as much as possible, would
have the inquest to go through, poor young woman. Who could have
foretold it? A sudden impulse, no one was in the least to blame (he
told Mrs. Filmer). And why the devil he did it, Dr. Holmes could not
conceive.
It seemed to her as she drank the sweet stuff that she was opening
long windows, stepping out into some garden. But where? The clock
was striking—one, two, three: how sensible the sound was;
compared with all this thumping and whispering; like Septimus
himself. She was falling asleep. But the clock went on striking, four,
five, six and Mrs. Filmer waving her apron (they wouldn’t bring the
body in here, would they?) seemed part of that garden; or a flag. She
had once seen a flag slowly rippling out from a mast when she
stayed with her aunt at Venice. Men killed in battle were thus
saluted, and Septimus had been through the War. Of her memories,
most were happy.
She put on her hat, and ran through cornfields—where could it have
been?—on to some hill, somewhere near the sea, for there were
ships, gulls, butterflies; they sat on a cliff. In London too, there they
sat, and, half dreaming, came to her through the bedroom door, rain
falling, whisperings, stirrings among dry corn, the caress of the sea,
as it seemed to her, hollowing them in its arched shell and
murmuring to her laid on shore, strewn she felt, like flying flowers
over some tomb.
“He is dead,” she said, smiling at the poor old woman who guarded
her with her honest light-blue eyes fixed on the door. (They wouldn’t
bring him in here, would they?) But Mrs. Filmer pooh-poohed. Oh no,
oh no! They were carrying him away now. Ought she not to be told?
Married people ought to be together, Mrs. Filmer thought. But they
must do as the doctor said.
“Let her sleep,” said Dr. Holmes, feeling her pulse. She saw the large
outline of his body standing dark against the window. So that was Dr.
Holmes.
One of the triumphs of civilisation, Peter Walsh thought. It is one of
the triumphs of civilisation, as the light high bell of the ambulance
sounded. Swiftly, cleanly the ambulance sped to the hospital, having
picked up instantly, humanely, some poor devil; some one hit on the
head, struck down by disease, knocked over perhaps a minute or so
ago at one of these crossings, as might happen to oneself. That was
civilisation. It struck him coming back from the East—the efficiency,
the organisation, the communal spirit of London. Every cart or
carriage of its own accord drew aside to let the ambulance pass.
Perhaps it was morbid; or was it not touching rather, the respect
which they showed this ambulance with its victim inside—busy men
hurrying home yet instantly bethinking them as it passed of some
wife; or presumably how easily it might have been them there,
stretched on a shelf with a doctor and a nurse.... Ah, but thinking
became morbid, sentimental, directly one began conjuring up
doctors, dead bodies; a little glow of pleasure, a sort of lust too over
the visual impression warned one not to go on with that sort of thing
any more—fatal to art, fatal to friendship. True. And yet, thought
Peter Walsh, as the ambulance turned the corner though the light
high bell could be heard down the next street and still farther as it
crossed the Tottenham Court Road, chiming constantly, it is the
privilege of loneliness; in privacy one may do as one chooses. One
might weep if no one saw. It had been his undoing—this
susceptibility—in Anglo-Indian society; not weeping at the right time,
or laughing either. I have that in me, he thought standing by the
pillar-box, which could now dissolve in tears. Why, Heaven knows.
Beauty of some sort probably, and the weight of the day, which
beginning with that visit to Clarissa had exhausted him with its heat,
its intensity, and the drip, drip, of one impression after another down
into that cellar where they stood, deep, dark, and no one would ever
know. Partly for that reason, its secrecy, complete and inviolable, he
had found life like an unknown garden, full of turns and corners,
surprising, yes; really it took one’s breath away, these moments;
there coming to him by the pillar-box opposite the British Museum
one of them, a moment, in which things came together; this
ambulance; and life and death. It was as if he were sucked up to
some very high roof by that rush of emotion and the rest of him, like
a white shell-sprinkled beach, left bare. It had been his undoing in
Anglo-Indian society—this susceptibility.
Clarissa once, going on top of an omnibus with him somewhere,
Clarissa superficially at least, so easily moved, now in despair, now
in the best of spirits, all aquiver in those days and such good
company, spotting queer little scenes, names, people from the top of
a bus, for they used to explore London and bring back bags full of
treasures from the Caledonian market—Clarissa had a theory in
those days—they had heaps of theories, always theories, as young
people have. It was to explain the feeling they had of dissatisfaction;
not knowing people; not being known. For how could they know each
other? You met every day; then not for six months, or years. It was
unsatisfactory, they agreed, how little one knew people. But she
said, sitting on the bus going up Shaftesbury Avenue, she felt herself
everywhere; not “here, here, here”; and she tapped the back of the
seat; but everywhere. She waved her hand, going up Shaftesbury
Avenue. She was all that. So that to know her, or any one, one must
seek out the people who completed them; even the places. Odd
affinities she had with people she had never spoken to, some
woman in the street, some man behind a counter—even trees, or
barns. It ended in a transcendental theory which, with her horror of
death, allowed her to believe, or say that she believed (for all her
scepticism), that since our apparitions, the part of us which appears,
are so momentary compared with the other, the unseen part of us,
which spreads wide, the unseen might survive, be recovered
somehow attached to this person or that, or even haunting certain
places after death ... perhaps—perhaps.
Looking back over that long friendship of almost thirty years her
theory worked to this extent. Brief, broken, often painful as their
actual meetings had been what with his absences and interruptions
(this morning, for instance, in came Elizabeth, like a long-legged colt,
handsome, dumb, just as he was beginning to talk to Clarissa) the
effect of them on his life was immeasurable. There was a mystery
about it. You were given a sharp, acute, uncomfortable grain—the
actual meeting; horribly painful as often as not; yet in absence, in the
most unlikely places, it would flower out, open, shed its scent, let you
touch, taste, look about you, get the whole feel of it and
understanding, after years of lying lost. Thus she had come to him;
on board ship; in the Himalayas; suggested by the oddest things (so
Sally Seton, generous, enthusiastic goose! thought of him when she
saw blue hydrangeas). She had influenced him more than any
person he had ever known. And always in this way coming before
him without his wishing it, cool, lady-like, critical; or ravishing,
romantic, recalling some field or English harvest. He saw her most
often in the country, not in London. One scene after another at
Bourton....
He had reached his hotel. He crossed the hall, with its mounds of
reddish chairs and sofas, its spike-leaved, withered-looking plants.
He got his key off the hook. The young lady handed him some
letters. He went upstairs—he saw her most often at Bourton, in the
late summer, when he stayed there for a week, or fortnight even, as
people did in those days. First on top of some hill there she would
stand, hands clapped to her hair, her cloak blowing out, pointing,
crying to them—she saw the Severn beneath. Or in a wood, making
the kettle boil—very ineffective with her fingers; the smoke
curtseying, blowing in their faces; her little pink face showing
through; begging water from an old woman in a cottage, who came
to the door to watch them go. They walked always; the others drove.
She was bored driving, disliked all animals, except that dog. They
tramped miles along roads. She would break off to get her bearings,
pilot him back across country; and all the time they argued,
discussed poetry, discussed people, discussed politics (she was a
Radical then); never noticing a thing except when she stopped, cried
out at a view or a tree, and made him look with her; and so on again,
through stubble fields, she walking ahead, with a flower for her aunt,
never tired of walking for all her delicacy; to drop down on Bourton in
the dusk. Then, after dinner, old Breitkopf would open the piano and
sing without any voice, and they would lie sunk in arm-chairs, trying
not to laugh, but always breaking down and laughing, laughing—
laughing at nothing. Breitkopf was supposed not to see. And then in
the morning, flirting up and down like a wagtail in front of the
house....
Oh it was a letter from her! This blue envelope; that was her hand.
And he would have to read it. Here was another of those meetings,
bound to be painful! To read her letter needed the devil of an effort.
“How heavenly it was to see him. She must tell him that.” That was
all.
But it upset him. It annoyed him. He wished she hadn’t written it.
Coming on top of his thoughts, it was like a nudge in the ribs. Why
couldn’t she let him be? After all, she had married Dalloway, and
lived with him in perfect happiness all these years.
These hotels are not consoling places. Far from it. Any number of
people had hung up their hats on those pegs. Even the flies, if you
thought of it, had settled on other people’s noses. As for the
cleanliness which hit him in the face, it wasn’t cleanliness, so much
as bareness, frigidity; a thing that had to be. Some arid matron made
her rounds at dawn sniffing, peering, causing blue-nosed maids to
scour, for all the world as if the next visitor were a joint of meat to be
served on a perfectly clean platter. For sleep, one bed; for sitting in,
one arm-chair; for cleaning one’s teeth and shaving one’s chin, one
tumbler, one looking-glass. Books, letters, dressing-gown, slipped
about on the impersonality of the horsehair like incongruous
impertinences. And it was Clarissa’s letter that made him see all this.
“Heavenly to see you. She must say so!” He folded the paper;
pushed it away; nothing would induce him to read it again!
To get that letter to him by six o’clock she must have sat down and
written it directly he left her; stamped it; sent somebody to the post. It
was, as people say, very like her. She was upset by his visit. She
had felt a great deal; had for a moment, when she kissed his hand,
regretted, envied him even, remembered possibly (for he saw her
look it) something he had said—how they would change the world if
she married him perhaps; whereas, it was this; it was middle age; it
was mediocrity; then forced herself with her indomitable vitality to put
all that aside, there being in her a thread of life which for toughness,
endurance, power to overcome obstacles, and carry her triumphantly
through he had never known the like of. Yes; but there would come a
reaction directly he left the room. She would be frightfully sorry for
him; she would think what in the world she could do to give him
pleasure (short always of the one thing) and he could see her with
the tears running down her cheeks going to her writing-table and
dashing off that one line which he was to find greeting him....
“Heavenly to see you!” And she meant it.
Peter Walsh had now unlaced his boots.
But it would not have been a success, their marriage. The other
thing, after all, came so much more naturally.
It was odd; it was true; lots of people felt it. Peter Walsh, who had
done just respectably, filled the usual posts adequately, was liked,
but thought a little cranky, gave himself airs—it was odd that he
should have had, especially now that his hair was grey, a contented
look; a look of having reserves. It was this that made him attractive
to women who liked the sense that he was not altogether manly.
There was something unusual about him, or something behind him.
It might be that he was bookish—never came to see you without
taking up the book on the table (he was now reading, with his
bootlaces trailing on the floor); or that he was a gentleman, which
showed itself in the way he knocked the ashes out of his pipe, and in
his manners of course to women. For it was very charming and quite
ridiculous how easily some girl without a grain of sense could twist
him round her finger. But at her own risk. That is to say, though he
might be ever so easy, and indeed with his gaiety and good-breeding
fascinating to be with, it was only up to a point. She said something
—no, no; he saw through that. He wouldn’t stand that—no, no. Then
he could shout and rock and hold his sides together over some joke
with men. He was the best judge of cooking in India. He was a man.
But not the sort of man one had to respect—which was a mercy; not
like Major Simmons, for instance; not in the least like that, Daisy
thought, when, in spite of her two small children, she used to
compare them.
He pulled off his boots. He emptied his pockets. Out came with his
pocket-knife a snapshot of Daisy on the verandah; Daisy all in white,
with a fox-terrier on her knee; very charming, very dark; the best he
had ever seen of her. It did come, after all so naturally; so much
more naturally than Clarissa. No fuss. No bother. No finicking and
fidgeting. All plain sailing. And the dark, adorably pretty girl on the
verandah exclaimed (he could hear her). Of course, of course she
would give him everything! she cried (she had no sense of
discretion) everything he wanted! she cried, running to meet him,
whoever might be looking. And she was only twenty-four. And she
had two children. Well, well!
Well indeed he had got himself into a mess at his age. And it came
over him when he woke in the night pretty forcibly. Suppose they did