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R\mathbb{R} is uncountable (Cantor's nested intervals, 1874)

Statement

Let R\mathbb{R} be a complete ordered field (Complete ordered field (least-upper-bound property)). Then R\mathbb{R} is uncountable (Finite, countably infinite, countable, uncountable): there is no surjection NR\mathbb{N} \to \mathbb{R}, so R\mathbb{R} is neither finite nor countably infinite.

The proof is Cantor's original argument of 1874, not the decimal diagonal. Assuming a surjection f:NRf : \mathbb{N} \to \mathbb{R}, one builds nested closed intervals [an,bn][a_n, b_n] with an<bna_n < b_n and f(n)[an+1,bn+1]f(n) \notin [a_{n+1}, b_{n+1}], and then sup{an}\sup\{a_n\} is a real number that ff misses. The decimal diagonal is deliberately avoided: decimal expansions are infinite series, which this library has not yet constructed, so a diagonal proof here would rest on machinery that does not exist. The diagonal argument survives in its non-circular form, on power sets, as Cantor's theorem earlier on this page; see the remarks below.

The construction uses no choice, and that is what the thirds are for. Given [an,bn][a_n, b_n] of length dd, its three closed thirds [an,an+d/3][a_n, a_n + d/3], [an+d/3,an+2d/3][a_n + d/3, a_n + 2d/3], [an+2d/3,bn][a_n + 2d/3, b_n] cannot all contain f(n)f(n), because the first and the third are disjoint; the rule takes the first one in that fixed order which does not contain f(n)f(n). That is a definition by cases, so the whole construction is a single application of the recursion theorem (The recursion theorem) to one explicitly given function. A version of the argument that says "pick a third avoiding f(n)f(n)" would be using dependent choice, silently and unnecessarily.

Facts & Assumptions

Given: A complete ordered field R\mathbb{R}, with 010 \ne 1 and the order of Ordered field. For aba \le b write [a,b]={xR:axb}[a,b] = \{\, x \in \mathbb{R} : a \le x \le b \,\}, and write I={(a,b)R×R:a<b}I = \{\, (a,b) \in \mathbb{R} \times \mathbb{R} : a < b \,\} for the set of pairs coding nondegenerate closed intervals.

[L1]

Least-upper-bound property: every nonempty SRS \subseteq \mathbb{R} that is bounded above has a least upper bound supS\sup S, an upper bound below every upper bound (Complete ordered field (least-upper-bound property), Lower bound, bounded below, bounded set).

[L2]

The least upper bound is unique when it exists (Suprema and infima are unique).

[L3]

Epsilon characterisation: for a nonempty SS bounded above and an upper bound uu of SS, u=supSu = \sup S if and only if for every ε>0\varepsilon > 0 there is sSs \in S with uε<su - \varepsilon < s (Epsilon characterisation of the supremum).

[L4]

Order and arithmetic in an ordered field: 0<10 < 1 (The multiplicative identity is positive); a<ba < b implies a+c<b+ca + c < b + c, and a<ba < b with c<dc < d implies a+c<b+da + c < b + d (Order is preserved by adding a constant and by adding inequalities); a>0a > 0 implies a1>0a^{-1} > 0 (Inverses of positives are positive, and reciprocation reverses order); a product of positives is positive (Sign rules for products and monotonicity of multiplication); the order is transitive and satisfies trichotomy (Ordered field).

[L5]

Recursion: for any set XX, x0Xx_0 \in X and F:XXF : X \to X there is h:NXh : \mathbb{N} \to X with h(0)=x0h(0) = x_0 and h(σ(n))=F(h(n))h(\sigma(n)) = F(h(n)) (The recursion theorem).

[L6]

Induction (The principle of mathematical induction); any two naturals are comparable (Trichotomy of the order on N\mathbb{N}); the order of N\mathbb{N} is the additive one, mnm \le n meaning m+k=nm + k = n for some kk (Order on the natural numbers, The natural numbers N\mathbb{N} (von Neumann)), and it satisfies n<σ(n)n < \sigma(n) and m<σ(n)    mnm < \sigma(n) \iff m \le n (On N\mathbb{N} the order is membership: m<n    mnm < n \iff m \in n), so mσ(n)m \le \sigma(n) holds exactly when mnm \le n or m=σ(n)m = \sigma(n).

[L7]

A nonempty set is at most countable if and only if some surjection from N\mathbb{N} onto it exists; uncountable means not at most countable (A nonempty set is at most countable iff it is a surjective image of N\mathbb{N}, Finite, countably infinite, countable, uncountable).

Proof

technique · contradiction
1.1

Suppose, for contradiction, that R\mathbb{R} is at most countable. Since 0R0 \in \mathbb{R}, it is nonempty, so [L7] provides a surjection f:NRf : \mathbb{N} \to \mathbb{R}.

assume-contragivenL7
1.2

Put 3:=1+1+13 := 1 + 1 + 1. Adding the inequality 0<10 < 1 to itself twice gives 3>03 > 0 by [L4], so 303 \ne 0 and 31>03^{-1} > 0; hence for d>0d > 0 the element d/3:=d31d/3 := d \cdot 3^{-1} is positive, and d/3+d/3+d/3=d313=dd/3 + d/3 + d/3 = d \cdot 3^{-1} \cdot 3 = d.

L4algebra
2.1

Fix the trisection rule. Let (a,b)I(a,b) \in I and yRy \in \mathbb{R}. Put d=ba>0d = b - a > 0, p=a+d/3p = a + d/3 and q=p+d/3q = p + d/3; then a<p<q<ba < p < q < b by step 1.2 and [L4], since pa=qp=bq=d/3>0p - a = q - p = b - q = d/3 > 0. The three pairs (a,p)(a,p), (p,q)(p,q), (q,b)(q,b) all lie in II and their intervals are contained in [a,b][a,b]. Moreover [a,p][a,p] and [q,b][q,b] are disjoint, because xp<qxx \le p < q \le x is impossible; so yy fails to lie in at least one of the three. Define T(a,b,y)T(a,b,y) to be the first of (a,p)(a,p), (p,q)(p,q), (q,b)(q,b), in that fixed order, whose interval does not contain yy. This is a definition by cases on the three conditions y[a,p]y \in [a,p], y[p,q]y \in [p,q], y[q,b]y \in [q,b], so T:I×RIT : I \times \mathbb{R} \to I is a function and no choice is made.

step 1.2L4construct
3.1

Apply [L5] with X=N×IX = \mathbb{N} \times I, x0=(0,(0,1))x_0 = (0, (0,1)), which lies in XX because 0<10 < 1 by [L4], and F(n,(a,b))=(σ(n),T(a,b,f(n)))F(n, (a,b)) = (\sigma(n), T(a, b, f(n))): this yields h:NN×Ih : \mathbb{N} \to \mathbb{N} \times I with h(0)=x0h(0) = x_0 and h(σ(n))=F(h(n))h(\sigma(n)) = F(h(n)). An induction using [L6] shows the first coordinate of h(n)h(n) is nn, so we may write h(n)=(n,(an,bn))h(n) = (n, (a_n, b_n)) with an<bna_n < b_n, a0=0a_0 = 0, b0=1b_0 = 1 and (aσ(n),bσ(n))=T(an,bn,f(n))(a_{\sigma(n)}, b_{\sigma(n)}) = T(a_n, b_n, f(n)) for every nn. By step 2.1 this gives anaσ(n)a_n \le a_{\sigma(n)}, bσ(n)bnb_{\sigma(n)} \le b_n and f(n)[aσ(n),bσ(n)]f(n) \notin [a_{\sigma(n)}, b_{\sigma(n)}].

step 1.1step 2.1L4L5L6construct
4.1

For mnm \le n one has amana_m \le a_n and bnbmb_n \le b_m, by induction on nn using step 3.1 and transitivity; consequently ambna_m \le b_n for all m,nm, n: if mnm \le n then aman<bna_m \le a_n < b_n, and if nmn \le m then am<bmbna_m < b_m \le b_n, and any two naturals are comparable by [L6].

step 3.1L4L6
5.1

The set S={an:nN}S = \{\, a_n : n \in \mathbb{N} \,\} is nonempty and bounded above by b0b_0 by step 4.1, so [L1] gives its least upper bound x=supSx = \sup S, unique by [L2].

step 3.1step 4.1L1L2
6.1

For every nn: anxa_n \le x, because xx is an upper bound of SS; and xbnx \le b_n, because otherwise ε:=xbn>0\varepsilon := x - b_n > 0 and [L3] would produce amSa_m \in S with bn=xε<amb_n = x - \varepsilon < a_m, contradicting ambna_m \le b_n from step 4.1. Hence x[an,bn]x \in [a_n, b_n] for every nn.

step 4.1step 5.1L1L3L4
7.1

Fix nNn \in \mathbb{N}. By step 6.1 applied to σ(n)\sigma(n), x[aσ(n),bσ(n)]x \in [a_{\sigma(n)}, b_{\sigma(n)}], whereas f(n)[aσ(n),bσ(n)]f(n) \notin [a_{\sigma(n)}, b_{\sigma(n)}] by step 3.1, so xf(n)x \ne f(n). As nn was arbitrary, the real number xx is not a value of ff, contradicting the surjectivity of ff obtained in step 1.1. Therefore no surjection NR\mathbb{N} \to \mathbb{R} exists and, R\mathbb{R} being nonempty, [L7] makes R\mathbb{R} uncountable.

step 1.1step 3.1step 6.1L7discharge-contradiction

Remarks

  • What the proof actually uses. Completeness enters once, at step 5.1, to produce sup{an}\sup\{a_n\}; everything else is ordered-field arithmetic and the recursion theorem. The argument therefore applies verbatim to any ordered field with the least-upper-bound property, and it fails for Q\mathbb{Q} exactly because the supremum of the left endpoints need not exist there, which is as it should be, since Q\mathbb{Q} is countable (Q\mathbb{Q} is countably infinite).

  • Why thirds and not halves. Two closed halves share the midpoint, so if f(n)f(n) happens to be that midpoint then both halves contain it and the rule "take the first closed half not containing f(n)f(n)" has nothing to return. Three closed thirds fix this: the first and the third are disjoint, so at least one of the three always misses f(n)f(n), and listing them in a fixed order makes the selection a definition by cases rather than a choice. Open intervals would avoid the overlap too, but closed intervals are what make step 6.1 work, since the point sup{an}\sup\{a_n\} must be allowed to be an endpoint.

  • The diagonal argument is not lost, only relocated. Cantor's theorem: AP(A)A \prec \mathcal{P}(A), proved earlier on this page, is Cantor's diagonal argument in a setting where it needs nothing but the Power Set and Separation axioms. What is unavailable here is only the decimal diagonal, and only because decimal expansions are infinite series.

  • The choice-freeness matters beyond tidiness. It is what lets FALSE: countable unions of countable sets are countable is a theorem of ZF draw a conclusion about ZF: since this theorem is proved in ZF alone, any model of ZF in which R\mathbb{R} is a countable union of countable sets is a model in which the countable-union theorem fails.

  • The argument gives more than the statement does. Nothing above depends on the starting interval being (0,1)(0,1), so re-seeding the recursion inside a given interval shows that every nondegenerate interval, open or closed, is uncountable. That extension is Every nondegenerate interval of R\mathbb{R} is uncountable, next on this page, where it is proved rather than asserted.

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Direct dependencies and their dependencies through the next three levels: 54 results over 20 levels. An arrow runs from a result to what uses it, and this result sits at the bottom with a heavier outline. Click the chart to enlarge it.

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