A PARTITION THEOREM FOR PAIRS OF FINITE SETS

Thomas Jech1 and Saharon Shelah2

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1 Supported 2 Supported

by NSF Grant DMS-8614447 and by BSF. at MSRI by NSF Grant 8505550 and by BSF. Publ. No. 392 Typeset by AMS-TEX 1

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1. Introduction. A branch of combinatorics called Ramsey theory deals with phenomena of the following kind: If a suciently large set of objects is endowed with a certain structure then a large subset can be found whose all elements are alike. A simple instance is the pigeon-hole principle: If there are more pigeons than pigeonholes then some pigeon-hole is occupied by more than one pigeon. Another is this (the nite Ramsey theorem): For every integer k > 2 there is an integer n with the property that if A is a set of at least n elements and if the set of all (unordered) pairs {a, b} A is divided into two classes then there is a subset H A of size k such that all pairs {a, b} H belong to the same class. Many such principles have been formulated and proved, with applications in various branches of mathematics; most are variants of Ramseys Theorem [2]. Ramseys Theorem states (in particular) that every partition of the set [N]2 (into nitely many pieces) has an innite homogeneous set, i.e. a set H N conal in (N, <) such that [H]2 is included in one piece of the partition. The following generalization of Ramseys Theorem was suggested in [3]: Let A be an innite set, and let [A]< denote the set of all nite subsets of A. A set H [A]< is conal in [A]< if for every x [A]< there exists a y H such that x y. Note that if a conal set H is partitioned into two pieces, H = H1 H2 , then at least one of the two sets H1 , H2 is conal. Let F : [[A]< ]2 {1, . . . , k} be a partition of pairs of nite subsets of A; a set H [A]< is homogeneous for F if all pairs (a, b) [H]2 with the property that a b belong to the same piece of the partition, i.e. F (x1 , x2 ) = F (y1 , y2 ) whenever x1 , x2 , y1 , y2 H and x1 x2 , y1 y2 . The question raised in [3] asked whether for every innite A, every partition of [[A]< ]2 has a conal homogeneous set. It is not dicult to see that if A is countable, then [A]< has a conal subset of order type and so [A]< satises the partition property as a consequence of Ramseys Theorem. For an arbitrary A, the partition property in question is a generalization of Ramseys Theorem for pairs. We answer the question in the armative in the case when |A| = 1 : Theorem 1. If |A| = 1 , then every partition of [[A]< ]2 into nitely many pieces has a conal homogeneous set. The question remains open for sets of size greater than 1 . By an unpublished theorem of Galvin, Martins Axiom implies the partition property for all sets A of cardinality less than 20 . More generally, let S be a partially ordered set, and assume that S is directed and does not have a maximal element. A set H S is conal in S if for every x S there exists a y H such that x y. Let r 2 and k 2, and let F : [S]r {1, . . . , k} be a partition

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A PARTITION THEOREM FOR PAIRS OF FINITE SETS

of r-tuples in S. A set H S is homogeneous for F if for all x1 , . . . , xr and y1 , . . . , yr such that x1 < < xr and y1 < < yr we have F (x1 , . . . , xr ) = F (y1 , . . . , yr ). Using the standard arrow notation, the formula S (conal subset)r k states that for every partition F : [S]r {1, . . . , k} there exists a conal subset H of S homogeneous for F. The following is an unpublished result of Galvin [1]: Theorem 2. (F. Galvin) Assume MA(). Let S be a partially ordered set of power , which is directed, and suppose for all a S, {b S : b < a} is nite. Let f : {(x, y) S S : x < y} {red, blue}. Then there is a conal H S such that f is constant on {(x, y) H H : x < y}. Galvins method admits a generalization to partitions of r-tuples, for any r 2 (see the proof of Theorem 4 below). Thus assuming Martins Axiom the following holds: Theorem 2. Let S be a directed partially ordered set of cardinality less than 2 0 , without maximal element and such that for every a S the set {x S : x < a} is nite. Then S (conal subset)r k for all r, k < .

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Note that every partially ordered set S with the properties stated above is isomorphic to a conal subset of [S]< . The statement that for every conal S [1 ]< , S (conal subset)2 2 is not a theorem of ZFC, as by an unpublished result of Laver [4] a counterexample exists under the assumption of the continuum hypothesis: Theorem 3. (R. Laver) Let be a cardinal such that 0 = . Then there exist a conal set S []< and a partition F : [S]2 {1, 2} such that no conal subset of S is homogeneous for F.

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With Lavers permission we include the proof of Theorem 3 below. We say that a partially ordered set S has nite character if S has a conal set S such that every x S has only nitely many predecessors in S . Thus Galvins theorem implies that S (conal subset)r k holds for every set S of size 1 that has nite character, if Martins Axiom holds together with 20 > 1 , and Lavers theorem implies that if 20 = 1 then a partial order S exists that has size 1 and nite character but S (conal subset)2 2 fails.

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Theorem 4. In the Cohen model for 20 = 2 the following statements are equivalent for every directed set of cardinality 1 : (1) S (conal subset)2 2 (2) S (conal subset)r for all r, k < k (3) S has nite character. The consistency proof of (3) implies (2) is essentially the Galvins result; we will show that (1) implies (3) in the Cohen model.

2. Proof of Theorem 1. Throughout this section we consider a xed partition F : [[1 ]< ]2 {1, . . . , k}. The pairs {x, y} such that x y are divided into two classes; we shall refer to these two classes as colors. We reserve lower case letters such as a, b, c for nite subsets of 1 , and capital letters such as A, B, C for at most countable subsets of 1 . A partial coloring of a nite set a is a function f whose domain is a set of subsets of a, and whose values are in the set {1, . . . , k}. A total coloring of a is a partial coloring whose domain is the set of all subsets of a. If a b and if f is a partial coloring of a then b is f -correct if for every x dom(f ), the pair (x, b) has the color f (x) (i.e. F (x, b) = f (x)). If a A then b is an A-extension of a, a A b, if a b and b A = a. An A-extension b of a is proper if a b. We shall consider pairs (a, A) where a is nite, A is at most countable and a A. If a A and b B then (a, A) (b, B) means that A B and b is an A-extension of a. Note that is transitive. Denition 2.1. Let a A, and let f be a partial coloring of a. We say that the pair (a, A) is good for f if for every (b, B) (a, A) there exists a proper B-extension c of b that is f -correct.

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Remark. If (a, A) is good for f and if f f and (a , A ) (a, A) then (a , A ) is good for f. Lemma 2.2. For every (b, B) there exist a total coloring g of b and some (c, C) (b, B) such that (c, C) is good for g. Moreover, we may require that c is a proper B-extension of b and is g-correct. Proof. First assume that g and (c, C) (b, B) are as claimed in the rst part of the lemma. Then there is some d >C c that is g-correct, and (d, C d) is good for g. Hence it suces to nd for each (b, B) a total coloring g of b and some (c, C) (b, B) good for g. Thus assume that the lemma fails and let (b, B) be such that for every total coloring g of b, no (c, C) (b, B) is good for g.

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There are nitely many total colorings g1 , . . . , gm of b. We construct a sequence (bi , Bi ), i = 1, . . . , m so that (b, B) (b1 , B1 ) (bm , Bm ) as follows: As (b, B) is not good for g1 , there exists some (b1 , B1 ) (b, B) such that no proper B1 -extension of b1 is g1 -correct. Next, as (b1 , B1 ) is not good for g2 , there exists some (b2 , B2 ) (b1 , B1 ) such that no proper B2 -extension of b2 is g2 -correct. And so on. For each i = 1, . . . , m, no proper Bi -extension of bi is gi -correct. Now let c be an arbitrary proper Bm -extension of bm . Let us consider the following total coloring g of b: g(x) = F (x, c) (the color of (x, c)). We have g = gi for some i m. It is now clear that c is a gi -correct proper Bi -extension of bi , a contradiction. Lemma 2.3. If (a, A) is good for f , then for every (b, B) (a, A) there exists a total coloring g of b extending f , and some (c, C) (b, B) such that c is a g-correct proper B-extension of b and (c, C) is good for g. Proof. The proof proceeds as in Lemma 2.2, the dierence being that we consider only the total colorings g1 , . . . , gm of b that extend f. After having constructed (b1 , B1 ) (bm , Bm ), we nd (because (a, A) is good for f and (a, A) (bm , Bm )) a proper Bm extension c of bm that is f -correct. Then g (dened as above) extends f and so g = gi for some i m. The rest of the proof is as before.
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We shall use Lemma 2.2 and Lemma 2.3 to construct an end-homogeneous conal set H [1 ]< . Denition 2.4. A set H is end-homogeneous if for all x, y, z H, if x y and x z, then (x, y) and (x, z) have the same color. Note that if H is a conal end-homogeneous set, then one of the sets Hi = {a H : F (a, x) = i for all x H such that a x} (i = 1, . . . , k)

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is conal, and is homogeneous. It follows that it suces to construct a conal endhomogeneous set. Denition 2.5. An approximation is a triple (A, G, H) where A is an innite countable subset of 1 , G and H are disjoint conal subsets of [A]< , H is end-homogeneous, and H H for every a G, (a, A) is good for fa , where fa is the partial coloring of a dened on {x a : x H} by
H fa (x) = the color of (x, y), where y is any y H such that x y.

Let (A, G, H) (A , G , H )

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mean that A A , G G and H H . We want to construct an increasing sequence of approximations (A , G , H ), such that A = 1 . Then H = H is an endhomogeneous set, conal in [1 ]< . It is easy to verify that if is a countable limit ordinal, and if (A , G , H ), < , is an increasing sequence of approximations, then ( A , G , H ) is an approximation. Thus to complete the proof, it suces to prove the following two lemmas: Lemma 2.6. There exists an approximation. Lemma 2.7. Let (A, G, H) be an approximation and let 1 A be arbitrary. Then there is an approximation (A, G, H) (A, G, H) such that A. Proof of Lemma 2.6. We construct A as the union of a sequence c0 c1 cn . . . of nite sets, as follows. Let b0 be an arbitrary nite subset of 1 . By Lemma 2.2. there exist a total coloring g0 of b0 and some (c0 , C0 ) such that (c0 , C0 ) is good for g0 and c0 b0 is g0 -correct. Now let n 0; we have constructed (c0 , C0 ), . . . , (cn , Cn ) such that c0 cn . Fix for each i n an enumeration of Ci of order-type . Let bn+1 cn be a nite set such that for each i n, bn+1 contains the rst n elements of Ci . This will guarantee that n=0 cn = n=0 Cn . By Lemma 2.2. there exist a total coloring gn+1 of bn+1 and some (cn+1 , Cn+1 ) such that (cn+1 , Cn+1 ) is good for gn+1 and cn+1 bn+1 is gn+1 -correct. We let A = n=0 Cn . To construct G and H, consider the partition F restricted to the set [{cn } ]2 . By Ramseys Theorem, {cn } has an innite homogeneous (let us say n=0 n=0 green) subsequence. Let us denote this subsequence
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d0 e0 d1 e1 di ei . . . and let G = {di } , H = {ei } . Clearly, G and H are disjoint conal subsets of [A]< . i=0 i=0 H Moreover, H is homogeneous, and we claim that for every a G, (a, A) is good for f a . Since a = cn for some n, (cn , Cn ) is good for gn and (cn , Cn ) (cn , A), it suces to show H H that fa gn . If x dom fa then because gn is a total coloring of bn and x = cm for some m < n, and because cn is gn -correct, we have gn (x) = the color of (x, a), which is H green, because both x and a are in the homogeneous sequence. But fa (x) is also green. H Hence fa gn , and (A, G, H) is an approximation. Proof of Lemma 2.7. We construct A as the union of a sequence c0 c1 cn . . . of nite sets, as follows. First, we choose an increasing conal sequence a0 a1 an . . . in G. Let b0 be some A-extension of a0 such that b0 . As (a0 , A) is good for H H fa0 , there exist a total coloring g0 of b0 extending fa0 , an A-extension c0 of a0 such that c0 b0 and some C0 A c0 such that c0 is g0 -correct and (c0 , C0 ) is good for g0 . Now assume that (cn , Cn ) has been constructed and cn is an A-extension of an . Let bn+1 be some A-extension of an+1 such that bn+1 cn . Moreover, we choose bn+1 large enough to contain the rst n elements of each Ci A, i = 0, . . . , n (in some xed enumeration). This will guarantee that n=0 cn = n=0 Cn . H H As (an+1 , A) is good for fan+1 , there exist a total coloring gn+1 of bn+1 extending fan+1 , an A-extension cn+1 of an+1 such that cn+1 bn+1 and some Cn+1 A cn+1 such that cn+1 is gn+1 -correct and (cn+1 , Cn+1 ) is good for gn+1 .

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A PARTITION THEOREM FOR PAIRS OF FINITE SETS

We let A = n=0 Cn . To construct G and H, consider the partition restricted to the set [{cn } ]2 . By Ramseys Theorem, {cn } has an innite homogeneous (let us say n=0 n=0 green) subsequence. Let us denote this subsequence

d0 e0 d1 e1 di ei . . . and let G = G {di } , H = H {ei } . Clearly, G and H are disjoint conal subsets of i=0 i=0 < , and G = G[A]< , H = H [A]< . It remains to show that H is end-homogeneous, [A] H and that for every a G, (a, A) is good for fa . To prove that H is end-homogeneous, we have to show that the color of (x, y) for does not depend on y. If x H H, say x = ei , then every y x in H is x, y H some em , and (ei , em ) is green. If x H, then the color of (x, y) is determined by H, H and should be equal to fa (x), for any a x in G. We have to show that (x, ei ) has this color, for all ei x. So let i be such that ei x; we have ei = cn for some n. As cn is H an A-extension of an , it follows that x an . Since cn is gn -correct and gn fan , cn is H H fan -correct. Therefore (x, cn ) has color fan (x). H H Finally, we prove that for every a G, (a, A) is good for fa . If a G, then fa is just H H fa because {x a : x H} = {x a : x H}. Because (a, A) is good for fa , and H A A, (a, A) is good for fa . So let a G G, say a = di = cn . We know that (cn , Cn ) H is good for gn , and Cn A, so it suces to show that fa gn , and then it follows that H (a, A) is good for fa . So let x a be an element of H. If x H then, because a = cn is an A-extension H of an , x an and so x dom(fan ). We already know that H is end-homogeneous, so H H fa (x) = fan (x) = the color of (x, y) for any y x in H. Because gn is an extension of H H fan , we have fa (x) = gn (x). H If x H H then x = cm for some m < n, and fa (x) = green (because x = ei for some i). Now gn is a total coloring of bn , and bn cm , so x dom(gn ) and it remains to show that gn (x) = green. But cn is gn -correct, and so gn (x) = the color of (cm , cn ) = green. 3. Proof of Theorem 4.

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We shall prove that the equivalence between the partition property and nite character, for directed partial orders of size 1 , holds in the model V [G] obtained by adding 2 Cohen reals to a ground model for ZFC. We shall rst prove that (3) implies (1) in the Cohen model, and then outline how the proof can be modied to show that (3) implies (2). Assume that S is a directed partially ordered set of size 1 in the model V [G], and assume that each a S has nitely many predecessors. Let F be a partition of [S]2 . As |S| = |F | = 1 , V [G] is a generic extension of V [S, F ] by the Cohen forcing, and we may assume that S and F are in the ground model. Thus it suces to prove that adding 1 Cohen reals produces a conal homogeneous set for F . In fact, we dene a forcing notion P that produces a generic conal homogeneous set for F , and then show that P is equivalent to adding 1 Cohen reals. The forcing notion P

THOMAS JECH1 AND SAHARON SHELAH2

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is essentially the one used by Galvin in his proof of the partition property for [1 ]< from Martins Axiom. Let D be an ultralter on S with the property that for every a S, {x S : a x} D. We say that a S is red, if for D-almost all x > a, (a, x) is red; otherwise a is green. Either almost all a S are red, or almost all are green; let us assume that almost all a S are red. A forcing condition in P is a nite red-homogeneous set of red points. A condition p is stronger than q if p q and if for no x p q and no y q we have x < y. Using the ultralter D one can easily verify that for every p P and every a S there exists some x a such that p {x} is a condition stronger than p. Therefore a generic set is a conal homogeneous set. We shall nish the proof by showing that the forcing P is equivalent to adding 1 Cohen reals. Let S , < 1 , be an elementary chain of countable submodels of (S, <, red), with limit S. For each , let P = {p P : p S }. Each P is a countable forcing notion, therefore equivalent to adding a Cohen real. It suces to prove that every maximal antichain in P is a maximal antichain in P . This will follow from this claim: For every p P there is a p P such that every q P stronger than p is compatible with p. Note that conditions p and q are compatible if and only if no element of p q is less than any element of q and no element of q p is less than any element of p. Let p P . Let Z be the (nite) set {x S : x a for some a p}, and let u S be a red point such that u > x for all x Z, and that (x, u) is red for all x p S . Such a u exists as S is an elementary submodel. Now let p = (p S ) {u}. Clearly, p is a condition in P . Let q P be stronger than p and let us show that q and p are compatible. First, let x q p and y p. We claim that x is not less than y: since q is stronger than p, x is not less than u, hence x Z and because x S , the claim / follows. Second, let x q and y pq. We claim that y is not less than x: this is because x S , y S , and since S is an elementary submodel and x has nitely many predecessors, all / z < x are in S . Hence p and q are compatible. We shall now outline how the above proof is modied to show that (3) implies (2) in the Cohen model. For instance, let k = 2 and r = 3. The above proof produces in fact a homogeneous conal set H such that D {H} has the nite intersection property. (For every condition and every A D there exists a stronger condition q such that q A = .) Let F be a partition of [S]3 into {red, green}. For each a S, let Fa be the partition of [S]2 given by Fa (x, y) = F (a, x, y). Let D be an ultralter on S as before, and let Pa denote the forcing that produces a homogeneous conal set for Fa . The product of {Pa : a S} is isomorphic to adding 1 Cohen reals and if {Ha : a S} are the generic homogeneous conal sets then D {Ha : a S} has the nite intersection property. We may therefore assume that the sets Ha are in the ground model, and Ha D for each a S. We say that a S is red, if Ha is red-homogeneous; otherwise a is green. Assuming that almost all a S are red, a forcing condition is a nite red-homogeneous set of red points. This forcing produces a conal homogeneous set for the partition F , and is equivalent to adding 1 Cohen reals. We shall now prove that (1) implies (3) in the Cohen model V [G]. So let S V [G] be

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a directed partially ordered set of size 1 and assume that S has the partition property. Consider the forcing notion P that adds, with nite conditions, a generic partition of [S]2 : The forcing conditions in P are functions whose domain is a nite subset of [S]2 , with values {red, green}, and let F be the canonical name for a P -generic set. Clearly, P is equivalent to adding 1 Cohen reals, and if Q is the forcing that adds 2 Cohen reals, we have Q P Q. We shall prove: Lemma. P forces that if F has a conal homogeneous set, then S has nite character. Granted the lemma, we complete the proof of Theorem 2 as follows: Let S be a Q-name for S V [G], and let R be the forcing such that V Q = V [S]R . We have R Q and so R R P . The assumption is that R (and therefore R P ) forces that every partition of S has a conal homogeneous set. Hence R P forces that F has a conal homogeneous set, and it follows from the lemma that R P forces that S has nite character. Hence in V [G], S has nite character. Proof of Lemma. Let H be a P -name for a conal homogeneous set for F , and assume 2 that P forces that [H] is green. Let S , < 1 , be an elementary chain of countable submodels of (S, <, P, , F , Q). First we claim that every condition forces the following: For every , if a H S then the set {x H S : x < a} is nite. So let us assume otherwise, and let a S and p P be such that p / a H and that p {x H S : x < a} is innite. There is therefore some x < a, x S such that (x, a) dom p and that some q stronger than p forces x H. Since S is an / elementary submodel, there is some q stronger than the restriction of p to [S ]2 such that dom(q) [S ]2 and that q forces x H. Now q and p are compatible conditions, and moreover, (x, a) is not in the domain of q p, so let r be the extension of p q that forces that (x, a) is red. Then r (x H and a H and (x, a) is red) which is a contradiction since x < a and [H]2 is forced to be green. Now we shall construct, in V P , a conal subset C of H such that each a C has only nitely many predecessors in C. For each , let a0 S+1 S be, if it exists, an element of H that is not below any x H S . Then let an , n < , be an increasing sequence starting with a0 , conal in H S+1 . Finally, let C = {an : < 1 , n < }. The set C is conal in H. If an C, then by the claim proved above, an has only nitely many predecessors in C S , and because a0 is not less than an for any > , an has only nitely many predecessors in C. 4. Proof of Lavers Theorem. Let a and (M , H ), < , enumerate, respectively, the set []< and the set of all pairs (M, H) where M []0 and H [M ]< is conal in [M ]< . Furthermore, assume that a and M for all . We construct a conal set S = {s : < } and a partition F : [S]2 {1, 2} as follows: Let < . Let b0 = a {}; is the largest element of b0 . Choose, if possible, two distinct elements c0 and d0 of H , and let b1 = b0 c0 d0 . Note that is the largest element of b1 . Let 1 be the largest element of b1 below , and choose, if possible, c1 and

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d1 in H1 , distinct from c0 and d0 and from each other, and let b2 = b1 c1 d1 . Let 2 be largest in b2 below 1 , and choose c2 , d2 in H2 distinct from c0 , d0 , c1 , d1 . This procedure terminates after nitely many, say k, steps, and we let s = bk . For each i k, let F (ci , s ) = 1 and F (di , s ) = 2, provided ci and di are dened. Note that max s = , and that if is the i th largest element of s and if M is innite then ci and di are dened; hence there exist c and d in H such that F (c, s ) = 1 and F (d, s ) = 2. Let S = {s : < }, and let F be a partition of [S]2 that satises the conditions specied above. We claim that no conal subset of S is homogeneous for F. Thus let H be a conal subset of S. There exists an innite countable set M such that H [M ]< is conal in [M ]< ; let < be such that M = M and H = H [M ]< . As H is conal, there is an x H such that x; as H S, there is some such that x = s . Since M is innite, there exist c, d H such that F (c, s ) = 1 and F (d, s ) = 2. Hence H is not homogeneous for F.

5. Open problems. (1) [2 ]< (conal subset)2 (in ZFC) 2 < 3 (2) [1 ] (conal subset)2 (in ZFC) (3) Is it consistent that there exists a directed partial ordering of size 1 that does not have nite character but has the partition property? (4) [A]< (conal subset)r k for all innite sets A and all integers r, k 2. References

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1. F. Galvin, seminar notes from U.C.L.A. 2. R. Graham, B. Rothschild and J. Spencer, Ramsey Theory, Wiley, New York, 1980. 3. T. Jech, Some combinatorial problems concerning uncountable cardinals, Annals Math. Logic 5 (1973), 165198. 4. R. Laver, private communication.
T. Jech, Department of Mathematics, The Pennsylvania State University, and Mathematical Sciences Research Institute, Berkeley, CA 94720 S. Shelah, Department of Mathematics, The Hebrew University, and Mathematical Sciences Research Institute, Berkeley, CA 94720

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