Work in a stable theory T with monster model ๐.
This article continues where Proofs:Equivalent Definitions of Stability leaves off. We will make use of the following fact from that page:
Fact. Let p(x) be a type over a set A. Let ฯ(x;โy) be a formula. Then there is at least one q(x)โโโSฯ(๐) which is consistent with p(x) and which has finite orbit under Aut(๐/A).
Strong Types Have Canonical Extensions[]
If T is stable, so is Teq. To see this, let ฯ(x;โy) be a formula in Teq. Then x and y come from sorts of the form X1/E1 and X2/E2, where X1 and X2 are sorts (or products of sorts) in T, and E1 and E2 are definable equivalence relations on X1 and X2. Let ฯiโ:โXiโโโXi/Ei be the natural projection map, and let ฯ(z;โw)โ=โฯ(ฯ1(z);โฯ2(w)). Then ฯ(z;โw) is (equivalent to) a formula in T, so it does not have the order property. If ฯ(x;โy) has the order property, then there exist ai,โbi for iโ<โฯ such that โโจโฯ(ai;โbj) if and only if iโ<โj. Choosing ciโโโฯ1โ
โโ
1(ai) and diโโโฯ2โ
โโ
1(bi), we get that โโจโฯ(ci;โdj) if and only if iโ<โj, a contradiction.
Assume for the rest of this section that T is a stable theory with elimination of imaginaries. (If T is stable without elimination of imaginaries, replace T with Teq.) The assumption that we have elimination of imaginaries will be used mainly in the following way:
Observation 1. Let A be a small algebraically closed set, acl(A)โ=โA. Let X be a definable set. Suppose X has finitely many conjugates under Aut(๐/A). Then X is A-definable, and hence has a unique conjugate under Aut(๐/A).
Proof. If [X] is a code for X, then [X] has finitely many conjugates over A, hence is in acl(A)โ=โA. Since X is [X]-definable, X is A-definable. QED
Lemma. Let Aโ=โacl(A) be a small set. Let p(x) be a complete type over A and let ฯ(x;โy) be a formula. Then there is a global ฯ-type which is A-invariant (i.e., Aut(๐/A)-invariant), and which is consistent with p(x).
Proof. By the fact at the beginning of this page, we can find a global ฯ-type q which is consistent with p(x) and has finitely many conjugates over A. Now if ฯ(y) is the ฯ-definition of q(x), that is, ฯ(x;โb)โโโq(x)โ
โโ
โโจโฯ(b) for every q(x), then the ๐-definable set ฯ(๐) has finitely many conjugates over A. By Observation 1, ฯ(y) must be A-definable. So q(x) is A-invariant. QED
Recall that if ฯ1(x;โy) and ฯ2(x;โz) are two formulas, we can find a third formula ฯ(x;โw) such that the sets of the form ฯ(๐;โc) are precisely the sets of the form ฯ1(๐;โa) and ฯ2(๐;โb). Specifically, we take ฯ(x;โy,โz,โwโฒ,โwโณ) to be (ฯ1(x;โy)โ
โงโ
(wโฒโ=โwโณ))โ
โจโ
(ฯ2(x;โy)โ
โงโ
(wโฒโโ โwโณ)) So ฯ acts like ฯ1 if the dummy variables wโฒ and wโณ agree, and acts like ฯ2 if they do not agree.
Iterating this, one sees that given ฯ1(x;โy1),โโฆ,โฯn(x;โyn), we can find ฯ(x;โw) such that the formulas of the form ฯ(๐;โc) are exactly the formulas of the form ฯi(x;โb) for some i and b. Consequently, given a finite set of formulas ฮ, we can find a single formula ฯ such that ฮ-formulas are the same thing as ฯ-formulas, and consequently ฮ-types are the same thing as ฯ-types.
By the previous lemma, we conclude that if ฮ is a finite set of formulas, if Aโ=โacl(A), and if p(x) is a complete type over A, then there is a global ฮ-type which is consistent with p(x) and A-invariant.
From this, it essentially follows by compactness that types over algebraically closed sets have global invariant extensions:
Lemma. Let Aโ=โacl(A) be a small set. Let p(x) be a complete type over A. Then there is a global A-invariant complete type pโฒ(x) extending p(x). The type pโฒ(x) is A-definable.
Proof. Let ฮฃ(x) be the partial type over ๐ asserting that for every formula ฯ(x;โy), and every bโกAc, ฯ(x;โb)โโ๏ธโฯ(x;โc) Then p(x)โ
โชโ
ฮฃ(x) is consistent. To see this, for each finite set of formulas ฮ, let ฮฃฮ(x) assert that ฯ(x;โb)โโ๏ธโฯ(x;โc) for every ฯโโโฮ and every bโกAc. Then ฮฃ(x) is the union of the ฮฃฮ(x)โs as ฮ ranges over bigger and bigger sets, so it suffices to see that p(x)โ
โชโ
ฮฃฮ(x) is consistent for each ฮ. But this follows from the fact that there is a global A-invariant ฮ-type which is consistent with p(x).
So p(x)โ
โชโ
ฮฃ(x) is consistent. If pโฒ(x) is any complete type extending it, then pโฒ(x) is A-invariant.
By stability, p(x) is definable. For each formula ฯ, the ฯ-definition of p(x) is A-invariant, hence A-definable. So p(x) is A-definable. QED
In fact, the type pโฒ(x) is uniquely determined by p(x). To prove this, we will need a preliminary version of the symmetry of forking.
Recall that if p(x) and q(y) are two global A-invariant types (in any theory), there is a well-defined global A-invariant type p(x)โ
โโ
q(y) which is characterized by the fact that for any B, the following are equivalent:
- (a,โb)โโจโ(pโ
โโ
q)|B.
- bโโจโq|B and aโโจโp|Bb.
Theorem 2. Let A be a small set of parameters. Let p(x) and q(y) be two global A-definable types. Then p(x)โ
โโ
q(y)โ=โq(y)โ
โโ
p(x).
Proof. If not, there is some formula ฯ(x;โy;โc) which belongs to p(x)โ
โโ
q(y) but not to q(y)โ
โโ
p(x). Let ai,โbi be a sequence recursively constructed as follows:
- bi is a realization of q restricted to Acโ
โชโ
{ajโ:โjโ<โi}โ
โชโ
{bjโ:โjโ<โi}
- ai is a realization of p restricted to Acโ
โชโ
{ajโ:โjโ<โi}โ
โชโ
{bjโ:โjโโคโi}.
So essentially the sequence b1,โa1,โb2,โa2,โโฆ is a realization of (qโ
โโ
pโ
โโ
qโ
โโ
pโ
โโ
โฏ)|Ac.
If iโ<โj, then (ai;โbj)โโจโ(pโ
โโ
q)|Ac, so ฯ(ai;โbj;โc) holds. On the other hand, if iโโฅโj, then (bj;โai)โโจโ(qโ
โโ
p)|Ac, so ฯ(ai;โbj;โc) does not hold. Therefore ฯ(x;โy,โz) has the order property, a contradiction. QED
Corollary 3. Let Aโ=โacl(A). Then each complete type over A has a unique global A-invariant extension.
Proof. Let p and pโฒ be two global A-invariant types such that p|Aโ=โpโฒ|A. Suppose pโโ โpโฒ. Then there is some formula ฯ(x;โb) which is in p but not in pโฒ. Let a realize p|Ab and aโฒ realize p|Abโฒ. Then ฯ(a;โb) holds and ฯ(aโฒ;โb) does not, so (a,โb)โขA(aโฒ,โb).
Let q be a global A-invariant type extending tp(b/A). Note that (a,โb)โโจโ(pโ
โโ
q)|A and (aโฒ,โb)โโจโ(pโฒโ
โโ
q)|A. By Lemma 2, (b,โa)โโจโ(qโ
โโ
p)|A and (b,โaโฒ)โโจโ(qโ
โโ
pโฒ)|A. Now (qโ
โโ
p)|A depends on p only through p|A, so we should in fact have (qโ
โโ
p)|Aโ=โ(qโ
โโ
pโฒ)|A, contradicting (a,โb)โขA(aโฒ,โb).
More precisely, let ฯ be an automorphism over A moving aโฒ to a. Since bโโจโq|Aaโฒ, and q is fixed by ฯ, we get that ฯ(b)โโจโq|Aa. As bโโจโq|Aa, we get that ฯ(b)โกAab, or equivalently, (a,โb)โกA(a,โฯ(b))โ=โฯ((aโฒ,โb)). So (a,โb)โกA(aโฒ,โb), a contradiction. QED
Although we have proven Corollary 3 for finitary types, it holds equally well for infinitary types, by an easy exercise. One way to see this is to verify that the above proof works for infinitary types. (Infinitary ฯ-types turn out to be equivalent to finitary ฯ-types, because a single formula ฯ can only reference finitely many of the variables in an infinite tuple.) Alternatively, one can deduce Corollary 3 for infinitary types from Corollary 3 for finitary types, by using the fact that $S_{I}(A) = \lim\limits_{\rightarrow}S_{I_{0}}(A)$ where the limit ranges over finite subsets I0 of I, and SI(A) denotes the set of complete types over A of tuples โจaiโฉiโโโI indexed by I.
Forking[]
Suppose T is stable, but perhaps does not eliminate imaginaries. If C is a small subset of the monster ๐, or of ๐eq, then acleq(C) denotes the algebraic closure of C within ๐eq.
If a is a tuple, the strong type of a over C, denoted stp(a/C) is by definition just tp(a/acleq(C)). From the previous section, we know that stp(a/C) has a unique extension to a global acleq(C)-invariant type. By a slight abuse of notation, denote this stp(a/C)|๐. We are thus using the symbol | to denote extension, not restriction. Also, if B is any subset of ๐eq, we let stp(a/C)|B denote the restriction of stp(a/C)|๐ to B.
Fix some small base set C. Let Cโฒโ=โacleq(C). If a and b are (possibly infinite) tuples, let aโCb indicate that there exist global Cโฒ-definable types p and q such that (a,โb)โโจโ(pโ
โโ
q)|Cโฒ. Then aโโจโp|Cโฒ and bโโจโq|Cโฒ. Since types over Cโฒ have unique Cโฒ-definable extensions, p must be tp(a/Cโฒ)|๐, q must be tp(b/Cโฒ)|๐, and pโ
โโ
q must be tp(ab/Cโฒ)|๐. So aโCbโ
โโ
(stp(a/C)|๐)โ
โโ
(stp(b/C)|๐)โ=โstp(ab/C)|๐.
If pโ=โstp(a/C)|๐ and qโ=โstp(b/C)|๐, then aโCb is equivalent to stp(ab/C)|๐โ=โpโ
โโ
q. Because types over Cโฒ are in bijective correspondence with global Cโฒ-definable types, this is equivalent to abโโจโpโ
โโ
q|Cโฒ. From the definition of pโ
โโ
q, this is the same as saying that
- bโโจโq|Cโฒ
- aโโจโp|Cโฒb.
But (1) is automatic, since qโ=โtp(b/Cโฒ)|๐. So aโCb is equivalent to aโโจโp|Cโฒb, or equivalently, aโโจโtp(a/Cโฒ)|Cโฒb.
At this point, we have at least two equivalent definitions for aโCb:
- (a,โb)โโจโpโ
โโ
q|Cโฒ for some Cโฒ-definable types p and q.
- aโโจโstp(a/C)|Cโฒb.
where Cโฒโ=โacleq(C).
Lemma.
- (a)
- aโCbโ
โโ
bโCa. This fact is called symmetry.
- (b)
- aโCb depends only on the underlying sets of a and b, and not on the orderings of the tuples a and b. So โ is really a relation on sets, not tuples.
- (c)
- If AโฒโโโA and BโฒโโโB, then AโCB implies AโฒโCBโฒ. This fact is called monotonicity.
- (d)
- AโCB holds if and only if AโฒโCBโฒ holds for all finite subsets Aโฒ of A and Bโฒ of B. This fact is called finite character.
- (e)
- If AโCB and D is another set, then we can find AโฒโกBCA such that AโฒโCBD. This is called right extension.
- (f)
- If ฯ is an automorphism of ๐, then AโCBโ
โโ
ฯ(A)โฯ(C)ฯ(B). This is called automorphism invariance. Equivalently, if AโฒBโฒCโฒโกโABC, then AโCBโ
โโ
AโฒโCโฒBโฒ.
- (g)
- If AโCB, then AโCacleq(BC).
Proof.
- (a)
- This comes from Theorem 2 above, and the first definition of โ.
- (b)
- The fact that aโCb depends only on b as a set, not as a tuple, is clear from the second of the two definitions of โ given above. Then by symmetry, it only depends on a as a set.
- (c)
- If aโCB holds and BโฒโโโB, then a realizes p|CโฒB, where pโ=โtp(a/Cโฒ)|๐. Clearly the tuple a also realizes the smaller type p|CโฒBโฒ, so aโCBโฒ. This gives monotonicity on the right: AโCBโ
โโ
AโCBโฒ if BโฒโโโB. By symmetry we also get monotonicity on the left.
- (d)
- By symmetry, it suffices to show that aโCB holds if and only if aโCBโฒ holds for all finite subsets BโฒโโโB. Let pโ=โtp(a/Cโฒ)|๐. By the second definition of โ, aโCBโฒ is equivalent to aโโจโp|CโฒBโฒ for all Bโฒ. But a realizes p|CโฒB if and only if a realizes the restriction of that type to all finite subsets. So a realizes p|CโฒB if and only if a realizes p|CโฒBโฒ for all finite BโฒโโโB.
- (e)
- Suppose aโCB and D is some set. Let pโ=โtp(a/Cโฒ)|๐. Let aโฒ realizes p|CโฒBD. Then tp(aโฒ/Cโฒ)โ=โtp(a/Cโฒ), so p is also tp(aโฒ/Cโฒ)|๐. Therefore aโฒโCBD is equivalent to aโฒโโจโp|CโฒBD, which is true. To see that aโฒโกBCa, note that because aโCB, we know that a realizes p|CโฒB. Thus aโฒ and a both realize p|CB, and therefore aโกBCaโฒ.
- (f)
- This is clear from the definitions, which broke no symmetries of the monster.
- (g)
- By right extension, we can find AโฒโกBCA such that AโฒโCacleq(BC). Let ฯ be an automorphism fixing BC and sending Aโฒ back to A. By automorphism invariance, AโCฯ(acleq(BC)). But ฯ fixes BC, so it can at most permute the members of acleq(BC). In particular, ฯ(acleq(BC)) is the same underlying set as acleq(BC), so by part (a), AโCacleq(BC).
QED
By monotonicity and part (g), we have the following equivalence AโCBโ
โโ
AโCacleq(BC). By the second definition of โ, we conclude AโCBโ
โโ
Aโโจโp|acleq(BC), where p is stp(A/C)|๐. The type p is acleq(C)-definable, hence acleq(BC)-definable. By stability, types over acleq(BC) have unique global acleq(BC)-definable extensions, so Aโโจโp|acleq(BC) is equivalent to stp(A/BC)|๐โ=โp.
In summary, AโCB is equivalent to the following: stp(A/C)|๐โ=โstp(A/BC)|๐. This gives a third definition of โ.
Lemma. Suppose C1โโโC2โโโC3 and A is a set. Then AโC1C3 if and only if AโC1C2 and AโC2C3. This fact is called transitivity.
Proof. First suppose that AโC1C2 and AโC2C3. By the third definition of โ, we see that stp(A/C1)|๐โ=โstp(A/C2)|๐โ=โstp(A/C3)|๐. By transitivity of equality, stp(A/C1)|๐โ=โstp(A/C3)|๐, which means AโC1C3 by the third definition of โ.
Conversely, suppose that AโC1C3. By right monotonicity, AโC1C2. Then stp(A/C3)|๐โ=โstp(A/C1)|๐โ=โstp(A/C2)|๐. By transitivity of equality, stp(A/C2)|๐โ=โstp(A/C3)|๐, which means AโC2C3 by the third definition of โ. QED
We now prove the remaining essential facts for the forking calculus:
Lemma.
- (1)
- AโBB always holds.
- (2)
- AโBA holds if and only if Aโโโacleq(B).
- (3)
- Suppose Cโ=โacleq(C), or more generally, acleq(C)โ=โdcleq(C). (In particular, this holds if C is a model). If AโCB and AโฒโCB, then AโฒโกCA implies AโฒโกBCA.
- (4)
- There is some cardinal ฮบโ=โฮบ(T) such that if a is a finite tuple and C is a small set, then there exists CโฒโโโC with |Cโฒ|โโคโฮบ and aโCโฒC. This is called local character.
Proof.
- (1)
- By the third definition of โ, this amounts to showing that stp(A/B)|๐ equals itself.
- (2)
- Suppose Aโโโacleq(B). By (1), AโBB. By the lemma above, AโBacleq(AB). But Aโโโacleq(AB), so by monotonicity on the right, AโBA. Conversely, suppose AโBA. We want to show that Aโโโacleq(B). By finite character, we may assume that A is a finite tuple a. Now stp(a/B)|๐โ=โstp(a/Ba)|๐. But the constant type xโ=โa is clearly the unique Ba-definable type extending stp(a/Ba), so stp(a/B)|๐ must be the constant type xโ=โa. In order for this to be acleq(B)-invariant, the element a must be fixed by every automorphism fixing acleq(B). This forces a to be in acleq(B).
- (3)
- Suppose AโCB and AโฒโCB and AโฒโกCA. Because C is algebraically closed, strong types over C are the same as types over C. So stp(A/BC)|๐โ=โtp(A/C)|๐โ=โtp(Aโฒ/C)|๐โ=โstp(Aโฒ/BC)|๐. This ensures that stp(A/BC)โ=โstp(Aโฒ/BC), so in particular tp(A/BC)โ=โtp(Aโฒ/BC).
- (4)
- We can take ฮบ to be |T|. Let pโ=โstp(a/C)|๐. Then p is acleq(C)-definable. The definition of p consists in a map assigning to each formula ฯ an acleq(C)-formula dpฯ. There are only |T| formulas ฯ, so there must be some subset CโฒโโโC of size at most |T| such that dpฯ is over acleq(Cโฒ) for every ฯ. Thus p is acleq(Cโฒ)-definable. Now stp(a/Cโฒ) is a restriction of stp(a/C) which is a restriction of p. Since p is acleq(Cโฒ)-definable, p must in fact be stp(a/Cโฒ)|๐. Then stp(a/Cโฒ)|๐โ=โpโ=โstp(a/C)|๐, so aโCโฒC.
QED
Suppose BโโโBโฒ are two small sets, and p is a type over B. Let pโฒ be an extension of p to Bโฒ. We say that pโฒ is a non-forking extension of p, or that pโฒ does not fork over B, if aโBBโฒ for any realization a of pโฒ. The choice of a does not matter, by automorphism invariance. ::: ::: :::