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Notes based on Chartrand, Polimeni & Zhang’s "Mathematical Proofs: A Transition to Advanced Mathematics" (3 Ed.)

Cardinality
Finite and In…nite Sets
De…nition. A set S is …nite if it is jSj = n for some nonnegative integer n: If a set
is not …nite, then we say it is in…nite.

For n 2 N, let Nn be the set f1; 2; : : : ; ng : Then a nonempty set S is …nite i¤ there
is a bijection between S and Nn for some n 2 N.

Theorem 1. If A and B are disjoint …nite sets, then A [ B is …nite.

Proof. We may suppose that A and B are nonempty. Let f : A ! Nr and

g : B ! Ns be bijections (where r; s are in N). W.L.O.G. we can assume that
A = fa1 ; : : : ; ar g, B = far+1 ; : : : ; ar+s g : Since A \ B = ;; we can de…ne a function
h : A [ B ! Nr+s by h(ai ) = i (1 i r + s). Clearly h is a bijection.

Numerically Equivalent Sets

Let A and B be sets. We say that A and B are numerically equivalent (or
equinumerous or equipotent) if either they are both empty or if there is a bijec-
tion from A onto B: In this case, we write jAj = jBj (or A B) and we say that A
and B have the same cardinality. If A Nn , we say A has cardinality n:

Theorem 2. Let A; B; C be sets. Then

(i) A A
(ii) If A B; then B A:
(iii) If A B and B C; then A C:

Proof. We have two cases:

Suppose A = ;: Then clearly A A so (i) holds. Also, if A B then B = ;

(by the de…nition above) and so B A and (ii) holds. Finally, if A B and
B C then B = ; and therefore C = ;; so that A C and (iii) holds.

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Suppose A 6= ;; then the identity map iA : A ! A given by iA (x) = x;

8x 2 A; is a bijection (check this). Hence A A and (i) holds.

Also, if A B then there is a bijection f : A ! B; and so B cannot be

empty (it contains the images of all the elements of A): This means f has an
1
inverse function f : B ! A which is also a bijection (by Theorem 7 of the
previous chapter). Hence B A and (ii) holds.

Finally, if A B and B C; then B 6= ; and so C 6= ;; and we have

bijections f : A ! B; g : B ! C: By Theorem 5 of the previous chapter,
g f : A ! C is a bijection and so A C and (iii) holds.

Theorem 3. Let f : A ! B be injective. Then jAj = jf (A)j :

Proof. The function f0 : A ! f (A) ; given by f0 (x) = f (x) is a bijection.

Denumerable and Countable Sets

De…nition. Let A be a set.
(i) We say A is denumerable (or countably in…nite) if jAj = jNj.
(ii) We say A is countable if it is …nite or denumerable.
(iii) We say A is uncountable if it is not countable.

Examples
1. Nk is countable for each k in N.
2. N is denumerable (and hence countable).
3. We shall see later that Q is denumerable and that R and the open interval (0; 1)
are uncountable.

Theorem 4. Z is denumerable.

Proof. The function f : N ! Z given by

(1 n) =2 if n is odd
f (n) =
n=2 if n is even

is a bijection (check this).

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Theorem 5. Every subset of Nn (n 2 N) is …nite.

Proof. We use induction on n: If n = 1; then all subsets of N1 are …nite. Suppose

that for some k in N, all subsets of Nk are …nite. Let S be a subset of Nk+1 : We
prove that S is …nite. If k + 1 62 S; then S Nk and so it is …nite. If k + 1 2 S;
then S = T [ fk + 1g ; where T is a subset of Nk ; and so S is …nite since it is the
union of two disjoint …nite sets (see Theorem 1).

Theorem 6. Every subset of a …nite set is …nite.

Proof. Let A be a subset of a …nite set S: If A = ;; then A is …nite. Assume

therefore that A 6= ;; then S 6= ; and there exists a bijection f : S ! Nk for
some k in N. Let g : A ! S be the inclusion map, i.e. g (a) = a and consider the
composition g f : A ! Nk : Then g f is one-to-one because both f and g are
one-to-one, and so j(g f ) (A)j = jAj (by Theorem 3). Since (g f ) (A) is a subset
of Nk ; it must be …nite by Theorem 5. Hence jAj is …nite, as required.

Corollary. Let f : A ! B be a one-to-one function where A is in…nite, then B is

in…nite.

Proof. Suppose on the contrary that B is …nite. By Theorem 6, f (A) is …nite. By

Theorem 3, f (A) A; and hence f (A) is in…nite, a contradiction.

Theorem 7. Every in…nite subset of N is denumerable.

Proof. Let S be an in…nite subset of N. Since S 6= ;; it must have a smallest

element, s1 say (by the well-ordering principle) and since S fs1 g is not empty
(otherwise S would be …nite), S fs1 g has a smallest element s2 : Suppose that
for some integer k > 1; sk is the smallest element of S fs1 ; : : : ; sk 1 g : Since
S fs1 ; : : : ; sk 1 g is in…nite (otherwise S would be …nite), it must have a smallest
element sk+1 : We have in this way (inductively) constructed a strictly increasing
sequence fsk gk2N of elements of S: Since 1 s1 < s 2 < ; it follows that sk k
for each k 2 N. We claim that S = fs1 ; s2 ; : : :g : Clearly fs1 ; s2 ; : : :g S: To prove
that S fs1 ; s2 ; : : :g ; let a 2 S; then a 2 N, and so sa a: Let t be the smallest

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positive integer such that st a: If t = 1; then a = s1 (because s1 is the smallest

element of S); and if t 2; then st 1 < a st by the minimal choice of t: But
st is the smallest element of S larger than st 1 ; hence a = st and therefore a 2 S;
as claimed. Now let f : N !S be the function given by f (k) = sk : Then, by
the construction of the sequence fsk gk2N ; f is one-to-one and from the fact that
S = fs1 ; s2 ; : : :g ; f is onto. Hence f is a bijection and S is denumerable.

Theorem 8. Every in…nite subset of a denumerable set is denumerable.

Proof. Let A be an in…nite subset of a denumerable set B: The inclusion map

f : A ! B given by f (a) = a is one-to-one. We have a bijection g : B ! N,
hence the function g f :A ! N is one-to-one and (g f ) (A) A: Since A is
in…nite, (g f ) (A) is an in…nite subset of N and must therefore be denumerable by
Theorem 7. Hence N (g f ) (A) and therefore N A; i.e. A is denumerable.

Theorem 9. N N is denumerable.

Proof. Let f be the function from N N to N given by f (m; n) = 2m 1

(2n 1) :
Then f is one-to-one: If f (m; n) = f (a; b) for some m; n; a; b 2 N, then W.L.O.G. we
may assume that m a: Since 2m 1
(2n 1) = 2a 1
(2b 1) we obtain 2m a
(2n 1) =
2b 1: Since 2b 1 is odd, we must have 2m a
odd, i.e. m = a: This means
2n 1 = 2b1; i.e. n = b and then (m; n) = (a; b) : To prove that f is onto, let
A A
A 2 N and consider the set S = r 2 N : r 62 N : If r 2 N for all r 2 N, then
2 2
A 2A ; which is impossible. Hence S 6= ; and must have a smallest element (by the
well-ordering principle), m say. This means 2m 1 is the highest power of 2 dividing
A
A (m = 1 if A is odd). Let t = m 1 ; then, by minimality of m; t is an odd positive
2
integer. Put t = 2n 1 so that A = 2m 1 (2n 1) = f (m; n) : This proves that f is
onto and hence is a bijection. Therefore N N is denumerable.

Theorem 10. Let A; B; C; D be sets such that A C and B D; then A B

C D:

Proof. A or B is empty i¤ C or D is empty, and in either case A B=;=C D

and, trivially, A B C D: We may therefore assume that none of the sets

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A; B; C; D is empty. Let f : A ! C and g : B ! D be bijections. We prove

that the function h : A B !C D given by h (a; b) = (f (a) ; g (b)) for each
(a; b) 2 A B is a bijection. [Here, h (a; b) = h ((a; b)) :]

h is one-to-one: Suppose h (a; b) = h (a0 ; b0 ) for some elements (a; b) and (a0 ; b0 )
of A B: Then (f (a) ; g (b)) = (f (a0 ) ; g (b0 )) ; so that f (a) = f (a0 ) and
g (b) = g (b0 ) : Since f and g are injective, a = a0 and b = b0 ; i.e. (a; b) = (a0 ; b0 ) :

h is onto: Let (c; d) 2 C D; i.e. c 2 C and d 2 D: Since f and g are onto,

there exist a 2 A and b 2 B such that f (a) = c and g (b) = d: We then get
(c; d) = (f (a) ; g (b)) = h (a; b) ; as required.

Theorem 11. If A and B are denumerable sets, so too is A B:

Proof. We have A N and B N. By Theorem 10, A B N N and by

Theorem 9, N N N, hence A B N.

We have seen in class that the set Q+ of positive rationals and Q are denumerable
by exhibiting a one-to-one correspondence between N and Q+ :Below is a proof that
Q is denumerable.

Theorem 12. The set Q of rationals is denumerable.

na o
Proof. We have Q = : a 2 Z, b 2 N, gcd (a; b) = 1 : Let f : Q ! Z N be
ba
the function given by f = (a; b), where a=b is in lowest form. That f is well-
b
de…ned follows from the uniqueness of the lowest form of a rational number (we shall
a c
see later a proof of this uniqueness). Clearly, if f =f for rationals a=b
b d a c
and c=d in lowest form, then (a; b) = (c; d) and so a = c; b = d; i.e. = : This
b d
proves that f is one-to-one and so Q f (Q) : Since Q is in…nite (it contains the
in…nite set N), f (Q) is an in…nite subset of Z N. By Theorems 4 and 11, Z N
is denumerable, hence, by Theorem 8, f (Q) is denumerable and therefore Q is also
denumerable.

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Uncountable Sets
To prove the next theorem, we need to restrict the decimal notation of numbers
in the open interval (0; 1) in such a way that each of these numbers has a unique
decimal representation, i.e. if 0:a1 a2 and 0:b1 b2 are decimal expansions of the
same number in (0; 1) where the ai and bi are digits from 0 to 9; then ai = bi for all
i 2 N. It can be proved that if 0:a1 a2 = 0:b1 b2 and ai > bi for some i 2 N,
then ai = bi + 1; ai+1 ai+2 is an in…nite string of 00 s and bi+1 bi+2 is an in…nite
string of 90 s. To ensure uniqueness of representation, we will therefore assume in
the proof of Theorem 13 below that no decimal representation of the numbers in
(0; 1) contains an in…nite string of 90 s. Hence, for example, the number r = 0:7820
has also the representation r = 0:7819 (where the bar indicates that 0 and 9 are
repeating digits), but we shall only use its representation 0:7820.

Theorem 13. The open interval (0; 1) is uncountable.

Proof. To prove that (0; 1) is uncountable we prove it is in…nite and not denumer-
able.

1
(0; 1) is in…nite: Let f : N ! (0; 1) be the function given by f (n) = :
n+1
Clearly f is one-to-one. By the corollary to Theorem 6, (0; 1) is in…nite.

(0; 1) is not denumerable: Suppose on the contrary that there is a bijection

g : N ! (0; 1). For each n 2 N, let g (n) = 0:an1 an2 (where the ani are
digits from 0 to 9). For each n 2 N, de…ne the digit bn by

1 if ann = 2
bn =
2 if ann 6= 2:

Let b = 0:b1 b2 : Then b 2 (0; 1) and since bn 6= ann for each n 2 N, it

follows that b 6= g (n) for each n 2 N (by the uniqueness of decimal represen-
tation as explained in the above paragraph). This implies that g is not onto,
contradicting that g is bijective.

Theorem 14. R (0; 1).

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Proof. [Using Calculus, we can prove that the function g : (0; 1) ! R given
by g (x) = tan ( (x 1=2)) is bijective: It is one-to-one (because its derivative is
positive and so it is strictly increasing) and g is onto (because lim+ g (x) = 1;
x!0
lim g (x) = 1; and g is continuous so the Intermediate Value Theorem applies).
x!1
However, the proof that the function f below is a bijection does not require Calculus.]
Let f : R ! (0; 1) be the function given by
8
> 1
< if x < 1
f (x) = 4 2x
> 1
: 1 if x 1
2x
Suppose f (x) = f (y) for some real numbers x; y: If both x; y are in ( 1; 1) then
1 1 1 1
= and so x = y; and if both x; y are in [1; 1); then 1 =1
4 2x 4 2y 2x 2y
1 1
and again x = y: Observe that f (x) = < when x 2 ( 1; 1) and f (y) =
4 2x 2
1 1
1 when y 2 [1; 1); hence the case x 2 ( 1; 1) ; y 2 [1; 1) cannot arise,
2y 2
similarly the case y 2 ( 1; 1) ; x 2 [1; 1) cannot arise. This proves that f is
one-to-one.
1 1 1 1
Next, let z 2 (0; 1) : If z < ; then 2 < 1 and f 2 = =
2 2z 2z 1
4 2 2
2z
1 1 1 1
z; and if z ; then 1 and f =1 = z: Hence z
2 2 2z 2 2z 1
2
2 2z
is an image under f and so f is onto. This proves that f is a bijection.

Theorem 15. R is uncountable.

Proof. This follows directly from Theorems 13 and 14.

Theorem 16. Let A; B be sets such that A B and A is uncountable. Then B is

uncountable.

Proof. If B were …nite or denumerable, then A would respectively be …nite (by

Theorem 6) or denumerable (by Theorem 8). This contradicts the fact that A is
uncountable. Hence B must be uncountable.

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Comparing Cardinalities and Schröder-Bernstein

Theorem
Let A; B be sets. We say that A has smaller cardinality than B, and write
jAj < jBj (or, equivalently, jBj > jAj) if there is a one-to-one function from A to B;
but no bijection from A to B:
We write jAj jBj ; if jAj < jBj or jAj = jBj : This is equivalent to saying that
there is a one-to-one function from A to B:

We have the following facts:

If A is a …nite set and B is a denumerable set, then jAj < jBj :

Proof. If A is …nite, then either A = ; and there is nothing to prove, or

there is a bijection f from A to Nk for some k 2 N, and if B is denumerable,
then there is a bijection g from N to B: Let h : Nk ! N be the inclusion
map. Then the composition g h f from A to B is one-to-one, so jAj jBj :
Suppose there were a bijection h from A to B; then there would be a bijection
from Nk to N, which is impossible.

If A and B are denumerable sets, then jAj = jBj :

Proof. We have A N and B N, hence A B:

jNj < jRj :

Proof. The inclusion map N ! R is one-to-one, hence jNj jRj ; however we

know from Theorem 15 that there is no bijection from N to R, hence jNj < jRj :

Theorem 17. Let A be a set, then jAj < jP (A)j :

Proof. If A = ;; then jAj = 0 < 1 = jP (A)j : Assume therefore that A 6= ;: Let

f : A ! P (A) be the function given by f (x) = fxg for each x in A: Clearly f is
one-to-one. Hence jAj jP (A)j : Assume for contradiction that jAj = jP (A)j and
let g : A ! P (A) be a bijection. Let S = fx 2 A : x 62 g (x)g : Then S is a subset

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of A; i.e. S 2 P (A) ; and since g is onto, there exists y 2 A such that S = g (y) :
We either have y 2 S or y 62 S: If y 2 S; then y 62 g (y) and so y 62 S and if y 62 S;
then y 2 g (y) and so y 2 S; a contradiction. This shows that there is no bijection
from A onto P (A) and therefore jAj < jP (A)j :

We omit the proofs of the following theorems. Recall that 2A is the set of all functions
from A to f0; 1g.

Theorem 18. Let A be a nonempty set, then jP (A)j = 2A :

Theorem 19. jP (N)j = jRj = 2N

Theorem 20 (Schröder-Bernstein). Let A and B be sets such that jAj jBj

and jBj jAj : Then jAj = jBj : [This theorem is also known as Cantor-Schröder-
Bernstein theorem.]

Schröder-Bernstein theorem is very useful for establishing that there is a bijection

between two (nonempty) sets: we just need to construct (or prove the existence of)
an injection from A to B and an injection from B to A:

Examples

1. Prove that (0; 1) [0; 1] :

Proof. Let f : (0; 1) ! [0; 1] be the inclusion map f (x) = x: It is clear that f is
one-to-one.
x+1
Let g : [0; 1] ! (0; 1) be the function given by g (x) = (clearly 0 < g (x) < 1
3
y+1
if 0 x 1). Then g is one-to-one ( x+1
3
= 3
implies x = y).
Hence j(0; 1)j = j[0; 1]j ; by Schröder-Bernstein theorem.
[Note: Instead of the one-to-one function g above, we could use the fact that there
is a bijection h : R ! (0; 1) and an inclusion map k : [0; 1] ! R, and get the
one-to-one function h k : [0; 1] ! (0; 1) :]

2. Let R+ (respectively R ) be the set of all positive (respectively nonzero) real

numbers. Prove that R R+ and that R R:

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Notes based on Chartrand, Polimeni & Zhang’s "Mathematical Proofs: A Transition to Advanced Mathematics" (3 Ed.)

First Proof. Let f : R ! R+ be the exponential function given by f (x) = ex :

Then the logarithmic function g : R+ ! R given by g (x) = ln x is such that
(g f ) (x) = x for each x in R and (f g) (x) = x for each x in R+ : Hence f has an
inverse function (namely g) and therefore f is a bijection. This proves that R R+ :
Let h : R+ ! R ; k : R ! R be the inclusion maps (recall that inclusion maps
f h
are one-to-one). Then the composition R !R+ !R is one-to-one (because each
of f and h is one-to-one), and since k : R ! R is one-to-one, we infer that R R
by Schröder-Bernstein theorem.

Second Proof. Let S be any subset R containing the interval (0; 1) (e.g. S can
be the set R+ or the set R ). Clearly the inclusion map S ! R is one-to-one.
We have a bijection f : R ! (0; 1) by Theorem 14 and we have the inclusion
map g : (0; 1) ! S: Hence the composition g f : R !S is one-to-one. By
Schröder-Bernstein theorem R S:

Many important results in Mathematics (which are often existence theorems) are
proved using the following axiom.
Axiom of Choice. Let C be a collection of nonempty pairwise disjoint sets. Then
there exists a set S such that for each A in C, S \ A contains exactly one element.

The Axiom of Choice can be used to prove the following statements:

If A; B are sets, then either jAj < jBj or jAj = jBj or jBj < jAj :

If A; B are nonempty sets and f : A ! B is onto, then jBj jAj :

If A is an in…nite set, then A A A:

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