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A Banach space has no countably infinite Hamel basis
Statement
Let be a Banach space over . Then has no countably infinite Hamel basis. Equivalently, there is no sequence of pairwise distinct vectors whose image is a basis of in the sense of Basis of a vector space: a linearly independent spanning subset; and ordered basis: an injective finite list whose image is a basis.
This holds in ZF, without any choice axiom. Here countably infinite means equinumerous with (Finite, countably infinite, countable, uncountable).
Facts & Assumptions
Given: A Banach space and, for contradiction, a sequence of pairwise distinct vectors whose image is a Hamel basis of .
A Banach space is complete for its norm metric (Banach space).
A normed space supplied with an ordered basis of finite length is complete (Every finite-dimensional normed space is Banach). We prove the needed closedness locally, rather than manufacture a sequence in an arbitrary subspace.
There is an enumeration ( is countably infinite), and rational numbers, identified with their real images, approximate every real number (Both and are dense in , and every nonempty open subset of is uncountable, clause 1).
Every nonempty subset of has a least element (The well-ordering principle). A supplied total function and starting point determine a sequence by recursion (The recursion theorem); stage-dependent rules are encoded on states containing the stage.
For every there is an integer with (For every in a complete ordered field there is a natural with ); also (For the sequence is null, and for the sequence diverges to , clause 1).
A complex Banach space retains its complete norm metric on restriction to real scalars (Realification preserves a complex norm and its metric, Banach space). Every complex scalar uniquely has the form with ( is the real coordinate plane, with coordinate arithmetic).
Proof
Fix and from [L3, L4]. Encode a finite word of naturals by , where and . To decode any natural, invert its outer pair to obtain , and invert the inner pair times, recovering the symbols in reverse order. If the final residue is not zero, return the empty word; otherwise return the recovered word. These are uniform finite recursions: one may retain the remaining length, current residue and recovered finite list as the state and stop changing the state when the remaining length is zero. Thus [L5] defines the decoder, and decoding an encoded word returns that word by induction and injectivity of . We have a total surjection from onto all finite words, without choosing separate enumerations for each length.
In the real case let . In the complex case let and , and regard as a real normed space. In either case is a real Hamel basis: in the complex case a finite real relation groups into a complex relation among the , forcing both real coefficients for each to vanish, and spanning follows by splitting each complex coefficient into real and imaginary parts. Completeness is unchanged.
Interpret a decoded symbol as the term , and interpret a decoded word as the sum of its terms, the empty word giving zero. Step 1.1 now defines a total function whose image is exactly the finite rational span of . In particular . For each fixed , the same decoder, with symbols having contributing zero, defines , where ; its image is exactly the rational span of this finite list.
For any finite expression and , if then . Otherwise put and let be the least natural with . Such an index exists by [L3]; [L5] determines it. The triangle inequality gives Consequently is dense in , and using only indices at most shows that is dense in . Only the displayed finite representation of the fixed vector is used, not a selection of representations for a family of vectors.
Each is proper since by real independence. Also , because every vector has a finite expression in the and a finite list of natural indices has an upper bound.
Fix and a point in the ambient closure of , meaning every ball around meets . For each , some satisfies , and density from step 3.1 gives some with . Hence the set of with is nonempty. Define to be its least member and . This defines one sequence outright by [L5]; no countable choice is used. The reciprocal estimate [L6] and the triangle inequality give in and show is Cauchy in .
The displayed list is an ordered real basis of by step 1.2, so [L2] supplies a limit of this already constructed Cauchy sequence. Then , whence . Therefore is closed: if a point outside it had no disjoint ball, it would belong to its closure, contrary to what we just proved. This argument uses completeness only on the specific sequence from step 4.1.
Every proper real linear subspace has empty interior. Indeed, if it contains then belongs to it, and subtraction gives inside it. For any nonzero , the vector belongs to that ball, and real scalar multiplication then puts in the subspace too; zero already belongs to it. Thus the subspace would be . In particular each is closed with empty interior.
Write and , and put . Balls are open by the triangle inequality. By step 6.1, is nonempty and open. Let be the least index with . Openness gives a radius about this point inside that set; [L6] gives an integer with . Therefore there is a least positive integer with .
Let be the set of triples with and . For any such triple the set is nonempty and open. Let be the least index with , and the least positive integer with and . Density, openness and [L6] prove these sets of indices nonempty. The resulting triple belongs to , so these formulas define a total function . Apply [L5] with initial state to obtain states for every . Put and . Then Thus . Every recurring selection was the minimum of a specified subset of .
For , nesting gives , so is Cauchy. By [L1] it converges to some . For fixed and all , Letting gives . Therefore for every . We used only the already constructed centers, not a choice of points from arbitrary closed sets.
Step 9.1 contradicts from step 3.2. Therefore the supposed countably infinite Hamel basis cannot exist. All sequences used above were defined by uniform coding, least indices, or recursion on a supplied function, so the proof requires no choice axiom.
Remarks
- The proof is written over the underlying real normed space in the complex case, so no separate complex Baire argument is needed.
Depends on
- Banach space
- Every finite-dimensional normed space is Banach
- Basis of a vector space: a linearly independent spanning subset; and ordered basis: an injective finite list whose image is a basis
- Finite, countably infinite, countable, uncountable
- $\mathbb{Q}$ is countably infinite
- $\mathbb{N} \times \mathbb{N} \approx \mathbb{N}$
- Both $\mathbb{Q}$ and $\mathbb{R} \setminus \mathbb{Q}$ are dense in $\mathbb{R}$, and every nonempty open subset of $\mathbb{R}$ is uncountable
- The recursion theorem
- The well-ordering principle
- For every $\varepsilon > 0$ in a complete ordered field there is a natural $n \ge 1$ with $1/n < \varepsilon$
- For $|r| < 1$ the sequence $r^k$ is null, and for $|r| > 1$ the sequence $|r|^k$ diverges to $+\infty$
- Realification preserves a complex norm and its metric
- $\mathbb C$ is the real coordinate plane, with coordinate arithmetic
Used by
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Sources
- Alan Sokal, Mathematics 3103, Handout 7 (2012–2013), Theorem 7.3 and footnote 4, pp. 3–5 (standard reference, not scraped)
- Paul Howard and Eleftherios Tachtsis, On infinite-dimensional Banach spaces and weak forms of the axiom of choice (standard reference, not scraped)
- Christopher Heil, A Basis Theory Primer (standard reference, not scraped)