Bootcamp

Christoph Thiele
Summer 2012
Letcure 8: Cardinality of sets
Recall that a relation between from a set X to a set Y is a subset of the set of ordered
pairs hx, yi . Such a relation is called a function if
1. For all x X there exists y Y such that hx, yi f
2. If for x, x0 X and y Y with hx, yi f and hx0 , yi f we have x = x0 .
Informally, for every x X there exist (first proeprty) a unique (second property)
y Y such that hx, yi f
A function is called
1. surjective, if for all y Y there exists x X such that hx, yi f
2. injective, if for every y, y 0 Y and x X with hx, yi f and hx, y 0 i f we
have y = y 0 .
Note the symmetry between the definition of a function and these two properties.
In particular, if and only if a function f is injective and surjective, then the inverse
relation g from Y to X defined by hy, xi if and only if hx, yi f is a function as well.
In this case, this inverse function is injective and surjective as well.
A function is called bijective, if it is injective and surjective.
If f is a function, we write y = f (x) for hx, yi f .
Definition 1 If f is a function from X to Y and g is a function from Y to Z then
g f is defined to be the function from X to Z defined by (g f )(x) = g(f (x))
Exercise 1 If f and g are surjective then g f is surjective. If f and g are injective
then g f is surjective.
Let A0 denote the empty set and assume An is already defined then define An+1 =
A{n}. Informally, at elats for n > 0, An = 0, 1, 2, . . . , n1 and there are n elements
in An .

Lemma 1 For every n and every m An+1 there is a bijective map fn,a from An to
An+1 \ {m}.
Proof: We define f (k) = k if k < m and we define f (k) = k + 1 if k m. The
inverse map g is defined as g(k) = k if k < m and g(k) = k 1 if k > m. 2
Lemma 2 Let n, m N.
1. There is an injective function from An to An+m for m 0
2. There is a surjective function from An+m to An for m 0
3. There is no injective function from An+m to An for m > 0
4. There is no surjective function from An to An+m for m > 0
Note that there is a surjective map from Am to A0 if and only if m = 0. Hence the
case n = 0 is a true exception to the scheme, but since this exception only concerns
the empty set we shall not be too troubled by that.
Proof:
1) We fix n and do induction on m. For m = 0 the identity map will do. Assume
we have an injective map f from An toAn+m , then the composition fn+m,0 f is injective
from An to An+m+1
2) We fix n and do induction on m. For m = 0 the identity map will do. Assume
1
we have a surjective map f from An+m toAn , then the composition fn+m,0
f is a
surjective map from An+m+1 to An .
3) We fix m > 0 and do induction on n. If n = 0, there is no map from Am to A0 ,
since we cannot map 0 Am to any element. Assume there is no injective map from
An+m toAn for some n. Assume to get a contradiction that there is an injective map
from Am+n+1 toAn+1 . If n + 1 is not in the range of this map, we may by restriction
obtain an injective map from An+m to An , a contradiction. Assume n + 1 is in the
range of this map f , then there is a unique k An+m+1 such that f (k) = n + 1. Then
fn+m,k f is an injective map from An+m to An , a contradiction.
4) We fix m > 0 and do induction on n. If n = 0, there is no surjective map
from A0 to Am , since we 0 Am does not have a preimage. Assume there is no
surjective map from An toAn+m for some n. Assume to get a contradiction that there
is a surjective map from An+1 toAn+m+1 . Let a = f (n + 1). Then there is a surjective
map from An to An+m defined by the restriction of f to An postcomposed with the
1
map fn+m,a
. 2
Exercise 2

1. An injective map from An to An is surjective.

2. A surjective map from An to An is injective.

Definition 2 A set S is called finite, if there is some n N and a bijection from S
to An . If such bjection exists, S is said to have the same cardinality as An
2

Exercise 3 Given a finite set, there is exactly one n N such that S has the same
cardinality as An .
One may also say simply that S has cardinality n.
The set N is not finite. Namely, if it was, then there was an injective map from
N An for some n. This map could be restricted to An+1 , giving an injective map
from An+1 to An , which is impossible.
We have the following observations, destroying hope to have staright forward
generalizations of the theorems for finite sets.
Lemma 3

1. There is an injective map from N to N that is not surjective.

2. There is a surjective map from N to N which is not injective.

Proof: The map is injective (one Peano axiom) but not surjective (0 is not in
the range, as another Peano axiom states.) Define a map f as follows: f (0) = 0 and
whenever n is of the form (m) (that is whenever n 6= 0), then m is unique and we
define f (n) = m. then f is surjective but not injective since 0 has two preimages: 0
and 1. 2
This behaviour is actually typical for every infinite set S. This will follow from
the following lemma, by defining maps on S that are the identity outside the range
of the map N S given by the lemma and adjusting the desired behaviour inside
the set N.
Lemma 4 Given an infinite set S, there is an injective map N
Proof: The set S is not empty, since it is not finite, hence we find an element
x S and may define a map A1 S by f (0 = x. Assume we have already defiend
an injective map An S. This map is not surjective since S is not finite, hence there
is x otside the range of f and we may extend f to An+1 by setting f (n + 1) = x. This
defines an injective map from An+1 S. By iterating this extension, we define f (n)
for all n N, and this map is injective. 2
Definition 3 Two sets are said to be equivalent, if there exists a bijection between
the two sets.
Note that this is indeed an equivalence relation. It is an equivalence relation on
the class of all sets.
The following will show that not all infinite sets are equivalent.
Lemma 5 For every set S, there is no bijection from S to the set of all subsets of S
Proof: This is called the Cantor diagonal element. Assume to get a contradiction
that there is such a bijection f . Let T be the set of all elements s S in T which
satisfy s 6 f (s). By surjectivity, there is a t S such that f (t) = T . If t T , then
t f (t), a contradiction. If t 6 T , then t 6 f (t) and hence t T , a contradiction. 2
We define a relation of sets as follows: S T if there exists an injective map
f : S T . This is an order relation on the classof all sets.
3

Lemma 6 (Schr
oder Bernstein) This relation is a partial order in that it satisfies
1. Reflexivity: S S for all sets S.
2. Antisymmetry: S T and T S implies S = T .
3. Transitivity S T and T U implies S U .
Proof: Reflexity follows by appealing to the identity map, Transitivity follows by
composition of two injective maps. The only non-trivial statement is the antisymmetry.
Suppose we have injective maps f : X Y and g : Y X. Define a new
injective map h : X Y X Y by h(z) = f (z) if x X and h(z) = g(z) if z Z.
Define Z0 = X Y . Define Z1 = {z Z0 : z 0 Z : f (z 0 ) = z} Then this
0
z is unique and we may define (z) = z 0 . Assume Zn Z is defined, then define
Zn+1 = {(z) : z Zn Z1 }.
Now define the order of z Z to be the supremum of all n with z Zn .
Now define the map k : Z Z as follows:
1. k(z) = h(z) if z has even finite order.
2. k(z) = (z) if z has odd finite order.
3. k(z) = h(z) if z has infinite order and z X
4. k(z) = (z) if z has infinite order and z Y
Then clearly k(k(z) = z for all z, and k maps X to Y and Y to X. hecne k,
restricted to X, is a bijection from X to Y . 2
2
The statement of the next Lemma, which is essentially the axiom of choice, is
that we could have defined the order alternatively as follows, usiong surjective maps
instead of injective maps.
For two nonempty sets, S T if there is a surjective map from T to S. For the
empty set we have S for all sets and S if and only if S = .
Lemma 7 (Axiom of Choice) There exists a surjective map from T to S if and
only if S is not empty and there exists an injective map from S to T .
Proof: The if part follows by the following easy argument. Assume S is not
empty, and assume there is an injective map S T . We need to prove that there is
a surjective map T S. let f : S T be the injective map that is assumed to exist
and pick s S which exists since S is not empty. Define a surjective map as follows:
If t T is in the range of T , define g(t) = s for the unique s such that f (s) = t. If
t T is not in the range of f , define g(t) = s. Then this map is surjective, since for
every s0 S we have s0 = g(f (s)).

The only if part is follows from the axiom of choice. Given a surjective map
g : T S. Note that for every s S there exists t T with g(t) = s. That we
can choose one t for every s and build a function out of that with f (s) = t for these
chosen elements is precisely the axiom of choice. Clearly this map is injective, for
assume f (s) = f (s0 ) for two elements s, s0 . then s = g(f (s) = g(f (s0 ) = s0 . 2
The axiom of choice is a noteworthy axiom of set theory. In is usually source
ofexistence proofs which are highly non-constructive. In general, the injective map
given by the above lemma is not constructive. In some cases, for example when T is
foinite, one can construct the injective map as we have done before. This is a case
when the set theoretic axiom is not really needed and one gets away with other, les
contentious axioms.
Exercise 4 If T is the power set of S, then S T .
Our final major goal is to prove:
Theorem 1 The order is a total order, that is for any two sets S and T we have
S T or T S.
Definition 4 Assume S is a partially ordered set.
1. S is called totally ordered, if for any x, y S we have x y or y x.
2. S is called well ordered, if it is totally ordered and every subset T of S has a
minimal element, that is an element t T such that t s for every s T .
Lemma 8 Let S and T be two well ordered sets. Then one of the following two
statements is true
1. There is an injective monotone map S T and an element t T such that the
range of the map is the set of all t0 T with t0 < t.
2. There is an injective monotone map T S and an element s S such that
the range of the map is the set of all s0 S with s0 < s.
Proof: Consider the set T0 of all t T such that there exists s S and a order
preserving isomorphism from {t0 T : t0 < t} to {t0 T : t0 < t}. T0 is not empty,
since it contains the minimal element of T . T We claim for given t T0 this element
s is unique. For assume not and we have two such elements s1 and s2 , assume w.l.o.g.
s1 < s2 and two isomoprhisms f1 and f2 . Let t0 be the minimal element in T0 for
which f1 (t0 ) 6= f2 (t0 ) and let S 0 be the common range of f1 and f2 on the set of
elements smaller than t0 . But then clearly f1 (t0 ) and f2 (t0 ) have to be the smallest
element in S \ S 0 . A contradiction.
Define a function f on T0 by this map to the unique s. It is order preserving and
bijective. If T0 = T then we are done. If T0 6= T , choose t minimal in T \ T0 . Note
that if f was not surjective, then we could find minimal s in the complement of the
range of f and then note t T0 by associatiung it with this minimal element. This
si a contradiction, hence f is surjective. 2
It then remains to prove
5

Lemma 9 Every set can be endowed with a well order.

We give a proof relative to Zorns lemma below. Proof: Let X be a set. Consider the
set of all structures (Y, ) where Y is a subset of X and a well order of Y . This
set is partially ordered by
(Y, ) (Y 0 , 0 )
If either they are equal or Y Y 0 and there exists y 0 Y such that Y = {y Y 0 >
y < y 0 } and coincides with 0 on Y . One readily checks that this is a partial order.
Given a totally ordered chain, one can take the union of all Y in the change and define
the order in the natural way by extension. Then this union is an upper bound for the
chain. By Zorns lemma there exists a maximal chain (Y, ). We show that Y = X.
For if not, pick x X and extende the well order on Y to a well order on Y {x}
by setting y x for all y Y . Then this new well order contradicts maximality of
(Y, ) 2
An upper bound for a subset X in a partially ordered set is an element y such
taht x y for all x X. A strict upper bound is an upper bound which in addition
satisfies x 6= y for all x X.
Lemma 10 (Zorns lemma) Let X be a nonempty partially ordered set with the
property that every totally ordered subset of X has an upper bound. Then X contains
at least one maximal element.
Proof: Assume to get a contradiction that X has no maximal element. Then every
totally ordered subset has a strict upper bound. Namely, it has an upper bound, and
since this upper bound is not maximal there is a strictly larger upper bound which is
then a strict upper bound for the set. Now this gives a contradiction to the following
lemma. 2
Lemma 11 Let X be a partially ordered set with ordering relation and let x be
some element of it. Then there is a well ordered subset of X containing x as minimal
element that has no strict upper bound.
Proof: For every set Y containing x and having a strict upper bound, we choose
one such upper bound and call it f (Y ) (we need the axiom of choice). Call a well
ordered subset Y of X good if if it contains x as minimal element and if for every
y Y we have f ({y 00 Y : y < Y }) = y. Given any two good sets, there is an
injection of one into the other, say g : Y Y 0 . We claim this injection is a restriction
of the identity map on X. For assume not, then let y be the minimal element for
which g(y) 6= y. However, by goodness applied to the set {y 0 Y : y 0 < y} both in
Y and Y 0 we conclude g(y) = y, a contradiction. Now consider the union of all good
sets. Then this set is well ordered and it contains no upper bound, or else we would
find a larger good set. 2
2
The following exercisie proves that D is countable.
6

Exercise 5 Let X be a countable set, each of its elements being a countable set again.
S
Then Y X Y is countable.
Lemma 12 The set of nonnegative real numbers has the same cardinality as the
power set of N.
Proof: The identitfication of real numbers with Dedkind cust gives an injective
map from R to the power set of D (which is equivalent to N) to R. To get an injective
map from the power set of N to R, we consider thes et of all sequences with values
P
0 and 1 only and map it injectively to R via an
0 an n+n (0). 2