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A Banach space has no countably infinite Hamel basis

Statement

Let X be a Banach space over K∈{R,C}. Then X has no countably infinite Hamel basis. Equivalently, there is no sequence (bn)n∈N of pairwise distinct vectors whose image is a basis of X 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 N (Finite, countably infinite, countable, uncountable).

Facts & Assumptions

Given: A Banach space X and, for contradiction, a sequence (bn)n∈N of pairwise distinct vectors whose image is a Hamel basis of X.

[L1]

A Banach space is complete for its norm metric (Banach space).

[L2]

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.

[L3]

There is an enumeration q:N→Q (Q is countably infinite), and rational numbers, identified with their real images, approximate every real number (Both Q and R∖Q are dense in R, and every nonempty open subset of R is uncountable, clause 1).

[L4]

There is a fixed bijection p:N×N→N, explicitly p(a,b)=2a(2b+1)−1 (N×N≈N).

[L5]

Every nonempty subset of N has a least element (The well-ordering principle). A supplied total function f:S→S and starting point determine a sequence by recursion (The recursion theorem); stage-dependent rules are encoded on states containing the stage.

[L7]

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 a+ib with a,b∈R (C is the real coordinate plane, with coordinate arithmetic).

Proof

technique · direct
1.1L3L4L5construct

Fix p and q from [L3, L4]. Encode a finite word (a0,…,aℓ−1) of naturals by p(ℓ,cℓ), where c0=0 and cj+1=p(cj,aj). To decode any natural, invert its outer pair to obtain (ℓ,c), and invert the inner pair ℓ 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 p. We have a total surjection from N onto all finite words, without choosing separate enumerations for each length.

1.2givenL7algebra

In the real case let ej=bj. In the complex case let e2j=bj and e2j+1=ibj, and regard X as a real normed space. In either case (ej) is a real Hamel basis: in the complex case a finite real relation groups into a complex relation among the bj, forcing both real coefficients for each bj to vanish, and spanning follows by splitting each complex coefficient into real and imaginary parts. Completeness is unchanged.

2.1step 1.1step 1.2L3L4construct

Interpret a decoded symbol p(j,t) as the term q(t)ej, and interpret a decoded word as the sum of its terms, the empty word giving zero. Step 1.1 now defines a total function d:N→X whose image D is exactly the finite rational span of (ej). In particular 0∈D. For each fixed N, the same decoder, with symbols having j>N contributing zero, defines dN:N→FN, where FN=span⁡R{e0,…,eN}; its image is exactly the rational span of this finite list.

3.1step 1.2step 2.1L3L5algebra

For any finite expression v=∑j<ℓλjenj and ε>0, if ℓ=0 then v=0∈D. Otherwise put δ=ε/(2ℓ(1+∑j<ℓ∥enj∥))>0 and let tj be the least natural with ∣λj−q(tj)∣<δ. Such an index exists by [L3]; [L5] determines it. The triangle inequality gives ∥v−∑j<ℓq(tj)enj∥≤δ∑j<ℓ∥enj∥<ε. Consequently D is dense in X, and using only indices at most N shows that dN[N] is dense in FN. Only the displayed finite representation of the fixed vector is used, not a selection of representations for a family of vectors.

3.2step 1.2step 2.1algebra

Each FN is proper since eN+1∉FN by real independence. Also X=⋃NFN, because every vector has a finite expression in the ej and a finite list of natural indices has an upper bound.

4.1step 3.1L5L6construct

Fix N and a point z in the ambient closure of FN, meaning every ball around z meets FN. For each k∈N, some u∈FN satisfies ∥z−u∥<1/(2(k+1)), and density from step 3.1 gives some dN(j) with ∥u−dN(j)∥<1/(2(k+1)). Hence the set of j with ∥z−dN(j)∥<1/(k+1) is nonempty. Define j(k) to be its least member and uk=dN(j(k)). This defines one sequence outright by [L5]; no countable choice is used. The reciprocal estimate [L6] and the triangle inequality give uk→z in X and show (uk) is Cauchy in FN.

5.1step 1.2step 4.1L2algebra

The displayed list (e0,…,eN) is an ordered real basis of FN by step 1.2, so [L2] supplies a limit y∈FN of this already constructed Cauchy sequence. Then ∥z−y∥≤∥z−uk∥+∥uk−y∥→0, whence z=y∈FN. Therefore FN 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.

6.1step 5.1step 3.2algebra

Every proper real linear subspace has empty interior. Indeed, if it contains B(v,r) then v belongs to it, and subtraction gives B(0,r) inside it. For any nonzero w∈X, the vector rw/(2∥w∥) belongs to that ball, and real scalar multiplication then puts w in the subspace too; zero already belongs to it. Thus the subspace would be X. In particular each FN is closed with empty interior.

7.1step 3.1step 6.1L5L6construct

Write B(v,r)={w:∥w−v∥<r} and B‾(v,r)={w:∥w−v∥≤r}, and put U0=B(0,1). Balls are open by the triangle inequality. By step 6.1, U0∖F0 is nonempty and open. Let m0 be the least index with d(m0)∈U0∖F0. Openness gives a radius ρ>0 about this point inside that set; [L6] gives an integer k with 1/k<ρ. Therefore there is a least positive integer k0 with B‾(d(m0),1/k0)⊆U0∖F0.

8.1step 3.1step 6.1step 7.1L5L6construct

Let S be the set of triples (n,m,k)∈N3 with k≥1 and B‾(d(m),1/k)⊆U0∖Fn. For any such triple the set O=B(d(m),1/(2k))∖Fn+1 is nonempty and open. Let m′ be the least index with d(m′)∈O, and k′ the least positive integer with 1/k′<1/(2k) and B‾(d(m′),1/k′)⊆O. Density, openness and [L6] prove these sets of indices nonempty. The resulting triple (n+1,m′,k′) belongs to S, so these formulas define a total function S→S. Apply [L5] with initial state (0,m0,k0) to obtain states (n,mn,kn) for every n. Put xn=d(mn) and rn=1/kn. Then B‾(xn+1,rn+1)⊆B(xn,rn/2)∖Fn+1⊆B‾(xn,rn),rn+1<rn/2. Thus rn≤r0(1/2)n→0. Every recurring selection was the minimum of a specified subset of N.

9.1L1step 7.1step 8.1algebra

For m>n, nesting gives xm∈B(xn,rn/2), so (xn) is Cauchy. By [L1] it converges to some x∈X. For fixed n and all m>n, ∥x−xn∥≤∥x−xm∥+∥xm−xn∥≤∥x−xm∥+rn. Letting m→∞ gives ∥x−xn∥≤rn. Therefore x∈B‾(xn,rn)⊆X∖Fn for every n. We used only the already constructed centers, not a choice of points from arbitrary closed sets.

10.1step 3.2step 9.1discharge-contradiction∎

Step 9.1 contradicts X=⋃NFN 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.

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