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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)(X, \mathcal{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\mathcal{S} be a subbasis for T\mathcal{T} (Basis and subbasis for a topology, and the topology generated by a family of sets). Suppose that

every family S0S\mathcal{S}_0 \subseteq \mathcal{S} with X=S0X = \bigcup \mathcal{S}_0 has a finite subfamily whose union is XX.

Then (X,T)(X, \mathcal{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)(X, \mathcal{T}), a subbasis S\mathcal{S} for T\mathcal{T}, and the Axiom of Choice.

[A1]

Every family S0S\mathcal{S}_0 \subseteq \mathcal{S} with X=S0X = \bigcup \mathcal{S}_0 has a finite subfamily whose union is XX.

[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}\{V_0, \dots, V_n\} for some nNn \in \mathbb{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\mathcal{D}_0, \dots, \mathcal{D}_n pairwise comparable, induction on nn gives such a member, the successor step comparing the member found for D0,,Dn\mathcal{D}_0, \dots, \mathcal{D}_n with Dn+1\mathcal{D}_{n+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\mathcal{S} form a basis for T\mathcal{T}, the intersection of none being XX; and for a basis B\mathcal{B}, every open OO and every xOx \in O admit BBB \in \mathcal{B} with xBOx \in B \subseteq 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)(X, \mathcal{T}) is not compact. Then XX \ne \varnothing, the empty space being compact by [L1], and the family P\mathcal{P} of those open covers of XX that have no finite subcover is a nonempty subfamily of the power set of T\mathcal{T}, partially ordered by inclusion.

L1L2assume-contra
2.1

Every chain CP\mathcal{C} \subseteq \mathcal{P} has an upper bound in P\mathcal{P}. For C=\mathcal{C} = \varnothing any member of P\mathcal{P} is an upper bound, and P\mathcal{P} is nonempty by step 1.1. For C\mathcal{C} \ne \varnothing take B:=C\mathcal{B} := \bigcup \mathcal{C}, a family of open sets whose union is XX because the union of any one member of C\mathcal{C} already is; were B\mathcal{B} to have a finite subcover U0,,UnU_0, \dots, U_n, then for each jnj \le n the set of members of C\mathcal{C} containing UjU_j is nonempty, [L4] would supply D0,,DnC\mathcal{D}_0, \dots, \mathcal{D}_n \in \mathcal{C} with UjDjU_j \in \mathcal{D}_j, and [L3] would put all of them inside one DC\mathcal{D} \in \mathcal{C}, which would then have the finite subcover U0,,UnU_0, \dots, U_n and could not lie in P\mathcal{P}. So BP\mathcal{B} \in \mathcal{P}, and it contains every member of C\mathcal{C}.

L2L3L4L5step 1.1
3.1

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

L5L6step 1.1step 2.1
4.1

For every open UMU \notin \mathcal{M} there is a finite FM\mathcal{F} \subseteq \mathcal{M} with X=UFX = U \cup \bigcup \mathcal{F}. Indeed M{U}\mathcal{M} \cup \{U\} is an open cover strictly containing M\mathcal{M}, so by maximality it is not in P\mathcal{P} and has a finite subcover; that subcover must contain UU, since otherwise it would be a finite subcover of M\mathcal{M} itself, and the members other than UU form the required finite FM\mathcal{F} \subseteq \mathcal{M}.

L1step 3.1
4.2

Let xXx \in X. Since M\mathcal{M} covers XX there is MMM \in \mathcal{M} with xMx \in M, and by [L7] there are mNm \in \mathbb{N} and S0,,SmSS_0, \dots, S_m \in \mathcal{S} with xS0SmMx \in S_0 \cap \dots \cap S_m \subseteq M; the remaining alternative of [L7], that no member of S\mathcal{S} is taken and the basic set is XX itself, would give XMX \subseteq M and so make {M}\{M\} a finite subcover of M\mathcal{M}, which step 3.1 forbids.

L7step 3.1
5.1

Some SjS_j lies in M\mathcal{M}. For if none did, then by step 4.1 the set of finite FM\mathcal{F} \subseteq \mathcal{M} with X=SjFX = S_j \cup \bigcup \mathcal{F} is nonempty for each jmj \le m, so [L4] supplies F0,,Fm\mathcal{F}_0, \dots, \mathcal{F}_m; every yXy \in X either lies in S0SmS_0 \cap \dots \cap S_m or fails to lie in some SjS_j and then lies in Fj\bigcup \mathcal{F}_j, so X=(S0Sm)F0FmMF0FmX = (S_0 \cap \dots \cap S_m) \cup \bigcup \mathcal{F}_0 \cup \dots \cup \bigcup \mathcal{F}_m \subseteq M \cup \bigcup \mathcal{F}_0 \cup \dots \cup \bigcup \mathcal{F}_m, exhibiting a finite subfamily of M\mathcal{M} with union XX — 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 SM\mathcal{S} \cap \mathcal{M} covers XX: every xXx \in X lies in some SjS_j of step 4.2 that belongs to M\mathcal{M} by step 5.1, and xS0SmSjx \in S_0 \cap \dots \cap S_m \subseteq S_j.

step 4.2step 5.1
7.1

By [A1] the cover SM\mathcal{S} \cap \mathcal{M} of XX by members of S\mathcal{S} has a finite subfamily with union XX; that subfamily is a finite subfamily of M\mathcal{M} with union XX, contradicting the choice of M\mathcal{M} at step 3.1. So the supposition of step 1.1 is untenable and (X,T)(X, \mathcal{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\mathcal{M} already finishes the job when finitely many members of M\mathcal{M} are added. Step 5.1 then says a basic set of M\mathcal{M} cannot have all of its subbasic factors outside M\mathcal{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 iIXi\prod_{i \in I} X_i 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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