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Real algebraic numbers are countably infinite, without choice
Example
Call real algebraic when
for some and some finite list of integers with , the integers being embedded in along (The integers as equivalence classes of pairs of naturals, The rationals as equivalence classes of pairs of integers, The integers embed in the rationals, The unique embedding of ℚ into an ordered field, Finite sums and finite products, by recursion, Integer powers ). Let be the set of real algebraic numbers. Then:
- (i) is countably infinite; an injection is specified below by the least integer-code of a coefficient list having as a root, paired with the position of in the increasing listing of that list's finite real root set;
- (ii) every rational number, embedded in , lies in ;
- (iii) is uncountable.
All of this is a theorem of ZF: the coding of valid coefficient lists is an explicit surjection, the least code and the increasing root listing are canonical, and the only enumerations used in (iii) are two existentially given surjections. No claim about algebraic closures or complex algebraic numbers is made; the ambient field here is .
Facts & Assumptions
Given: a complete ordered field (Complete ordered field (least-upper-bound property), Ordered field, Field); the integers and the rationals (The integers as equivalence classes of pairs of naturals, The rationals as equivalence classes of pairs of integers); the embedding of in (The naturals embed in the integers), the embedding (The integers embed in the rationals) and the unique injective order-preserving field homomorphism (The unique embedding of ℚ into an ordered field). Write for the image of .
The coding: is a bijection , and , where , is a surjection onto ; both are given by explicit formulas (An explicit enumeration of the rationals, with repetitions and then without them, , The integers as equivalence classes of pairs of naturals, Injection, surjection, bijection).
Decoding: for write ; the recursion theorem gives the unique with and , and with the decoded coefficients are for (The recursion theorem, A function is a relation with and implying ; , the value , domain and codomain). The fallback is used when : the code then denotes the constant list , whose polynomial has no zeros. This decoding is total: every produces a list (The Axiom Schema of Separation: for each formula , , The Axiom Schema of Replacement: for each formula , if defines a class function on then its image on is a set for the sets of decoded values).
The local root bound: for and reals with , the zero set is finite of cardinality at most (A real coefficient list of degree d has at most d real roots).
Finite subsets and listings: every nonempty finite subset of has a maximum and a minimum (The nonempty finite subsets of are exactly the listable ones); a subset of an at most countable set is at most countable (Every subset of an at most countable set is at most countable); the order of is a linear order, so it is total, antisymmetric and transitive (Ordered field, Complete ordered field (least-upper-bound property)).
Cardinality language: means a bijection exists, and is symmetric and transitive; a set is finite when it is equinumerous with some natural number, countably infinite when it is equinumerous with , and at most countable when it is one of the two (Equinumerous sets, and , Finite, countably infinite, countable, uncountable); a finite set is equinumerous with exactly one natural number (The pigeonhole principle on , claim 3); is injective (The von Neumann naturals form a Peano system); and for every (Every natural number is a transitive set and is not a member of itself).
For a nonempty set : is at most countable if and only if there is a surjection (A nonempty set is at most countable iff it is a surjective image of ); and if and then (The Schröder-Bernstein theorem, Equinumerous sets, and ). admits no surjection from ( is uncountable (Cantor's nested intervals, 1874)).
Field arithmetic of the embeddings: is a field homomorphism, so , , , , and it is injective; the operations on are well defined on classes, and for a representative of a rational one has in (The unique embedding of ℚ into an ordered field, Arithmetic on the rationals, Rational arithmetic is well defined, The rationals as equivalence classes of pairs of integers, Field).
Well-ordering: every nonempty subset of has a least element (The well-ordering principle); and every is for some (Every nonzero natural number is a successor). Induction is The principle of mathematical induction; the successor map is an order-preserving bijection from onto by On the order is membership: and the Peano properties in [F5].
Verification
The decoding is total and assigns to every a finite list of integers. For , [F2] gives with and the sequences ; then is an integer for each , so is a finite integer list. Define when , and when ; in both cases is given by a finite sum of real powers, and is a set by Separation. Finally is a set by Separation; every element of this set is real algebraic, since a fallback code has no roots. The converse follows from the coefficient coding below.
Unique increasing listings. For every finite and its unique with , there is exactly one increasing bijection . Prove this by induction on . At , and the empty function is the unique listing. At , let , which exists by [F4]. Transport into a subset of using a bijection ; [F4] makes finite, say . Extending a bijection by gives , because . Uniqueness of finite cardinality and successor injectivity give by [F5]. The induction hypothesis, including the empty case, gives an increasing bijection . Define and for . By [F8] these clauses cover ; they give a bijection and preserve order because is strictly below every member of and successor preserves the index order. For uniqueness, any increasing bijection sends to ; deleting this value gives an increasing bijection , unique by the induction hypothesis.
Every valid list is coded. Given integers with , define for each . These sets are nonempty by [F1], and [F8] supplies unique least values, so the finite function is defined without choice. Form and backwards for . To justify this finite recursion with a total self-map, carry a counter and an accumulator , start at , and send to when , leaving the state fixed when . Recursion on yields after steps. Put . Induction on gives and , so code has exactly the coefficients and does not use the fallback. Thus every valid integer list occurs. Together with step 1.1 this identifies with the set of real algebraic numbers. The encoding is generally many-to-one, since different tails or integer representatives can decode to the same list.
For every the root set is finite, and if the decoded list has then is equinumerous with some . In the fallback case we have and . Otherwise , since the composite embedding is injective and ; the polynomial is exactly the evaluation of the real coefficient list with nonzero top coefficient, so [F3] applies and is finite of cardinality at most .
is at most countable. Every lies in for some , so the least such exists by [F8]; write . Then is finite by step 2.2 and nonempty, say with , and by step 1.2 it has a unique increasing listing ; define , the position of in that listing. Define . Then is injective: if , injectivity of gives and , and both and are the value of the same unique listing. Hence is a bijection of onto the subset , and every subset of is at most countable by [F4], so is at most countable.
Every embedded rational lies in . Let and fix a representative with . Applying the construction of step 2.1 to the integer list , of degree with , produces a code whose decoded polynomial is . By [F7], , because in , that is . Hence .
. The composite embedding , , is injective, as a composite of injective maps; and for every , since for the rational by step 3.2. So is an injection .
By step 3.1 there is an injection , and by step 4.1 there is an injection ; Schröder-Bernstein gives , so is countably infinite.
is uncountable. Suppose it were at most countable. If then by step 5.1, contradicting [F6]. Otherwise is nonempty, so by [F6] fix a surjection ; by step 5.1 fix a bijection . Define by and ; every real is in or in , elements of are values , and elements of are values , so is onto. Composing with the bijection inverse to gives a surjection , contradicting [F6]. Hence is uncountable.
Collecting the results: is countably infinite by step 5.1, every embedded rational lies in by step 3.2, and is uncountable by step 6.1. The injection of step 3.1 is the least-code-and-root-rank map , and the only selections made anywhere are least elements of nonempty sets of naturals and the unique increasing listings of finite root sets, so the argument is a theorem of ZF.
Remarks
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The role of the local root bound A real coefficient list of degree d has at most d real roots is exactly to make each coded list have a finite root set, so that the increasing listing and the position exist. Without it the least-code map would still be defined but its injectivity argument would have no canonical second coordinate.
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The fallback clause at a top coefficient keeps the decoding total: every natural number is a code, possibly of the constant polynomial , which has no roots. Invalid codes therefore contribute nothing to , while every genuine list appears by step 2.1.
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No completion or algebraic-closure operation is used, and no claim is made about complex roots: the field in play is and the roots counted are real roots only. This is the convention of the source exercise, which concerns real coefficient lists.
Depends on
- An explicit enumeration of the rationals, with repetitions and then without them
- A real coefficient list of degree d has at most d real roots
- Finite, countably infinite, countable, uncountable
- Equinumerous sets, $A \approx B$ and $A \preceq B$
- Injection, surjection, bijection
- Every subset of an at most countable set is at most countable
- The nonempty finite subsets of $\mathbb{R}$ are exactly the listable ones
- A nonempty set is at most countable iff it is a surjective image of $\mathbb{N}$
- The pigeonhole principle on $\mathbb{N}$
- The Schröder-Bernstein theorem
- $\mathbb{N} \times \mathbb{N} \approx \mathbb{N}$
- $\mathbb{R}$ is uncountable (Cantor's nested intervals, 1874)
- The integers as equivalence classes of pairs of naturals
- Arithmetic on the integers
- The rationals as equivalence classes of pairs of integers
- Arithmetic on the rationals
- Rational arithmetic is well defined
- The integers embed in the rationals
- The naturals embed in the integers
- The unique embedding of ℚ into an ordered field
- Complete ordered field (least-upper-bound property)
- Ordered field
- Field
- Finite sums and finite products, by recursion
- Integer powers $a^m$
- The recursion theorem
- The principle of mathematical induction
- The well-ordering principle
- The natural numbers $\mathbb{N}$ (von Neumann)
- Order on the natural numbers
- The von Neumann naturals form a Peano system
- Every nonzero natural number is a successor
- On $\mathbb{N}$ the order is membership: $m < n \iff m \in n$
- Every natural number is a transitive set and is not a member of itself
- A function is a relation $f$ with $(a,b) \in f$ and $(a,c) \in f$ implying $b = c$; $f : A \to B$, the value $f(a)$, domain and codomain
- The Axiom Schema of Separation: for each formula $\varphi$, $\forall \bar p\,\forall x\,\exists y\,\forall z\,(z \in y \leftrightarrow (z \in x \wedge \varphi(z,\bar p)))$
- The Axiom Schema of Replacement: for each formula $\varphi$, if $\varphi$ defines a class function on $A$ then its image on $A$ is a set
Used by
Nothing in the library uses this result yet.
Dependency tree · two levels
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Sources
- Jiri Lebl, Basic Analysis I, Volume I (complete author-hosted textbook) (standard reference, not scraped)
- John K. Hunter, An Introduction to Real Analysis (complete author-hosted lecture notes) (standard reference, not scraped)