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Alexander's subbase lemma: if every cover by members of a fixed subbasis has a finite subcover then the space is compact; the proof is an application of Zorn's lemma

Statement

Assume the Axiom of Choice (The Axiom of Choice), in the form of Zorn's lemma (Zorn's lemma), the two being equivalent over ZF (The Axiom of Choice and Zorn's lemma are equivalent).

Let (X,T) be a topological space (Topology on a set, open and closed sets, clopen sets, the closed-set axiomatisation, and the coarser/finer comparison) and let S be a subbasis for T (Basis and subbasis for a topology, and the topology generated by a family of sets). Suppose that

every family S0⊆S with X=⋃S0 has a finite subfamily whose union is X.

Then (X,T) is compact (Open cover, subcover, and compact topological space; a compact subset is a subspace that is compact in its own right).

The converse is immediate and is not the content: a compact space has a finite subcover for every open cover, subbasic or not. What the lemma says is that the subbasic covers alone already decide compactness, and that is what makes it usable — a product topology is presented by a subbasis, and the subbasic covers of a product are far easier to handle than its arbitrary open covers.

Facts & Assumptions

Given: A topological space (X,T), a subbasis S for T, and the Axiom of Choice.

[A1]

Every family S0⊆S with X=⋃S0 has a finite subfamily whose union is X.

[L1]

A space is compact exactly when every family of open sets with union the space has a finite subfamily with union the space, a family being finite when it is empty or listable as {V0,…,Vn} for some n∈N; the empty space is compact (Open cover, subcover, and compact topological space; a compact subset is a subspace that is compact in its own right).

[L2]

Inclusion is a partial order on any family of sets, and a chain in it is a subfamily any two of whose members are comparable under inclusion (Partial order and partially ordered set, Chain in a poset).

[L3]

Of finitely many pairwise comparable sets one contains all the others: for D0,…,Dn pairwise comparable, induction on n gives such a member, the successor step comparing the member found for D0,…,Dn with Dn+1 (Chain in a poset, The principle of mathematical induction).

[L4]

A function with domain a natural number all of whose values are nonempty sets has a choice function, and this is a theorem of ZF (Every natural-number-indexed list of nonempty sets has a choice function on its family of values).

[L5]

An upper bound of a subset of a poset is an element above all of its members (Upper bound, least upper bound, and strict upper bound); a maximal element is one with nothing strictly above it (Maximal element and greatest element).

[L6]

Zorn's lemma: a nonempty poset in which every chain has an upper bound has a maximal element (Zorn's lemma).

[L7]

The intersections of finitely many members of S form a basis for T, the intersection of none being X; and for a basis B, every open O and every x∈O admit B∈B with x∈B⊆O (A family is a basis for a unique topology iff it covers the set and every point of an intersection of two members lies in a member inside that intersection; finite intersections of any subbasis form a basis, claim 2; Basis and subbasis for a topology, and the topology generated by a family of sets).

Proof

technique · contradiction
1.1

Suppose (X,T) is not compact. Then X≠∅, the empty space being compact by [L1], and the family P of those open covers of X that have no finite subcover is a nonempty subfamily of the power set of T, partially ordered by inclusion.

L1L2assume-contra
2.1

Every chain C⊆P has an upper bound in P. For C=∅ any member of P is an upper bound, and P is nonempty by step 1.1. For C≠∅ take B:=⋃C, a family of open sets whose union is X because the union of any one member of C already is; were B to have a finite subcover U0,…,Un, then for each j≤n the set of members of C containing Uj is nonempty, [L4] would supply D0,…,Dn∈C with Uj∈Dj, and [L3] would put all of them inside one D∈C, which would then have the finite subcover U0,…,Un and could not lie in P. So B∈P, and it contains every member of C.

L2L3L4L5step 1.1
3.1

By [L6] the poset P has a maximal element M: an open cover of X with no finite subcover such that the only member of P containing it is itself.

L5L6step 1.1step 2.1
4.1

For every open U∉M there is a finite F⊆M with X=U∪⋃F. Indeed M∪{U} is an open cover strictly containing M, so by maximality it is not in P and has a finite subcover; that subcover must contain U, since otherwise it would be a finite subcover of M itself, and the members other than U form the required finite F⊆M.

L1step 3.1
4.2

Let x∈X. Since M covers X there is M∈M with x∈M, and by [L7] there are m∈N and S0,…,Sm∈S with x∈S0∩⋯∩Sm⊆M; the remaining alternative of [L7], that no member of S is taken and the basic set is X itself, would give X⊆M and so make {M} a finite subcover of M, which step 3.1 forbids.

L7step 3.1
5.1

Some Sj lies in M. For if none did, then by step 4.1 the set of finite F⊆M with X=Sj∪⋃F is nonempty for each j≤m, so [L4] supplies F0,…,Fm; every y∈X either lies in S0∩⋯∩Sm or fails to lie in some Sj and then lies in ⋃Fj, so X=(S0∩⋯∩Sm)∪⋃F0∪⋯∪⋃Fm⊆M∪⋃F0∪⋯∪⋃Fm, exhibiting a finite subfamily of M with union X — a union of finitely many listable families being listed by concatenation — which step 3.1 forbids.

L1L4step 3.1step 4.1step 4.2
6.1

Hence S∩M covers X: every x∈X lies in some Sj of step 4.2 that belongs to M by step 5.1, and x∈S0∩⋯∩Sm⊆Sj.

step 4.2step 5.1
7.1

By [A1] the cover S∩M of X by members of S has a finite subfamily with union X; that subfamily is a finite subfamily of M with union X, contradicting the choice of M at step 3.1. So the supposition of step 1.1 is untenable and (X,T) is compact.

A1step 3.1step 6.1discharge-contradiction∎

Remarks

Where the Axiom of Choice is spent. Exactly once, at step 3.1, through Zorn's lemma. The finite selections at steps 2.1 and 5.1 are instances of Every natural-number-indexed list of nonempty sets has a choice function on its family of values and cost nothing. That single use is inherited by Tychonoff's theorem: an arbitrary product of compact spaces is compact in the product topology, assuming the Axiom of Choice, which is proved from this lemma, and it cannot be avoided there: Tychonoff's theorem implies the Axiom of Choice.

Why maximality is the right tool. A cover with no finite subcover that cannot be enlarged is very close to being a filter of complements, and step 4.1 is what that closeness amounts to: any open set outside M already finishes the job when finitely many members of M are added. Step 5.1 then says a basic set of M cannot have all of its subbasic factors outside M, which is the only place the subbasis hypothesis is used.

The hypothesis is about one fixed subbasis. A space may have many subbases, and the lemma is applied with whichever one presents the topology most conveniently. For a product that is the family of preimages of open sets under the projections (The product set ∏i∈IXi of functions choosing a point in each factor, the projections, the box topology, and the product topology as the initial topology of the projections; the empty product is a one-point space), and it is exactly the fact that a subbasic cover of a product moves one coordinate at a time that makes Tychonoff's theorem: an arbitrary product of compact spaces is compact in the product topology, assuming the Axiom of Choice a short argument.

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