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Metric and Topological Spaces
1
Lecture A1
Introduction to the Course
This course is an introduction to the basic ideas of topology and metric space
theory for ﬁrstyear graduate students. Topology studies the idea of “continuity”
in the most general possible context. As a separate subject, it takes its origin
from the pioneering papers of Poincar´ e at the end of the 19th century, and its
development is one of the central stories of 20th century pure mathematics. (The
history by Dieudonn´ e, A History of Algebraic and Differential Topology, 1900 
1960, is available free to Penn State members online. — but that history begins
roughly where this course leaves off.) But the idea of continuity is so central
that topological methods crop up all over mathematics — in analysis of course
(including its “computational” twin, numerical analysis); in geometry; in pure
algebra; even in number theory. So, if you’re a ﬁrstyear grad student, you most
likely need to take this course (and maybe even Math 528 as well).
In this lecture we’ll just describe the course protocol and prerequisites — we’ll
get started properly next time.
There is a recommended course textbook —Introduction to Topology by Gamelin
and Greene, which is available in a cheap Dover reprint for 15 bucks. However,
more important than that are the online course materials, which are available in
two ways:
• Through the course website, which is
http://www.math.psu.edu/roe/527FA10/index.html
• Through the course page on ANGEL, Penn State’s course management sys
tem, at http://cms.psu.edu
Registered students (i.e., those taking this course for a grade) will want to use
the ANGEL site which will contain homework assignments, quizzes and support
ing material, which all need to be taken on time in order to receive credit. The AN
GEL page also contains the detailed course syllabus, which contains University
required information about exam schedules, academic integrity requirements, of
ﬁce hours, and suchlike. Please be sure to read this information carefully.
Detailed lecture notes for each lecture will be posted 24 hours in advance on
these sites. To succeed in the course you need to read and study the notes before
the lecture to which they refer. This is very important!
Most lectures will contain one or more inclass exercises. You are expected
to attempt these exercises before the next class session. Students may be called
2
on to present their solutions in class. You grade your own exercises using the
ANGEL system, and this selfassessment will form a (small) component of your
ﬁnal inclass grade.
Exercise A1.1. Here is your ﬁrst inclass exercise. Find the corresponding as
sessment item on ANGEL (it’s called “inclassAug23”), and enter your response
(“I fully understand this”). You must complete this assignment before tomorrow
evening, when it will expire.
Nowfor some information about the prerequisites for the course, that is, things
that I will assume that you know. There are four groups of these.
1. Number systems and their properties: speciﬁcally the natural numbers N,
integers Z, rational numbers Q, real numbers R, and complex numbers C. Courses
in analysis or foundations of mathematics often contain an account of procedures
for “constructing” all or some of these, but we’ll just take them as given. The most
important of these number systems for us is the system R of real numbers. The
basic properties of the reals are summarized by
Proposition A1.2. R is an archimedean complete ordered ﬁeld.
What does this mean?
(a) A ﬁeld — basic properties of additional, multiplication, subtraction, divi
sion — commutative, associative, distributive laws.
(b) ordered. There is an order relations < with the expected properties. In
particular x
2
0 for all x.
(c) Archimedean — no ‘inﬁnite’ or ‘inﬁnitesimal’ real numbers. There is a
unique (injective) homomorphism of rings Z → R taking 1 to 1. (Proof?)
The archimedean property is that every element of R is smaller than (the
image of) some element of Z.
(d) complete — no ‘holes’, contrast Q.
There are various ways of expressing completeness. The standard way is the
Least Upper Bound Axiom. Let S be any nonempty set of real numbers. A number
a ∈ R is an upper bound for S if, for all x ∈ S, x a. Let U
S
be the set of all
upper bounds for S. The least upper bound axiom says that, if S and U
S
are both
nonempty, then U
S
has a least member. This is called the least upper bound for S
and written sup S.
3
Example A1.3. Let S = ¦x ∈ R : x
2
< 2¦. Then U
S
= ¦a ∈ R : a > 0, a
2
2¦.
U
S
has a least member, namely sup S =
√
2. The corresponding statement with
R replaced everywhere by Q would be false.
Exercise A1.4. (Cantor’s nested interval theorem) Let [a
n
, b
n
], n = 1, 2, . . . be a
sequence of closed intervals in R that are nested in the sense that [a
n+1
, b
n+1
] ⊆
[a
n
, b
n
] and whose lengths b
n
− a
n
tend to zero. Show that the intersection
n
[a
n
, b
n
] contains one and only one real number c.
Exercise A1.5. Use the previous exercise to show that the real numbers are un
countable, i.e. cannot be listed as c
1
, c
2
, . . .. Hint: Suppose such a listing is
possible. Pick an interval [a
1
, b
1
] of length at most 1 that doesn’t contain c
1
, then
a subinterval [a
2
, b
2
] of length at most
1
2
that doesn’t contain c
2
, and so on. Apply
the nested interval theorem. What can you say about the limit point c?
4
Lecture A2
Metric Spaces
We continue with our list of prerequisites for the course (we discussed number
1 last time.)
2. Settheoretic language such as unions (A ∪ B), intersections (A ∩ B),
complements (A¸B), subsets (A ⊆ B) and so on. In topology it is often necessary
to deal with inﬁnite unions and intersections. Let F be a family of sets (that is, a
set whose members are subsets of some other set). The intersection of the family,
written
F∈F
F or just
F, is the set of objects that belong to every member of
the family F: in symbols
x ∈
F ⇔ ∀F ∈ F, x ∈ F.
Similarly the union of the family, written
F∈F
F or just
F, is the set of objects
that belong to some member of the family F: in symbols
x ∈
_
F ⇔ ∃F ∈ F, x ∈ F.
De Morgan’s Laws extend to this context: if F is a family of subsets of some set
X, then
X ¸
F∈F
F =
_
F∈F
X ¸ F
and the same with intersection and union reversed.
3. Quantiﬁed statements and their proofs. We already met some quantiﬁers
in the previous section: things like ∀ and ∃. Throughout pure mathematics, but
especially analysis and topology, one meets concepts that are built up of layers of
quantiﬁers nested together in complicated ways. For instance, a function f : R →
R is continuous at a given point x
0
if
∀ > 0 ∃δ > 0 ∀x ∈ R[x −x
0
[ < δ ⇒ [f(x) −f(x
0
)[ < .
It is necessary that you can grasp what such a complicated statement says, and
that you can understand how the form of the statement dictates the shape of its
proof. For instance the statement above begins “∀ > 0” so its proof has to begin
“Let > 0 be arbitrary”, followed by an argument that establishes the rest of the
statement for a given arbitrary value of . You could call a simple pattern like this
a ”proof skeleton” corresponding to the “for all” quantiﬁer.
5
Exercise A2.1. Give some examples of other proof skeletons corresponding to
other parts of a statement, e.g. ∃, ⇒, ⇔and so on.
Exercise A2.2. Write down in symbols (as above) what it is for the function f to
be not continuous at x
0
.
4. Axiomatic method This is the “standard operating procedure” of modern
mathematics. We understand speciﬁc examples by ﬁtting them into a general
theory. The general theory consists of a collection of axioms, such as those for a
group or a vector space. There are many examples which realize the axioms, and
we develop a theory that applies to all of them.
We will study topology from this point of view. We’ll begin with the axioms
for metric spaces.
Deﬁnition A2.3. A metric space is a set X equipped with a function d: XX →
R (called a metric or distance function) such that:
(i) d(x, x
) 0 for all x, x
; moreover, d(x, x
) = 0 if and only if x = x
.
(ii) d(x, x
) = d(x
, x) for all x, x
(symmetry).
(iii) d(x, x
) d(x, x
) + d(x
, x
) for all x, x
, x
(triangle inequality).
The motivating example is the metric d(z, w) = [z −w[ on C or R.
Deﬁnition A2.4. Let (X, d
X
) and (Y, d
Y
) be metric spaces. An isometry from X
to Y is a bijection f : X → Y such that
d
Y
(f(x
1
), f(x
2
)) = d
X
(x
1
, x
2
)
for all x
1
, x
2
∈ X.
For the usual metric on the plane, the isometries are just the congruences of
Euclidean geometry. Two metric spaces that are related by an isometry are equiv
alent from the point of view of metric space theory.
Here are some more examples of metric spaces.
Example A2.5. The vector space R
n
can be made into a metric space by deﬁning
the distance between points x = (x
1
, . . . , x
n
) and y = (y
1
, . . . , y
n
) to be
d(x, y) =
_
[x
1
−y
1
[
2
+ +[x
n
−y
n
[
2
_
1/2
.
(The proof that this does indeed satisfy the triangle inequality is a standard ex
ercise.) The same formula also makes C
n
into a metric space. These are called
Euclidean spaces.
6
Example A2.6. One can also deﬁne metrics on R
n
by
d
(x, y) =
_
[x
1
−y
1
[ + +[x
n
−y
n
[
_
and
d
(x, y) = sup
_
[x
1
−y
1
[, . . . , [x
n
−y
n
[
_
.
These are different metrics from the standard one (though, as we’ll see later, they
are in a certain sense “equivalent”.)
Example A2.7. Let X be any set. The discrete metric on X is deﬁned by
d(x, y) =
_
0 (x = y)
1 (x ,= y)
Example A2.8. Let A be a ﬁnite set (the alphabet) and consider the set A
n
of
ntuples of elements of A, which we think of as nletter words in the alphabet A.
Deﬁne a distance on A
n
by
d(x, y) = #¦i : 1 i n, x
i
,= y
i
¦;
in other words, the number of positions in which the two words differ. This Ham
ming distance was introduced in 1950 to give a technical foundation to the theory
of errorcorrecting codes (Hamming, Errordetecting and errorcorrecting codes,
Bell System Technical Journal 29(1950), 147–160.)
Example A2.9. Let X be any metric space and let Y be a subset of X. Then the
distance function on X, restricted to Y , makes Y into a metric space; this metric
structure is called the subspace metric on Y .
Example A2.10. Here is an inﬁnitedimensional example. Consider the collection
C[0, 1] of all continuous functions [0, 1] →C. We can deﬁne a metric by
d(f, g) = sup¦[f(t) −g(t)[ : t ∈ [0, 1]¦.
Convergence of a sequence of functions in this metric is called uniform conver
gence.
Deﬁnition A2.11. A subset U of a metric space X is open if for every x ∈ U
there is > 0 such that the entire ball
B(x; ) := ¦x
∈ X : d(x, x
) < ¦
is contained in U.
7
The triangle inequality shows that every ball is open, so there are plenty of
open sets. A set F whose complement X ¸ F is open is called closed. Note
carefully that ‘closed’ does not mean the same as ‘not open’. Many sets are neither
open nor closed, and some may be both.
8
Lecture A3
Open and Closed Sets
We ﬁnished last time with an important deﬁnition: A subset U of a metric
space X is open if for every x ∈ U there is > 0 such that the entire ball
B(x; ) := ¦x
∈ X : d(x, x
) < ¦
is contained in U.
Example A3.1. In a discrete metric space (Example A2.7), the open ball B(x,
1
2
)
is just the set ¦x¦. Consequently, in a discrete space, every subset is open.
Example A3.2. Consider the three metrics on R
n
deﬁned in examples A2.5 and A2.6.
Each open ball in any one of these metrics contains an open ball (with the same
center but possibly different radius) in any one of the other metrics. Consequently,
these three metrics all have exactly the same open sets. That is what is meant by
saying that they are equivalent.
Lemma A3.3. The union of any collection of open sets is open. The intersection
of a ﬁnite collection of open sets is open. The empty set ∅, and the entire metric
space X, are open.
Proof. Let F be a collection of open subsets of a metric space X and let U =
F be the union of the family. If x ∈ U, then there is some V ∈ F such that
x ∈ V . Since V is open, there is > 0 such that B(x; ) ⊆ V . Since V ⊆ U,
we also have B(x; ) ⊆ U. Thus for any x ∈ U there exists > 0 such that
B(x; ) ⊆ U; which is to say that U is open.
Now let F = ¦U
1
, . . . , U
n
¦ be a ﬁnite collection of open sets and let U =
F = U
1
∩ ∩ U
n
. If x ∈ U, then for each i = 1, . . . , n there is
i
> 0 such
that B(x;
i
) ⊆ U
i
. Let = min¦
1
, . . . ,
n
¦ > 0. Then B(x; ) ⊆ U
i
for all i, and
thus B(x; ) ⊆ U. Thus for any x ∈ U there exists > 0 such that B(x; ) ⊆ U;
which is to say that U is open.
Equivalently, using de Morgan’s laws, we have
Lemma A3.4. The intersection of any collection of closed sets is closed. The
union of a ﬁnite collection of closed sets is closed. The empty set ∅ and the entire
metric space X are closed.
9
Let X be any metric space, and let S be a subset of X.
Deﬁnition A3.5. The interior of S (in X), denoted S
◦
, is the union of all the open
subsets of X that are included in S.
In symbols, we have
S
◦
=
_
_
U : U ⊆ S and U open in X
_
.
The interior of S is an open set (because it is the union of a family of open
sets) and (from the deﬁnition) any open subset of X that is included in S is also
included in S
◦
. Thus, the interior of S is just the biggest open subset of X that is
included in X. In particular, S is open if and only if it is equal to its own interior.
Dually, we have
Deﬁnition A3.6. The closure of S (in X), denoted S, is the intersection of all the
closed subsets of X that include S.
The closure of S is a closed set, and it is the smallest closed set that includes
S; in particular, S itself is closed iff it is equal to its own closure. Finally,
Deﬁnition A3.7. The boundary of S (in X), denoted ∂X, is the settheoretic
difference ∂S = S ¸ S
◦
.
The boundary of S is the intersection of two closed sets (S and X ¸ S
◦
), and
it is therefore closed.
Example A3.8. Let X = R and let S =
_
(0, 1) ∩ Q
_
∪ (2, 3]. Then S
◦
= (2, 3),
S = [0, 1] ∪ [2, 3], and ∂S = [0, 1] ∪ ¦2, 3¦.
Exercise A3.9. Show that if A, B are subsets of X, and A ⊆ B, then A
◦
⊆ B
◦
and A ⊆ B. Now show that for any subset S of X,
_
_
S
_
◦
_
◦
=
_
S
_
◦
.
One more remark about open sets. Let X be a metric space and let Y be a
subset of X. As we said earlier, Y can be considered as a metric space in its own
right (with the metric that it inherits from X). What is then the relation between
the open subsets of the new space Y and the open subsets of the original space X?
10
Proposition A3.10. Let X be a metric space, Y a metric subspace (as above).
Then a subset V ⊆ Y is open in Y iff it can be written V = U ∩ Y for some
U ⊆ X open in X.
Proof. Notice the following relationship between balls in Y and in X:if y ∈ Y
then
B
Y
(y; r) = B
X
(y; r) ∩ Y.
Let V be open in Y . Then for each y ∈ V there is r
y
> 0 such that B
Y
(y; r
y
) ⊆ V .
Let U =
y∈Y
B
X
(y; r
y
). This is a union of open subsets of X, so open in X,
and
U ∩ Y =
_
_
y∈Y
B
X
(y; r
y
)
_
∩ Y =
_
y∈Y
B
Y
(y; r
y
) = V.
This proves one direction of the “if and only if” statement in the proposition; the
other direction (which is easier) is an exercise.
The deﬁnition of continuity is translated in the natural way to the metric space
context.
Deﬁnition A3.11. A function f : X → Y between metric spaces is continuous at
x ∈ X if for every > 0 there is δ > 0 such that d(f(x), f(x
)) < whenever
d(x, x
) < δ. It is continuous if it is continuous at every x ∈ X.
But there is a very important alternative characterization in terms of open sets.
Theorem A3.12. Let X and Y be metric spaces. Then f : X → Y is continuous
iff, for every open U ⊆ Y , the inverse image
f
−1
(U) := ¦x ∈ X : f(x) ∈ U¦
is open in X.
Proof. Suppose that f is continuous and let U ⊆ Y be open. Let x ∈ f
−1
(U);
then f(x) ∈ U so by deﬁnition of ‘open’ there is > 0 such that B(f(x); ) ⊆ U.
By deﬁnition of ‘continuous’ there is δ > 0 such that if x
∈ B(x; δ) then f(x
) ∈
B(f(x); ) ⊆ U. But this means that B(x; δ) ⊆ f
−1
(U). Thus the set f
−1
(U) is
open.
Conversely, let x ∈ X, > 0 and suppose that f satisﬁes the condition in
the theorem. In particular, we may consider U = B(f(x); ), an open set such
that x ∈ f
−1
(U). Our hypothesis tells us that f
−1
(U) is open, which means that
there is a δ > 0 such that B(x; δ) ⊆ f
−1
(U). We have shown that whenever
x
∈ B(x; δ), f(x
) ∈ B(f(x); ). This gives us continuity.
11
Lecture A4
Continuity and sequences
In the previous lecture we saw that a map f : X → Y between metric spaces
is continuous iff f
−1
(U) is open (in X) whenever U is open (in Y ).
Remark A4.1. It is equivalent to say that f
−1
(F) is closed in X whenever F is
closed in Y . But in general nothing can be said about the behavior of the direct
image f(S) of an open or a closed set S under a continuous map.
Deﬁnition A4.2. A map f : X → Y between metric spaces is called a homeo
morphism if it is a bijection and both f and f
−1
are continuous. (Equivalently,
f is a continuous map with a continuous inverse.) If there is a homeomorphism
between X and Y , then we say that these spaces are homeomorphic.
A homeomorphism is a “topological equivalence” (it is easy to check that the
relation of homeomorphism is an equivalence relation in the sense of algebra). In
topology, we consider homeomorphic spaces to be ”essentially the same“. A fun
damental question in topology is to devise processes for answering the question,
Are two concretely given spaces homeomorphic or not?
Example A4.3. The map x → x(1 + x
2
)
−
1
2
is a homeomorphism from R to the
open interval 9 −1, 1). Its inverse is y → y(1 −y
2
)
−
1
2
.
Example A4.4. The map t → (cos 2πt, sin 2πt) is a continuous bijection from the
halfopen interval (0, 1] onto the unit circle in R
2
, but it is not a homeomorphism.
Example A4.5. Let (X, d) be a metric space and let (X, d
) be the same set
equipped with the discrete metric. Then the identity map (X, d
) → (X, d) is
a continuous bijection, but it is usually not a homeomorphism.
Example A4.6. Are R
n
and R
m
homeomorphic if m ,= n? This and related
questions were problematical in the early days of topology. (Note that there are
continuous maps of R
m
onto R
n
even if m < n — “spaceﬁlling curves”.) But
the answer, as expected, is indeed “no”, as was shown by Brouwer and others at
the beginning of the 20th century.
We’ll now study the properties of sequences. A sequence in a metric space X
is a mapping from the natural numbers Nto X: we’ll follow the usual abbreviation
of referring to “the sequence (x
n
)” rather than “the sequence which maps the
natural number n to x
n
∈ X.”
12
Deﬁnition A4.7. Let (x
n
) be a sequence in the metric space X. We say (x
n
)
converges to x ∈ X if for every > 0 there is an integer N such that d(x, x
n
) <
whenever n > N. We write then x = lim
n→∞
x
n
.
Exercise A4.8. Let T be the metric space ¦1,
1
2
,
1
3
, . . . , 0¦ (with the metric it in
herits as a subspace of R). Show that a sequence (x
n
) in the metric space X is
convergent if and only if there exists a continuous function f : T → X such that
f(1/n) = x
n
; and in that case f(0) = lim
n→∞
x
n
.
Proposition A4.9. A function f : X → Y between metric spaces is continuous
at x if and only if, whenever (x
n
) is a sequence converging to x, the sequence
(f(x
n
)) converges to f(x).
Proof. Suppose that f is continuous at x and let > 0 be given. By deﬁnition of
continuity there is δ > 0 such that d(x, x
) < δ implies d(f(x), f(x
)) < . By
deﬁnition of convergence there is N such that for all n > N, d(x, x
n
) < δ. Thus
d(f(x), f(x
n
)) < and f(x
n
) converges to f(x).
Suppose that f is not continuous at x. Then there is > 0 such that for all
δ > 0 there is x
with d(x, x
) < δ and d(f(x), f(x
) . Let x
n
be a value of x
corresponding to δ = 1/n. Then x
n
→ x, but d(f(x), f(x
n
)) for all n, hence
f(x
n
) does not converge to f(x).
Remark A4.10. This result illustrates how sequences can be used to probe the
topological properties of metric spaces. At the same time, it shows how the use
fulness of these “probes” depends on the countable local structure of a metric
space — speciﬁcally, on the fact that any ball around x ∈ X contains one of
the countably many balls B(x; 1/n). When we come to consider more general
topological spaces, this “countable local structure” may not be available, and then
sequences will be of less use.
Deﬁnition A4.11. Let X be a metric space, A ⊆ X. A point x ∈ X is a limit
point of A if it is the limit of a sequence of distinct points of A.
Lemma A4.12. x is a limit point of A if and only if every open set containing x
also contains inﬁnitely many points of A.
Proof. Suppose that x is a limit point of A. Then there is a sequence (x
n
) of
distinct points of A, converging to x. Let U be an open set containing x. Then
there is some > 0 such that B(x; ) ⊆ U. By deﬁnition of convergence, there
13
is N > 0 such that x
n
∈ B(x; ) ⊆ U for all n > N. In particular, U contains
inﬁnitely many of the ¦x
n
¦, all of which are members of A.
Conversely suppose that every open set containing x also contains inﬁnitely
many points of A. Deﬁne a sequence (x
n
) inductively as follows: x
1
is any
point in B(x; 1) ∩ A, and, assuming that x
1
, . . . , x
n−1
have been deﬁned, let x
n
be any point in B(x; 1/n) ∩ A that is distinct from the (ﬁnitely many!) points
x
1
, . . . , x
n−1
. Then (x
n
) is a sequence of distinct points of A and it converges to
x.
Proposition A4.13. The closure of a subset A is the union of A and the set of
all its limit points. In particular, A is closed if and only if it contains all its limit
points.
Proof. A point x belongs to the closure of Aiff it is not in the interior of X¸A. By
deﬁnition of “interior”, this is the same as to say that each ball B(x; ) must meet
A. By the previous lemma, then, any limit point of A must belong to A. Con
versely, suppose that x ∈ A ¸ A. Deﬁne a sequence (x
n
) inductively as follows:
x
1
is any point in B(x; 1) ∩A, and, assuming that x
1
, . . . , x
n−1
have been deﬁned,
let x
n
be any point in B(x; δ
n
) ∩ A where δ
n
= min¦d(x
1
, x), . . . , d(x
n−1
, x)¦.
Then (x
n
) is a sequence of distinct points of A and it converges to x, so x is a
limit point of A.
Deﬁnition A4.14. An isolated point of A is a point of A that is not a limit point
of A. A closed subset of a metric space is perfect if it has no isolated points.
Exercise A4.15. Show that a ∈ A is isolated if and only if there is > 0 such that
B(a; ) ∩ A = ¦a¦.
Exercise A4.16. A closed ball in a metric space is a set
¯
B(x; r) := ¦x
∈ X : d(x, x
) r¦.
Show that a closed ball is closed. Must every closed ball be the closure of the
open ball of the same center and radius?
14
Lecture A5
Compactness
I’ll take for granted the notion of subsequence of a sequence of points in a
matric space. (Formally speaking, if a sequence in X is a map N → X, a subse
quence of the given sequence is the result of composing it with a strictly mono
tonic map N →N.)
Lemma A5.1. Every sequence of real numbers has a monotonic subsequence.
Proof. Let (x
n
) be a sequence of real numbers. Suppose that it has no monotonic
increasing subsequence. Then there must be some n such that x
m
< x
n
for all
m > n. (Otherwise, we could build a monotonic increasing subsequence by
induction.)
But now take this n and call it n
1
. Apply the previous argument to the “tail” of
the original sequence beginning at n
1
, i.e. the subsequence x
n
1
+1
, x
n
1
+2
, . . .. This
also has no monotonic increasing subsequence, so by the same argument there is
n
2
> n
1
such that x
m
< x
n
2
for all m > n
2
. Continuing in this way by induction
we get a monotonic decreasing subsequence x
n
1
, x
n
2
, . . ..
It is a standard consequence of completeness that every bounded, monotonic
sequence of real numbers is convergent. Thus we get the BolzanoWeierstrass
theorem: every bounded sequence of real numbers has a convergent subsequence.
Deﬁnition A5.2. A Cauchy sequence in a metric space is a sequence (x
n
) with
the following property: for every > 0 there exists N > 0 such that, for all
n, m > N, d(x
n
, x
m
) < . A metric space is called complete if every Cauchy
sequence in it converges.
A Cauchy sequence is necessarily bounded. Moreover, if a Cauchy sequence
has a convergent subsequence, then the whole sequence is in fact convergent.
These facts combine with the BolzanoWeierstrass theorem to show that every
Cauchy sequence of real numbers converges: i.e., R is (Cauchy) complete.
Deﬁnition A5.3. A metric space X is (sequentially) compact iff every sequence
of points of X has a subsequence that converges in X.
Proposition A5.4. Every closed, bounded subset of R
n
or C
n
is sequentially com
pact. (A subset is bounded if it is contained in some ball.)
15
Proof. For R this is just the BolzanoWeierstrass theorem. For R
n
, this follows
from the fact (easily proved) that a sequence of points in R
n
is convergent if and
only if each of its coordinate sequences is convergent.
Proposition A5.5. If A is a subset of any metric space X, and A is compact (in
its own right), then A is bounded and closed in X.
Proof. Let x ∈ X be a limit point of A. Then there is a sequence (a
n
) in A
converging to x. But, by compactness, (a
n
) has a subsequence converging in A.
Thus x ∈ A, and A is closed.
Suppose that A is not bounded. Then one can construct by induction a se
quence (a
n
) in A such that d(a
n
, a
0
) > 1 + d(a
n−1
, a
0
) for n 1. The triangle
inequality shows that d(a
n
, a
m
) > 1 for n ,= m. Clearly (a
n
) has no convergent
subsequence.
Exercise A5.6. Let f : X → Y be continuous and surjective. Show that if X is
compact then Y is compact also. What has this got to do with the familiar calculus
principle that ‘a continuous function on a closed bounded interval is itself bounded
and attains its bounds’?
Despite the above evidence, it’s not in general true that ‘closed and bounded’
equals ‘compact’. (Counterexample?) We shall analyze this in detail.
Deﬁnition A5.7. Let X be a metric space. An open cover U for X is a collection
(ﬁnite or inﬁnite) of open sets whose union is all of X. A Lebesgue number for
U is a number δ > 0 such that every open ball of radius δ is a subset of some
member of U .
Theorem A5.8. (Lebesgue) Every open cover of a (sequentially) compact metric
space has a Lebesgue number.
Proof. Suppose that U does not have a Lebesgue number. Then for every n
there is x
n
∈ X such that B(x
n
; 1/n) is contained in no member of U . If X is
compact, the sequence (x
n
) has a subsequence that converges, say to x. Now x
belongs to some member U of U , since U is a cover. Thus there is > 0 such
that B(x; ) ⊆ U. There is n > 2/ such that d(x
n
, x) < /2. But then
B(x
n
; 1/n) ⊆ B(x
n
; /2) ⊆ B(x; ) ⊆ U
which is a contradiction.
16
Proposition A5.9. The following conditions on a metric space X are equivalent.
(a) Every sequence in X has a Cauchy subsequence.
(b) For every δ > 0 there is a ﬁnite cover of X by balls of radius δ.
In this case we say X is totally bounded (some writers say precompact).
Proof. (a) implies (b): Choose x
1
∈ X, and then inductively choose x
n
∈ X
such that d(x
n
, x
m
) δ when m < n, so long as this is possible. The process
must terminate because if it didn’t it would produce a sequence with no Cauchy
subsequence. When it does terminate, with x
N
say, it does so because the balls
B(x
n
; δ), n = 1, . . . , N, cover X.
(b) implies (a): Notice the following implication of (b): given any δ > 0, any
sequence in X has a subsequence all of whose members are separated by at most
δ (call this a ‘δclose subsequence’).
Let (x
n
) be any sequence in X. Let (x
1
n
) be a 2
−1
close subsequence of (x
n
),
let (x
2
n
) be a 2
−2
close subsequence of (x
1
n
), and so on by induction. Then (x
n
n
) is
a Cauchy subsequence of the original sequence.
A metric space X is said to be (covering) compact if every open cover of X
has a ﬁnite subcover.
Proposition A5.10. The following conditions on a metric space X are equivalent:
(a) X is sequentially compact;
(b) X is complete and totally bounded;
(c) X is covering compact.
Proof. It is easy to see that (a) and (b) are equivalent.
Suppose (a). Let U be an open cover of X. Let δ > 0 be a Lebesgue number
for U (which exists because of Theorem A5.8). Since X is totally bounded it has
a ﬁnite cover by δballs. But each such ball is a subset of a member of U ; so U
has a ﬁnite subcover.
In the other direction, suppose (c). Let (x
n
) be a sequence without convergent
subsequence. Then for each x ∈ X there is some
x
such that x
n
/ ∈ B(x;
x
) for
all but ﬁnitely many n. The B(x;
x
) form a cover of X. Picking a ﬁnite subcover
we obtain the contradiction that x
n
/ ∈ X for all but ﬁnitely many n.
17
Remark A5.11. For general topological spaces, the notions ‘covering compact’
and ‘sequentially compact’ are not equivalent, and ‘covering compact’ is usually
the most appropriate one.
Exercise A5.12. A map f : X → Y between metric spaces is uniformly contin
uous if for each > 0 there is δ > 0 such that d(f(x), f(x
)) < whenever
d(x, x
) < δ. (The extra information beyond ordinary continuity is that δ does
not depend on x.) Show that if X is compact, every continuous f is uniformly
continuous. Hint: use Theorem A5.8.
18
Lecture A6
Compactness and Completeness
(The lecture will begin with a review of the basic results about compactness,
from the previous section).
Deﬁnition A6.1. Let X be a compact metric space. Then C(X) denotes the space
of all continuous functions X →C. It is a metric space equipped with the metric
d(f, g) = sup¦[f(x) −g(x)[ : x ∈ X¦.
(Compare Example A2.10.)
Compactness of X ensures that the supremum exists (why)? We can also
consider the space C
R
(X) of continuous realvalued functions.
Proposition A6.2. For a compact X, the metric spaces C(X) and C
R
(X) are
complete.
Proof. Most completeness proofs proceed in the same threestage way: Given a
Cauchy sequence, identify a candidate for its limit; show that the candidate is in
the space in question; and show that the sequence approaches the candidate limit
in the metric of the space in question.
Let (f
n
) be a Cauchy sequence in C(X). Then, for each x ∈ X, f
n
(x) is a
Cauchy sequence in C. Since C is complete this sequence converges. Denote its
limit by f(x).
We show that f is a continuous function on X. Fix x
∈ X and let > 0
be given. Because (f
n
) is Cauchy there is N such that for n
, n
N we have
[f
n
(x) − f
n
(x)[ < /3 for all x. Take n
= N and let n
→ ∞ to ﬁnd that
[f
N
(x) −f(x)[ /3 for all x. Now, f
N
is continuous at x
so there is δ > 0 such
that [f
N
(x) − f
N
(x
)[ < /3 whenever [x − x
[ < δ. It follows that, whenever
[x −x
[ < δ,
[f(x) −f(x
)[
[f(x) −f
N
(x)[ +[f
N
(x) −f
N
(x
)[ +[f
N
(x
) −f(x
)[ < .
This shows that f is continuous.
Finally to show that f
n
→ f in C(X) we must prove that for every > 0
there is N such that [f
n
(x) −f(x)[ < for all x whenever n > N. But in fact we
already proved this in the previous paragraph.
19
It is an interesting and important question what are the compact subsets of
the complete space C(X). The answer is given by the AscoliArzela theorem.
“Closed and bounded” is not enough.
20
Lecture A7
Applications of completeness
Recall that a metric space X is said to be complete if every Cauchy sequence
in X converges. The space (0, 1) is not complete, whereas the homeomorphic
space R is complete. This proves that completeness is not a topological property,
i.e., is not preserved under homeomorphism.
Exercise A7.1. A uniform homeomorphism between metric spaces is a homeo
morphism f : X → Y such that both f and f
−1
are uniformly continuous. Show
that if X is complete and there is a uniform homeomorphism X → Y , then Y is
complete.
Proposition A7.2. Let X be a complete metric space and let U ⊆ X be an open
set. Then U is homeomorphic to a complete metric space (it is topologically
complete).
Proof. Let f : U →R be the function deﬁned by
f(x) =
1
inf¦d(x, y) : y ∈ X ¸ U¦
.
This is a welldeﬁned, continuous function with the property that f(x
n
) → ∞
whenever x
n
is a sequence in U that converges to some x ∈ X ¸ U.
Now let V be the metric space with the same points as U but with the metric
d
V
(x, x
) = d(x, x
) +[f(x) −f(x
)[.
It is easy to see that this is indeed a metric. Moreover, it is complete: if (x
n
) is
a Cauchy sequence for the metric d
V
, then it is also a Cauchy sequence for the
metric d (so it converges in X, say to x ∈ X) and, in addition, the values f(x
n
)
are bounded (so the limit x in fact belongs to V ).
Finally I claim that the identity map U → V is a homeomorphism. Suppose
x ∈ U and let > 0 be given. Since f is continuous, there is δ
1
> 0 such that
d(x, x
) < δ
1
implies [f(x) − f(x
)[ < /2. Put δ = min¦δ
1
, /2)¦. Then if
d(x, x
) < δ, we have
d
V
(x, x
) <
2
+[f(x) −f(x
)[ < .
So the identity map U → V is continuous, and the continuity of the inverse is
easy.
21
Remark A7.3. A subset of a metric space is called a G
δ
set (German: Gebeit
Durschnitt) if it is the intersection of countably many open sets. For example, the
irrational numbers form a G
δ
subset of R. Generalizing the above construction,
it can be shown that any G
δ
subset of a complete metric space is topologically
complete. In particular, the topology on the irrational numbers can be given by a
complete metric. But the same is not true for the rational numbers, as will follow
from the Baire category theorem.
Remark A7.4. A countable union of closed sets is called a F
σ
set (French: ferm´ e,
somme). This is the only known example of dual mathematical concepts being
described using dual languages.
Deﬁnition A7.5. Let X be a metric space. A mapping f : X → X is a (strict)
contraction if there is a constant a < 1 such that d(f(x), f(x
)) ad(x, x
) for
all x, x
∈ X.
Note that a contraction must be continuous.
Theorem A7.6. (Banach) A contraction on a complete metric space has a unique
ﬁxed point (a point x such that f(x) = x).
Proof. A ﬁxed point is unique because if x, x
are two such then d(x, x
) =
d(f(x), f(x
)) ad(x, x
), which implies d(x, x
) = 0.
To prove existence, start with any x
0
∈ X and deﬁne x
1
= f(x
0
), x
2
= f(x
1
)
and so on. If d(x
0
, x
1
) = r then d(x
n
, x
n+1
) a
n
r and so
d(x
n
, x
n+k
) (a
n
+ + a
n+k−1
)r
a
n
r
1 −a
which tends to 0 as n → ∞. Thus (x
n
) is a Cauchy sequence, which converges to
a point x. We have
f(x) = limf(x
n
) = limx
n+1
= x
so x is a ﬁxed point.
Exercise A7.7. Banach’s ﬁxed point theorem can be extended as follows: if
f : X → X is a map and some power f
N
= f ◦ ◦ f is a strict contraction, then
f has a unique ﬁxed point. Prove this.
Banach’s ﬁxed point theorem is one of the most important sources of existence
theorems in analysis. Another important source of existence theorems, which also
uses completeness, is the Baire category theorem.
22
Deﬁnition A7.8. A subset of a metric space is dense if its closure is the whole
space
Example A7.9. The rational numbers Qare dense in R. (It is often important that
R has a countable dense subset. A space with this property is called separable.)
Theorem A7.10. (Baire) In a complete metric space, the intersection of countably
many dense open sets is dense.
Proof. Let x ∈ X and let > 0. Let ¦U
n
¦, n = 1, 2, . . ., be dense and open.
Choose x
1
∈ U
1
∩ B(x; /2). There is r
1
such that B(x
1
; r
1
) ⊆ U
1
; without loss
of generality take r
1
< /4. Since U
2
is dense there is x
2
∈ U
2
∩ B(x
1
; r
1
).
Proceed inductively in this way choosing x
n
and r
n
such that
x
n
∈ U
n
∩ B(x
n−1
; r
n−1
), B(x
n
; r
n
) ⊆ U
n
, r
n
< r
n−1
/2.
Then (x
n
) is a Cauchy sequence, say converging to a point x
. Since x
n
∈
B(x
j
; r
j
) for all j n, the point x
belongs to B(x
j
; r
j
) for every j, and hence to
U
n
. Moreover, d(x, x
) < . Since x and were arbitrary,
U
n
is dense.
Remark A7.11. The name ‘category theorem’ comes from the following (tradi
tional) terminology. A set A is nowhere dense if the complement of its closure is
dense. A set is of ﬁrst category if it is the countable union of nowhere dense sets.
Baire’s theorem then says that in a complete metric space the complement of a set
of ﬁrst category (sometimes called a residual set) is dense.
Remark A7.12. Notice that this gives us another proof that Ris uncountable (com
pare Exercise A1.5). For the complement of a point in Ris a dense open set. More
generally, any complete, perfect (Deﬁnition A4.14) metric space is uncountable.
For in a perfect metric space, the complement of any point is dense.
Exercise A7.13. Consider the complete metric space C
R
[0, 1] of continuous real
valued functions on [0, 1]. For a, b ∈ [0, 1] show that the set of functions f
which are nondecreasing on the interval [a, b] is nowhere dense in C
R
[0, 1]. Using
Baire’s theorem, deduce that there exist functions f ∈ C
R
[0, 1] that are nowhere
monotonic, that is, monotonic on no subinterval of [0, 1].
23
Lecture A8
Normed Spaces
Deﬁnition A8.1. Let V be a vector space (real or complex). A norm on V is a
function V →R, denoted v → v, such that
(a) v 0 for all v, and v = 0 iff v = 0.
(b) λv = [λ[v, where λ is a scalar (real or complex).
(c) v + v
 v +v
.
Clearly, d(v, v
) = v − v
 is then a metric. Because of (b), this metric has
an ‘afﬁne’ structure not present in a general metric.
Example A8.2. Let x = (x
1
, . . . , x
n
) be a vector in R
n
or C
n
. The expressions
x
1
= [x
1
[ + +[x
n
[
x
2
=
_
[x
1
[
2
+ +[x
n
[
2
_
1/2
x
∞
= max¦[x
1
[, . . . , [x
n
[¦
all deﬁne norms.
Exercise A8.3. Let a and b be positive real numbers and let p > 1. Show that
inf¦t
1−p
a
p
+ (1 −t)
1−p
b
p
: t ∈ (0, 1)¦ = (a + b)
p
.
Hence (or otherwise) show that the expression
x
p
= ([x
1
[
p
+ +[x
n
[
p
)
1/p
is also a norm on R
n
or C
n
.
Example A8.4. If V = C(X), we may deﬁne
f = sup¦[f(x)[ : x ∈ X¦.
This is a norm, and it gives rise to the usual metric on C(X). Since it is complete
(theorem A6.2) it is a Banach space as deﬁned below.
24
Deﬁnition A8.5. If a normed vector space is complete in its metric, it is called a
Banach space.
Proposition A8.6. A linear mapping T : V → W between normed vector spaces
is continuous if and only if there is a constant k such that
Tv kv
(one then says that T is bounded).
Proof. If T is bounded then Tu −Tv ku −v so T is continuous.
If T is continuous then there is some δ > 0 such that u < δ implies Tu <
1. Take k = 1/δ.
Deﬁnition A8.7. The best constant k in the above proposition, that is the quantity
sup¦Tv : v 1¦
is called the norm of T and denoted T.
Exercise A8.8. Showthat, with the above norm, the collection /(V, W) of bounded
linear maps from V to W is a normed vector space, and that it is a Banach space
if W is a Banach space.
Exercise A8.9. Showthat the normof linear maps is submultiplicative under com
position, i.e. S ◦ T ST.
25
Lecture A9
Differentiation in Normed Spaces
The basic idea of differentiation is that of ‘best linear approximation’. Normed
spaces provide a systematic way to express this.
Notation A9.1. Let f be a function deﬁned on some ball B(0; ) in a normed
space V and having values in another normed space W. We shall write “f(h) =
o(h)” to mean that the limit lim
h→0
_
h
−1
f(h)
_
exists and equals zero. Sim
ilarly for expressions like “f(h) = g(h) + o(h)”.
Exercise A9.2. Suppose that T : V → W is a linear map. Show that T(h) =
o(h) if and only if T = 0.
Now let f : V → W be a continuous (need not be linear) map between normed
vector spaces. In fact, we need only suppose f is deﬁned on some open subset U
of V .
Deﬁnition A9.3. With above notation, let x ∈ V . We say that f is differentiable
at x if there is a bounded linear map T : V → W such that
f(x + h) = f(x) + T h + o(h).
By the exercise, T is unique if it exists. It is called the derivative of f at x and
written Df(x).
Example A9.4. If V = W = R then every linear map V → W is multiplication
by a scalar, i.e. we identify /(V, W) = R. Under this identiﬁcation our deﬁnition
of the derivative corresponds to the usual one from Calculus I.
Example A9.5. If V = R
m
and W = R
n
then /(V ; W) is the space of n m
matrices. The matrix entries of the derivative of f are the partial derivatives of the
components of f as deﬁned in Calculus III. Remark: The existence of the partial
derivatives does not by itself imply differentiability in the sense of our deﬁnition
above. This just shows that our deﬁnition is right and partials are wrong!
Example A9.6. If V = R and W is arbitrary, the space of (bounded) linear maps
/(V ; W) can be identiﬁed with W itself. Under this identiﬁcation the derivative
of f is given by the usual formula
Df(x) = lim
h→0
f(x + h) −f(x)
h
.
26
Exercise A9.7. Show that the derivative of a linear map is always equal to the
map itself.
Proposition A9.8. (Mean value theorem) Suppose that the function f is differ
entiable throughout a ball B(x
0
; r) ⊆ V , and that Df(x) k for all x ∈
B(x
0
; r). Then
f(x) −f(x
0
) kx −x
0

for all x ∈ B(x
0
; r).
Proof. Let > 0. By deﬁnition of the derivative each y ∈ B(x
0
; r) has a neigh
borhood U
y
⊆ B(x
0
; r) such that
f(y
) −f(y) (k + )y
−y ∀y
∈ U
y
.
Now we will “creep along” the line segment [x
0
, x] ⊆ B(x
0
; r). Let x
t
= (1 −
t)x
0
+ tx, t ∈ [0, 1], and let T be the set of all those t ∈ [0, 1] such that f(x
s
) −
f(x
0
) (k+)x
s
−x
0
 for all s t. Clearly, T is an interval and the displayed
equation above shows that it contains [0, θ) for some θ > 0. Let τ = sup T ∈
(0, 1] and let y = x
τ
. If τ < 1 then there exists δ > 0 such that
f(x
t
) −f(y) (k + )x
t
−y ∀t ∈ (τ −2δ, τ + 2δ).
For any c ∈ [0, 1] we have τ −cδ ∈ T and so
f(x
τ+cδ
) −f(x
0
)
f(x
τ+cδ
) −f(x
τ
) +f(x
τ
) −f(x
τ−cδ
) +f(x
τ−cδ
) −f(x
0
)
(k + ) (x
τ+cδ
−x
τ
 +x
τ
−x
τ−cδ
 +x
τ−cδ
−x
0
) =
= (k + ) (x
τ+cδ
−x
0
) .
The ﬁnal equality is because the three vectors appearing here are positive multiples
of the same vector. If follows that τ +δ ∈ T, contradicting the deﬁnition of τ as the
supremum. Therefore it is impossible that τ < 1 and the theorem is proved.
Remark A9.9. From the proof one sees that the theorem is true if we replace the
ball by any region that is starshaped about x
0
.
It is easy to see that the derivative of f ± g is Df ± Dg. Another familiar
calculus result that generalizes easily is the chain rule.
27
Proposition A9.10. (Chain rule) Let V, W, X be normed vector spaces, and let
x ∈ V . Let f : V → W be differentiable at x and let g : W → X be differentiable
at y = f(x). Then g ◦ f is differentiable at x and
D(g ◦ f)(x) = Dg(y) ◦ Df(x).
Note that f need only be deﬁned near x, and g need only be deﬁned near y.
Proof. Let k(h) = f(x + h) − f(x) = Df(x) h + o(h). Note that there is a
constant A such that k(h) Ah for small h. Now write
(g ◦ f)(x + h) −(g ◦ f)(x) = g(y + k(h)) −g(y)
= Dg(y) k(h) + o(k(h))
= Dg(y) Df(x) h + o(h)
giving the result.
Remark A9.11. Note that the derivative of f, Df, is itself a function having values
in a normed space (namely the space /(V, W)). Thus we can differentiate it and
deﬁne second and higher derivatives if we require.
Exercise A9.12. (Openended) Formulate precisely the advanced calculus result
that “the mixed derivatives are symmetric”, that is ∂
2
f/∂x∂y = ∂
2
f/∂y∂x, and
prove it (under suitable hypotheses) for maps between normed vector spaces.
Let F be a function R V → V , where V is a normed vector space. Let
[a, b] ⊆ R. A function f : [a, b] → V is a solution to the differential equation
deﬁned by F if it is differentiable and f
(t) = F(t, f(t)) for all t ∈ [a, b]. The
value f(a) ∈ V is called the initial condition for the solution.
Theorem A9.13. Suppose that V is a Banach space and suppose also that the
function F is continuous and satisﬁes a Lipschitz condition, that is, there exists a
constant C > 0 such that
F(t, v) −F(t
, v
) Cv −v
.
Then for any a ∈ R and any v
0
∈ V there exists a nontrivial interval [a, b] on
which there is a solution to the differential equation f
(t) = F(t, f(t)) with initial
condition f(a) = v
0
; moreover, this solution is unique.
28
Proof. We need to use some facts about integration for V valued functions. It
isn’t the job of this course to teach you about integration theory — for that see
Math 501 — so I will just state the various facts that are needed. Moreover, in a
ﬁrst course on integration these facts are usually proved only for real or complex
valued functions; you will need to take it on faith that the same facts are true for
functions having values in a normed vector space V . Finally, we shall use the
fact that if V is a Banach space (that is, complete) then the space of continuous
functions [a, b] → V , equipped with the sup norm, is also complete. This is a fact
that we have already proved for real or complex valued functions, and the proof
in the general case is exactly the same.
We will use the fundamental theorem of calculus: a function f ∈ C[a, b] is a
solution of the differential equation if and only if it is a solution of the equivalent
integral equation
f(s) = v
0
+
_
s
a
F(t, f(t)) dt, t ∈ [a, b].
We will show that a solution to this equation exists (for b sufﬁciently close to a)
by applying Banach’s contraction mapping theorem (A7.6) to the space C[a, b] of
continuous functions on [a, b] (with values in V , if you like). Let I : C[a, b] →
C[a, b] be deﬁned by the right hand side of the display above, that is,
(If)(s) = v
0
+
_
s
a
F(t, f(t)) dt, t ∈ [a, b].
If f, g ∈ C[a, b] then the integrands in If and Ig differ by Cf − g at most,
where C is the Lipschitz constant, and therefore
If −Ig C(b −a)f −g
by standard estimates on integrals. Therefore, if (b − a) < C
−1
, the map I is a
strict contraction and Banach’s ﬁxed point theorem provides a unique solution to
If = f, which is a solution to the differential equation with the speciﬁed initial
condition.
29
Lecture A10
The inverse function theorem
Let V, V
be normed vector spaces. The space /(V, V
) is then a normed
vector space also. Say T ∈ /(V, V
) is invertible if it has an inverse which is a
bounded linear map from V
to V .
Proposition A10.1. Let V, V
be Banach spaces. Then the invertibles form an
open subset of /(V, V
), and the inverse operation T → T
−1
is continuous (on
this subset) from /(V, V
) to /(V
, V ).
Proof. Without loss of generality V
= V . Look ﬁrst at a nbhd of the invertible
operator I. Suppose S < 1. For y ∈ V consider the map
φ
y
: V → V, v → y −Sv.
Since S < 1 this map is a strict contraction, so it has a unique ﬁxed point x
(Theorem A7.6). This ﬁxed point is an x such that (I + S)x = y. By the triangle
inequality,
y (1 −S)x, so x (1 −S)
−1
y
and the map y → x is bounded. We have shown that if S < 1, I+S is invertible.
Moreover
y −(I + S)
−1
y = S(1 + S)
−1
y S(1 −S)
−1
y
which shows that the map S → (I + S)
−1
is continuous at S = 0.
We have shown that the identity is an interior point of the set of invertibles
and that the inverse is continuous there. However, left multiplication by a ﬁxed
invertible is a homeomorphism from the set of invertibles to itself; so the same
results apply to any point of the set of invertibles.
Exercise A10.2. Let V be a normed space and let W be the normed space /(V, V ).
Show that the mapping i : T → T
−1
is differentiable (where deﬁned) on W, and
that its derivative is
Di(T) H = −T
−1
HT
−1
.
30
Deﬁnition A10.3. A map f from an open subset of a normed space V to a normed
space W is continuously differentiable or C
1
if it is differentiable (everywhere)
and the map x → Df(x) is continuous.
The inverse function theorem says that under suitable conditions, if Df(x) is
invertible then f is ‘locally invertible’ near x.
Theorem A10.4. Let f be as above, deﬁned near x ∈ V , and suppose that f
is continuously differentiable and that Df(x) ∈ /(V, W) is invertible. Suppose
moreover that V, W are Banach spaces. Then there is an open set U containing x
such that f is a bijection of U onto f(U), which is an open set containing f(x),
and such that its inverse g : f(U) → U is also continuously differentiable.
Proof. It is an application of Banach’s ﬁxed point theorem A7.6. We will con
struct the inverse function by looking at the ﬁxed points of a suitable map.
Let A = Df(x)
−1
. For y ∈ W deﬁne a map φ
y
: V → V by
φ
y
(z) = z + A (y −f(z)).
A ﬁxed point of φ
y
is a solution to f(z) = y. We have
Dφ
y
(z) = I −A ◦ Df(z) = A ◦
_
Df(x) −Df(z)
_
.
Since Df is continuous there is r > 0 such that if z ∈ U = B(x; r) then
Dφ
y
(z) <
1
2
. From the mean value theorem we conclude that if F is a closed
subset of U, and if we know for some reason that φ
y
maps F to F, then φ
y
is
actually a contraction of this complete metric space and so has a unique ﬁxed
point.
Fix z
0
∈ U and let y
0
= f(z
0
). Thus y
0
∈ f(U) and we want to prove
that there is some > 0 such that B(y
0
; ) ⊆ f(U); this will show that f(U) is
open. Choose δ > 0 such that the closed ball B(z
0
; δ) is contained in U. Choose
=
1
2
A
−1
δ. If z ∈ B(z
0
; δ) and y ∈ B(y
0
; ) then we may compute
φ
y
(z) −z
0
 = φ
y
(z) −φ
y
0
(z
0
)
φ
y
(z) −φ
y
(z
0
) +φ
y
(z
0
) −φ
y
0
(z
0
)
1
2
z −z
0
 +A(y −y
0
)
1
2
δ +
1
2
δ = δ
using the mean value theorem A9.8. We conclude that, for these y, the map φ
y
is
a contraction of the complete metric space B(z
0
; δ) and thus has a (unique) ﬁxed
point there. We have shown that each y
0
∈ f(U) has an neighborhood contained
31
in f(U); thus, f(U) is open. The contraction property of the φ
y
ensures that each
y ∈ f(U) has only one inverse image in U; thus f is a bijection of U onto f(U).
Now to show that the inverse function g = f
−1
: f(U) → U is differentiable
at y = f(x) write g(y + h) − g(y) = u(h), say. The calculations of the previous
paragraph show that u(h) 2Ah for h small. Then
h = f(g(y + h)) −y = f(g(y) + u(h)) −y = Df(x) u(h) + o(h).
Apply A = Df(x)
−1
to get
u(h) = A h + o(h).
This gives differentiability of g with Dg(f(x)) = Df(x)
−1
. Continuous differen
tiability now follows from the continuity of the inverse operation on the space of
bounded linear maps (Proposition A10.1).
32
Lecture A11
Topological Spaces
We have been emphasizing that “up to homeomorphism” properties of metric
spaces depend only on their open sets. This motivates a further abstraction which
removes the numerical notion of metric entirely.
Deﬁnition A11.1. A topology on a set X is a family T of subsets of X with the
following three properties:
(i) If U
α
is any family of members of T , then the union
α
U
α
is also a member
of T ;
(ii) If U
1
, . . . , U
n
is a ﬁnite family of members of T then the intersection
n
i=1
U
i
is also a member of T ;
(iii) The sets ∅ and X are members of T .
A set equipped with a topology is called a topological space. The members of T
are called open subsets of the topological space X.
Notice that the open subsets of a metric space automatically satisfy (i)–(iii);
thus, every metric space carries a topology (called its metric topology). Different
metrics can however give rise to the same topology (as we have already seen);
moreover, there are topologies that do not arise from any metric.
Example A11.2. The discrete topology on X has T = P(X): every subset is
open. This topology arises from the discrete metric.
Example A11.3. The indiscrete topology on X has just two open sets, ∅ and X.
This topology does not arise from a metric as soon as X has more than one point.
(Why not?)
Example A11.4. The coﬁnite topology on X consists of ∅ together with all the
coﬁnite subsets of X (a subset is coﬁnite if its complement is ﬁnite).
It is natural to say that a closed set is one whose complement is open, so that
the closed sets in the coﬁnite topology are just the ﬁnite sets together with the
whole space. Notice that this topology has many “fewer” open (or closed) sets
than the topologies with which we are familiar. For example, in the coﬁnite topol
ogy on an inﬁnite set, any two nonempty open sets have a nonempty intersection.
A similar but more sophisticated example is the next one.
33
Example A11.5. Let K be an algebraically closed ﬁeld (for example, the complex
numbers) and let A = K
n
. A subset V of A is called an afﬁne algebraic variety if
there is a set S ⊆ K[X
1
, . . . , X
n
] of polynomials in n variables such that
(x
1
, . . . , x
n
) ∈ S ⇔ p(x
1
, . . . , x
n
) = 0∀p ∈ S;
in other words, a variety is the set of common zeroes of a collection of polynomi
als. (The Hilbert basis theorem says that S can always be taken to be ﬁnite.) It is
a simple exercise (for an algebraist!) to show that any intersection of varieties is a
variety, and a ﬁnite union of varieties is a variety. In other words, the varieties can
be considered as the closed sets of a topology on A, called the Zariski topology.
Example A11.6. Let T be a family of topologies on the set X. Then
T is
also a topology on X. In particular, let F be any family of subsets of X at all.
Let T be the family of all topologies T such that T ⊇ F (there always is one
such topology, the discrete topology). The intersection
T is then the smallest
or “weakest” topology containing F. It is called the topology generated by F
(you’ll also see F called a subbasis for T ).
Exercise A11.7. Show that the topology on X generated by F can be concretely
expressed as follows: a set U is open in the generated topology if and only if it
can be written as a union
U
α
of some family of sets U
α
, where each U
α
is the
intersection of some ﬁnite family (depending on α) of members of F. (The empty
set and the whole space X are included among these sets by convention: we take
the intersection of an empty family to be X and the union of an empty family to
be ∅.)
Remark A11.8. The following language is conventional in this context: the fam
ily B of subsets of X is called a basis if, for every point x ∈ X, there is some
member of B containing x and every ﬁnite intersection of members of B con
taining x includes some member of B containing x. Thus the topology generated
by a basis is just the collection of all unions of families of members of the basis.
(For example, the metric balls form a basis for the topology of a metric space.)
Moreover, the topology generated by a subbasis F is the topology generated by
the associated basis consisting of ﬁnite intersections of members of F.
34
Lecture A12
Compactness and Hausdorffness
Deﬁnition A12.1. Let X be a topological space, with topology T , and let Y ⊆ X.
Then the family of subsets of Y given by ¦Y ∩ U : U ∈ T ¦ deﬁnes a topology
on Y . It is called the relative topology or subspace topology induced by the given
topology on X.
(Compare Proposition A3.10.)
Any metric space notion which is deﬁned simply in terms of open sets can
be taken over without change to the more general context of topological spaces.
Thus, for example, we can deﬁne the interior, closure, and boundary of a subset
just as in the metric space context.
Exercise A12.2. Let X be a topological space and Y a subspace of X, equipped
with the subspace topology. Let S be a subset of X, with closure S. Show that
the closure of S ∩ Y in the subspace topology of Y is a subset of S ∩ Y , and that
these two sets are equal if S itself is a subset of Y ; but that they need not be equal
in general.
Just as in metric spaces we can also deﬁne a continuous function f : X → Y
(X and Y being topological spaces) as one which has the property that, for every
open subset U of Y , the inverse image f
−1
(U) is open in X. The proof of the
following lemma is then obvious:
Lemma A12.3. The composite of continuous functions is continuous.
Exercise A12.4. Let f : X → Y be a map of spaces (from now on, “space” will
mean a topological space, unless otherwise speciﬁed). Show that f is continuous
as a map from X to Y if and only if it is continuous as a map from X onto f(X),
where f(X) ⊆ Y is equipped with its subspace topology.
Deﬁnition A12.5. A homeomorphism is a continuous bijection whose inverse is
also continuous.
Deﬁnition A12.6. A space X is compact if every open cover of X has a ﬁnite
subcover.
35
This is the same as the deﬁnition of “covering compact” that was given in
Lecture 5. We won’t make use of the notion “sequentially compact” outside the
realm of metric spaces.
Example A12.7. Any ﬁnite topological space is compact. A discrete topological
space is compact if and only if it is ﬁnite.
Proposition A12.8. Let f : X → Y be a continuous map. If X is compact, then
f(X) ⊆ Y is also compact.
Proof. By Exercise A12.4 it sufﬁces to consider the case where f(X) = Y . Let
U be an open cover of Y . The sets f
−1
(U), U ∈ U , are then open in X and
they form a cover since for each x ∈ X, the image f(x) belongs to some member
of U . Since X is compact, there is a ﬁnite subcover: there is a ﬁnite subset
U
1
, . . . , U
n
of U such that the sets f
−1
(U
i
) cover X. But for every y ∈ Y , there
is x ∈ X such that f(x) = y; so x ∈ f
−1
(U
i
) for some i and therefore y ∈ U
i
.
That is, the U
1
, . . . , U
n
cover Y and we have shown that U has a ﬁnite subcover
as required.
Proposition A12.9. Let X be a compact space and let Y be a closed subset of X.
Then Y is also compact (in its relative topology).
Proof. We must show that every open cover of Y (in the relative topology) has a
ﬁnite subcover. Let U be such a cover. Each open set U ∈ U is (by deﬁnition
of the relative topology) of the form V
U
∩ Y , where V
U
is some open subset of
X. The union of all the sets V
U
includes Y ; therefore, the open sets V
U
, together
with the open set X ¸ Y , form an open cover of X. By hypothesis this cover has
a ﬁnite subcover, comprising V
U
1
, . . . , V
Un
, together possibly with X ¸ Y . Then
U
1
, . . . , U
n
cover Y .
In metric spaces, compact subsets are necessarily closed (Proposition A5.5).
This need not be true in general topological spaces. Indeed, let X be any topo
logical space. From Example A12.7, any ﬁnite subset of X — in particular, any
onepoint subset — must be compact in its subspace topology. But we saw several
examples in the last lecture of topological spaces in which onepoint subsets are
not closed.
What is missing is the Hausdorff property.
Deﬁnition A12.10. A topological space X is Hausdorff if, for any two distinct
points x, y ∈ X, there exist open sets U, V with x ∈ U, y ∈ V , and U ∩ V = ∅.
36
Any metric space is Hausdorff (take U = B(x, ) and V = B(y, ) for 0 <
< d(x, y)/2). The Hausdorff property ensures a large supply of open sets.
Proposition A12.11. Let X be a Hausdorff space and let Y ⊆ X be compact (in
the subspace topology). Then Y is a closed subset of X.
Proof. We will show that X ¸ Y is open. Let x ∈ X ¸ Y . For each y ∈ Y there
exist disjoint open sets U
y
containing x and V
y
containing y, by the Hausdorff
property. The sets V
y
∩ Y form an open cover of Y (in the subspace topology)
which therefore has a ﬁnite subcover, say V
y
1
∩ Y, . . . , V
yn
∩ Y . Let U
x
= U
y
1
∩
∩U
yn
. Then U
x
is an open set, contains x, and does not meet Y . The set X¸Y
itself is the union of all these open sets U
x
, so it is open.
In particular, a onepoint subset of a Hausdorff space is closed.
Corollary A12.12. Let f : X → Y be a continuous bijection, where X is a com
pact space and Y is a Hausdorff space. Then f
−1
is continuous (i.e., f is a
homeomorphism).
Proof. To show that f
−1
is continuous it is enough to show that for any closed
subset K of X, the image f(K) is closed in Y . But K is compact (Proposi
tion A12.9); therefore f(K) is compact (Proposition A12.8); therefore f(K) is
closed (Proposition A12.11).
37
Lecture A13
Regular and Normal Spaces
Let A and B be disjoint subsets of a topological space X. One says that A and
B are separated by open sets if there exist disjoint open sets U and V such that
A ⊆ U, B ⊆ V . Thus the Hausdorff property says that any two distinct points
can be separated by open sets.
This is in fact just one (the most important one) of a series of separation prop
erties that a topological space may have.
Deﬁnition A13.1. A Hausdorff topological space X is regular if disjoint subsets
A and B of X can be separated by open sets whenever A is a point and B is a
closed set. It is normal if any two disjoint closed subsets can be separated by open
sets.
Remark A13.2. A regular Hausdorff space is also called a T
3
space and a normal
Hausdorff space is a T
4
space; a plain vanilla Hausdorff space is a T
2
space. The
T stands for the German Trennungsaxiom (separation axiom). There are also T
0
,
T
1
, T
2
1
2
, T
3
1
2
, T
5
, and T
6
spaces, and maybe some others that I forgot.
Example A13.3. Every metric space is regular, and indeed normal. To see this we
need to make use of the distance function from a closed set. Let (X, d) be a metric
space and let K be a closed subset. Deﬁne a real valued function d
K
: X → R
+
by
d
K
(x) = inf¦d(x, k) : k ∈ K¦.
It is easy to see that d
K
is a continuous function and that d
K
(x) = 0 iff x ∈ K.
Now let Aand B be disjoint closed sets in X and consider the continuous function
f(x) = d
B
(x) −d
A
(x) on X. The sets U = f
−1
((0, ∞)) and V = f
−1
((−∞, 0))
are open (by continuity), disjoint, and A ⊆ U, B ⊆ V . This shows that X is
normal.
Proposition A13.4. Every compact Hausdorff space is regular, and indeed nor
mal.
Proof. It’s best to do this proof in two installments: ﬁrst regularity, then normality.
Let X be a compact Hausdorff space, p a point of X, and B a closed subset not
containing p. Then B is compact (Proposition A12.9). For each x ∈ B there
38
are disjoint open sets U
x
containing p and V
x
containing x. The V
x
form an open
cover of B, so there is a ﬁnite subcover, say V
x
1
, . . . , V
xn
. Then
U
p
= U
x
1
∩ ∩ U
xn
, V
p
= V
x
1
∪ ∪ V
xn
are disjoint open sets, the ﬁrst containing p, the second including V . Thus X is
regular.
To prove normality, we iterate the argument. Let A and B be disjoint closed
(hence compact) sets. By regularity, for each p ∈ A there are disjoint open U
p
containing p and V
p
including B. The U
p
form an open cover of A and have a
ﬁnite subcover say U
p
1
, . . . , U
pn
. Then
U = U
p
1
∪ ∪ U
pn
, V = V
p
1
∩ ∩ V
pn
are disjoint open sets including A and B respectively.
In Example A13.3 we used suitably chosen continuous functions to establish
regularity, and indeed normality, for metric spaces. It’s also possible to proceed
in the other direction: starting with normality, construct a supply of continuous
realvalued functions.
Lemma A13.5. Let X be a normal Hausdorff space, F a closed subset of X, and
W an open subset of X including F. Then there is an open subset V of X such
that F ⊆ V ⊆ V ⊆ W.
Proof. Let E = X ¸ W. The closed sets E and F are disjoint, so by normality
there are disjoint open sets U and V with E ⊆ U and F ⊆ V . Since V ⊆ X ¸ U
which is closed, V ⊆ X¸U also. In particular, V doesn’t meet E, so it is included
in W.
Theorem A13.6. (Urysohn’s lemma) Let E, F be disjoint closed subsets of a nor
mal Hausdorff space X; then there exists a continuous function f : X → [0, 1]
such that f(x) = 0 for x ∈ E, f(x) = 1 for x ∈ F.
Warning: It is not asserted that the sets E, F are exactly equal to f
−1
¦0¦,
f
−1
¦1¦ respectively; in general this stronger statement is not true. We will use the
following exercise.
Exercise A13.7. In order that a function f : X →R be continuous, it is necessary
and sufﬁcient that for every x ∈ X and every > 0 there exists an open set W
x
containing x such that
f(W
x
) ⊆ (f(x) −, f(x) + ).
39
Proof. It’s an induction based on lemma A13.5. Set U
1
= X ¸ F; then U
1
is
an open set containing E. We are going to construct by induction a collection
of open sets U
t
parameterized by dyadic rational numbers t ∈ (0, 1], having the
properties that U
r
⊆ U
s
whenever r < s and E ⊆ U
t
for all t. At the nth stage
of the induction we assume that the sets U
t
have been constructed for t = m2
−n
,
m = 1, . . . , 2
n
. Let us make the convention that U
0
refers to the closed set E
(even though we have not deﬁned a set U
0
). By lemma A13.5, for each m there is
an open set V such that
U
m2
−n ⊆ V ⊆ V ⊆ U
(m+1)2
−n;
call the set V so deﬁned U
(m+
1
2
)2
−n. We have now deﬁned the sets U
t
for all
t = m
2
−(n+1)
and the induction continues.
Now deﬁne f : X → [0, 1] by f(x) = inf¦t : x ∈ U
t
¦ ∪ ¦1¦. Clearly f
maps X → [0, 1] with f(E) = ¦0¦ and f(F) = ¦1¦, so we must show that f is
continuous, and we will use Exercise A13.7. Let x ∈ X with f(x) = t; suppose
that 0 < t < 1 (the cases t = 0 and t = 1 are handled by similar arguments). Let
> 0. There exist dyadic rationals r and s such that
t − < r < t < s < t + .
Put W
x
= U
s
¸ U
r
. Then W
x
is an open set and f(W
x
) ⊆ [r, s] ⊆ (t −, t +) as
required.
Of course, [0, 1] can be replaced in the statement of Urysohn’s lemma by any
closed interval [a, b].
40
Lecture A14
Spaces of Continuous Functions
Let X be a set, Y ⊆ X, and let f : Y → Z be a function. A function g : X →
Z is an extension of f if g(y) = f(y) for all y ∈ Y ; in other words, if f = g
Y
.
When X, Y, Z are topological spaces we will naturally be interested in continuous
f and g.
Theorem A14.1. (Tietze extension theorem) Let X be a normal Hausdorff space,
and let Y be a closed subspace. Let f : Y → R be a bounded continuous func
tion. Then f can be extended to a bounded continuous function g : X → R, with
sup [g[ = sup [f[.
Proof. Let us temporarily call a bounded continuous function h: Y → R ex
tendible if it extends to a bounded continuous function X → R with the same
sup norm. What we have to prove is that all bounded continuous functions are
extendible.
If h: Y → [−c, c] is a continuous function, let E and F be the disjoint subsets
h
−1
([−c, −c/3]) and h
−1
([(c/3, c]) of Y . They are closed in Y (by continuity),
and Y is closed in X, so they are closed in X (Exercise A12.2). Thus by Urysohn’s
lemma there is a continuous function k: X → [−c/3, c/3] with k(E) = ¦−c/3¦,
k(F) = ¦c/3¦. Notice that the supremum normh−k is at most 2c/3. We have
proved the following statement: for each bounded continuous h: Y → R there
exists an extendible bounded continuous k: Y →R with k, h−k 2h/3.
Now we proceed inductively. Let f : Y →Rbe given and suppose inductively
that extendible functions g
1
, . . . , g
n
have been constructed with g
i
 (2/3)
i
f
and
f −g
1
−. . . −g
n
 (2/3)
n
f
. Apply the italicized claim to h = f −g
1
−. . . −g
n
and let g
n+1
be the k that is
constructed. The function g
n+1
then has the desired properties so the induction is
completed.
By the Weierstrass Mtest the series
∞
i=1
g
i
converges uniformly on X to a
function g. But the display above shows that, when restricted to Y , f = g. Thus
f is extendible as required.
Recall that a subset of a topological space is dense if its closure is the whole
space. A classical method in analysis is to prove a result ﬁrst for a dense subset of
some space, and then to extend it to the whole space ‘by continuity’.
41
How can we ﬁnd dense subsets of C(X), the continuous realvalued functions
on a compact Hausdorff space X?
Deﬁnition A14.2. Acollection Lof continuous realvalued functions on a set X is
a lattice if, whenever it contains functions f and g, it also contains their pointwise
maximum and minimum — usually written f ∨ g and f ∧ g in this context.
Proposition A14.3. (Stone) Let L be a lattice of continuous functions on a com
pact space X. If, for all x, x
∈ X and any a, a
∈ R, there is a function f ∈ L
having f(x) = a and f(x
) = a
, then L is dense in C(X).
The property appearing in the statement is called the two point interpolation
property.
Proof. Let h ∈ C(X) be given and let > 0. We are going to approximate h
within by elements of L. By hypothesis, for each x, x
∈ X there exists f
xx
∈ L
such that f
xx
(x) = h(x) and f
xx
(x
) = h(x
). Fixing x for a moment, let
V
x
= ¦y ∈ X : h(y) − < f
xx
(y)¦.
These sets are open (why?) and x
∈ V
x
so they cover X. Take a ﬁnite subcover
and let g
x
be the (pointwise) maximum of the corresponding functions f
xx
∈ L.
Because L is a lattice, g
x
∈ L and by construction,
h(y) − < g
x
(y) ∀y, h(x) = g
x
(x).
So we have approximated h from one side by members of L.
Now we play the same trick again from the other direction: let
W
x
= ¦y : g
x
(y) < h(y) + ¦.
Again these form an open cover of X; take a ﬁnite subcover and let g be the
(pointwise) minimum of the corresponding g
x
. Then g ∈ L and by construction
h − < g < h + , as required.
Exercise A14.4. Use Stone’s theoremto give another proof of the Tietze extension
theorem in the case of compact Hausdorff spaces. (Show that the collection of
extendible functions is a lattice. . . )
There is a more classical formulation which makes use of algebraic rather than
ordertheoretic operations.
42
Lemma A14.5. There is a sequence of polynomials p
n
(x) on [−1, 1] converging
uniformly to [x[.
Proof. Writing [x[ =
_
1 + (x
2
−1), this follows from the fact that the binomial
series for (1 + t)
1/2
converges uniformly for t ∈ [−1, 1].
One says that a subset of C(X) is a subalgebra if it is closed under pointwise
addition, subtraction, multiplication of functions, and multiplication by scalars.
Lemma A14.6. A closed subalgebra of C
R
(X) that contains the constant func
tions is a lattice.
Proof. Let A be the given subalgebra and f, g ∈ A; let h = f − g. There is
no loss of generality in assuming (by rescaling) that [h[ 1 everywhere. Any
polynomial in h belongs to A and hence so does [h[ = limp
n
(h), by closure and
lemma A14.5. But now
f ∧ g =
f + g −[h[
2
, f ∨ g =
f + g +[h[
2
belong to A as well.
A subalgebra of C(X) is said to separate points if for every x, x
∈ X there is
a function in the subalgebra taking different values at x and at x
.
Theorem A14.7. (StoneWeierstrass) A subalgebra of C
R
(X) which contains the
constants and separates points is dense.
Proof. The closure of the subalgebra is a closed subalgebra, contains the con
stants, and separates points. Using the algebraic operations, it has the two point
interpolation property. The previous lemma shows that it is a lattice. Hence by
Stone’s theorem A14.3 it is all of C(X).
The original result of Weierstrass was
Corollary A14.8. (Weierstrass) Every continuous function on a closed bounded
interval is the uniform limit of polynomials.
Proof. The polynomials form an algebra which contains the constants and sepa
rates points.
43
Exercise A14.9. In the complex case the StoneWeierstrass theorem takes the
following form: a ∗subalgebra of C(X) which contains the constants and sepa
rates points is dense, where the ∗condition means that the algebra is closed under
(pointwise) complex conjugation. Prove this. Try to give an example to show that
the complex theorem is not valid without the extra condition (we shall discuss this
in detail later).
44
Lecture A15
Connectedness
What does it mean that a topological space is “all in one piece”?
Proposition A15.1. Let X be a topological space. The following properties of X
are equivalent:
(a) The only subsets of X that are both open and closed are the empty set and X
itself.
(b) The only continuous functions from X to a discrete topological space are
constant.
(c) The only equivalence relation on X with open equivalence classes is the triv
ial one (every point is equivalent to every other point).
Proof. It is clear that (b) and (c) are equivalent, since if f : X → D is a continuous
function to a discrete space, then the relation “x ∼ y iff f(x) = f(y)” is an
equivalence relation with open equivalence classes, and conversely.
Assuming (c), if Ais an openandclosed subset of X, then the relation “x ∼ y
iff either none, or both, of x, y belong to A” is an equivalence relation whose
equivalence classes A and X ¸ A are open. Conversely, assuming (a), let ∼ be
an equivalence relation with open equivalence classes, and let A be a nonempty
equivalence class. A is open; but, since the complement of A is a union of equiva
lence classes and therefore open, it is also true that A is closed. Thus A = X and
the equivalence relation is trivial.
Deﬁnition A15.2. A topological space is connected if it satisﬁes the equivalent
properties of Proposition A15.1. A subset of a topological space is called a con
nected subset if it is a connected space in the relative topology. A space (or subset)
that is not connected is called disconnected.
Proposition A15.3. Let f : X → Y be continuous and surjective. If X is con
nected, then Y is connected.
Proof. Let g : Y → D be a continuous map to a discrete space D. Then f ◦
g : X → D is continuous, hence constant because X is connected. But now since
f is surjective, g must be constant itself.
45
Proposition A15.4. Let X be a space and let ¦X
α
¦
α∈A
be a family of subsets
each of which is connected. If
α
X
α
,= ∅ then
α
X
α
is connected.
Proof. Let Y =
α
X
α
and let p ∈
α
X
α
. Let f : Y → D be a continuous map
to a discrete space. Since each X
α
is connected, the restriction of f to X
α
takes
a constant value (say d
α
∈ D); since p ∈ X
α
for every α, d
α
= f(p) for each α.
Thus f takes the constant value f(p) on Y .
Proposition A15.5. Every interval in R is connected, and every connected subset
of R is an interval.
Proof. We begin by proving that every compact interval [a, b] is connected. Sup
pose that ∼ is an equivalence relation with open equivalence classes; then the
equivalence classes form an open cover U for the compact interval [a, b]. By the
Lebesgue covering theorem (Theorem A5.8)there is δ > 0 such that any ball of
radius less than δ is included in some member of the cover. In particular, any two
points that are less than δ apart belong to the same equivalence class. But any
pair of points in the interval [a, b] can be joined by a chain of points whose suc
cessive members are less than δ apart; so, any two points in [a, b] are equivalent.
This proves the connectedness of closed intervals; other kinds of intervals can be
written as the increasing union of suitable families of closed intervals, so we may
apply Proposition A15.4.
Conversely, let S be a subset of R that is not an interval. Then there is some
a / ∈ S such that S has members which are less than a and also members that are
greater than a. So, S ∩ (−∞, a) and S ∩ (a, ∞) are disjoint open subsets of S
whose union is S; so S is not connected.
Corollary A15.6. (Intermediate value theorem) Let f : [a, b] →R be continuous.
Then the range of f includes all values between f(a) and f(b).
Proof. The range of f, being the image of a connected space under a continuous
function, is connected. Hence it is an interval. It must contain f(a) and f(b) so,
being an interval, it must also contain everything in between.
If X is a space, the relation “x ∼ y iff there is a connected subset of X
containing both x and y” is an equivalence relation (by Proposition A15.4). The
equivalence classes are called the connected components of X. The connected
component of x is the largest connected subset of X that contains x.
Exercise A15.7. Show that the closure of a connected subset of X is connected,
and deduce that the connected components of X are closed. Give an example
where they are not open.
46
Exercise A15.8. The quasicomponent of x ∈ X is the intersection of all the
openandclosed subsets that contain x. Show that the connected component of x
is included in the quasicomponent. Can you give an example where they are not
equal?
Deﬁnition A15.9. A path in a topological space X is a continuous map [0, 1] →
X. The start of the path is the point γ(0) and the end of the path is the point γ(1).
We say that γ is a path from its start to its end.
Lemma A15.10. Let X be a topological space, γ
1
a path in X from a to b, γ
2
a
path in X from b to c. Then the map γ : [0, 1] → X deﬁned by
γ(t) =
_
γ
1
(2t) (t
1
2
)
γ
2
(2t −1) (t
1
2
)
is a path in X from a to c.
Proof. All that needs to be checked is the continuity of γ at t =
1
2
. Let U be
an open set in X containing b. By continuity of γ
1
, there is δ
1
> 0 such that if
[s−1[ < δ
1
, s ∈ [0, 1] then γ
1
(s) ∈ U; by continuity of γ
2
there is δ
2
> 0 such that
if [s[ < δ
2
, s ∈ [0, 1] then γ
2
(s) ∈ U. Now let δ =
1
2
min¦δ
1
, δ
2
¦; if t −
1
2
[ < δ,
t ∈ [0, 1], then γ(t) ∈ U. This gives the required continuity.
Corollary A15.11. The relation “There is a path in X from a to b” is an equiva
lence relation.
Proof. The lemma gives transitivity. Reﬂexivity and symmetry are easy.
The equivalence classes under this equivalence relation are called path com
ponents of X.
Proposition A15.12. Every path component is connected. Consequently, the path
component of x ∈ X is included in the component of x.
Proof. By Proposition A15.3, the image of a path from a to b is a connected set
containing a and b. Consequently, the path component of X is the union of a
family of connected sets all of which contain x; so it is connected by Proposi
tion A15.4.
47
A space which has only one path component (i.e., any two points can be joined
by a path) is called path connected. By the preceding proposition, a path con
nected space is connected. The converse is false, however, as is shown by the
following classical example.
Exercise A15.13. Let Z be the set of points (x, y) ∈ R
2
such that either x = 0
and y ∈ [−1, 1] or 0 < x 1 and y = sin(1/x). Show that Z is a compact
connected metric space with 2 path components.
The same example shows that, in contrast to components, path components
need not be closed in general.
48
Lecture A16
Local Properties of Spaces
Let X be a topological space.
Deﬁnition A16.1. An open neighborhood of x ∈ X is an open subset of X that
contains x. A neighborhood of x ∈ X is a subset that includes an open neighbor
hood of x, i.e. contains x in its interior.
Suppose that P is some kind of topological property (e.g. connectedness).
Deﬁnition A16.2. We say that a space X has the property P locally if, for every
x ∈ X, every open neighborhood of x includes another open neighborhood of x
that has property P.
For instance, a space X is locally connected if every open neighborhood of
each x ∈ X includes an open connected neighborhood. Informally we may say
that x has “arbitrarily small connected neighborhoods”.
Proposition A16.3. In a locally connected space, the connected components are
open.
(It follows that the connected components are equal to the quasicomponents,
see Exercise A15.8.)
Proof. Let C be a connected component and let x ∈ C. There is a connected
neighborhood N of x. Then N ⊆ C and so N
◦
⊆ C
◦
. Since x ∈ N
◦
, x is an
interior point of C. Since x was arbitrary, C is equal to its own interior and so is
open.
Proposition A16.4. In a locally pathconnected space, the connected components
are equal to the path components (and are open).
Proof. The same argument as in the previous proposition shows that the path com
ponents in a locally pathconnected space are open. Since the complement of
each path component is a union of other path components, they are also closed.
Now the connected component of x must be included in any openandclosed set
that contains x, so in particular it must be included in the path component of x.
The path component is always included in the connected component, so they are
equal.
49
The most important example of a locally connected and locally pathconnected
space is furnished by an open subset of R
n
(or any normed vector space).
Exercise A16.5. There is a weaker local path connectedness notion, sometimes
called semilocal path connectedness: X is semilocally path connected if for each
x ∈ X and each open neighborhood V of x, there is an open neighborhood U ⊆ V
of x such that for each y ∈ U there is a path γ : [0, 1] → V starting at x and
ending at y. Show that a space which is locally connected and semilocally path
connected must be locally path connected. Can you give an example of a space
which is semilocally path connected but not locally path connected?
We now turn to consider local compactness. Here it is necessary to modify
the deﬁnition somewhat: we say that a space is locally compact if every open
neighborhood of each point contains a compact neighborhood (which need not be
open  there may be very few compact, open sets). But in fact there is a simpler,
equivalent deﬁnition.
Proposition A16.6. A Hausdorff space is locally compact iff each point has a
compact neighborhood.
Proof. Local compactness says that each point has “arbitrarily small” compact
neighborhoods, a stronger condition than that of the proposition. Suppose that x ∈
X has a compact neighborhood K, and let N be any neighborhood of x. We need
to ﬁnd a compact neighborhood that is included in N. Let U = K
◦
∩ N
◦
. Then
U is a neighborhood of x, and U and ∂U are closed subsets of a compact space
(namely K), hence are compact. By regularity (or, more exactly, by the proof of
regularity) there exists an open subset V of U, containing x, whose closure does
not meet the compact set ∂U. Then V ⊆ U is the desirec compact neighborhood.
Let X be a compact Hausdorff space and x
0
∈ X. Then X ¸ ¦x
0
¦ is a locally
compact Hausdorff space (since each point of X distinct from x
0
has a closed,
hence compact, neighborhood that does not meet x
0
). In fact, every locally com
pact Hausdorff space arises in this way.
Proposition A16.7. Let X be a locally compact Hausdorff space. Let X
+
be the
union of X and a disjoint point, denoted ∞. The following sets form a topology
on X
+
:
(a) The open subsets of X in its original topology.
50
(b) The subsets of the form ¦∞¦ ∪ (X ¸ K) where K ⊆ X is compact.
The topology so deﬁned on X
+
is compact and Hausdorff and the identity map
X → X
+
is a homeomorphism onto its image.
The space X
+
is called the onepoint compactiﬁcation of X. We will need the
following easy exercise.
Exercise A16.8. Let Y be a Hausdorff space. If K, L are compact subspaces of
Y then so is K ∪ L.
Proof. Let T be the family of subsets of X
+
described in the proposition. We
show it is a topology.
(i) Let U
α
be a family of members of T . If they are all of type (a), then their
union is an open subset of X and is of type (a) also. If one of them is of type
(b), say equal to ¦∞¦∪(X¸K), then their union is of the form¦∞¦∪(X¸L)
where L is a closed subset of K, hence compact; so the union is of type (b).
(ii) Let U
1
, . . . , U
n
be a ﬁnite family of members of T . If one of them is of
type (a), then their intersection if of type (a). If they are all of type (b), their
intersection is the complement of a ﬁnite union of compact sets, which is
compact by Exercise A16.8 above. Thus the intersection id of type (b).
(iii) Clearly ∅ and X
+
belong to T .
Thus T is a topology, and the relative topology that it induces on X is the same
as the original topology of X. It remains to show that this topology is compact
and Hausdorff. To show that T is compact, let W be a family of members of
T covering X
+
. One of them (say W
0
) must contain ∞, and hence must be of
the form ¦∞¦ ∪ (X ¸ K), K ⊆ X compact. Now the remaining W
α
intersect
X in open sets which cover K, so some ﬁnite subcollection covers K also; this
subcollection, together with W
0
, forms a ﬁnite subcover of W .
Finally to show that T is Hausdorff: Any two points not at inﬁnity can be
separated by open sets of type (a) (by the Hausdorff property of X). Thus it
sufﬁces to show that ∞ can be separated from a point x ∈ X. But by local
compactness, x ∈ X has a compact neighborhood, K say; then K
◦
and ¦∞¦ ∪
(X ¸ K) are disjoint members of T containing x and ∞respectively.
51
Lecture A17
Some set theory
Further topics in our discussion will require some more advanced background
from set theory. We will take a rather “naive” approach to set theory. To learn
about the paradoxes this gives rise to, and how to avoid them, you need a course
in Logic.
Deﬁnition A17.1. A partial order on a set S is a relation which is reﬂexive,
antisymmetric, and transitive: that is, for all x, y, z ∈ S, x x, x y and y x
imply x = y, and x y and y z together imply x z.
A set with a partial order is called a (partially) ordered set. If S is such a set
then
(a) An upper bound for a subset T ⊆ S is an element x such that y x for all
y ∈ T.
(b) S is directed if every twoelement subset has an upper bound (equivalently,
every ﬁnite subset has an upper bound).
(c) S is totally ordered if for all x, y, either x y or y x.
(d) A subset of S that is totally ordered (in the induced ordering) is called a chain.
(e) S is inductively ordered if every chain in S has an upper bound; it is strictly
inductively ordered if every chain has a least upper bound.
(f) A maximal element for S is an element m ∈ S such that x m implies
x = m (i.e., there isn’t anything strictly greater than m.) Notice that this is a
weaker notion than that of upper bound.
(g) S is wellordered if it is totally ordered and every nonempty subset has a least
member (necessarily unique).
Exercise A17.2. Give simple examples to illustrate all these notions.
Let S be an ordered set. A map f : S → S will be called an inﬂator (I just
made this word up) if f(x) x for all x ∈ S.
52
Lemma A17.3. (Bourbaki fundamental lemma) Any inﬂator on a nonempty strictly
inductively ordered set has a ﬁxed point, i.e. a point x such that f(x) = x.
We’ll prove this in a moment. For now, let’s draw some consequences.
Corollary A17.4. (Weak form of Zorn’s lemma) Every nonempty strictly induc
tively ordered set contains a maximal element.
Proof. Let S be strictly inductively ordered and suppose it contains no maximal
element. Then for each x ∈ S there is a y
x
∈ S with y
x
> x. Consider the map
1
f
sending x to y
x
. Then f is an inﬂator with no ﬁxed point, contradicting Bourbaki’s
lemma.
Corollary A17.5. (Hausdorff maximality principle) Let S be a nonempty partially
ordered set. Each chain in S is included in a maximal chain (i.e., a chain which
is not itself included in any larger chain).
Proof. Let C be the collection of all chains in S, partially ordered by inclusion.
Then C is partially ordered, and indeed is strictly inductively ordered (with least
upper bound for a chain in C given by the union of its members). Now ap
ply A17.4.
Corollary A17.6. (Zorn’s lemma) Every nonempty inductively ordered set (not
necessarily strict) contains a maximal element.
Proof. Let S be such a set and let C be a maximal chain in S (provided by A17.5).
Let m be an upper bound for C. Then m is maximal, since if x > m then C ∪¦x¦
is a chain larger than the supposedly maximal chain C.
Now let us see to proving the Bourbaki lemma A17.3. Let S be nonempty and
strictly inductively ordered and f : S → S an inﬂator. Pick a point a ∈ S (ﬁxed
throughout the discussion). We’ll say that a subset F of S is closed if a ∈ F, if
f(x) ∈ F whenever x ∈ F, and if, whenever C ⊆ F is a chain, the least upper
bound of C belongs to F.
Obviously, the intersection of any family of closed sets is closed. Moreover,
S itself is closed. Thus, there is a minimal closed set M, namely, the intersection
of all the closed sets that there are. The strategy of our proof is to show that M is
totally ordered, i.e., a chain. This will complete the proof because if x is the least
1
For those in the know, this is where we use the axiom of choice.
53
upper bound of M, then x ∈ M and f(x) ∈ M also, hence f(x) x; since f is
an inﬂator, it follows that f(x) = x.
Note that the collection of all x a is closed. Thus, a is the least element of
the minimal closed set M.
Let us call u ∈ M unavoidable if, whenever x ∈ M and x < u, we have
f(x) u. If u is an unavoidable point, then the set
¦x ∈ M : either x u or f(u) x¦
is readily seen to be closed. Since it is a subset of M, it must be the whole of M,
by minimality.
We can now prove that every point is unavoidable. Let U be the set of unavoid
able points in M. It contains a. We will show that it is closed; then, by minimality,
it must equal M itself. Suppose then that u is unavoidable and consider f(u). If
x < f(u) then, by the paragraph above, either x < u, or x = u, or f(u) x, and
the last possibility cannot occur. The other two possibilities yield f(x) f(u) by
the unavoidability of u. So, f(U) ⊆ U. A similar argument shows that the least
upper bound of any chain in U belongs to U, so U is closed.
We now know that each point of M is unavoidable. It is easy to deduce that
M is totally ordered. For, let x, y ∈ M. Since x is unavoidable, either y x or
f(x) y, but the latter certainly implies that x y becasue f is an inﬂator. As
already remarked, this completes the proof of Lemma A17.3.
Proposition A17.7. (Well ordering principle) Every nonempty set can be well
ordered.
Proof. Let X be a set. Let Y be the set of pairs (S, _) where S is a subset of
X and _ is a wellordering of S. Y is nonempty and is inductively ordered by
inclusion. By Zorn’s lemma, there is a maximal element in Y , say (S, _). But
now we must have S = X; if not, we can choose some x ∈ X ¸ S and wellorder
S ∪ ¦x¦ by insisting that x is greater than every element of S. This contradicts
maximality.
54
Lecture A18
Countability and Metrization
We now brieﬂy discuss the theory of cardinal numbers. Let X and Y be sets.
Proposition A18.1. There exists an injection from X to Y if and only if there
exists a surjection from Y to X.
Proof. Without loss of generality assume that X ,= ∅. Let i : X → Y be an
injection. Let I = i(X) ⊆ Y . Fix an element x
0
∈ X. Deﬁne s: Y → X as
follows: if y ∈ I, then s(y) is the unique x ∈ X such that i(x) = y; otherwise,
s(y) = x
0
. This is a surjection.
Conversely, suppose that s: Y → X is a surjection. For each x ∈ X choose
some y
x
∈ Y such that s(y
x
) = x. Let i be the map that sends x to y
x
. Then i is
an injection.
Exercise A18.2. The last part of this argument uses the Axiom of Choice directly.
Reformulate it to use Zorn’s Lemma.
Theorem A18.3. (Schr¨ oderBernstein) If there exists an injection from X to Y
and an injection from Y to X, then there exists a bijection from Y to X.
Proof. (K¨ onig) Assume (wlog) that X and Y are disjoint sets and let Z be their
disjoint union. let f : X → Y and g : Y → X be injections and let h be the union
of these maps, considered as a map Z → Z. A subset S of Z is stable if z ∈ Z
iff h(z) ∈ Z. Let S
z
be the minimal stable set containing z. Explicitly, S
z
is the
set ¦h
n
(z) : n ∈ Z¦, where we note that h
−1
(p) denotes an element q such that
h(q) = p; such an element may not exist, but it is unique if it does exist. By the
injectivity of h, stable sets either coincide or are disjoint; so they partition Z.
It sufﬁces now to establish a bijection S
z
∩X → S
z
∩Y for each S
z
separately.
The stable sets S
z
are of four types:
(a) Xstopping: h
n
(z) is deﬁned only for n = −k, −k + 1, . . . and h
−k
(z) ∈ X;
(b) Y stopping: h
n
(z) is deﬁned only for n = −k, −k + 1, . . . and h
−k
(z) ∈ Y .
(c) Two way inﬁnite: the h
n
(z) are all distinct for different values of n ∈ Z.
(d) Cyclic: h
m
(z) = z for some m (necessarily even).
55
In the ﬁrst case, f gives a bijection S
z
∩X → S
z
∩Y . In the second case, g gives
a bijection S
z
∩ Y → S
z
∩ X. In the third and fourth cases, either f or g will
do.
To each set X associate a “number”, its cardinality card X. We deﬁne card X =
card Y iff there is a bijection between X and Y (one says that X and Y are
equinumerous). We deﬁne card X card Y iff there is an injection X → Y . The
Schr¨ oderBernstein theorem shows that this deﬁnes a partial order on the cardi
nalities.
Deﬁnition A18.4. The cardinality of the natural numbers is denoted ℵ
0
(read:
alephzero). A cardinal that is ℵ
0
is called countable. (We also call a set
countable if its cardinality is countable.)
Example A18.5. The integers Z and the rationals Q are countable sets.
Proposition A18.6. For every cardinal there is a strictly larger cardinal.
Proof. Let X be a set and let P(X) (the power set) be the set of all subsets of X.
We will show that there is no surjection X → P(X). Indeed, suppose that f is
such a surjection. Consider
S = ¦x ∈ X : x / ∈ f(x)¦.
This is a subset of X. If S = f(y) for some y ∈ X we obtain (from the deﬁnition
of S) the contradiction
y ∈ f(y) ⇔ y / ∈ f(y).
Thus f is not surjective after all. On the other hand, there is an obvious injection
X → P(X) (as oneelement subsets). It follows that card(P(X)) > card(X).
We denote the cardinality of P(X) by 2
card X
. More generally, the cardinality
of the set of all maps X → Y is denoted (card Y )
card X
. The cardinal 2
ℵ
0
is
denoted c (the continuum).
Once can do “arithmetic” with cardinals: if X, Y have cardinalities x, y respec
tively then xy is the cardinality of XY , x +y is the cardinality of X.Y , and so
on. Arithmetic laws like x
y·z
= (x
y
)
z
then follow from corresponding settheoretic
properties (a map fromY Z to X is the same as a map fromZ to the set of maps
from Y to X).
56
Example A18.7. Let us prove that c
ℵ
0
= c. It’s a oneliner:
c
ℵ
0
=
_
2
ℵ
0
_
ℵ
0
= 2
ℵ
0
·ℵ
0
= 2
ℵ
0
= c.
Proposition A18.8. The set of real numbers has cardinality c.
Proof. The set of all sequences of rational numbers has cardinality ℵ
0
ℵ
0
= c. The
subset of convergent sequences must then have cardinality c, and this subset
maps onto R, so card R c. On the other hand, the set of all sequences a = ¦a
n
¦
of zeroes and ones also has cardinality c, and the assignment a →
∞
n=1
3
−n
a
n
is
an injection from this set of sequences to R, so card R c. SchroderBernstein
now completes the proof.
Let X be a topological space.
Deﬁnition A18.9. X is separable it it has a countable dense subset. It is sec
ond countable if there is a countable basis for the topology of X: i.e., there is a
countable family B of open sets such that every open set is a union of sets from
B.
Lemma A18.10. A secondcountable space is separable. A separable metric
space is secondcountable.
However, there are in general examples of separable spaces that are not second
countable. For instance, let X be an uncountable set equipped with the coﬁnite
topology. Then X is separable (any countable subset of X meets every nonempty
open set) but it is not second countable (a countable family of coﬁnite sets can
omit only countably many points in total, so there must be some coﬁnite set that
does not contain any member of the family).
Proof. Let X be a second countable space. Let ¦U
n
¦ be a countable base for the
topology, and select a point x
n
from each U
n
. The set S = ¦x
n
¦ is countable, and
for any x ∈ X and any open set U containing x, there is some U
n
⊆ U containing
x; so U ∩ S contains x
n
and is in particular nonempty. Thus S is dense.
Let X be separable and metrizable, with S a countable dense set. Then the set
B of balls B(s, t) where s ∈ S and t ∈ Q is countable. Moreover, it forms a base
for the topology: if x ∈ X belongs to an open set U, there is a ball B(x, r) ⊆ U;
there is an s ∈ S such that d(x, s) < r/2; there is a rational t with d(x, s) < t <
r/2; the ball B(s, t) belongs to B, contains x, and is included in U.
57
A neighborhood base at a point x ∈ X is a family of open sets containing x
such that each open set containing x must include a member of the family.
Deﬁnition A18.11. A topological space X is ﬁrst countable if each point has a
countable neighborhood base.
Every metric space is ﬁrst countable. Every second countable space is ﬁrst
countable but the converse is false: e.g. consider the discrete topology on an
uncountable set.
Exercise A18.12. Show that a compact metric space is separable and second
countable.
Theorem A18.13. (Urysohn metrization theorem) A second countable normal
Hausdorff space is metrizable, i.e. the topology can be given by a metric.
Proof. Let X be such a space and let B be a countable basis for the topology.
Whenever U, V ∈ Bwith U ⊆ V there exists, by Urysohn’s lemma, a continuous
function f : X → [0, 1] that is equal to 0 on U and is equal to 1 on X ¸ V . The
collection F of all such functions is countable: denote it ¦f
1
, f
2
, . . .¦.
Deﬁne d: X X →R
+
by
d(x, y) =
∞
n=1
2
−n
[f
n
(x) −f
n
(y)[.
We will show that d is a metric deﬁning the topology of X.
It is clear that d(x, x) = 0, that d(x, y) = d(y, x), and that d satisﬁes the
triangle inequality. If d(x, y) = 0, then f
n
(x) = f
n
(y) for all n. But, if x ,= y,
then there is a V ∈ B containing x but not y (by the Hausdorff property); by
normality there is an open set U containing x with U ⊆ V , and we may take
it that U ∈ B also; so then the function f
n
corresponding to this pair (U, V ) has
f
n
(x) = 0 but f
n
(y) = 1, and this is a contradiction. We conclude that d(x, y) = 0
iff x = y, so d is a metric.
Being the sum of a uniformly convergent series of continuous functions, d is
continuous (relative to the original topology on X). It follows that every dopen
ball is open in the original topology, so every dopen set is open in the original
topology.
It remains to show that every set open in the original topology is dopen. Let
W be open in the original topology, and x ∈ W. There is a set V ∈ B such that
58
x ∈ V and V ⊆ W, and there is a set U ∈ B such that x ∈ U and U ⊆ V . Let f
n
be the function constructed above corresponding to the sets U and V . Let = 2
−n
.
Then, if y ∈ B
d
(x; ), f
n
(y) < 1 and so y ∈ V ; in particular y ∈ W. Thus W
contains a dball around each of its points, so it is dopen, as required.
59
Lecture A19
Convergence and Nets
Let ¦x
n
¦ be a sequence in a topological space X. (Okay, I know that I told
you that I was not going to use sequences outside metric spaces, but I lied.) We
say that ¦x
n
¦ converges to a point x ∈ X if, for every open neighborhood U of x,
there is some N such that x
n
∈ U for n N.
If X is ﬁrst countable then sequences in x contain all the information that
there is about the topology of X. One way to see this is the following
Lemma A19.1. In a ﬁrst countable space X, a subset A is closed if and only if
the limit of every convergent sequence in A is itself a member of A.
Proof. Suppose that A ⊆ X. A point x belongs to the closure of A iff every open
neighborhood of x contains points of A. But, since X is ﬁrst countable, this will
be true iff every member of a countable neighborhood base ¦U
n
¦ at x contains
points of A. Picking such a point a
n
∈ A ∩ U
n
for each n = 1, 2, 3 . . . gives a
sequence (a
n
) in A converging to x. The converse statement (if x is the limit of a
convergent sequence in A, then x belongs to the closure of A) is easy.
For another example, try the following exercise.
Exercise A19.2. Let X and Y be ﬁrst countable. Show that f : X → Y is con
tinuous if and only if the sequence f(x
n
) → f(x) in Y whenever the sequence
x
n
→ x in X. (Hint: The proof is exactly the same as the one we already dis
cussed for metric spaces.) Do you need ﬁrst countability for both spaces, or only
for one of them (and, if so, which)?
But in general sequences are “not enough” to probe the structure of a topolog
ical space.
Example A19.3. Any totally ordered set X can be equipped with the order topol
ogy for which a basis is the “half open intervals”
(a, b] := ¦x ∈ X : a < x b¦.
Let X be uncountable, and wellorder it (using the axiom of choice). Let Ω ∈ X
be the smallest element that has uncountably many predecessors (a.k.a. the “ﬁrst
uncountable ordinal”); this exists because of wellordering. Let C = ¦x ∈ X :
x < Ω¦ be the set of predecessors of Ω. Then Ω belongs to the closure of C, but
nevertheless there is no sequence in C converging to Ω.
60
This motivates the following deﬁnition.
Deﬁnition A19.4. A net in a set X is a map from a directed set to X. (Recall that
a directed set is a partially ordered set in which any two elements have an upper
bound.)
Let S be a subset of X.
Deﬁnition A19.5. A net ¦x
i
¦ is eventually in S if there is i
0
such that x
i
∈ S for
all i i
0
; it is frequently in S if it is not eventually in X ¸ S.
Now suppose that X is a topological space.
Deﬁnition A19.6. A net ¦x
i
¦ converges to x ∈ X if it is eventually in every
neighborhood of x.
These deﬁnitions match the deﬁnitions of “sequence” and “convergent se
quence” when we take the net simply to be the natural numbers N. On the other
hand, in Example A19.3 above, we could take the collection C itself in its natural
ordering to be a net, and it is then almost a tautology that C converges to Ω even
though we have seen there is no sequence that will do this.
Proposition A19.7. In any topological space X, a subset A is closed if and only
if the limit of every convergent net in A is itself a member of A.
Proof. Emulating the proof of Lemma A19.1, what we have to show is that if x
is a point of the closure of A, then there is some net in A that converges to x. A
net has to parameterized by a directed set. The trick is to pick the collection of all
neighborhoods of x as the directed set! In fact, suppose that U and V are open
neighborhoods of x. We deﬁne U V if U ⊇ V (notice that the inclusion is
reversed!). This makes the collection N = ¦U open : x ∈ U¦ a partially ordered
set, and in fact a directed set: an upper bound for U and V is the intersection U∩V .
Since x belongs to the closure of A, for every U ∈ N there exists a
U
∈ A ∩ U.
The mapping
2
from N to A given by U → a
U
is a net. Moreover, it converges
to x by deﬁnition: if V is any neighborhood of A then there is an element of N
(namely V itself) such that if U V then a
U
∈ V .
Similarly we have
Proposition A19.8. A map f : X → Y between topological spaces is continuous
if and only if the net f(x
i
) → f(x) in Y whenever the net x
i
→ x in X.
2
Using the axiom of choice here!
61
Proof. The proof that a continuous map has this property is essentially the same
as the corresponding proof for sequences.
Suppose that f has the property in question but is not continuous. Then there
exist a point x ∈ X, y = f(x), and an open neighborhood W of y, such that
f
−1
(W) is not a neighborhood of x. It follows that for every open neighborhood
U of x there exists x
U
∈ U ¸ W. Organize the x
U
into a net parameterized by the
directed set N of neighborhoods of x, as in the previous proposition. Then, by
construction, x
U
converges to x; but f(x
U
) does not converge to y, since it never
lies in the neighborhood W of y.
Exercise A19.9. Suppose that all we know about the topology of X is that it is
generated by some family F of subsets. Show that a net x
i
converges to x iff,
for every U ∈ F which contains x, the net x
i
is eventually in U. (This exercise
should help you understand why we insist that a net should be parameterized by a
directed set.)
One might ask whether we can similarly generalize the deﬁnition of com
pactness, which in the metric space case is expressed as “every sequence has a
convergent subsequence.” To do this, we must arrive at the correct deﬁnition of
subnet.
Deﬁnition A19.10. Let D and D
be directed sets. A function h: D
→ D is
called ﬁnal if, for any i
0
∈ D, there is j
0
∈ D
such that j j
0
implies h(j) i
0
.
Given a net D → X, the result of composing it with a ﬁnal function h is called a
subnet or reﬁnement of the original one.
Every subnet of a convergent net is convergent (with the same limit); the deﬁ
nition of “ﬁnal function” is cooked up to make this true.
Deﬁnition A19.11. A net ¦x
i
¦ in X is called universal if, given any subset S of
X whatsoever, either ¦x
i
¦ is eventually in S or else eventually in X ¸ S.
Lemma A19.12. Every net has a universal subnet.
Proof. This depends unavoidably on the axiom of choice.
Let A : D → X be a net in X, parameterized by a directed set D. A collection
F of subsets of X will be called an Aﬁlter if A is frequently in every member
of F, and if F is closed under ﬁnite intersections and the formation of supersets.
Such objects exist: for example, ¦X¦ is an Aﬁlter. The collection of Aﬁlters is
partially ordered by inclusion, and every chain in this partially ordered set has an
62
upper bound (the union). Thus Zorn’s Lemma provides a maximal Aﬁlter; call
it F
0
.
Suppose that S ⊆ X has the property that A is frequently in A ∩ S for every
A ∈ F
0
. Then the union of F
0
with the set of all sets A ∩ S, A ∈ F
0
, is again an
Aﬁlter. By maximality we deduce that S itself belongs to F
0
.
We will use this property to construct the desired universal reﬁnement. Let D
be the collection of pairs (A, i) with A ∈ F
0
, i ∈ D, and A(i) ∈ A; it is a directed
set under the partial order
(B, j) (A, i) ⇔ B ⊆ A, j i.
The map (A, i) → i is ﬁnal so deﬁnes a reﬁnement A
of the net A. We claim
that this reﬁnement is universal.
Let S ⊆ X have the property that A
is frequently in S. Let A ∈ F
0
and let
i be arbitrary. By deﬁnition, there exist B ∈ F
0
, B ⊆ A, and j i, such that
A(j) = A
(B, j) ∈ B ∩ S ⊆ A∩ S. We conclude that A is frequently in A∩ S
for every A ∈ F
0
and hence, as observed above, that S itself belongs to F
0
.
Now let S be arbitrary. It is not possible that A
be frequently both in S and
in X ¸ S, for then (by the above) both S and X ¸ S would belong to F
0
, and then
their intersection, the empty set, would do so as well, a contradiction. Thus A
fails to be frequently in one of these sets, which is to say that it is eventually in
the other one.
Proposition A19.13. The following properties of a topological space X are equiv
alent:
(i) X is compact;
(ii) (the ﬁnite intersection property) if T is a family of closed subsets of X, and
the intersection of any ﬁnite number of members of T is nonempty, then in
fact the intersection of all the members of T is nonempty;
(iii) every universal net in X converges;
(iv) every net in X has a convergent subnet.
Proof. Suppose (i). Let T be a family as in (ii) and let  = ¦X ¸ F : F ∈ T¦.
If
T is empty then  is an open cover of X, hence it has a ﬁnite subcover,
so the intersection of some ﬁnite subcollection of T is empty. This proves (ii).
Conversely, if we assume (ii) and let  be an open cover that is supposed to have
63
no ﬁnite subcover, we reach a similar contradiction by considering the family of
closed sets T = ¦X ¸ U : U ∈ ¦. Thus (i) and (ii) are equivalent.
Suppose (ii), and let ¦x
α
¦ be a universal net in X. If it does not converge, then
each x ∈ X has a neighborhood U
x
for which x
α
is not eventually in U
x
, hence
(by universality) x
α
is eventually in F
x
= X ¸ U
x
. It follows that xα is eventually
in any ﬁnite intersection of the F
x
. In particular no ﬁnite intersection of the F
x
is
empty. By (ii) the intersection of all the F
x
is nonempty, and this is a contradiction
since x / ∈ F
x
for each x.
(iii) implies (iv) by Lemma A19.12.
Suppose (iv). Let T be a family of closed sets with the ﬁnite intersection
property. Let T be the directed set comprised of ﬁnite intersections of members
of T (directed by reverse inclusion) and for each D ∈ T let x
D
be a point of D.
Then x
D
is a net in X; choose a subnet convergent to x ∈ X. By deﬁnition, any
neighborhood of x meets every F ∈ T; since F is closed, we deduce that x ∈ F.
Thus the intersection of all the F contains x. This proves (ii).
Now let (X
α
) be a family of topological spaces, parameterized by α ∈ A
where A is some index set (possibly inﬁnite or even uncountable). Let X be the
Cartesian product
α
X
α
: that is, an element of X is a mapping x: α → x
α
,
where x
α
∈ X
α
. For each α there is a projection map π
α
: X → X
α
, which sends
the point x to its “coordinate” x
α
.
Deﬁnition A19.14. The product topology on X is the topology generated by all
the sets π
−1
α
(U
α
), where α runs over A and U
α
runs over all the open subsets of
X
α
.
Exercise A19.15. Let x
i
be a net in the product X deﬁned above. Show that x
i
converges to x ∈ X if and only if π
α
(x
i
) converges to π
α
(x) for all α ∈ A.
Theorem A19.16. (Tychonoff) The product of any family of compact spaces is
compact.
Proof. We use the characterization (iii) of compactness in Proposition A19.13
above.
Let x
i
be a universal net in X. Then π
α
(x
i
) is a universal net in X
α
, hence
convergent, say to x
α
. Let x ∈ X be the unique point such that π
α
(x) = x
α
.
Then, by Exercise A19.15, x
i
→ x in X. Thus X is compact.
64
Lecture A20
Quotient Spaces
Let X be a set and ∼ an equivalence relation on it. Recall that the notation
X/ ∼ denotes the set of equivalence classes of the equivalence relation. There is
a canonical map π: X → X/ ∼ that sends each x ∈ X to its equivalence class.
Now suppose that X is a topological space.
Deﬁnition A20.1. The quotient topology on X/ ∼ is deﬁned by declaring that a
subset U ⊆ X/ ∼ is open iff the inverse image π
−1
(U) is open in X.
Of course, there is something to check here, namely that the sets U identiﬁed
by this deﬁnition do satisfy the axioms for a topology. But this is easy. Clearly,
the quotient topology makes π continuous, and it is the largest topology (most
open sets) that does so. Moreover, a function f : (X/ ∼) → Y is continuous iff
f ◦ π: X → Y is continuous.
Remark A20.2. Asubset of X is called saturated (with respect to ∼) if it is a union
of equivalence classes. Thus, the open sets of the quotient topology correspond
to the saturated open subsets of X. The saturation of an arbitrary subset S is the
union of all the equivalence classes that meet S, i.e. the smallest saturated set that
includes S.
Example A20.3. Let X = [0, 1] and let ∼ be the equivalence relation that makes
0 and 1 equivalent and whose only other equivalence classes are points. Then
[0, 1]/ ∼ is homeomorphic to the unit circle S
1
. To see this, let g : X → S
1
be
the continuous map g(t) = e
2πit
= (cos 2πt, sin 2πt), and deﬁne f : X/ ∼→ S
1
by f(π(t)) = g(t); this is welldeﬁned since g(0) = g(1). By the remark above,
f is a continuous map from X/ ∼ to S
1
, which is in fact bijective. We must show
that f is also open, and for this it sufﬁces to show that f takes each neighborhood
of each point π(x) of X/ ∼ to a neighborhood of f(π(x)) = g(x). That is, we
must show that any saturated open set containing x maps to a neighborhood of
g(x). When x ,∈ ¦0, 1¦ this is easy, since any saturated open set containing x
includes an interval (x − , x + ). What about saturated open sets containing 0
or 1? Any such must include U = [0, ) ∪ (1 − , 1] for some > 0, and then
f(U) = ¦(cos 2πt, sin 2πt) : t ∈ (−, )¦ is a neighborhood of (1, 0) in S
1
. So
we are done.
The ideas underlying this example can be summarized in the next two propo
sitions. The ﬁrst is the topological analog of the “ﬁrst isomorphism theorem” in
65
algebra. Let us call a continuous map f : X → Y ∼respecting if f(x) = f(x
)
whenever x ∼ x
. Then we have
Proposition A20.4. A continuous g : X → Y is ∼respecting iff g = f ◦ π for
some continuous f : X/ ∼→ Y .
Proof. If g is ∼respecting then a function f can be deﬁned by setting f(c), for an
equivalence class c, equal to f(x) for any representative x of c. Then g = f ◦ π,
and f is continuous by deﬁnition of the quotient topology.
Proposition A20.5. Let X be a compact space and Y a Hausdorff space and
suppose that g : X → Y is continuous and surjective. Let ∼ be the equivalence
relation on X deﬁned by x ∼ x
iff g(x) = g(x
). Then the map f : X/ ∼→ Y
induced by g is a homeomorphism.
Proof. Tautologically, g is ∼respecting, so there is a continuous map f as de
scribed, which is in fact a bijection X/ ∼→ Y . But X/ ∼ is a compact space (as
the image of a compact space under the continuous map π, Proposition A12.8),
and Y is a Hausdorff space, so this bijection is in fact a homeomorphism by Corol
lary A12.12.
It might be helpful to think of ∼, in this proposition, as the “kernel” of the
map g.
One problem with quotient spaces is that they are frequently not Hausdorff.
An obvious necessary condition for Hausdorffness is that the equivalence classes
should be closed: after all, each equivalence class is the inverse image of a point
in X/ ∼ under the continuous map π, and we know that onepoint sets are closed
in a Hausdorff space. But this is by no means a sufﬁcient condition:
Example A20.6. Let X be the unit square [0, 1] [0, 1], which is a compact Haus
dorff space, and let ∼be the equivalence relation which makes (x
1
, y
1
) equivalent
to (x
2
, y
2
) iff either x
1
= x
2
and y
1
= y
2
or y
1
= y
2
> 0. Then any two saturated
neighborhoods of (0, 0) and (1, 0) must intersect; so the corresponding quotient
space cannot be Hausdorff.
One can even give an example of this kind where all the equivalence classes
except one consist of single points.
Exercise A20.7. Let X be the real line, with the topology generated by all the
open sets of the usual topology together with the complement of the set A =
¦1/n : n = 1, 2, 3, . . .¦. Show that X is a Hausdorff space, but that the quotient
66
space obtained by identifying all the points of A to a single point (this is usually
denoted X/A) is not. (This is also an example of a Hausdorff space that is not
regular.)
We will give some useful conditions for Hausdorffness of quotients. Let ∼ be
an equivalence relation on X. The graph of ∼ is the subset
G = ¦(x
1
, x
2
) : x
1
∼ x
2
¦ ⊆ X X.
Suppose that X/ ∼ is Hausdorff. Then whenever x
1
,∼ x
2
there are disjoint open
subsets U
1
, U
2
of X/ ∼ with π(x
1
) ∈ U
1
and π(x
2
) ∈ U
2
. Thus π
−1
(U
1
)
π
−1
(U
2
) is open in X X, contains (x
1
, x
2
), and does not meet G. We conclude
that if X/ ∼ is Hausdorff, then the graph G is closed. (This statement includes
our previous requirement that the equivalence classes should all be closed, but it
is stronger.)
The previous exercise shows that the converse is not necessarily the case.
However, there are additional conditions under which the closure of the graph
is both necessary and sufﬁcient for the Hausdorffness of the quotient.
Proposition A20.8. Let X be a Hausdorff space and let ∼ be an equivalence
relation on X whose graph is closed. If in addition the projection π: X → X/ ∼
is an open map then X/ ∼ is Hausdorff also.
Proof. Let G denote the graph of ∼. Suppose that π is open. Let x
1
, x
2
∈ X with
π(x
1
) ,= π(x
2
); then the point (x
1
, x
2
) ∈ X X does not meet the closed set
G, so there is an open rectangle of the form U
1
U
2
which contains (x
1
, x
2
) and
does not meet G. But then π(U
1
) and π(U
2
) are disjoint open subsets of X/ ∼
containing x
1
and x
2
respectively.
Proposition A20.9. Let X be a compact Hausdorff space and let ∼be an equiva
lence relation on X whose graph is closed. Then X/ ∼ is Hausdorff also. More
over, the projection π: X → X/ ∼ is a closed map (it need not be open).
Proof. We ﬁrst showthat the saturation of any closed subset of X is closed (equiv
alently, π: X → X/ ∼ is a closed map). Let C be a closed subset of S. We may
write the saturation S of C as
S = π
2
((C X) ∩ G) ⊆ X,
where π
2
: X X → X is the second projection map of the product space. Now,
C X and G are closed subsets of X X, which is compact (by the Tychonoff
67
theorem). Thus (C X) ∩ G is a closed subset of a compact space, so compact.
It follows that π
2
((C X) ∩G) is a compact subset of a Hausdorff space, so it is
closed. This proves our assertion.
Now suppose that x
1
, x
2
∈ X with π(x
1
) ,= π(x
2
), and let C
1
and C
2
be the
equivalence classes of x
1
and x
2
respectively. Let us show that there are open sets
U
1
, U
2
, including C
1
, C
2
respectively, whose saturations do not meet — that is to
say, (U
1
U
2
) ∩ G = ∅. This is the same argument as the proof that compact
Hausdorff spaces are normal. First, we prove the analog of regularity. Fix x ∈ C
1
.
For each y ∈ C
2
there are open sets P
y
containing x and Q
y
containing y such
that (P
y
Q
y
) ∩ G = ∅. Because C
2
is compact there is a ﬁnite subcover of C
2
say by Q
y
1
, . . . , Q
yn
. Then P =
n
j=1
P
y
j
and Q =
n
j=1
Q
y
j
are open sets, one
containing x and one including C
2
, such that P Q∩G = ∅. Repeat the argument
using the compactness of C
1
to obtain the desired open sets U
1
⊇ C
1
, U
2
⊇ C
2
,
with (U
1
U
2
) ∩ G = ∅.
Consider now the closed set X ¸ U
i
, and let S
i
be its saturation; S
i
is closed
(by the ﬁrst thing we proved above) and does not meet C
i
, so the complement
X ¸ S
i
= V
i
is a saturated open set with C
i
⊆ V
i
⊆ U
i
. Now π(V
i
) and π(V
2
) are
disjoint open subsets containing x
1
and x
2
respectively.
68
Lecture A21
Basics of Topological Groups
Let G be a group. We can think of it as a set provided with a distinguished
element (the identity e) and two distinguished maps, the multiplication map
GG → G, (x, y) → xy
and the inversion map
G → G, x → x
−1
.
Deﬁnition A21.1. A topological group is a group provided with a topology for
which the multiplication and inversion maps are continuous.
There are many examples: the (real or complex) numbers under addition,
the nonzero (real or complex) numbers under multiplication, the matrix groups
GL(n, R) and GL(n, C) as well as their various subgroups SL(n, R), SL(n, C),
O(n), U(n), etc. Any group can be thought of as a topological group when en
dowed with the discrete topology.
In a topological group the left and right multiplication maps by a ﬁxed element
g, deﬁned by L
g
(x) = gx, R
g
(x) = xg, are homeomorphisms G → G. Conse
quently, every translate gU or Ug of an open subset U is again open (and every
translate of a closed set is closed).
Proposition A21.2. A topological group G is Hausdorff if and only if the one
point set ¦e¦ is closed.
Proof. Suppose that ¦e¦ is closed. By translation, every onepoint set is closed.
If g
1
,= g
2
there exists an open set V = G ¸ ¦g
2
¦ that contains g
1
and does not
contain g
2
. By continuity of the multiplication map at the point (g
1
, e), together
with the deﬁnition of the product topology, there are open sets U
1
, U
2
that contain
g
1
and e respectively such that U
1
U
2
⊆ V . But now U
1
and g
2
U
−1
2
are open
neighborhoods of e and g respectively. I claim they don’t intersect: if they did,
then u
1
= g
2
u
−1
2
with u
1
∈ U
1
, u
2
∈ U
2
, and then g
2
= u
1
u
2
∈ U
1
U
2
⊆ V , a
contradiction.
This is one example of the “homogeneity” of topological groups.
Let Gbe a topological group and H a subgroup. We denote by G/H the space
of left cosets xH for x ∈ G, or in other words the space of equivalence classes
69
for the equivalence relation x ∼ y ⇔ x
−1
y ∈ H; similarly we denote by H¸G
the space of right cosets Hx, which are equivalence classes for the equivalence
relation x ∼ y ⇔ xy
−1
∈ H. These are called (left and right) homogeneous
spaces of G by H, and we give them the quotient topology.
Exercise A21.3. If H is a normal subgroup of G then the left and right coset
spaces are the same. In this case we know from algebra that G/H has the structure
of a group. We have also just equipped it with a topology. Show that G/H is a
topological group, i.e., multiplication and inversion are continuous.
Proposition A21.4. The quotient maps G → G/H and G → H¸G are open
maps.
Proof. This is equivalent to the statement that the saturation of an open subset of
G is open. But the saturation of an open set U is
_
u∈U
uH =
_
h∈H
Uh;
the second representation exhibits it as a union of open sets, hence open.
Theorem A21.5. Let G be a Hausdorff topological group and let H be a closed
subgroup. Then the homogeneous spaces G/H and H¸G are Hausdorff.
Proof. By A20.8 and A21.4, it sufﬁces to show that the graph Γ of the equivalence
relation x ∼ y ⇔ x
−1
y ∈ H is a closed subset of GG.
Suppose that (x, y) / ∈ Γ; then x
−1
y ∈ G ¸ H which is an open set. By
continuity of multiplication there exist open sets U ¸ x
−1
, V ¸ y with U V ⊆
G¸ H. But then U
−1
V is an open neighborhood of (x, y) that does not meet Γ.
It follows that the complement of Γ is open, so Γ is closed.
Deﬁnition A21.6. Let X, Y be topological spaces. A continuous, surjective map
f : X → Y is called a local homeomorphism if every x ∈ X has a neighborhood
U such that the restriction of f to a map U → f(U) is a homeomorphism.
Local homeomorphisms will play a very important role in the study of cov
ering spaces, a key part of algebraic topology. The classic example of a local
homeomorphism is the exponential map t → e
2πit
from the real line to the circle.
This can be envisaged as a special case of the next result:
70
Proposition A21.7. Let G be a topological group and suppose that H is a closed
subgroup which is discrete (in the induced topology). Then the quotient map
π: G → G/H is a local homeomorphism.
Proof. There is a neighborhood V of e such that H ∩ V = ¦e¦. By the same
kind of argument (continuity of multiplication) that we have already used several
times, there exists a neighborhood U of the identity with U
−1
U ⊆ V . But now
the restriction of π: G → G/H to the set U is injective: if π(u
1
) = π(u
2
) then
u
−1
1
u
2
∈ V ∩ H = ¦e¦, and so u
1
= u
2
. Thus the restriction of π to a map
from U to π(U) is continuous, bijective, and open (A21.4): in other words, it
is a homeomorphism. We have proved that π is a homeomorphism near e; by
translation, the same holds near any point.
A group G acts on a set X if there is given a map G X → X, written
(g, x) → gx, such that ex = x for all x ∈ X and g(hx) = (gh)x for all g, h ∈ G,
x ∈ X. If G is a topological group and X is a topological space we deﬁne a
continuous action by requiring that the associated map GX → X be continuous.
An action is transitive if for all x, y ∈ X there exists g ∈ G with gx = y.
Example A21.8. The rotation group SO(n) acts transitively on the unit sphere
S
n−1
.
Proposition A21.9. Suppose that G acts transitively on the Hausdorff space X.
For any x ∈ X let G
x
denote the stabilizer
G
x
= ¦g ∈ G : gx = x¦,
which is a closed subgroup of G. Then the formula
[g] → g x
deﬁnes a continuous bijection G/G
x
→ X. It is a homeomorphism if G is com
pact.
Proof. The continuous map G → X given by g → gx respects the equivalence
relation given by the cosets of G
x
. Thus it passes to a continuous map G/G
x
→
X, which is injective by construction, and is surjective because of the transitivity
of the action. The ﬁnal statement follows because G/G
x
is compact and X is
Hausdorff.
For example, considering the stabilizer of a single point (the North pole) gives
us the identiﬁcation S
n−1
∼
= SO(n)/SO(n − 1) (using the fact that SO(n) is
compact).
71
Lecture A22
Homotopy
Hereafter “map” means “continuous map”.
Consider the unit square X = I
2
= ¦(x, y) ∈ R
2
: 0 x, y 1¦. Imagine
two continuous paths γ
1
, γ
2
: [0, 1] → X, with γ
1
beginning at (0, 0) and ending
at (1, 1), and γ
2
beginning at (0, 1) and ending at (1, 0). It seems obvious that
these two paths must cross somewhere in the interior of the square. But this is
hard (maybe impossible?) to prove just with the tools that we have developed so
far. We need a little homotopy theory.
Deﬁnition A22.1. Let X and Y be topological spaces and let f
0
, f
1
: X → Y be
continuous maps. A homotopy between f
0
and f
1
is a continuous map
h: X [0, 1] → Y
with h(x, 0) = f
0
(x) and h(x, 1) = f
1
(x) for all x ∈ X. If there exists a homo
topy between f
0
and f
1
we say that these maps are homotopic.
Proposition A22.2. Homotopy is an equivalence relation on the class of maps
X → Y .
Proof. Clearly any map f is homotopic to itself via the constant homotopy h(x, t) =
f(x). If h is a homotopy between f
0
and f
1
, then
k(x, t) = f(x, 1 −t)
is a homotopy between f
1
and f
0
. Finally, homotopies can be concatenated like
paths: if h
is a homotopy from f
0
to f
1
and h
is a homotopy between f
1
and f
2
then
h(x, t) =
_
h
(x, 2t) (t
1
2
)
h
(x, 2t −1) (t
1
2
)
is a homotopy between f
0
and f
2
.
Exercise A22.3. Check in detail that the homotopy h deﬁned in the last part of
this proof is continuous.
72
Remark A22.4. This proof is obviously closely related to the proof that path
connectedness is an equivalence relation, Lemma A15.10. In fact, pathconnectedness
is just homotopy of maps where X is a point. Conversely, one can reduce the no
tion of homotopy to pathconnectedness in the space of maps X → Y if one
deﬁnes a suitable topology on this space. But we won’t do that here.
Proposition A22.5. If f
0
, f
1
are homotopic maps X → Y , and g
0
, g
1
: Y → Z are
homotopic maps, then g
0
◦ f
0
, g
1
◦ f
1
are homotopic maps X → Z. (In particular,
homotopic maps remain homotopic after composition on the left or the right with
a ﬁxed map.)
There is a related notion, that of relative homotopy. Let X be a space and A
a closed subspace (one says sometimes that (X, A) is a pair). Then a homotopy
relative to A from X to Y is a homotopy h: X [0, 1] → Y such that h(a, t) is
independent of t for all a ∈ A — a homotopy that stays constant on A. This also
deﬁnes an equivalence relation by the same reasoning as above.
Example A22.6. Let X be the unit disc in Euclidean space. Then the identity map
X → X is homotopic to the map that sends every point to the origin. A homotopy
between these maps is deﬁned by h(x, t) = (1 − t)x. A similar argument can be
applied to any starshaped subset of Euclidean space.
Example A22.7. Let X, Y be spaces and let f : X → Y be a continuous map.
The mapping cylinder of f is the space
C
f
= X [0, 1] .
f
Y
obtained from the disjoint union X[0, 1] .Y by identifying (x, 0) with f(x) for
all x ∈ X (and equipped with the quotient topology). As we saw earlier, there is
a continuous map F : C
f
→ Y deﬁned by F(x, s) = f(x), F(y) = y. Moreover,
the identity map C
f
→ C
f
is homotopic, relative to Y , to the map C
f
→ Y → C
f
deﬁned by composing F with the standard inclusion Y → C
f
. A homotopy h
between these maps can be deﬁned by the formula
h((x, s), t) = (x, (1 −t)s), h(y, t) = y.
Notice that the second example actually includes the ﬁrst: the disc is the map
ping cylinder of the constant map from a sphere to a point.
The geometric situation deﬁned in these examples occurs often enough to have
a special name.
73
Deﬁnition A22.8. Let X be a space and A a closed subspace. A retraction of X
onto A is a continuous map X → A which is the identity on A. A deformation
retraction of X onto A is a homotopy, relative to A, from the identity map on X
to a retraction X → A. If these exist one says that A is a retract or deformation
retract of X.
The examples above establish that a point is a deformation retract of a disk,
and that Y is a deformation retract of the mapping cylinder. Deformation retrac
tion is a special case of the general notion of homotopy equivalence.
Deﬁnition A22.9. Let X and Y be spaces and let f : X → Y and g : Y → X
be maps. One says that f and g are homotopy inverses if the composite g ◦ f is
homotopic to the identity map on X and f ◦ g is homotopic to the identity map
on Y . A map that has a homotopy inverse is called a homotopy equivalence, and
one says that the spaces X and Y are homotopy equivalent if there is indeed a
homotopy equivalence between them.
For example, if A is a deformation retract of X, then the inclusion A → X
and retraction X → A form a pair of homotopy inverse maps, so X and A are
homotopy equivalent.
Proposition A22.10. The relation of homotopy equivalence is, indeed, an equiv
alence relation.
Proof. Suppose that f
: X → Y and f
: Y → Z have homotopy inverses g
and
g
respectively. Then it follows from Proposition A22.5 that g
◦ g
is a homotopy
inverse for f
◦ f
.
74
Lecture A23
Homotopy Equivalence
The examples above establish that a point is a deformation retract of a disk,
and that Y is a deformation retract of the mapping cylinder. Deformation retrac
tion is a special case of the general notion of homotopy equivalence.
Deﬁnition A23.1. Let X and Y be spaces and let f : X → Y and g : Y → X
be maps. One says that f and g are homotopy inverses if the composite g ◦ f is
homotopic to the identity map on X and f ◦ g is homotopic to the identity map
on Y . A map that has a homotopy inverse is called a homotopy equivalence, and
one says that the spaces X and Y are homotopy equivalent if there is indeed a
homotopy equivalence between them.
For example, if A is a deformation retract of X, then the inclusion A → X
and retraction X → A form a pair of homotopy inverse maps, so X and A are
homotopy equivalent.
Proposition A23.2. The relation of homotopy equivalence is, indeed, an equiva
lence relation.
Proof. Suppose that f
: X → Y and f
: Y → Z have homotopy inverses g
and
g
respectively. Then it follows from Proposition A22.5 that g
◦ g
is a homotopy
inverse for f
◦ f
.
Deﬁnition A23.3. A space is called contractible if it is homotopy equivalent to a
point.
The cone CX on a space X is the quotient X [0, 1]/X ¦0¦, or in other
words the mapping cylinder of the constant map from X to a point. Any mapping
cylinder deformation retracts onto the range of the map from which it is deﬁned
(as we have seen), so the cone on any space is contractible.
Homotopy equivalent spaces can be rather different topologically. For exam
ple, the 1dimensional spaces given by the “theta curve”, the “ﬁgure 8”, and the
“dumbbell” are all homotopy equivalent, although no two of themare homeomor
phic. However, there are topological properties that are preserved by homotopy
equivalence.
Example A23.4. Suppose X and Y are homotopy equivalent. If X is path
connected, then so is Y .
75
Proof. Let f : X → Y and g : Y → X be mutually inverse homotopy equiva
lences. Note that for each y ∈ Y , the points y and f(tg(y)) belong to the same
path component: indeed, if h is a homotopy between f ◦ g and the identity, then
t → h(y, , t) deﬁnes a path joining y to f(g(y)). Now let y, y
∈ Y and suppose
that X is path connected. Then there is a path γ in X joining g(y) to g(y
). Now
f ◦ γ is a path joining f(g(y)) to f(g(y
)). Thus f(g(y)) and f(g(y
)) are in the
same path component. It follows from the earlier discussion that y and y
are in
the same path component; that is, Y is path connected.
Suppose that X is a space and A a closed subspace. If A is contractible, we
might say that “up to homotopy” Ais the same as a point. If Areally were a point,
the quotient space X/A would be just the same as X. So we might be led to hope
that if Ais contractible, X/Ais “up to homotopy” the same as X, i.e., the quotient
map X → X/A is a homotopy equivalence. Unfortunately this is not true.
Exercise A23.5. Let Z be the “topologist’s sine curve” of Exercise A15.13, and
let A ⊆ Z be the interval ¦(0, y) : −1 y 1¦ on the yaxis. Clearly A is
contractible. Show that Z/Ais pathconnected. Since Exercise A15.13 shows that
Z itself is not pathconnected, this proves that Z and Z/A cannot be homotopy
equivalent.
What is missing in this example is the homotopy extension property (HEP).
Deﬁnition A23.6. Let X be a space and A a closed subspace. One says that
(X, A) has the homotopy extension property if any map from the subspace
X ¦0¦ ∪ A [0, 1] ⊆ X [0, 1]
to another space Y can be extended to a map from the whole of X [0, 1] to Y .
The way to think of this is that the initial data consist of a map X → Y
together with a homotopy of the restriction of that map to the subspace A; the
HEP says that this homotopy can be extended to a homotopy deﬁned on the whole
space X. Most “nice” pairs of spaces have the HEP: proofs are often inductive
based on the following example.
Example A23.7. The pair (D
n
, S
n−1
) has the homotopy extension property. To
see this, it is enough to construct geometrically a retraction
r : D
n
[0, 1] → D
n
¦0¦ ∪ S
n−1
[0, 1]
(which can be done for instance by projection from the point (0, 3/2) in R
n+1
);
then the desired extension can be deﬁned by composing with r.
76
Proposition A23.8. Suppose that (X, A) has the HEP and that A is contractible.
Then the quotient map π: X → X/A is a homotopy equivalence.
Proof. The ﬁrst order of business is to ﬁnd a potential homotopy inverse. Let
p ∈ A be a point and let h: A [0, 1] → A be a homotopy between the identity
map and the constant map that sends A to p. By the HEP, the homotopy h extends
to a homotopy H between the identity on X and some map G: X → X, such that
G(a) = p for all a ∈ A. Note that G respects the equivalence relation deﬁning the
quotient space, so there is a map g : X/A → X such that g ◦ π = G. This map g
is, I claim, a homotopy inverse for π.
To see this we must show that g ◦ π and π ◦ g are homotopic to the identity on
X and X/A respectively. The ﬁrst is easy: g ◦ π = G is homotopic to the identity
by construction. What about the other? The homotopy H has H(a, t) ∈ A for
all a ∈ A and all t. Therefore, π ◦ H(a, t) ∈ X/A is constant for all a ∈ A and
t ∈ [0, 1]; that is, π ◦ H respects the equivalence relation. It follows that there is a
map
k: (X/A) [0, 1] → (X/A)
such that k(π(x), t) = π(H(x, t)) for all x ∈ X, t ∈ [0, 1]. In particular, k gives
the desired homotopy between π ◦ g and the identity on X/A.
77
Lecture A24
The fundamental group
For the next few lectures we are going to consider pointed topological spaces.
Such an object is just a topological space X together with a choice of a base point
x
0
∈ X. A map of pointed spaces (X, x
0
) → (Y, y
0
) is just a map from X to Y
that takes x
0
to y
0
. Sometimes, to save space, we’ll omit explicit mention of the
base point.
Example A24.1. We regard the unit circle S
1
as the quotient space [0, 1]/¦0, 1¦.
It is a pointed space whose base point ∗ is the equivalence class ¦0, 1¦.
Deﬁnition A24.2. A loop in a pointed space (X, x
0
) is a map of pointed spaces
(S
1
, ∗) → (X, x
0
). In other words, it is a path γ : [0, 1] → X such that γ(0) =
γ(1) = x
0
.
The natural notion of homotopy for maps of pointed spaces is based homotopy:
a based homotopy from (X, x
0
) to (Y, y
0
) is a homotopy h: XI → Y such that
h(x
0
, t) = y
0
for all t ∈ I. In particular we can consider the collection of all based
homotopy classes of loops in (X, x
0
). This object is denoted π
1
(X, x
0
) and it is
called the fundamental group of (X, x
0
). As we shall see, there is indeed a natural
way to make it into a group.
Lemma A24.3. Let γ be a based loop in (X, x
0
). Let g : [0, 1] → [0, 1] be a
continuous map with g(0) = 0 and g(1) = 1. Then γ and γ ◦ g represent the same
element of π
1
(X, x
0
). (The composite γ ◦ g is called a reparameterization of γ.)
Proof. The map
h(s, t) = γ((1 −t)s + tg(s))
deﬁnes a homotopy between γ and the reparameterized path γ ◦ g.
Let γ
and γ
be paths in X. Recall that the concatenation of these paths is
deﬁned by
γ
γ
(s) =
_
γ
(2s) (s
1
2
)
γ
(2s −1) (s
1
2
)
If γ
and γ
are (based) loops then so is γ
γ
. Moreover, if γ
or γ
is var
ied by a (based) homotopy, then so is γ
γ
. Thus the operation passes to a
“multiplication” operation on π
1
(X, x
0
).
78
Proposition A24.4. Under this operation, π
1
(X, x
0
) becomes a group.
Proof. There are three things that must be veriﬁed: associativity, the existence of
an identity, and the existence of inverses. The proofs of all three make extensive
use of the freedom to deform loops by homotopies and, in particular, to reparam
eterize them.
For associativity, we just need to note that the paths (γ
1
γ
2
)γ
3
and γ
1
(γ
2
γ
3
)
are related by the reparameterization
s →
_
¸
_
¸
_
2s s
1
4
s +
1
4
1
4
s
1
2
1
2
+
1
2
s
1
2
s 1
The constant loop (e(s) = x
0
for all s ∈ [0, 1]) deﬁnes an identity element.
Indeed, it is easy to see that e γ and γ e are simply reparameterizations of γ,
for any loop γ.
Finally suppose that γ is a loop and let γ
−1
be the loop deﬁned by γ
−1
(s) =
γ(1 − s). Then γ γ
−1
is the path s → γ(g(s)) where g(s) = 2s for s
1
2
and
g(s) = 2 −2s for s
1
2
. Then
h(s, t) = γ((1 −t)g(s))
is a homotopy of based loops from γ γ
−1
to the identity path.
The effect of the choice of basepoint is summed up in the following.
Lemma A24.5. Let X be a pathconnected space and let x
0
, x
1
∈ X. Then the
groups π
1
(X, x
0
) and π
1
(X, x
1
) are isomorphic.
Proof. Let q : [0, 1] → X be a path from x
0
to x
1
, and let q
−1
(s) = q(1 − s), as
usual. Then, if γ is a loop based at x
0
, the path
φ(γ) := q
−1
γ q
is a loop based at x
1
, and the assignment γ → φ(γ) gives a homomorphism of
groups from π
1
(X, x
0
) to π
1
(X, x
1
). The assignment γ
→ q γ
q
−1
gives the
inverse homomorphism π
1
(X, x
1
) to π
1
(X, x
0
), so these two groups are isomor
phic.
79
Beware that the isomorphism in the lemma above depends on the choice of the
path q. One says that the groups π
1
(X, x
0
) and π
1
(X, x
1
) are “isomorphic but not
canonically isomorphic”.
Let f : (X, x
0
) → (Y, y
0
) be a (basepointpreserving) map. If γ is a based loop
in X, the composite f ◦ γ is a based loop in Y . Moreover, the assignment [γ] →
[f ◦ γ] passes to homotopy classes and deﬁnes a homomorphism π
1
(X, x
0
) →
π
1
(Y, y
0
).
Deﬁnition A24.6. The homomorphism so deﬁned is called the induced homomor
phism of the map f, and it is denoted by f
∗
: π
1
(X, x
0
) → π
1
(Y, y
0
).
Proposition A24.7. The induced homomorphism has the following properties:
(a) The identity map induces the identity homomorphism.
(b) Suppose that f and g are maps (X, x
0
) → (Y, y
0
), which are homotopic by
a homotopy h. Let u ∈ π
1
(Y, y
0
) be deﬁned by the loop t → h(x
0
, t). Then
f
∗
(v) = ug
∗
(v)u
−1
for all v ∈ π
1
(X, x
0
). In particular, based homotopic
maps induce the same homomorphism.
(c) If f : X → Y and g : Y → Z are based maps, then (f ◦ g)
∗
= f
∗
◦ g
∗
.
Item (c) is called functoriality: it is an extremely important property in many
mathematical contexts.
Proof. (a) and (c) are immediate consequences of the deﬁnitions. Part (b) would
be easier if we restricted our attention to based homotopies, but we need the gen
eral case. Consider the map from the unit square to Y deﬁned by
(s, t) → h(γ(s), t).
Going along the bottom and right sides of this square deﬁnes the path f u, going
along the left and top sides deﬁnes u g. But these are homotopic by a homotopy
that goes diagonally across the square. Explicitly, we want to deﬁne
H(r, s) =
_
h(2r(1 −s), 2rs) (r
1
2
)
h((1 −s)(2r −1) + s, s(2r −1) + 1 −s) (r
1
2
)
which gives a homotopy from H(, 0) = f u to H(, 1) = u g.
Corollary A24.8. A homotopy equivalence induces an isomorphism of fundamen
tal groups.
80
Proof. Let f : X → Y be a homotopy equivalence, with homotopy inverse g.
Then fg and gf are homotopic to the identity, and therefore by (a) and (b) above
they induce isomorphisms on fundamental groups. Thus by (c) above, f
∗
◦ g
∗
and
g
∗
◦ f
∗
are isomorphisms, which implies that f
∗
and g
∗
are isomorphisms too.
In particular
Corollary A24.9. If X is contractible, then its fundamental group is trivial.
81
Lecture A25
Fibrations and the fundamental group
Recall the homotopy extension property for a pair X, A), which we can also
think of as a property of the inclusion map i : A → X. The pair has the HEP (or,
as one also says, the inclusion i is a coﬁbration) if, given any homotopy of maps
A → Y , together with an extension of the initial data of the homotopy to a map
X → Y , we can always extend the homotopy to a homotopy of maps X → Y ,
respecting the given initial data.
The notion of extension of a map can be expressed in diagrammatic terms
using the inclusion i:
X
A
?
i
OO
//
Y
Here the solid arrows represent the given data and the dotted arrows represent
the extension to be constructed. Dual to the notion of extension is the notion of
lifting: suppose that p: E → B is a surjective map and f : Y → B is any map,
then a lifting of f (over p) is a map g : Y → E that makes the following diagram
commute:
E
p
Y
>>
//
B
in other words p ◦ g = f.
Deﬁnition A25.1. We say that p: E → B has the homotopy lifting property or is
a ﬁbration if, given any homotopy of maps Y → B together with a lifting of the
initial data of the homotopy over p, the entire homotopy can be lifted over p.
In other words, p has the HLP if, given the data expressed by the solid arrows
in the diagram below
Y ¦0¦
_
//
E
Y [0, 1]
//
<<
B
82
the dotted arrow can be ﬁlled in in such a way as to make the diagram commuta
tive.
Remark A25.2. The homotopy extension property can be expressed in a similar
diagrammatic way, but to do so we have to consider a homotopy of maps A → Y
as a single map from A to the space Y
I
of maps I → Y . We haven’t discussed the
topology of mapping spaces, so we can’t write down the full details of this, but it
should not be hard to ﬁgure out the general idea.
For now we are not going to worry too much about where ﬁbrations might
come from. Instead we will concentrate on what they might tell us about the
fundamental group.
Deﬁnition A25.3. Let X be a space. If X is pathconnected and π
1
(X, x
0
) = ¦1¦
for some (and hence any) basepoint x
0
, we will say that X is simply connected.
Contractible spaces, for example, are simply connected (Corollary A24.9).
But there are many other examples.
Exercise A25.4. Show that the nsphere S
n
is simply connected for n 2. Hints:
First show that it is enough if one knows that any loop in S
n
is homotopic to
one that is not surjective. Then prove this statement by any one of a number
of approximation techniques, e.g. by showing that any loop is homotopic to a
“piecewise linear” loop made up of great circle arcs.
Deﬁnition A25.5. Let p: E → B be a ﬁbration, and let B have a ﬁxed basepoint
b
0
. The inverse image F = p
−1
¦b
0
¦ is called the ﬁber of the ﬁbration.
Suppose now that p: E → B is a ﬁbration and let b
0
∈ B be a base point. Let
γ be a based loop in B and let x ∈ F be a point of the ﬁber F = p
−1
(b
0
). We may
consider the path γ as a homotopy (of maps of a point into E) and, if we do this,
γ and x together provide exactly the data for a homotopy lifting problem:
¦0¦
_
x
//
E
[0, 1]
γ
//
˜ γ
>>
B
Filling in the dotted arrow provides a lifting ˜ γ of the path γ, but this lifting is
not guaranteed to be a loop! All we know is that p(˜ γ(1)) = γ(1) = b
0
, that is,
83
˜ γ(1) is a point of thee ﬁber F. It is not uniquely determined by this construction
but we shall see in a moment that the path component of the ﬁber in which it
lies is uniquely determined. The proof begins to build up the connection between
ﬁbrations and the fundamental group.
Lemma A25.6. Let p: E → B be a ﬁbration, as above, and let γ be a based loop
in B. If γ is nullhomotopic (that is, it represents the identity element in π
1
(B, b
0
)),
then, for any lift ˜ γ : [0, 1] → E of γ, ˜ γ(0) and ˜ γ(1) are in the same path component
of the ﬁber F.
(It’s obvious that ˜ γ(0) and ˜ γ(1) are in the same path component of E — they
are joined by the path ˜ γ, after all! — so the signiﬁcance of the lemma is that a
path joining them can be found that lies wholly in F.)
Proof. We apply the HLP to a homotopy between γ and the constant path. Let
h(s, t) be such a homotopy with h(s, 0) = γ(s) and h(s, 1) = b
0
. Then h together
with ˜ γ provide the data for a homotopy lifting problem:
[0, 1] ¦0¦
_
˜ γ
//
E
[0, 1] [0, 1]
h
//
H
<<
B
The bottom, righthand and top sides of the map of the unit square deﬁned by h
are constant maps with value x
0
. Therefore the bottom, righthand and top sides
of the lifted homotopy H are paths in the ﬁber F. The concatenation of these three
is a path in F from ˜ γ(0) to ˜ γ(1).
Corollary A25.7. If γ
, γ
are two liftings of the same loop, starting at the same
point γ
(0) = γ
(0), then their end points are in the same path component of F.
Proof. The concatenation (γ
)
−1
γ
is a lifting of a nullhomotopic loop.
To help keep track of this business of path components let’s introduce some
notation.
Deﬁnition A25.8. For any topological space F, let π
0
(F) denote the set of path
components of F.
84
Suppose that p: E → B is a ﬁbration with ﬁber F, as discussed above. For
g ∈ π
1
(B, b
0
) and c ∈ π
0
(F), let us deﬁne c
g
(read: “c acted on by g”) as follows:
choose a based loop γ representing g, and a point x ∈ F representing c, let ˜ γ be
any lift of γ starting at x, and deﬁne c
g
to be the path component containing ˜ γ(1).
The lemma and corollary above show that this is well deﬁned.
Proposition A25.9. The construction above deﬁnes an action of the fundamental
group π
1
(B, b
0
) on the set π
0
(F). Moreover, if E is path connected, then this
action is transitive; and if in addition E is simply connected, the action is free.
Let us explain the terminology. A (right) action of a group G on a set C is
just a map C G → C, written (c, g) → c
g
, such that c
e
= c and (c
g
)
h
= c
gh
.
An action is free if c
g
= c implies g = e, and it is transitive if for all pairs c, c
of
elements of C, there exists g ∈ G such that c
g
= c
. When a group action is both
free and transitive, the mapping g → c
g
, for ﬁxed c, is a bijection from the group
G to the set C.
Proof. The action law (c
g
)
h
= c
gh
follows from the fact that a lifting of a concate
nation of loops is a concatenation of liftings of those loops. And c
e
= c follows
from the fact that a constant loop can be lifted to a constant.
Suppose now that E is path connected. Then given any two points x, x
of
the ﬁber there is a path in E joining them. Composing with p gives a based loop
in B which (tautologically) lifts to a path in E from x to x
. Thus the action is
transitive.
Suppose additionally that E is simply connected. Suppose that c
g
= c for some
c ∈ π
0
(F) and g ∈ π
1
(B, b
0
); this means that g is represented by a based loop
γ in B which lifts to ˜ γ such that ˜ γ(0) and ˜ γ(1) are in the same path component
of F. Construct a loop β in E by concatenating ˜ γ with a path in F from ˜ γ(0) to
˜ γ(1). The composite p ◦ β is the concatenation of γ with a constant path, so it still
represents g ∈ π
1
(B, b
0
). But, on the other hand, β is nullhomotopic in E (say
by a homotopy H) because E is simply connected. Then p ◦ H is a nullhomotopy
of the path p ◦ β, which therefore represents the identity element of π
1
(B, b
0
) as
claimed.
85
Lecture A26
Covering Spaces
Let p: E → B be a surjective map of topological spaces.
Deﬁnition A26.1. The map p above is called a covering map (and E is called a
covering space of B) if there is a discrete topological space F (the ﬁber) such that
each point x ∈ B has an open neighborhood U for which there is a homeomor
phism p
−1
(U)
∼
= U F making the diagram
p
−1
(U)
∼
=
//
p
##
H
H
H
H
H
H
H
H
H
H
H
H
H
H
H
H
H
U F
pr
1
U
commute.
In other words, a covering map is “locally the projection of a product with
a discrete space”. Some authors (e.g. Hatcher) give a deﬁnition which appears
more general than this, but it turns out that the deﬁnitions are equivalent for path
connected base spaces B. A neighborhood U with the property described in the
deﬁnition will be called a trivializing neighborhood for the ﬁbration.
Example A26.2. A homeomorphism is a covering map with 1point ﬁber.
Example A26.3. The map R → S
1
deﬁned by x → x mod 1 (if we think of
the circle as [0, 1] with endpoints identiﬁed) or x → e
2πix
(if we think of the unit
circle in C) is a covering map with ﬁber Z.
Example A26.4. The map S
1
→ S
1
deﬁned by x → nx mod 1 (or z → z
n
in
the complex pictures) is a covering map with ﬁber an npoint space.
Example A26.5. There are many different possible covering spaces of the “ﬁgure
8” space; I’ll draw some pictures in class.
Example A26.6. Let B be a compact oriented surface of genus −2 (i.e. a the
surface of a 2holed donut). Then B can be obtained by a suitable identiﬁcation
of the edges of a regular octagon. One can tessellate the hyperbolic plane by
such octagons with vertex angle of 45 degrees. From this tessellation we obtain a
covering map from the plane to B.
86
Proposition A26.7. A covering map is a ﬁbration, i.e., it satisﬁes the homotopy
lifting property.
Proof. Remember what we have to show: for each space Y we can ﬁll in the
“homotopy lifting diagram”
Y ¦0¦
_
f
//
E
Y [0, 1]
h
//
H
<<
B
First of all let’s consider the case when Y is a single point (the “path lifting
property”). By deﬁnition, B has an open cover consisting of trivializing neigh
borhoods. The inverse image of this open cover by the map h is then an open
cover of the compact space [0, 1], which has a positive Lebesgue number by
the Lebesgue covering theorem. Partition [0, 1] into ﬁnitely many subintervals
0 t
1
t
2
1 of length less than the Lebesgue number. We will
construct the desired lifting by induction over these subintervals.
Suppose then than a lifting H has been constructed on [0, t
k
]. We have h([t
k
, t
k+1
]) ⊆
U for some trivializing neighborhood U, and in particular we may identify p
−1
(U)
with U F where F is the (discrete) ﬁber. By connectedness, pr
2
(H(t)) must be
constant for any lift H. Therefore the unique continuous lift H of h on [t
k
, t
k+1
]
that agrees with the lift already assumed to have been constructed on [0, t
k
] is
H(t) = (h(t), pr
2
(H(t
k
))) ∈ U F
∼
= p
−1
(U) ⊆ E.
By induction, we can construct H on [0, 1]. Indeed, we have done more than
claimed: we have shown that there is a unique possible choice for H.
Now we return to the case of general Y . Because of the uniqueness of path
lifting, which we just proved, there is no question how to deﬁne H for general Y :
namely, for each ﬁxed y ∈ Y , H(y, t) should be the unique lifting of the path t →
h(y, t) that begins at f(y). The only question is whether the function H deﬁned
by this process is continuous as a function of y and t. To see this, ﬁx y
0
∈ Y and
consider the following fact: for each t ∈ [0, 1] there is a product neighborhood
V
t
W
t
of (y
0
, t) such that h(V
t
W
t
) lies in a trivializing neighborhood in B.
By compactness, ﬁnitely many of these product neighborhoods V
t
W
t
cover
87
¦y
0
¦ [0, 1]. Let V be the intersection of the ﬁnitely many V
t
’s that appear and
let be a Lebesgue number for the covering of [0, 1] by the ﬁnitely many W
t
’s.
Partition [0, 1] into ﬁnitely many subintervals 0 t
1
t
2
1 of length
less than . Notice that for each k, h(V [t
k
, t
k+1
]) is contained in a trivializing
neighborhood.
We’re going to prove by induction over subintervals that H is continuous on
V [0, 1]. Suppose then that we already know that H is continuous on V [0, t
k
];
in particular, H(y, t
k
) is a continuous function of y for y ∈ V . But by the formula
above, for t ∈ [t
k
, t
k+1
],
H(y, t) = (h(y, t), π
2
(H(y, t
k
))) ∈ U F
∼
= p
−1
(U) ⊆ E,
and this is a continuous function of (y, t). So the induction is complete and we
have shown (in particular) that H is continuous at (y
0
, t) for all t ∈ [0, 1]. Since
y
0
was arbitrary, this sufﬁces to complete the proof.
88
Lecture A27
Applications
So, after all this machinery, we can ﬁnally compute π
1
(S
1
).
Theorem A27.1. The group π
1
(S
1
) is isomorphic to Z.
Proof. We make use of the covering space R → S
1
described above (Exam
ple A26.3). The ﬁber F = Z is discrete and the total space E = R is contractible,
so according to Proposition A25.9 the action of π
1
(S
1
) on π
0
(F) = F is free and
effective. We can therefore deﬁne a bijection π
1
(S
1
) → Z by sending g ∈ G to
0
g
∈ Z. All that is necessary is to show that this is a group isomorphism.
For this, notice that S
1
itself is a topological group. In any topological group
G, the group operation in π
1
(G) can be deﬁned by pointwise multiplying paths
(using the group operation in G), instead of by concatenating them. For the ex
pression
H(s, t) = γ
(max((2 −t)s, 1)) γ
(min(0, 1 −(2 −t)(1 −s)))
deﬁnes a homotopy fromthe concatenation of γ
and γ
to their pointwise product.
However, the lift of a pointwise product of paths (in S
1
) is clearly their pointwise
sum (in R); in particular, the action of π
1
(S
1
) on the ﬁber Z satisﬁes 0
gh
= 0
g
+0
h
.
This proves that the bijection π
1
(S
1
) → π
0
(Z) = Z is indeed an isomorphism of
groups.
Exercise A27.2. Using a similar argument to the above, show that if G is any
topological group (not necessarily abelian), then π
1
(G) is an abelian group.
Remark A27.3. The identity map S
1
→ S
1
is a generator of the cyclic group
π
1
(S
1
) = Z, as the above proof shows. The integer n ∈ π
1
(S
1
) is represented by
the map z → z
n
, which “wraps” the unit circle n times around itself.
Here are some (standard) applications of this calculation.
Proposition A27.4. (Noretraction theorem) There is no retraction of the disk
D
2
= ¦z ∈ C : [z[ 1¦ onto its boundary circle S
1
= ¦z ∈ C : [z[ 1¦.
89
Proof. A retraction is a map r : D
2
→ S
1
that is a left inverse to the inclusion
i : S
1
→ D
2
, that is. the diagram
S
1
p
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
=
//
S
1
D
2
r
OO
should commute. But if this is so then the induced diagram
π
1
(S
1
)
=
//
##
G
G
G
G
G
G
G
G
G
G
G
G
G
G
G
G
π
1
(S
1
)
π
1
(D
2
)
r∗
OO
should commute also, and this is impossible since π
1
(S
1
)
∼
= Z while π
1
(D
2
) is
trivial.
Proposition A27.5. Any continuous map f : D
2
→ D
2
has a ﬁxed point.
Proof. Suppose for a contradiction that f : D
2
→ D
2
has no ﬁxed point. Then
for each x ∈ D
2
, let u = u(x) be the unit vector (x − f(x))/x − f(x). Let
λ = λ(x) be the nonnegative root of the quadratic equation
x + λu
2
= λ
2
+ 2λu x +x
2
= 1.
Then g(x) = x +λu depends continuously on x and it is the point on S
1
obtained
by continuing the ray from f(x) through x until it hits the unit circle. Clearly, if
x ∈ S
1
, then g(x) = x. Thus g is a retraction of D
1
onto S
1
, contradicting the
previous result.
Let a ∈ C and let γ : S
1
→ C ¸ ¦a¦ be a loop in the complex plane that does
not pass through a. The map ν
a
(z) = (z −a)/[z −a[ is a homotopy equivalence
between C ¸ ¦a¦ and the unit circle. The element of π
1
(S
1
) = Z represented by
the composite
ν
a
◦ f : S
1
→ S
1
is called the winding number of f about a, and is denoted n(f; a). It is a homotopy
invariant. (It does not depend on the choice of base point because π
1
(S
1
) = Z is
abelian.)
90
Lemma A27.6. (Rouch´ e’s theorem) If f : S
1
→C¸¦0¦, g : S
1
→C, and [g(z)[ <
[f(z)[ for all z ∈ S
1
, then n(f; 0) = n(f + g; 0).
Proof. The map h(z, t) = f(z) + tg(z) is a homotopy between f and f + g in
C ¸ ¦0¦.
Theorem A27.7. (Fundamental theorem of algebra) Every nonconstant polyno
mial over C has a root.
Proof. Suppose not and let p(z) = z
n
+ a
n−1
z
n−1
+ + a
0
be a polynomial
without root. Let p
r
: S
1
→ C ¸ ¦0¦ be the loop deﬁned by p
r
(e
iθ
) = p(re
iθ
).
These are homotopic loops in C ¸ 0. But for r = 0 the winding number n(p
r
, 0)
is zero, whereas for large r we may write
p(re
iθ
) = f(re
iθ
) + g(re
iθ
), f(z) = z
n
and simple estimates show[f(re
iθ
)[ > [g(re
iθ
)[, so by Rouch´ e’s theoremn(p
r
, 0) =
n(z
n
, 0) = n. Contradiction.
Lemma A27.8. Let f : S
1
→ S
1
be a loop with is antipodal, that is, f(−z) =
−f(z). Then f represents an odd multiple of the generator of π
1
(S
1
).
Proof. Let g(z) = zf(z); then g(z) = g(−z) so g respects the equivalence rela
tion z ∼ −z. The quotient of S
1
by this equivalence relation is again a copy of S
1
,
and the quotient map is identiﬁed with the squaring map s(z) = z
2
. Consequently,
g factors through s and thus g
∗
factors through s
∗
:
π
1
(S
1
) = Z
s∗
//
π
1
(S
1
) = Z
//
π
1
(S
1
) = Z .
But s
∗
is multiplication by 2, so the winding number of g is even. The winding
number of f is 1 less than that of g, so it is odd.
Theorem A27.9. (BorsukUlam) For every continuous map f : S
2
→ R
2
there
exists x ∈ S
2
such that f(x) = f(−x).
Proof. Suppose not and let f be a counterexample. Then the map
g(x) = (f(x) −f(−x)[/f(x) −f(−x)
sends S
2
to S
1
and satisﬁes g(−x) = −g(x). Consider the restriction of g to the
equator on S
1
. This is an antipodal map S
1
→ S
1
, so it represents an odd multiple
of the generator; in particular it is not nullhomotopic. This is a contradiction since
it factors through the simply connected space S
2
.
91
Corollary A27.10. (Ham sandwich theorem) Any three bounded measurable sub
sets of R
3
(e.g. ham, bread, cheese) can be simultaneously volumebisected by a
common plane cut.
Proof. For each unit vector u ∈ S
2
let P
u
be the plane having u as normal vector
that volumebisects one of the ingredients, say the bread. (The existence of such
a plane follows from the intermediate value theorem; in the general case one has
to maneuver a little to deal with the possible nonuniqueness of such a plane; I’m
sweeping this under the rug.) Deﬁne a map S
2
→ R
2
by sending u ∈ S
2
to the
vector (h(u), c(u)), where h(u) and c(u) are the fractions of the ham and cheese,
respectively, that lie on the u side of the plane P
u
. Then h(−u) = 1 − h(u)
and c(−u) = 1 − c(u). The BorsukUlam theorem gives us a point such that
h(u) = h(−u) and c(u) = c(−u). This implies that h(u) = c(u) =
1
2
; thus P
u
perfectly divides the ham and the cheese (as well as the bread).
92
Lecture A1 Introduction to the Course This course is an introduction to the basic ideas of topology and metric space theory for ﬁrstyear graduate students. Topology studies the idea of “continuity” in the most general possible context. As a separate subject, it takes its origin from the pioneering papers of Poincar´ at the end of the 19th century, and its e development is one of the central stories of 20th century pure mathematics. (The history by Dieudonn´ , A History of Algebraic and Differential Topology, 1900 e 1960, is available free to Penn State members online. — but that history begins roughly where this course leaves off.) But the idea of continuity is so central that topological methods crop up all over mathematics — in analysis of course (including its “computational” twin, numerical analysis); in geometry; in pure algebra; even in number theory. So, if you’re a ﬁrstyear grad student, you most likely need to take this course (and maybe even Math 528 as well). In this lecture we’ll just describe the course protocol and prerequisites — we’ll get started properly next time. There is a recommended course textbook — Introduction to Topology by Gamelin and Greene, which is available in a cheap Dover reprint for 15 bucks. However, more important than that are the online course materials, which are available in two ways: • Through the course website, which is http://www.math.psu.edu/roe/527FA10/index.html • Through the course page on ANGEL, Penn State’s course management system, at http://cms.psu.edu Registered students (i.e., those taking this course for a grade) will want to use the ANGEL site which will contain homework assignments, quizzes and supporting material, which all need to be taken on time in order to receive credit. The ANGEL page also contains the detailed course syllabus, which contains Universityrequired information about exam schedules, academic integrity requirements, ofﬁce hours, and suchlike. Please be sure to read this information carefully. Detailed lecture notes for each lecture will be posted 24 hours in advance on these sites. To succeed in the course you need to read and study the notes before the lecture to which they refer. This is very important! Most lectures will contain one or more inclass exercises. You are expected to attempt these exercises before the next class session. Students may be called 2
on to present their solutions in class. You grade your own exercises using the ANGEL system, and this selfassessment will form a (small) component of your ﬁnal inclass grade. Exercise A1.1. Here is your ﬁrst inclass exercise. Find the corresponding assessment item on ANGEL (it’s called “inclassAug23”), and enter your response (“I fully understand this”). You must complete this assignment before tomorrow evening, when it will expire. Now for some information about the prerequisites for the course, that is, things that I will assume that you know. There are four groups of these. 1. Number systems and their properties: speciﬁcally the natural numbers N, integers Z, rational numbers Q, real numbers R, and complex numbers C. Courses in analysis or foundations of mathematics often contain an account of procedures for “constructing” all or some of these, but we’ll just take them as given. The most important of these number systems for us is the system R of real numbers. The basic properties of the reals are summarized by Proposition A1.2. R is an archimedean complete ordered ﬁeld. What does this mean? (a) A ﬁeld — basic properties of additional, multiplication, subtraction, division — commutative, associative, distributive laws. (b) ordered. There is an order relations < with the expected properties. In particular x2 0 for all x. (c) Archimedean — no ‘inﬁnite’ or ‘inﬁnitesimal’ real numbers. There is a unique (injective) homomorphism of rings Z → R taking 1 to 1. (Proof?) The archimedean property is that every element of R is smaller than (the image of) some element of Z. (d) complete — no ‘holes’, contrast Q. There are various ways of expressing completeness. The standard way is the Least Upper Bound Axiom. Let S be any nonempty set of real numbers. A number a ∈ R is an upper bound for S if, for all x ∈ S, x a. Let US be the set of all upper bounds for S. The least upper bound axiom says that, if S and US are both nonempty, then US has a least member. This is called the least upper bound for S and written sup S. 3
Exercise A1. . n = 1.3. be a sequence of closed intervals in R that are nested in the sense that [an+1 . Pick an interval [a1 . √ US has a least member. The corresponding statement with R replaced everywhere by Q would be false. bn+1 ] ⊆ [an . Then US = {a ∈ R : a > 0. bn ] and whose lengths bn − an tend to zero. . then 1 a subinterval [a2 . i.e. . b2 ] of length at most 2 that doesn’t contain c2 . Exercise A1. c2 .. and so on. Apply the nested interval theorem. 2. bn ] contains one and only one real number c. namely sup S = 2. Use the previous exercise to show that the real numbers are uncountable. . . What can you say about the limit point c? 4 . .4. Show that the intersection n [an .5. bn ]. Let S = {x ∈ R : x2 < 2}. (Cantor’s nested interval theorem) Let [an . cannot be listed as c1 .Example A1. Hint: Suppose such a listing is possible. a2 2}. b1 ] of length at most 1 that doesn’t contain c1 .
Settheoretic language such as unions (A ∪ B). subsets (A ⊆ B) and so on. 3. is the set of objects that belong to every member of the family F : in symbols x∈ F ⇔ ∀F ∈ F . a set whose members are subsets of some other set). Throughout pure mathematics. In topology it is often necessary to deal with inﬁnite unions and intersections. one meets concepts that are built up of layers of quantiﬁers nested together in complicated ways. 5 . Similarly the union of the family. written F ∈F F or just F . Quantiﬁed statements and their proofs. a function f : R → R is continuous at a given point x0 if ∀ > 0 ∃δ > 0 ∀x ∈ R x − x0  < δ ⇒ f (x) − f (x0 ) < .) 2. and that you can understand how the form of the statement dictates the shape of its proof. but especially analysis and topology. For instance. Let F be a family of sets (that is. intersections (A ∩ B). written F ∈F F or just F . You could call a simple pattern like this a ”proof skeleton” corresponding to the “for all” quantiﬁer. We already met some quantiﬁers in the previous section: things like ∀ and ∃. x ∈ F. is the set of objects that belong to some member of the family F : in symbols x∈ F ⇔ ∃F ∈ F . For instance the statement above begins “∀ > 0” so its proof has to begin “Let > 0 be arbitrary”. De Morgan’s Laws extend to this context: if F is a family of subsets of some set X. It is necessary that you can grasp what such a complicated statement says. then X\ F = X \F F ∈F F ∈F and the same with intersection and union reversed. x ∈ F. The intersection of the family.Lecture A2 Metric Spaces We continue with our list of prerequisites for the course (we discussed number 1 last time. followed by an argument that establishes the rest of the statement for a given arbitrary value of . complements (A\B).
6 . Deﬁnition A2. x) for all x.g. x2 ∈ X. We’ll begin with the axioms for metric spaces. Exercise A2. dX ) and (Y. Deﬁnition A2. Give some examples of other proof skeletons corresponding to other parts of a statement. The vector space Rn can be made into a metric space by deﬁning the distance between points x = (x1 . x ) = 0 if and only if x = x . . x2 ) for all x1 . The motivating example is the metric d(z. Two metric spaces that are related by an isometry are equivalent from the point of view of metric space theory. x . x (symmetry).2. w) = z − w on C or R. x ) 0 for all x. . (ii) d(x. There are many examples which realize the axioms. 4.) The same formula also makes Cn into a metric space. xn ) and y = (y1 .Exercise A2. ⇔ and so on.1. . y) = x1 − y1 2 + · · · + xn − yn 2 1/2 . (The proof that this does indeed satisfy the triangle inequality is a standard exercise. yn ) to be d(x.3. the isometries are just the congruences of Euclidean geometry. Let (X. x (triangle inequality). ∃. For the usual metric on the plane. The general theory consists of a collection of axioms. . . f (x2 )) = dX (x1 . Write down in symbols (as above) what it is for the function f to be not continuous at x0 . . such as those for a group or a vector space.4. x ) + d(x . e. Example A2. moreover. ⇒. d(x. and we develop a theory that applies to all of them. x ) = d(x . x ) d(x. An isometry from X to Y is a bijection f : X → Y such that dY (f (x1 ). x ) for all x. . x . dY ) be metric spaces. . A metric space is a set X equipped with a function d : X ×X → R (called a metric or distance function) such that: (i) d(x. Axiomatic method This is the “standard operating procedure” of modern mathematics. These are called Euclidean spaces. Here are some more examples of metric spaces. We understand speciﬁc examples by ﬁtting them into a general theory. (iii) d(x. We will study topology from this point of view.5.
The discrete metric on X is deﬁned by d(x. These are different metrics from the standard one (though. 7 . this metric structure is called the subspace metric on Y .8. Bell System Technical Journal 29(1950). One can also deﬁne metrics on Rn by d (x. y) = 0 (x = y) 1 (x = y) Example A2. they are in a certain sense “equivalent”. makes Y into a metric space. y) = #{i : 1 i n. Here is an inﬁnitedimensional example.7. in other words. We can deﬁne a metric by d(f. x ) < } is contained in U . as we’ll see later. 1] → C.) Example A2. which we think of as nletter words in the alphabet A. the number of positions in which the two words differ. Let X be any set. xi = yi }. ) := {x ∈ X : d(x. y) = sup x1 − y1 . Deﬁne a distance on An by d(x. 1] of all continuous functions [0. Deﬁnition A2.) Example A2.Example A2. 147–160. Let A be a ﬁnite set (the alphabet) and consider the set An of ntuples of elements of A. A subset U of a metric space X is open if for every x ∈ U there is > 0 such that the entire ball B(x. g) = sup{f (t) − g(t) : t ∈ [0. Errordetecting and errorcorrecting codes. . Let X be any metric space and let Y be a subset of X. y) = x1 − y1  + · · · + xn − yn  and d (x. Convergence of a sequence of functions in this metric is called uniform convergence. restricted to Y . This Hamming distance was introduced in 1950 to give a technical foundation to the theory of errorcorrecting codes (Hamming.9. Consider the collection C[0. 1]}. .10. . .11. Example A2. xn − yn  . Then the distance function on X.6.
so there are plenty of open sets. Many sets are neither open nor closed. and some may be both. A set F whose complement X \ F is open is called closed. 8 .The triangle inequality shows that every ball is open. Note carefully that ‘closed’ does not mean the same as ‘not open’.
1. .4. which is to say that U is open. and the entire metric space X. . Consider the three metrics on Rn deﬁned in examples A2. i ) ⊆ Ui . 2 ) is just the set {x}. Then B(x. ) ⊆ V .6. . Un } be a ﬁnite collection of open sets and let U = F = U1 ∩ · · · ∩ Un . Thus for any x ∈ U there exists > 0 such that B(x. . Example A3. and thus B(x. . then for each i = 1. Each open ball in any one of these metrics contains an open ball (with the same center but possibly different radius) in any one of the other metrics. Lemma A3. The union of any collection of open sets is open.7). Proof. ) ⊆ Ui for all i.2. ) := {x ∈ X : d(x. x ) < } is contained in U . The empty set ∅ and the entire metric space X are closed.3.5 and A2. 1 Example A3. . Since V ⊆ U . Let = min{ 1 . in a discrete space. . Consequently. The union of a ﬁnite collection of closed sets is closed. That is what is meant by saying that they are equivalent. ) ⊆ U . Let F be a collection of open subsets of a metric space X and let U = F be the union of the family. The empty set ∅. Since V is open. ) ⊆ U . . the open ball B(x. Now let F = {U1 . we also have B(x. n } > 0. using de Morgan’s laws. then there is some V ∈ F such that x ∈ V . we have Lemma A3. Equivalently. . are open. . 9 . there is > 0 such that B(x. these three metrics all have exactly the same open sets. every subset is open. which is to say that U is open. n there is i > 0 such that B(x.Lecture A3 Open and Closed Sets We ﬁnished last time with an important deﬁnition: A subset U of a metric space X is open if for every x ∈ U there is > 0 such that the entire ball B(x. The intersection of a ﬁnite collection of open sets is open. If x ∈ U . Consequently. If x ∈ U . In a discrete metric space (Example A2. Thus for any x ∈ U there exists > 0 such that B(x. ) ⊆ U . ) ⊆ U . The intersection of any collection of closed sets is closed. . .
3]. 1) ∩ Q ∪ (2. denoted S ◦ . is the settheoretic difference ∂S = S \ S ◦ . Let X = R and let S = (0. and it is the smallest closed set that includes S. we have S◦ = U : U ⊆ S and U open in X . As we said earlier. 3}. Now show that for any subset S of X. denoted S. is the union of all the open subsets of X that are included in S.8. in particular. S is open if and only if it is equal to its own interior. Deﬁnition A3. Finally. Show that if A. In particular. then A◦ ⊆ B ◦ and A ⊆ B. S = [0. Then S ◦ = (2. Y can be considered as a metric space in its own right (with the metric that it inherits from X). B are subsets of X. One more remark about open sets. 1] ∪ {2.9. 3). What is then the relation between the open subsets of the new space Y and the open subsets of the original space X? 10 .Let X be any metric space. 1] ∪ [2. Example A3. S itself is closed iff it is equal to its own closure.7. and ∂S = [0. The interior of S (in X). The boundary of S is the intersection of two closed sets (S and X \ S ◦ ). and it is therefore closed. The interior of S is an open set (because it is the union of a family of open sets) and (from the deﬁnition) any open subset of X that is included in S is also included in S ◦ . is the intersection of all the closed subsets of X that include S. 3]. and A ⊆ B. The closure of S is a closed set. and let S be a subset of X.6.5. we have Deﬁnition A3. Thus. denoted ∂X. Deﬁnition A3. The boundary of S (in X). In symbols. the interior of S is just the biggest open subset of X that is included in X. Exercise A3. The closure of S (in X). Dually. Let X be a metric space and let Y be a subset of X. S ◦ ◦ = S ◦ .
Y a metric subspace (as above). But this means that B(x. ry ). Suppose that f is continuous and let U ⊆ Y be open. Theorem A3. Then f : X → Y is continuous iff. we may consider U = B(f (x). > 0 and suppose that f satisﬁes the condition in the theorem.10. an open set such that x ∈ f −1 (U ). f (x )) < whenever d(x. so open in X. Let V be open in Y . and U ∩Y = y∈Y BX (y. x ) < δ. Let x ∈ f −1 (U ). f (x ) ∈ B(f (x). This proves one direction of the “if and only if” statement in the proposition. Proof. ). It is continuous if it is continuous at every x ∈ X. δ) ⊆ f −1 (U ). δ) ⊆ f −1 (U ). ry ) ⊆ V . Deﬁnition A3. Then a subset V ⊆ Y is open in Y iff it can be written V = U ∩ Y for some U ⊆ X open in X. for every open U ⊆ Y . Then for each y ∈ V there is ry > 0 such that BY (y. ). Our hypothesis tells us that f −1 (U ) is open. the inverse image f −1 (U ) := {x ∈ X : f (x) ∈ U } is open in X. This gives us continuity. δ). the other direction (which is easier) is an exercise. δ) then f (x ) ∈ B(f (x). ) ⊆ U . Conversely. A function f : X → Y between metric spaces is continuous at x ∈ X if for every > 0 there is δ > 0 such that d(f (x).12. By deﬁnition of ‘continuous’ there is δ > 0 such that if x ∈ B(x. We have shown that whenever x ∈ B(x. ) ⊆ U .Proposition A3. r) = BX (y. ry ) ∩Y = y∈Y BY (y. But there is a very important alternative characterization in terms of open sets. r) ∩ Y. This is a union of open subsets of X. Let X be a metric space. The deﬁnition of continuity is translated in the natural way to the metric space context. Notice the following relationship between balls in Y and in X:if y ∈ Y then BY (y.11. In particular. let x ∈ X. Proof. Thus the set f −1 (U ) is open. ry ) = V. 11 . which means that there is a δ > 0 such that B(x. Let U = y∈Y BX (y. then f (x) ∈ U so by deﬁnition of ‘open’ there is > 0 such that B(f (x). Let X and Y be metric spaces.
as was shown by Brouwer and others at the beginning of the 20th century.4. We’ll now study the properties of sequences. Its inverse is y → y(1 − y 2 )− 2 .) If there is a homeomorphism between X and Y . (Equivalently. A homeomorphism is a “topological equivalence” (it is easy to check that the relation of homeomorphism is an equivalence relation in the sense of algebra). The map t → (cos 2πt.1.5. d) is a continuous bijection. But in general nothing can be said about the behavior of the direct image f (S) of an open or a closed set S under a continuous map. Then the identity map (X. A sequence in a metric space X is a mapping from the natural numbers N to X: we’ll follow the usual abbreviation of referring to “the sequence (xn )” rather than “the sequence which maps the natural number n to xn ∈ X.Lecture A4 Continuity and sequences In the previous lecture we saw that a map f : X → Y between metric spaces is continuous iff f −1 (U ) is open (in X) whenever U is open (in Y ).” 12 1 . is indeed “no”. f is a continuous map with a continuous inverse. Example A4. Example A4. Are two concretely given spaces homeomorphic or not? Example A4. as expected. but it is usually not a homeomorphism. Remark A4.6. then we say that these spaces are homeomorphic. 1). (Note that there are continuous maps of Rm onto Rn even if m < n — “spaceﬁlling curves”. A fundamental question in topology is to devise processes for answering the question. A map f : X → Y between metric spaces is called a homeomorphism if it is a bijection and both f and f −1 are continuous. It is equivalent to say that f −1 (F ) is closed in X whenever F is closed in Y . we consider homeomorphic spaces to be ”essentially the same“. Deﬁnition A4. 1] onto the unit circle in R2 .2. Are Rn and Rm homeomorphic if m = n? This and related questions were problematical in the early days of topology. sin 2πt) is a continuous bijection from the halfopen interval (0. The map x → x(1 + x2 )− 2 is a homeomorphism from R to the 1 open interval 9 − 1. Example A4.3. In topology. Let (X. d ) → (X. but it is not a homeomorphism. d ) be the same set equipped with the discrete metric.) But the answer. d) be a metric space and let (X.
but d(f (x). Proposition A4. Suppose that f is not continuous at x. By deﬁnition of continuity there is δ > 0 such that d(x. f (x )) < . x ) < δ and d(f (x). 0} (with the metric it inherits as a subspace of R). Let X be a metric space. Thus d(f (x). Then there is some > 0 such that B(x. ) ⊆ U . hence f (xn ) does not converge to f (x).Deﬁnition A4. When we come to consider more general topological spaces. d(x. Let T be the metric space {1. Suppose that f is continuous at x and let > 0 be given. 3 . f (xn )) for all n. Let xn be a value of x corresponding to δ = 1/n. and in that case f (0) = limn→∞ xn . At the same time.8. the sequence (f (xn )) converges to f (x). whenever (xn ) is a sequence converging to x. Suppose that x is a limit point of A. Then xn → x. x ) < δ implies d(f (x). A ⊆ X. A point x ∈ X is a limit point of A if it is the limit of a sequence of distinct points of A. and then sequences will be of less use. Deﬁnition A4. We say (xn ) converges to x ∈ X if for every > 0 there is an integer N such that d(x.11. Then there is a sequence (xn ) of distinct points of A. f (x ) . it shows how the usefulness of these “probes” depends on the countable local structure of a metric space — speciﬁcally. This result illustrates how sequences can be used to probe the topological properties of metric spaces. 2 .9. A function f : X → Y between metric spaces is continuous at x if and only if. x is a limit point of A if and only if every open set containing x also contains inﬁnitely many points of A. Remark A4. xn ) < whenever n > N . Then there is > 0 such that for all δ > 0 there is x with d(x. Let U be an open set containing x. there 13 . .12.10. Show that a sequence (xn ) in the metric space X is convergent if and only if there exists a continuous function f : T → X such that f (1/n) = xn . converging to x. Proof. Lemma A4. We write then x = limn→∞ xn . Let (xn ) be a sequence in the metric space X. on the fact that any ball around x ∈ X contains one of the countably many balls B(x. 1/n). 1 1 Exercise A4. Proof. By deﬁnition of convergence there is N such that for all n > N . . f (xn )) < and f (xn ) converges to f (x). xn ) < δ. this “countable local structure” may not be available. . .7. By deﬁnition of convergence.
and. A point x belongs to the closure of A iff it is not in the interior of X \A. all of which are members of A. 1) ∩ A. ) must meet A. Must every closed ball be the closure of the open ball of the same center and radius? 14 . r) := {x ∈ X : d(x. and. let xn be any point in B(x.16. xn−1 have been deﬁned. U contains inﬁnitely many of the {xn }. ) ∩ A = {a}. A closed ball in a metric space is a set ¯ B(x. Proof. Show that a closed ball is closed. . . In particular. x ) r}. d(xn−1 . . . ) ⊆ U for all n > N . then. 1) ∩ A. .13. Proposition A4. so x is a limit point of A. A closed subset of a metric space is perfect if it has no isolated points. 1/n) ∩ A that is distinct from the (ﬁnitely many!) points x1 . By deﬁnition of “interior”. A is closed if and only if it contains all its limit points. xn−1 . . let xn be any point in B(x. . Show that a ∈ A is isolated if and only if there is > 0 such that B(a. Deﬁne a sequence (xn ) inductively as follows: x1 is any point in B(x. this is the same as to say that each ball B(x. Deﬁnition A4. An isolated point of A is a point of A that is not a limit point of A. xn−1 have been deﬁned. x). . Conversely suppose that every open set containing x also contains inﬁnitely many points of A. δn ) ∩ A where δn = min{d(x1 . x)}. Then (xn ) is a sequence of distinct points of A and it converges to x. . The closure of a subset A is the union of A and the set of all its limit points. Deﬁne a sequence (xn ) inductively as follows: x1 is any point in B(x. assuming that x1 . In particular. . any limit point of A must belong to A. suppose that x ∈ A \ A. assuming that x1 .is N > 0 such that xn ∈ B(x. Exercise A4. . .15. By the previous lemma. . Exercise A4.14. Conversely. . . Then (xn ) is a sequence of distinct points of A and it converges to x. .
m > N . Then there must be some n such that xm < xn for all m > n. Continuing in this way by induction we get a monotonic decreasing subsequence xn1 . the subsequence xn1 +1 . . if a sequence in X is a map N → X. It is a standard consequence of completeness that every bounded. (Formally speaking. Let (xn ) be a sequence of real numbers. Proof. Every closed. i. monotonic sequence of real numbers is convergent. .. a subsequence of the given sequence is the result of composing it with a strictly monotonic map N → N. we could build a monotonic increasing subsequence by induction.) Lemma A5. xn1 +2 . .e. xm ) < .4.2. then the whole sequence is in fact convergent. Moreover. so by the same argument there is n2 > n1 such that xm < xn2 for all m > n2 . for all n. (Otherwise.3. if a Cauchy sequence has a convergent subsequence. R is (Cauchy) complete. (A subset is bounded if it is contained in some ball.Lecture A5 Compactness I’ll take for granted the notion of subsequence of a sequence of points in a matric space. . . These facts combine with the BolzanoWeierstrass theorem to show that every Cauchy sequence of real numbers converges: i. Proposition A5.) But now take this n and call it n1 . A metric space X is (sequentially) compact iff every sequence of points of X has a subsequence that converges in X. Apply the previous argument to the “tail” of the original sequence beginning at n1 . A Cauchy sequence is necessarily bounded. . A Cauchy sequence in a metric space is a sequence (xn ) with the following property: for every > 0 there exists N > 0 such that. d(xn . bounded subset of Rn or Cn is sequentially compact. This also has no monotonic increasing subsequence. xn2 . Deﬁnition A5.) 15 . Suppose that it has no monotonic increasing subsequence. A metric space is called complete if every Cauchy sequence in it converges.e..1.. Thus we get the BolzanoWeierstrass theorem: every bounded sequence of real numbers has a convergent subsequence. Deﬁnition A5. Every sequence of real numbers has a monotonic subsequence.
The triangle inequality shows that d(an . What has this got to do with the familiar calculus principle that ‘a continuous function on a closed bounded interval is itself bounded and attains its bounds’? Despite the above evidence.6. this follows from the fact (easily proved) that a sequence of points in Rn is convergent if and only if each of its coordinate sequences is convergent. it’s not in general true that ‘closed and bounded’ equals ‘compact’. by compactness. and A is compact (in its own right). say to x. a0 ) > 1 + d(an−1 . since U is a cover. There is n > 2/ such that d(xn . Show that if X is compact then Y is compact also. 1/n) is contained in no member of U . Then one can construct by induction a sequence (an ) in A such that d(an . Proof. ) ⊆ U which is a contradiction. then A is bounded and closed in X. 16 . 1/n) ⊆ B(xn . Suppose that U does not have a Lebesgue number. Proposition A5. Deﬁnition A5. am ) > 1 for n = m.7. (an ) has a subsequence converging in A. But then B(xn . Let x ∈ X be a limit point of A. the sequence (xn ) has a subsequence that converges. a0 ) for n 1. ) ⊆ U . x) < /2. Then for every n there is xn ∈ X such that B(xn . An open cover U for X is a collection (ﬁnite or inﬁnite) of open sets whose union is all of X.5. Thus there is > 0 such that B(x. Suppose that A is not bounded. If A is a subset of any metric space X.Proof. Proof. Now x belongs to some member U of U . If X is compact. (Counterexample?) We shall analyze this in detail. Thus x ∈ A. For R this is just the BolzanoWeierstrass theorem.8. Exercise A5. Let f : X → Y be continuous and surjective. Then there is a sequence (an ) in A converging to x. Let X be a metric space. Theorem A5. (Lebesgue) Every open cover of a (sequentially) compact metric space has a Lebesgue number. Clearly (an ) has no convergent subsequence. But. For Rn . and A is closed. A Lebesgue number for U is a number δ > 0 such that every open ball of radius δ is a subset of some member of U . /2) ⊆ B(x.
Since X is totally bounded it has a ﬁnite cover by δballs. δ). The B(x. (c) X is covering compact. Then (xn ) is n n n a Cauchy subsequence of the original sequence. When it does terminate. (b) For every δ > 0 there is a ﬁnite cover of X by balls of radius δ. (b) implies (a): Notice the following implication of (b): given any δ > 0. xm ) δ when m < n. any sequence in X has a subsequence all of whose members are separated by at most δ (call this a ‘δclose subsequence’). Proof. In the other direction. (b) X is complete and totally bounded. / 17 . . In this case we say X is totally bounded (some writers say precompact).10. (a) Every sequence in X has a Cauchy subsequence. and then inductively choose xn ∈ X such that d(xn . n = 1. Let U be an open cover of X. it does so because the balls B(xn . The process must terminate because if it didn’t it would produce a sequence with no Cauchy subsequence. x ) for / all but ﬁnitely many n.9. with xN say. The following conditions on a metric space X are equivalent: (a) X is sequentially compact. Let (xn ) be any sequence in X. Let δ > 0 be a Lebesgue number for U (which exists because of Theorem A5. Suppose (a). . so long as this is possible. . . Picking a ﬁnite subcover we obtain the contradiction that xn ∈ X for all but ﬁnitely many n. and so on by induction.8). A metric space X is said to be (covering) compact if every open cover of X has a ﬁnite subcover. But each such ball is a subset of a member of U .Proposition A5. Let (xn ) be a sequence without convergent subsequence. so U has a ﬁnite subcover. Proof. (a) implies (b): Choose x1 ∈ X. n let (x2 ) be a 2−2 close subsequence of (x1 ). The following conditions on a metric space X are equivalent. cover X. Proposition A5. It is easy to see that (a) and (b) are equivalent. Then for each x ∈ X there is some x such that xn ∈ B(x. x ) form a cover of X. suppose (c). Let (x1 ) be a 2−1 close subsequence of (xn ). N .
Hint: use Theorem A5.Remark A5. f (x )) < whenever d(x.) Show that if X is compact. every continuous f is uniformly continuous.8. (The extra information beyond ordinary continuity is that δ does not depend on x. Exercise A5. and ‘covering compact’ is usually the most appropriate one.12. For general topological spaces. x ) < δ.11. the notions ‘covering compact’ and ‘sequentially compact’ are not equivalent. A map f : X → Y between metric spaces is uniformly continuous if for each > 0 there is δ > 0 such that d(f (x). 18 .
We show that f is a continuous function on X. Proposition A6.Lecture A6 Compactness and Completeness (The lecture will begin with a review of the basic results about compactness.1.2. Let X be a compact metric space. identify a candidate for its limit. Fix x ∈ X and let > 0 be given. Take n = N and let n → ∞ to ﬁnd that fN (x) − f (x) /3 for all x. from the previous section). Then. Proof. It follows that.10. Let (fn ) be a Cauchy sequence in C(X). Finally to show that fn → f in C(X) we must prove that for every > 0 there is N such that fn (x) − f (x) < for all x whenever n > N . Then C(X) denotes the space of all continuous functions X → C. whenever x − x  < δ. fn (x) is a Cauchy sequence in C. But in fact we already proved this in the previous paragraph. Since C is complete this sequence converges. Deﬁnition A6. 19 . (Compare Example A2. Denote its limit by f (x). fN is continuous at x so there is δ > 0 such that fN (x) − fN (x ) < /3 whenever x − x  < δ. and show that the sequence approaches the candidate limit in the metric of the space in question. the metric spaces C(X) and CR (X) are complete. Because (fn ) is Cauchy there is N such that for n . g) = sup{f (x) − g(x) : x ∈ X}. Now. This shows that f is continuous. Most completeness proofs proceed in the same threestage way: Given a Cauchy sequence.) Compactness of X ensures that the supremum exists (why)? We can also consider the space CR (X) of continuous realvalued functions. for each x ∈ X. It is a metric space equipped with the metric d(f. For a compact X. n N we have fn (x) − fn (x) < /3 for all x. show that the candidate is in the space in question. f (x) − f (x ) f (x) − fN (x) + fN (x) − fN (x ) + fN (x ) − f (x ) < .
“Closed and bounded” is not enough. 20 . The answer is given by the AscoliArzela theorem.It is an interesting and important question what are the compact subsets of the complete space C(X).
Since f is continuous. Now let V be the metric space with the same points as U but with the metric dV (x. Let f : U → R be the function deﬁned by f (x) = 1 . It is easy to see that this is indeed a metric. A uniform homeomorphism between metric spaces is a homeomorphism f : X → Y such that both f and f −1 are uniformly continuous. The space (0. x ) < δ. x ) = d(x.Lecture A7 Applications of completeness Recall that a metric space X is said to be complete if every Cauchy sequence in X converges. Proof. Exercise A7. i. Show that if X is complete and there is a uniform homeomorphism X → Y . x ) < δ1 implies f (x) − f (x ) < /2. dV (x. This proves that completeness is not a topological property. there is δ1 > 0 such that d(x. Suppose x ∈ U and let > 0 be given. Finally I claim that the identity map U → V is a homeomorphism. Then if d(x. Proposition A7. Let X be a complete metric space and let U ⊆ X be an open set. Then U is homeomorphic to a complete metric space (it is topologically complete). y) : y ∈ X \ U } This is a welldeﬁned.1. /2)}. 2 So the identity map U → V is continuous.. x ) < 21 .2. in addition. continuous function with the property that f (xn ) → ∞ whenever xn is a sequence in U that converges to some x ∈ X \ U . and the continuity of the inverse is easy. Put δ = min{δ1 . the values f (xn ) are bounded (so the limit x in fact belongs to V ).e. inf{d(x. Moreover. 1) is not complete. x ) + f (x) − f (x ). it is complete: if (xn ) is a Cauchy sequence for the metric dV . we have + f (x) − f (x ) < . whereas the homeomorphic space R is complete. is not preserved under homeomorphism. then Y is complete. say to x ∈ X) and. then it is also a Cauchy sequence for the metric d (so it converges in X.
(Banach) A contraction on a complete metric space has a unique ﬁxed point (a point x such that f (x) = x). the topology on the irrational numbers can be given by a complete metric. which converges to a point x. e somme). Theorem A7. f (x )) ad(x. Proof. But the same is not true for the rational numbers. Another important source of existence theorems. A ﬁxed point is unique because if x. x are two such then d(x. A countable union of closed sets is called a Fσ set (French: ferm´ . Banach’s ﬁxed point theorem is one of the most important sources of existence theorems in analysis. 22 . x ) = 0. then f has a unique ﬁxed point. A subset of a metric space is called a Gδ set (German: GebeitDurschnitt) if it is the intersection of countably many open sets. Note that a contraction must be continuous. Prove this.4. is the Baire category theorem. xn+1 ) an r and so d(xn . x2 = f (x1 ) and so on. f (x )) ad(x. xn+k ) (an + · · · + an+k−1 )r an r 1−a which tends to 0 as n → ∞. it can be shown that any Gδ subset of a complete metric space is topologically complete. A mapping f : X → X is a (strict) contraction if there is a constant a < 1 such that d(f (x). start with any x0 ∈ X and deﬁne x1 = f (x0 ). x ∈ X. Exercise A7. x ). Let X be a metric space.7. This is the only known example of dual mathematical concepts being described using dual languages. which implies d(x. as will follow from the Baire category theorem. x1 ) = r then d(xn . Banach’s ﬁxed point theorem can be extended as follows: if f : X → X is a map and some power f N = f ◦ · · · ◦ f is a strict contraction. In particular.3.Remark A7. the irrational numbers form a Gδ subset of R. To prove existence. Thus (xn ) is a Cauchy sequence. For example. x ) = d(f (x). Deﬁnition A7. We have f (x) = lim f (xn ) = lim xn+1 = x so x is a ﬁxed point. If d(x0 . Generalizing the above construction. x ) for all x. which also uses completeness.5.6. Remark A7.
any complete. B(xn . Let x ∈ X and let > 0.12. Let {Un }. 1].) Theorem A7. A set is of ﬁrst category if it is the countable union of nowhere dense sets. Baire’s theorem then says that in a complete metric space the complement of a set of ﬁrst category (sometimes called a residual set) is dense. rj ) for all j n. 1] of continuous realvalued functions on [0.Deﬁnition A7. (It is often important that R has a countable dense subset. rj ) for every j. Remark A7. Consider the complete metric space CR [0. Proof. b ∈ [0.10. Remark A7. Since xn ∈ B(xj .9. Then (xn ) is a Cauchy sequence. that is. b] is nowhere dense in CR [0. Using Baire’s theorem. monotonic on no subinterval of [0.. Since U2 is dense there is x2 ∈ U2 ∩ B(x1 . say converging to a point x . More generally. A space with this property is called separable. 1]. (Baire) In a complete metric space. For a.11. the point x belongs to B(xj . For in a perfect metric space. be dense and open. rn < rn−1 /2.8. and hence to Un . n = 1.14) metric space is uncountable. Notice that this gives us another proof that R is uncountable (compare Exercise A1. without loss of generality take r1 < /4. Since x and were arbitrary. rn ) ⊆ Un . 23 . Moreover. 1] that are nowhere monotonic. 1] show that the set of functions f which are nondecreasing on the interval [a. 2. d(x. /2). deduce that there exist functions f ∈ CR [0. The rational numbers Q are dense in R. the complement of any point is dense. The name ‘category theorem’ comes from the following (traditional) terminology. rn−1 ). . 1].13. Exercise A7. perfect (Deﬁnition A4. x ) < . Un is dense. A set A is nowhere dense if the complement of its closure is dense. Choose x1 ∈ U1 ∩ B(x. r1 ) ⊆ U1 . A subset of a metric space is dense if its closure is the whole space Example A7. Proceed inductively in this way choosing xn and rn such that xn ∈ Un ∩ B(xn−1 . There is r1 such that B(x1 .5). For the complement of a point in R is a dense open set. . r1 ). the intersection of countably many dense open sets is dense. .
. v ) = v − v is then a metric. Since it is complete (theorem A6. Let a and b be positive real numbers and let p > 1. Hence (or otherwise) show that the expression x is also a norm on Rn or Cn . denoted v → v . such that (a) v 0 for all v. xn } all deﬁne norms.2. This is a norm. A norm on V is a function V → R. The expressions x 1 = x1  + · · · + xn  1/2 x 2 = x1 2 + · · · + xn 2 x ∞ = max{x1 .1. d(v. Show that inf{t1−p ap + (1 − t)1−p bp : t ∈ (0.4. Let V be a vector space (real or complex).2) it is a Banach space as deﬁned below. Example A8. and v = 0 iff v = 0. where λ is a scalar (real or complex). If V = C(X). this metric has an ‘afﬁne’ structure not present in a general metric. Let x = (x1 . .Lecture A8 Normed Spaces Deﬁnition A8. . Clearly. Exercise A8. 1)} = (a + b)p . (c) v + v v + v . . we may deﬁne f = sup{f (x) : x ∈ X}. (b) λv = λ v . . Because of (b). xn ) be a vector in Rn or Cn . 24 p = (x1 p + · · · + xn p )1/p . Example A8. and it gives rise to the usual metric on C(X). . . .3.
1} k v 25 .Deﬁnition A8. If T is continuous then there is some δ > 0 such that u < δ implies T u < 1. Proof. W ) of bounded linear maps from V to W is a normed vector space. Exercise A8. Show that.e.6. Proposition A8.5. the collection L(V. with the above norm. Deﬁnition A8. i. Show that the norm of linear maps is submultiplicative under composition. If T is bounded then T u − T v k u − v so T is continuous. S ◦ T S T . A linear mapping T : V → W between normed vector spaces is continuous if and only if there is a constant k such that Tv (one then says that T is bounded).7. that is the quantity sup{ T v : v is called the norm of T and denoted T .8. it is called a Banach space. Take k = 1/δ. If a normed vector space is complete in its metric. The best constant k in the above proposition. Exercise A8. and that it is a Banach space if W is a Banach space.9.
let x ∈ V . T is unique if it exists. Example A9. we need only suppose f is deﬁned on some open subset U of V . Remark: The existence of the partial derivatives does not by itself imply differentiability in the sense of our deﬁnition above. Exercise A9. If V = W = R then every linear map V → W is multiplication by a scalar. Similarly for expressions like “f (h) = g(h) + o(h)”. the space of (bounded) linear maps L(V . Now let f : V → W be a continuous (need not be linear) map between normed vector spaces. Show that T (h) = o( h ) if and only if T = 0. we identify L(V. Deﬁnition A9. If V = R and W is arbitrary. With above notation.4. By the exercise. W ) = R. i.3. This just shows that our deﬁnition is right and partials are wrong! Example A9. W ) is the space of n × m matrices. Let f be a function deﬁned on some ball B(0.6. If V = Rm and W = Rn then L(V . h→0 h 26 .e. We shall write “f (h) = o( h )” to mean that the limit limh→0 h −1 f (h) exists and equals zero. Example A9. Under this identiﬁcation the derivative of f is given by the usual formula Df (x) = lim f (x + h) − f (x) . Suppose that T : V → W is a linear map. The matrix entries of the derivative of f are the partial derivatives of the components of f as deﬁned in Calculus III. Under this identiﬁcation our deﬁnition of the derivative corresponds to the usual one from Calculus I. Normed spaces provide a systematic way to express this. We say that f is differentiable at x if there is a bounded linear map T : V → W such that f (x + h) = f (x) + T · h + o( h ). Notation A9. ) in a normed space V and having values in another normed space W . In fact. It is called the derivative of f at x and written Df (x).2. W ) can be identiﬁed with W itself.5.1.Lecture A9 Differentiation in Normed Spaces The basic idea of differentiation is that of ‘best linear approximation’.
contradicting the deﬁnition of τ as the supremum. If τ < 1 then there exists δ > 0 such that f (xt ) − f (y) (k + ) xt − y ∀t ∈ (τ − 2δ. and let T be the set of all those t ∈ [0.7. Another familiar calculus result that generalizes easily is the chain rule. Proposition A9.Exercise A9. r). By deﬁnition of the derivative each y ∈ B(x0 . Therefore it is impossible that τ < 1 and the theorem is proved. θ) for some θ > 0. r) ⊆ V . Let xt = (1 − t)x0 + tx. Now we will “creep along” the line segment [x0 . Remark A9.8. (Mean value theorem) Suppose that the function f is differentiable throughout a ball B(x0 . 1] we have τ − cδ ∈ T and so f (xτ +cδ ) − f (x0 ) f (xτ +cδ ) − f (xτ ) + f (xτ ) − f (xτ −cδ ) + f (xτ −cδ ) − f (x0 ) (k + ) ( xτ +cδ − xτ + xτ − xτ −cδ + xτ −cδ − x0 ) = = (k + ) ( xτ +cδ − x0 ) . Show that the derivative of a linear map is always equal to the map itself. r). 1] and let y = xτ . If follows that τ +δ ∈ T . Let > 0. The ﬁnal equality is because the three vectors appearing here are positive multiples of the same vector. r) such that f (y ) − f (y) (k + ) y − y ∀y ∈ Uy . From the proof one sees that the theorem is true if we replace the ball by any region that is starshaped about x0 .9. τ + 2δ). r) has a neighborhood Uy ⊆ B(x0 . 27 . x] ⊆ B(x0 . and that Df (x) k for all x ∈ B(x0 . Proof. Let τ = sup T ∈ (0. 1]. It is easy to see that the derivative of f ± g is Df ± Dg. Clearly. For any c ∈ [0. T is an interval and the displayed equation above shows that it contains [0. 1] such that f (xs ) − f (x0 ) (k + ) xs −x0 for all s t. t ∈ [0. r). Then f (x) − f (x0 ) k x − x0 for all x ∈ B(x0 .
f (t)) with initial condition f (a) = v0 . Thus we can differentiate it and deﬁne second and higher derivatives if we require. A function f : [a. X be normed vector spaces. Now write (g ◦ f )(x + h) − (g ◦ f )(x) = g(y + k(h)) − g(y) = Dg(y) · k(h) + o( k(h) ) = Dg(y) · Df (x) · h + o( h ) giving the result. b] on which there is a solution to the differential equation f (t) = F (t. Suppose that V is a Banach space and suppose also that the function F is continuous and satisﬁes a Lipschitz condition. v ) C v−v . Note that there is a constant A such that k(h) A h for small h . where V is a normed vector space. (Chain rule) Let V. f (t)) for all t ∈ [a. b] → V is a solution to the differential equation deﬁned by F if it is differentiable and f (t) = F (t.10. b] ⊆ R. Note that the derivative of f . Let k(h) = f (x + h) − f (x) = Df (x) · h + o( h ). and prove it (under suitable hypotheses) for maps between normed vector spaces. and let x ∈ V . there exists a constant C > 0 such that F (t. Let f : V → W be differentiable at x and let g : W → X be differentiable at y = f (x). W )). Df . 28 . Remark A9. b]. Proof. moreover. W. this solution is unique. v) − F (t .11. Let F be a function R × V → V . that is ∂ 2 f /∂x∂y = ∂ 2 f /∂y∂x. Let [a.13. Then for any a ∈ R and any v0 ∈ V there exists a nontrivial interval [a. The value f (a) ∈ V is called the initial condition for the solution. is itself a function having values in a normed space (namely the space L(V. (Openended) Formulate precisely the advanced calculus result that “the mixed derivatives are symmetric”. that is. and g need only be deﬁned near y. Note that f need only be deﬁned near x. Exercise A9. Theorem A9.12. Then g ◦ f is differentiable at x and D(g ◦ f )(x) = Dg(y) ◦ Df (x).Proposition A9.
Therefore.Proof. is also complete. which is a solution to the differential equation with the speciﬁed initial condition. b] of continuous functions on [a. t ∈ [a. you will need to take it on faith that the same facts are true for functions having values in a normed vector space V . s (I f )(s) = v0 + a F (t. complete) then the space of continuous functions [a. t ∈ [a. g ∈ C[a. b] be deﬁned by the right hand side of the display above. we shall use the fact that if V is a Banach space (that is. Let I : C[a. b] is a solution of the differential equation if and only if it is a solution of the equivalent integral equation s f (s) = v0 + a F (t. that is. b]. We need to use some facts about integration for V valued functions. b] → V . in a ﬁrst course on integration these facts are usually proved only for real or complex valued functions. b] then the integrands in I f and I g differ by C f − g at most. Moreover. We will use the fundamental theorem of calculus: a function f ∈ C[a. 29 . This is a fact that we have already proved for real or complex valued functions. and therefore If −Ig C(b − a) f − g by standard estimates on integrals. If f. f (t)) dt. the map I is a strict contraction and Banach’s ﬁxed point theorem provides a unique solution to I f = f . f (t)) dt. b] → C[a. b]. equipped with the sup norm. Finally. b] (with values in V . where C is the Lipschitz constant.6) to the space C[a. We will show that a solution to this equation exists (for b sufﬁciently close to a) by applying Banach’s contraction mapping theorem (A7. and the proof in the general case is exactly the same. if (b − a) < C −1 . It isn’t the job of this course to teach you about integration theory — for that see Math 501 — so I will just state the various facts that are needed. if you like).
For y ∈ V consider the map φy : V → V.6). V ) to L(V . V ). V ) is invertible if it has an inverse which is a bounded linear map from V to V . I +S is invertible. We have shown that the identity is an interior point of the set of invertibles and that the inverse is continuous there. This ﬁxed point is an x such that (I + S)x = y. and that its derivative is Di(T ) · H = −T −1 HT −1 . Without loss of generality V = V . V ). By the triangle inequality. V be normed vector spaces. Proposition A10. Exercise A10. Say T ∈ L(V. so it has a unique ﬁxed point x (Theorem A7. V ) is then a normed vector space also. so x (1 − S )−1 y and the map y → x is bounded. y (1 − S ) x . Then the invertibles form an open subset of L(V.1. Show that the mapping i : T → T −1 is differentiable (where deﬁned) on W .Lecture A10 The inverse function theorem Let V. V ). Since S < 1 this map is a strict contraction. V be Banach spaces. Moreover y − (I + S)−1 y = S(1 + S)−1 y S (1 − S )−1 y which shows that the map S → (I + S)−1 is continuous at S = 0. Let V. Proof.2. so the same results apply to any point of the set of invertibles. v → y − Sv. Suppose S < 1. The space L(V. Let V be a normed space and let W be the normed space L(V. left multiplication by a ﬁxed invertible is a homeomorphism from the set of invertibles to itself. Look ﬁrst at a nbhd of the invertible operator I. However. 30 . We have shown that if S < 1. and the inverse operation T → T −1 is continuous (on this subset) from L(V.
deﬁned near x ∈ V . Theorem A10.Deﬁnition A10.3. W ) is invertible. Thus y0 ∈ f (U ) and we want to prove that there is some > 0 such that B(y0 .6. Suppose moreover that V. It is an application of Banach’s ﬁxed point theorem A7. Choose 1 = 2 A −1 δ. We have Dφy (z) = I − A ◦ Df (z) = A ◦ Df (x) − Df (z) . δ) and thus has a (unique) ﬁxed point there. Since Df is continuous there is r > 0 such that if z ∈ U = B(x. We will construct the inverse function by looking at the ﬁxed points of a suitable map. and if we know for some reason that φy maps F to F . W are Banach spaces. then φy is actually a contraction of this complete metric space and so has a unique ﬁxed point. From the mean value theorem we conclude that if F is a closed subset of U . The inverse function theorem says that under suitable conditions. if Df (x) is invertible then f is ‘locally invertible’ near x. If z ∈ B(z0 . δ) is contained in U . and suppose that f is continuously differentiable and that Df (x) ∈ L(V. for these y. Choose δ > 0 such that the closed ball B(z0 . which is an open set containing f (x). Then there is an open set U containing x such that f is a bijection of U onto f (U ). r) then 1 Dφy (z) < 2 . For y ∈ W deﬁne a map φy : V → V by φy (z) = z + A · (y − f (z)). Let f be as above. A ﬁxed point of φy is a solution to f (z) = y. ) then we may compute φy (z) − z0 = φy (z) − φy0 (z0 ) φy (z) − φy (z0 ) + φy (z0 ) − φy0 (z0 ) 1 z − z0 + A(y − y0 ) 2 1 δ 2 1 + 2δ = δ using the mean value theorem A9. the map φy is a contraction of the complete metric space B(z0 . and such that its inverse g : f (U ) → U is also continuously differentiable. this will show that f (U ) is open.8.4. ) ⊆ f (U ). We have shown that each y0 ∈ f (U ) has an neighborhood contained 31 . Let A = Df (x)−1 . A map f from an open subset of a normed space V to a normed space W is continuously differentiable or C 1 if it is differentiable (everywhere) and the map x → Df (x) is continuous. Proof. Fix z0 ∈ U and let y0 = f (z0 ). We conclude that. δ) and y ∈ B(y0 .
say. Apply A = Df (x)−1 to get u(h) = A · h + o( h ). Continuous differentiability now follows from the continuity of the inverse operation on the space of bounded linear maps (Proposition A10. 32 . This gives differentiability of g with Dg(f (x)) = Df (x)−1 . thus f is a bijection of U onto f (U ). The contraction property of the φy ensures that each y ∈ f (U ) has only one inverse image in U . Then h = f (g(y + h)) − y = f (g(y) + u(h)) − y = Df (x) · u(h) + o( h ). The calculations of the previous paragraph show that u(h) 2 A h for h small. thus. f (U ) is open.in f (U ).1). Now to show that the inverse function g = f −1 : f (U ) → U is differentiable at y = f (x) write g(y + h) − g(y) = u(h).
This topology does not arise from a metric as soon as X has more than one point. then the union of T . (iii) The sets ∅ and X are members of T . The coﬁnite topology on X consists of ∅ together with all the coﬁnite subsets of X (a subset is coﬁnite if its complement is ﬁnite).2. . A topology on a set X is a family T of subsets of X with the following three properties: (i) If Uα is any family of members of T . Example A11. so that the closed sets in the coﬁnite topology are just the ﬁnite sets together with the whole space. For example. ∅ and X. Ui A set equipped with a topology is called a topological space. thus. The indiscrete topology on X has just two open sets. This topology arises from the discrete metric. there are topologies that do not arise from any metric. (Why not?) Example A11. This motivates a further abstraction which removes the numerical notion of metric entirely. Un is a ﬁnite family of members of T then the intersection is also a member of T . Notice that this topology has many “fewer” open (or closed) sets than the topologies with which we are familiar.3.Lecture A11 Topological Spaces We have been emphasizing that “up to homeomorphism” properties of metric spaces depend only on their open sets. . It is natural to say that a closed set is one whose complement is open. α Uα is also a member n i=1 (ii) If U1 . . Example A11. any two nonempty open sets have a nonempty intersection. every metric space carries a topology (called its metric topology). . 33 . Notice that the open subsets of a metric space automatically satisfy (i)–(iii). The discrete topology on X has T = P(X): every subset is open. Different metrics can however give rise to the same topology (as we have already seen). in the coﬁnite topology on an inﬁnite set.4. moreover. A similar but more sophisticated example is the next one.1. Deﬁnition A11. The members of T are called open subsets of the topological space X.
34 . Thus the topology generated by a basis is just the collection of all unions of families of members of the basis. Then T is also a topology on X.7. for every point x ∈ X. . . (The empty set and the whole space X are included among these sets by convention: we take the intersection of an empty family to be X and the union of an empty family to be ∅. The intersection T is then the smallest or “weakest” topology containing F .8.6. In other words.) It is a simple exercise (for an algebraist!) to show that any intersection of varieties is a variety. Exercise A11. It is called the topology generated by F (you’ll also see F called a subbasis for T ). . the metric balls form a basis for the topology of a metric space.Example A11. . (The Hilbert basis theorem says that S can always be taken to be ﬁnite. . xn ) ∈ S ⇔ p(x1 . Let T be the family of all topologies T such that T ⊇ F (there always is one such topology. Let T be a family of topologies on the set X.5. Example A11. let F be any family of subsets of X at all. In particular. in other words.) Moreover. the complex numbers) and let A = K n . . the discrete topology). . . . . A subset V of A is called an afﬁne algebraic variety if there is a set S ⊆ K[X1 . The following language is conventional in this context: the family B of subsets of X is called a basis if. xn ) = 0∀p ∈ S. Show that the topology on X generated by F can be concretely expressed as follows: a set U is open in the generated topology if and only if it can be written as a union Uα of some family of sets Uα . (For example. a variety is the set of common zeroes of a collection of polynomials. Let K be an algebraically closed ﬁeld (for example. . the topology generated by a subbasis F is the topology generated by the associated basis consisting of ﬁnite intersections of members of F . the varieties can be considered as the closed sets of a topology on A. where each Uα is the intersection of some ﬁnite family (depending on α) of members of F . and a ﬁnite union of varieties is a variety. there is some member of B containing x and every ﬁnite intersection of members of B containing x includes some member of B containing x. . Xn ] of polynomials in n variables such that (x1 . called the Zariski topology.) Remark A11.
A space X is compact if every open cover of X has a ﬁnite subcover. Then the family of subsets of Y given by {Y ∩ U : U ∈ T } deﬁnes a topology on Y .5. and that these two sets are equal if S itself is a subset of Y . and boundary of a subset just as in the metric space context. Deﬁnition A12.Lecture A12 Compactness and Hausdorffness Deﬁnition A12. Let S be a subset of X.3. Let X be a topological space. and let Y ⊆ X. Show that f is continuous as a map from X to Y if and only if it is continuous as a map from X onto f (X). Let X be a topological space and Y a subspace of X.1. we can deﬁne the interior. Just as in metric spaces we can also deﬁne a continuous function f : X → Y (X and Y being topological spaces) as one which has the property that. Exercise A12. for every open subset U of Y .10. with topology T . closure. Let f : X → Y be a map of spaces (from now on. Thus. where f (X) ⊆ Y is equipped with its subspace topology.4. but that they need not be equal in general. Deﬁnition A12. (Compare Proposition A3. the inverse image f −1 (U ) is open in X. Exercise A12. “space” will mean a topological space.6. The composite of continuous functions is continuous. with closure S. equipped with the subspace topology.) Any metric space notion which is deﬁned simply in terms of open sets can be taken over without change to the more general context of topological spaces.2. for example. Show that the closure of S ∩ Y in the subspace topology of Y is a subset of S ∩ Y . unless otherwise speciﬁed). 35 . The proof of the following lemma is then obvious: Lemma A12. A homeomorphism is a continuous bijection whose inverse is also continuous. It is called the relative topology or subspace topology induced by the given topology on X.
and U ∩ V = ∅. That is.8. . there exist open sets U.7. together possibly with X \ Y . form an open cover of X. Let f : X → Y be a continuous map.This is the same as the deﬁnition of “covering compact” that was given in Lecture 5. . let X be any topological space. 36 . Let X be a compact space and let Y be a closed subset of X. V with x ∈ U . . We must show that every open cover of Y (in the relative topology) has a ﬁnite subcover. A discrete topological space is compact if and only if it is ﬁnite. then f (X) ⊆ Y is also compact. are then open in X and they form a cover since for each x ∈ X. What is missing is the Hausdorff property.10. Un cover Y . We won’t make use of the notion “sequentially compact” outside the realm of metric spaces. Proposition A12. Un cover Y and we have shown that U has a ﬁnite subcover as required. Proposition A12. . In metric spaces. . Indeed. A topological space X is Hausdorff if. . If X is compact. Deﬁnition A12. Any ﬁnite topological space is compact. But we saw several examples in the last lecture of topological spaces in which onepoint subsets are not closed. U ∈ U . together with the open set X \ Y . Each open set U ∈ U is (by deﬁnition of the relative topology) of the form VU ∩ Y . Then U1 . so x ∈ f −1 (Ui ) for some i and therefore y ∈ Ui . This need not be true in general topological spaces. Proof. there is a ﬁnite subcover: there is a ﬁnite subset U1 . where VU is some open subset of X. the image f (x) belongs to some member of U .7. . y ∈ V . . . Example A12. Un of U such that the sets f −1 (Ui ) cover X. . From Example A12. By Exercise A12. The union of all the sets VU includes Y . any onepoint subset — must be compact in its subspace topology. Since X is compact. Let U be an open cover of Y . The sets f −1 (U ). the U1 . Then Y is also compact (in its relative topology).5). . compact subsets are necessarily closed (Proposition A5.9. the open sets VU .4 it sufﬁces to consider the case where f (X) = Y . . there is x ∈ X such that f (x) = y. . Proof. . VUn . . y ∈ X. But for every y ∈ Y . comprising VU1 . Let U be such a cover. . any ﬁnite subset of X — in particular. therefore. By hypothesis this cover has a ﬁnite subcover. for any two distinct points x.
37 . . Let U x = Uy1 ∩ · · · ∩ Uyn .11).8). so it is open. Proposition A12. But K is compact (Proposition A12. The sets Vy ∩ Y form an open cover of Y (in the subspace topology) which therefore has a ﬁnite subcover. therefore f (K) is compact (Proposition A12. a onepoint subset of a Hausdorff space is closed. Then f −1 is continuous (i. To show that f −1 is continuous it is enough to show that for any closed subset K of X.11. For each y ∈ Y there exist disjoint open sets Uy containing x and Vy containing y. ) and V = B(y. The set X \ Y itself is the union of all these open sets U x . contains x.e. y)/2). the image f (K) is closed in Y . ) for 0 < < d(x. Proof. therefore f (K) is closed (Proposition A12.Any metric space is Hausdorff (take U = B(x. The Hausdorff property ensures a large supply of open sets. . where X is a compact space and Y is a Hausdorff space. Let X be a Hausdorff space and let Y ⊆ X be compact (in the subspace topology). Then U x is an open set. Proof.9). . f is a homeomorphism). say Vy1 ∩ Y. Then Y is a closed subset of X.. Vyn ∩ Y . We will show that X \ Y is open. Let f : X → Y be a continuous bijection. . In particular.12. and does not meet Y . Corollary A12. Let x ∈ X \ Y . by the Hausdorff property.
0)) are open (by continuity). It is easy to see that dK is a continuous function and that dK (x) = 0 iff x ∈ K. 2 2 Example A13. k) : k ∈ K}. Proposition A13. T2 1 . The T stands for the German Trennungsaxiom (separation axiom). and maybe some others that I forgot. To see this we need to make use of the distance function from a closed set. A Hausdorff topological space X is regular if disjoint subsets A and B of X can be separated by open sets whenever A is a point and B is a closed set. disjoint. and B a closed subset not containing p.1. ∞)) and V = f −1 ((−∞. d) be a metric space and let K be a closed subset. then normality. and indeed normal.3. B ⊆ V . The sets U = f −1 ((0. One says that A and B are separated by open sets if there exist disjoint open sets U and V such that A ⊆ U . A regular Hausdorff space is also called a T3 space and a normal Hausdorff space is a T4 space. p a point of X.2. Let (X. Now let A and B be disjoint closed sets in X and consider the continuous function f (x) = dB (x) − dA (x) on X.4. and A ⊆ U . This is in fact just one (the most important one) of a series of separation properties that a topological space may have. Thus the Hausdorff property says that any two distinct points can be separated by open sets. B ⊆ V . Deﬁnition A13. T3 1 .9). Let X be a compact Hausdorff space. T5 . There are also T0 . and indeed normal.Lecture A13 Regular and Normal Spaces Let A and B be disjoint subsets of a topological space X. It is normal if any two disjoint closed subsets can be separated by open sets. Proof. It’s best to do this proof in two installments: ﬁrst regularity. Every compact Hausdorff space is regular. and T6 spaces. For each x ∈ B there 38 . T1 . Then B is compact (Proposition A12. Every metric space is regular. This shows that X is normal. a plain vanilla Hausdorff space is a T2 space. Deﬁne a real valued function dK : X → R+ by dK (x) = inf{d(x. Remark A13.
. 1] such that f (x) = 0 for x ∈ E. say Vx1 . for each p ∈ A there are disjoint open U p containing p and V p including B. . Theorem A13. In order that a function f : X → R be continuous. Then there is an open subset V of X such that F ⊆ V ⊆ V ⊆ W . construct a supply of continuous realvalued functions.6. Then U = U p1 ∪ · · · ∪ U pn . so there is a ﬁnite subcover. so it is included in W . in general this stronger statement is not true. Let A and B be disjoint closed (hence compact) sets. The closed sets E and F are disjoint. Warning: It is not asserted that the sets E. and W an open subset of X including F . F are exactly equal to f −1 {0}. f −1 {1} respectively.3 we used suitably chosen continuous functions to establish regularity. In particular. Since V ⊆ X \ U which is closed. . Vxn . . and indeed normality. Then U p = Ux1 ∩ · · · ∩ Uxn . U pn . F be disjoint closed subsets of a normal Hausdorff space X. It’s also possible to proceed in the other direction: starting with normality. V = V p1 ∩ · · · ∩ V pn are disjoint open sets including A and B respectively. To prove normality. 39 . The Vx form an open cover of B. we iterate the argument. V doesn’t meet E. F a closed subset of X. . . (Urysohn’s lemma) Let E. so by normality there are disjoint open sets U and V with E ⊆ U and F ⊆ V . V p = Vx1 ∪ · · · ∪ Vxn are disjoint open sets. Exercise A13. In Example A13. . We will use the following exercise. for metric spaces. it is necessary and sufﬁcient that for every x ∈ X and every > 0 there exists an open set Wx containing x such that f (Wx ) ⊆ (f (x) − . By regularity.5.7. Thus X is regular. the ﬁrst containing p. . f (x) + ). f (x) = 1 for x ∈ F . The U p form an open cover of A and have a ﬁnite subcover say U p1 . Let X be a normal Hausdorff space. Lemma A13. then there exists a continuous function f : X → [0. Proof. V ⊆ X \U also. the second including V . Let E = X \ W .are disjoint open sets Ux containing p and Vx containing x.
. . 1] with f (E) = {0} and f (F ) = {1}. Clearly f maps X → [0. 1] can be replaced in the statement of Urysohn’s lemma by any closed interval [a. We are going to construct by induction a collection of open sets Ut parameterized by dyadic rational numbers t ∈ (0. By lemma A13. Let x ∈ X with f (x) = t. call the set V so deﬁned U(m+ 1 )2−n . 1]. t + ) as required. m = 1. 40 . 1] by f (x) = inf{t : x ∈ Ut } ∪ {1}. having the properties that Ur ⊆ Us whenever r < s and E ⊆ Ut for all t. Put Wx = Us \ Ur .5. so we must show that f is continuous.7. At the nth stage of the induction we assume that the sets Ut have been constructed for t = m2−n . There exist dyadic rationals r and s such that t− <r <t<s<t+ . suppose that 0 < t < 1 (the cases t = 0 and t = 1 are handled by similar arguments).Proof. [0. Set U1 = X \ F .5. It’s an induction based on lemma A13. for each m there is an open set V such that Um2−n ⊆ V ⊆ V ⊆ U(m+1)2−n . . Let us make the convention that U0 refers to the closed set E (even though we have not deﬁned a set U0 ). . Of course. Let > 0. s] ⊆ (t − . then U1 is an open set containing E. Now deﬁne f : X → [0. 2n . b]. Then Wx is an open set and f (Wx ) ⊆ [r. We have now deﬁned the sets Ut for all 2 t = m 2−(n+1) and the induction continues. and we will use Exercise A13.
c]) of Y . Then f can be extended to a bounded continuous function g : X → R. . We have proved the following statement: for each bounded continuous h : Y → R there exists an extendible bounded continuous k : Y → R with k . and let f : Y → Z be a function. − gn and let gn+1 be the k that is constructed. so they are closed in X (Exercise A12. . f = g. Let us temporarily call a bounded continuous function h : Y → R extendible if it extends to a bounded continuous function X → R with the same sup norm. and then to extend it to the whole space ‘by continuity’. But the display above shows that. . in other words. A classical method in analysis is to prove a result ﬁrst for a dense subset of some space. . c] is a continuous function. What we have to prove is that all bounded continuous functions are extendible. Z are topological spaces we will naturally be interested in continuous f and g. and let Y be a closed subspace. −c/3]) and h−1 ([(c/3. Notice that the supremum norm h − k is at most 2c/3. Thus f is extendible as required. 41 . Thus by Urysohn’s lemma there is a continuous function k : X → [−c/3. When X. .Lecture A14 Spaces of Continuous Functions Let X be a set. with sup g = sup f . A function g : X → Z is an extension of f if g(y) = f (y) for all y ∈ Y . By the Weierstrass Mtest the series ∞ gi converges uniformly on X to a i=1 function g. c/3] with k(E) = {−c/3}. They are closed in Y (by continuity). and Y is closed in X. k(F ) = {c/3}. Theorem A14. let E and F be the disjoint subsets −1 h ([−c. . Y ⊆ X. h − k 2 h /3. Recall that a subset of a topological space is dense if its closure is the whole space. Apply the italicized claim to h = f − g1 − . (Tietze extension theorem) Let X be a normal Hausdorff space. If h : Y → [−c. Proof. Let f : Y → R be given and suppose inductively that extendible functions g1 .2). − gn (2/3)n f . Y. when restricted to Y . . if f = gY .1. Now we proceed inductively. The function gn+1 then has the desired properties so the induction is completed. Let f : Y → R be a bounded continuous function. . gn have been constructed with gi (2/3)i f and f − g1 − .
2. . Proof. These sets are open (why?) and x ∈ Vx so they cover X. Then g ∈ L and by construction h − < g < h + . there is a function f ∈ L having f (x) = a and f (x ) = a . for each x. ) There is a more classical formulation which makes use of algebraic rather than ordertheoretic operations. By hypothesis.4. Let h ∈ C(X) be given and let > 0. as required. take a ﬁnite subcover and let g be the (pointwise) minimum of the corresponding gx . So we have approximated h from one side by members of L. h(y) − < gx (y) ∀y. x ∈ X there exists fxx ∈ L such that fxx (x) = h(x) and fxx (x ) = h(x ). Proposition A14. then L is dense in C(X). (Stone) Let L be a lattice of continuous functions on a compact space X. it also contains their pointwise maximum and minimum — usually written f ∨ g and f ∧ g in this context. Exercise A14. whenever it contains functions f and g. We are going to approximate h within by elements of L. . (Show that the collection of extendible functions is a lattice. the continuous realvalued functions on a compact Hausdorff space X? Deﬁnition A14. Because L is a lattice. Use Stone’s theorem to give another proof of the Tietze extension theorem in the case of compact Hausdorff spaces. x ∈ X and any a. 42 .3. Now we play the same trick again from the other direction: let Wx = {y : gx (y) < h(y) + }. Again these form an open cover of X. A collection L of continuous realvalued functions on a set X is a lattice if.How can we ﬁnd dense subsets of C(X). h(x) = gx (x). The property appearing in the statement is called the two point interpolation property. for all x. let Vx = {y ∈ X : h(y) − < fxx (y)}. gx ∈ L and by construction. Fixing x for a moment. If. Take a ﬁnite subcover and let gx be the (pointwise) maximum of the corresponding functions fxx ∈ L. a ∈ R.
let h = f − g. Any polynomial in h belongs to A and hence so does h = lim pn (h). The closure of the subalgebra is a closed subalgebra. f + g − h . A subalgebra of C(X) is said to separate points if for every x. 1] converging uniformly to x. subtraction. The polynomials form an algebra which contains the constants and separates points. Proof. Proof. One says that a subset of C(X) is a subalgebra if it is closed under pointwise addition. Lemma A14. multiplication of functions. The original result of Weierstrass was Corollary A14. and multiplication by scalars. and separates points. it has the two point interpolation property.8. Using the algebraic operations. Hence by Stone’s theorem A14. Theorem A14. g ∈ A.3 it is all of C(X).5.5. Proof. The previous lemma shows that it is a lattice. contains the constants.7. by closure and lemma A14. x ∈ X there is a function in the subalgebra taking different values at x and at x .6. 1]. But now f ∧g = belong to A as well. Proof. (StoneWeierstrass) A subalgebra of CR (X) which contains the constants and separates points is dense. Let A be the given subalgebra and f. Writing x = 1 + (x2 − 1). 2 f ∨g = f + g + h 2 43 . There is no loss of generality in assuming (by rescaling) that h 1 everywhere. this follows from the fact that the binomial series for (1 + t)1/2 converges uniformly for t ∈ [−1. A closed subalgebra of CR (X) that contains the constant functions is a lattice. (Weierstrass) Every continuous function on a closed bounded interval is the uniform limit of polynomials. There is a sequence of polynomials pn (x) on [−1.Lemma A14.
Try to give an example to show that the complex theorem is not valid without the extra condition (we shall discuss this in detail later). In the complex case the StoneWeierstrass theorem takes the following form: a ∗subalgebra of C(X) which contains the constants and separates points is dense. 44 .9.Exercise A14. where the ∗condition means that the algebra is closed under (pointwise) complex conjugation. Prove this.
Let g : Y → D be a continuous map to a discrete space D. The following properties of X are equivalent: (a) The only subsets of X that are both open and closed are the empty set and X itself. hence constant because X is connected. Conversely.Lecture A15 Connectedness What does it mean that a topological space is “all in one piece”? Proposition A15. of x. Let f : X → Y be continuous and surjective.2. But now since f is surjective. It is clear that (b) and (c) are equivalent. and let A be a nonempty equivalence class. assuming (a). Proposition A15. let ∼ be an equivalence relation with open equivalence classes.1. Proof. then the relation “x ∼ y iff f (x) = f (y)” is an equivalence relation with open equivalence classes. (c) The only equivalence relation on X with open equivalence classes is the trivial one (every point is equivalent to every other point). A subset of a topological space is called a connected subset if it is a connected space in the relative topology. Thus A = X and the equivalence relation is trivial. and conversely. Deﬁnition A15. it is also true that A is closed. if A is an openandclosed subset of X. A space (or subset) that is not connected is called disconnected. Then f ◦ g : X → D is continuous. Proof. 45 .1. but. (b) The only continuous functions from X to a discrete topological space are constant. since the complement of A is a union of equivalence classes and therefore open. A topological space is connected if it satisﬁes the equivalent properties of Proposition A15. y belong to A” is an equivalence relation whose equivalence classes A and X \ A are open. since if f : X → D is a continuous function to a discrete space. or both. Let X be a topological space. Assuming (c). A is open. g must be constant itself.3. then Y is connected. If X is connected. then the relation “x ∼ y iff either none.
Proposition A15.4. Let X be a space and let {Xα }α∈A be a family of subsets each of which is connected. If α Xα = ∅ then α Xα is connected. Proof. Let Y = α Xα and let p ∈ α Xα . Let f : Y → D be a continuous map to a discrete space. Since each Xα is connected, the restriction of f to Xα takes a constant value (say dα ∈ D); since p ∈ Xα for every α, dα = f (p) for each α. Thus f takes the constant value f (p) on Y . Proposition A15.5. Every interval in R is connected, and every connected subset of R is an interval. Proof. We begin by proving that every compact interval [a, b] is connected. Suppose that ∼ is an equivalence relation with open equivalence classes; then the equivalence classes form an open cover U for the compact interval [a, b]. By the Lebesgue covering theorem (Theorem A5.8)there is δ > 0 such that any ball of radius less than δ is included in some member of the cover. In particular, any two points that are less than δ apart belong to the same equivalence class. But any pair of points in the interval [a, b] can be joined by a chain of points whose successive members are less than δ apart; so, any two points in [a, b] are equivalent. This proves the connectedness of closed intervals; other kinds of intervals can be written as the increasing union of suitable families of closed intervals, so we may apply Proposition A15.4. Conversely, let S be a subset of R that is not an interval. Then there is some a ∈ S such that S has members which are less than a and also members that are / greater than a. So, S ∩ (−∞, a) and S ∩ (a, ∞) are disjoint open subsets of S whose union is S; so S is not connected. Corollary A15.6. (Intermediate value theorem) Let f : [a, b] → R be continuous. Then the range of f includes all values between f (a) and f (b). Proof. The range of f , being the image of a connected space under a continuous function, is connected. Hence it is an interval. It must contain f (a) and f (b) so, being an interval, it must also contain everything in between. If X is a space, the relation “x ∼ y iff there is a connected subset of X containing both x and y” is an equivalence relation (by Proposition A15.4). The equivalence classes are called the connected components of X. The connected component of x is the largest connected subset of X that contains x. Exercise A15.7. Show that the closure of a connected subset of X is connected, and deduce that the connected components of X are closed. Give an example where they are not open. 46
Exercise A15.8. The quasicomponent of x ∈ X is the intersection of all the openandclosed subsets that contain x. Show that the connected component of x is included in the quasicomponent. Can you give an example where they are not equal? Deﬁnition A15.9. A path in a topological space X is a continuous map [0, 1] → X. The start of the path is the point γ(0) and the end of the path is the point γ(1). We say that γ is a path from its start to its end. Lemma A15.10. Let X be a topological space, γ1 a path in X from a to b, γ2 a path in X from b to c. Then the map γ : [0, 1] → X deﬁned by γ(t) = is a path in X from a to c. Proof. All that needs to be checked is the continuity of γ at t = 1 . Let U be 2 an open set in X containing b. By continuity of γ1 , there is δ1 > 0 such that if s−1 < δ1 , s ∈ [0, 1] then γ1 (s) ∈ U ; by continuity of γ2 there is δ2 > 0 such that 1 if s < δ2 , s ∈ [0, 1] then γ2 (s) ∈ U . Now let δ = 1 min{δ1 , δ2 }; if t − 2  < δ, 2 t ∈ [0, 1], then γ(t) ∈ U . This gives the required continuity. Corollary A15.11. The relation “There is a path in X from a to b” is an equivalence relation. Proof. The lemma gives transitivity. Reﬂexivity and symmetry are easy. The equivalence classes under this equivalence relation are called path components of X. Proposition A15.12. Every path component is connected. Consequently, the path component of x ∈ X is included in the component of x. Proof. By Proposition A15.3, the image of a path from a to b is a connected set containing a and b. Consequently, the path component of X is the union of a family of connected sets all of which contain x; so it is connected by Proposition A15.4. γ1 (2t) γ2 (2t − 1) (t (t
1 ) 2 1 ) 2
47
A space which has only one path component (i.e., any two points can be joined by a path) is called path connected. By the preceding proposition, a path connected space is connected. The converse is false, however, as is shown by the following classical example. Exercise A15.13. Let Z be the set of points (x, y) ∈ R2 such that either x = 0 and y ∈ [−1, 1] or 0 < x 1 and y = sin(1/x). Show that Z is a compact connected metric space with 2 path components. The same example shows that, in contrast to components, path components need not be closed in general.
48
Deﬁnition A16.8.g.2.) Proof. Deﬁnition A16. C is equal to its own interior and so is open. Proposition A16.e. In a locally connected space. for every x ∈ X. connectedness). We say that a space X has the property P locally if.1. The same argument as in the previous proposition shows that the path components in a locally pathconnected space are open. Since the complement of each path component is a union of other path components. they are also closed. (It follows that the connected components are equal to the quasicomponents. Since x ∈ N ◦ . so they are equal. contains x in its interior. i. Proposition A16. The path component is always included in the connected component. For instance. A neighborhood of x ∈ X is a subset that includes an open neighborhood of x.3.Lecture A16 Local Properties of Spaces Let X be a topological space.4. x is an interior point of C. An open neighborhood of x ∈ X is an open subset of X that contains x. so in particular it must be included in the path component of x. Now the connected component of x must be included in any openandclosed set that contains x. every open neighborhood of x includes another open neighborhood of x that has property P . Proof. Suppose that P is some kind of topological property (e. Since x was arbitrary. There is a connected neighborhood N of x. In a locally pathconnected space. Let C be a connected component and let x ∈ C. 49 . a space X is locally connected if every open neighborhood of each x ∈ X includes an open connected neighborhood. see Exercise A15. Then N ⊆ C and so N ◦ ⊆ C ◦ . Informally we may say that x has “arbitrarily small connected neighborhoods”. the connected components are equal to the path components (and are open). the connected components are open.
sometimes called semilocal path connectedness: X is semilocally path connected if for each x ∈ X and each open neighborhood V of x. Local compactness says that each point has “arbitrarily small” compact neighborhoods.5. 50 . containing x. Here it is necessary to modify the deﬁnition somewhat: we say that a space is locally compact if every open neighborhood of each point contains a compact neighborhood (which need not be open . But in fact there is a simpler. Then X \ {x0 } is a locally compact Hausdorff space (since each point of X distinct from x0 has a closed. 1] → V starting at x and ending at y. equivalent deﬁnition. neighborhood that does not meet x0 ).there may be very few compact. We need to ﬁnd a compact neighborhood that is included in N . and U and ∂U are closed subsets of a compact space (namely K).7. every locally compact Hausdorff space arises in this way. Suppose that x ∈ X has a compact neighborhood K. A Hausdorff space is locally compact iff each point has a compact neighborhood. Let X be a locally compact Hausdorff space. Let X + be the union of X and a disjoint point. open sets). Then U is a neighborhood of x.The most important example of a locally connected and locally pathconnected space is furnished by an open subset of Rn (or any normed vector space). denoted ∞. The following sets form a topology on X + : (a) The open subsets of X in its original topology. whose closure does not meet the compact set ∂U . more exactly. Then V ⊆ U is the desirec compact neighborhood. Exercise A16. Proposition A16. Show that a space which is locally connected and semilocally path connected must be locally path connected. a stronger condition than that of the proposition. Let X be a compact Hausdorff space and x0 ∈ X. there is an open neighborhood U ⊆ V of x such that for each y ∈ U there is a path γ : [0. Proposition A16. In fact. By regularity (or. Let U = K ◦ ∩ N ◦ . and let N be any neighborhood of x. hence compact.6. by the proof of regularity) there exists an open subset V of U . There is a weaker local path connectedness notion. Proof. hence are compact. Can you give an example of a space which is semilocally path connected but not locally path connected? We now turn to consider local compactness.
Let T be the family of subsets of X + described in the proposition. which is compact by Exercise A16. But by local compactness. Thus T is a topology. . Exercise A16. then their union is of the form {∞}∪(X \L) where L is a closed subset of K. Un be a ﬁnite family of members of T . One of them (say W0 ) must contain ∞. forms a ﬁnite subcover of W . 51 . If they are all of type (a). . Proof. Finally to show that T is Hausdorff: Any two points not at inﬁnity can be separated by open sets of type (a) (by the Hausdorff property of X). let W be a family of members of T covering X + .(b) The subsets of the form {∞} ∪ (X \ K) where K ⊆ X is compact. It remains to show that this topology is compact and Hausdorff. L are compact subspaces of Y then so is K ∪ L.8. K ⊆ X compact. this subcollection. together with W0 . The topology so deﬁned on X + is compact and Hausdorff and the identity map X → X + is a homeomorphism onto its image. Thus it sufﬁces to show that ∞ can be separated from a point x ∈ X. hence compact. To show that T is compact. If K. so the union is of type (b). We show it is a topology. (i) Let Uα be a family of members of T . so some ﬁnite subcollection covers K also. (ii) Let U1 . then their intersection if of type (a). Now the remaining Wα intersect X in open sets which cover K. say equal to {∞}∪(X \K). their intersection is the complement of a ﬁnite union of compact sets.8 above. K say. then their union is an open subset of X and is of type (a) also. (iii) Clearly ∅ and X + belong to T . We will need the following easy exercise. and the relative topology that it induces on X is the same as the original topology of X. x ∈ X has a compact neighborhood. If they are all of type (b). and hence must be of the form {∞} ∪ (X \ K). Let Y be a Hausdorff space. Thus the intersection id of type (b). . then K ◦ and {∞} ∪ (X \ K) are disjoint members of T containing x and ∞ respectively. If one of them is of type (b). The space X + is called the onepoint compactiﬁcation of X. If one of them is of type (a). .
antisymmetric.Lecture A17 Some set theory Further topics in our discussion will require some more advanced background from set theory. To learn about the paradoxes this gives rise to. 52 . (d) A subset of S that is totally ordered (in the induced ordering) is called a chain. If S is such a set then (a) An upper bound for a subset T ⊆ S is an element x such that y y ∈ T. and transitive: that is. z ∈ S. A partial order on a set S is a relation which is reﬂexive.. Exercise A17. and x y and y z together imply x z. (e) S is inductively ordered if every chain in S has an upper bound. and how to avoid them. (f) A maximal element for S is an element m ∈ S such that x m implies x = m (i. Give simple examples to illustrate all these notions. for all x.e. either x y or y x. (g) S is wellordered if it is totally ordered and every nonempty subset has a least member (necessarily unique). x x. (c) S is totally ordered if for all x.) Notice that this is a weaker notion than that of upper bound. A set with a partial order is called a (partially) ordered set. x y and y x imply x = y. every ﬁnite subset has an upper bound). there isn’t anything strictly greater than m. Let S be an ordered set. it is strictly inductively ordered if every chain has a least upper bound. you need a course in Logic. x for all (b) S is directed if every twoelement subset has an upper bound (equivalently.1. We will take a rather “naive” approach to set theory. y. Deﬁnition A17.2. A map f : S → S will be called an inﬂator (I just made this word up) if f (x) x for all x ∈ S. y.
4.4. i. a chain which is not itself included in any larger chain). (Bourbaki fundamental lemma) Any inﬂator on a nonempty strictly inductively ordered set has a ﬁxed point. if f (x) ∈ F whenever x ∈ F . contradicting Bourbaki’s lemma.e. Let S be such a set and let C be a maximal chain in S (provided by A17. a chain. (Weak form of Zorn’s lemma) Every nonempty strictly inductively ordered set contains a maximal element. Pick a point a ∈ S (ﬁxed throughout the discussion). This will complete the proof because if x is the least 1 For those in the know. Corollary A17. Let m be an upper bound for C.e. namely. and if. Then for each x ∈ S there is a yx ∈ S with yx > x. We’ll prove this in a moment. The strategy of our proof is to show that M is totally ordered. Consider the map1 f sending x to yx .5).5. Corollary A17. Corollary A17. this is where we use the axiom of choice. the intersection of all the closed sets that there are. a point x such that f (x) = x. Then m is maximal. Each chain in S is included in a maximal chain (i. i. S itself is closed. (Zorn’s lemma) Every nonempty inductively ordered set (not necessarily strict) contains a maximal element. let’s draw some consequences. the least upper bound of C belongs to F . and indeed is strictly inductively ordered (with least upper bound for a chain in C given by the union of its members).. Then f is an inﬂator with no ﬁxed point. whenever C ⊆ F is a chain. Now apply A17.6. since if x > m then C ∪ {x} is a chain larger than the supposedly maximal chain C. Proof. 53 . Obviously. Now let us see to proving the Bourbaki lemma A17. (Hausdorff maximality principle) Let S be a nonempty partially ordered set. Then C is partially ordered. Moreover. We’ll say that a subset F of S is closed if a ∈ F .e.3. For now. Let S be nonempty and strictly inductively ordered and f : S → S an inﬂator. Let C be the collection of all chains in S. Proof.3.. there is a minimal closed set M . Proof. partially ordered by inclusion. Thus. Let S be strictly inductively ordered and suppose it contains no maximal element.Lemma A17. the intersection of any family of closed sets is closed.
So. or x = u. y ∈ M . Since it is a subset of M . Suppose then that u is unavoidable and consider f (u). either y x or f (x) y. The other two possibilities yield f (x) f (u) by the unavoidability of u. As already remarked. Since x is unavoidable. Note that the collection of all x a is closed. if not. But now we must have S = X. Y is nonempty and is inductively ordered by inclusion. then the set {x ∈ M : either x u or f (u) x} is readily seen to be closed. We will show that it is closed. Let U be the set of unavoidable points in M . This contradicts maximality. whenever x ∈ M and x < u. by minimality. Let Y be the set of pairs (S. by minimality. there is a maximal element in Y . Let us call u ∈ M unavoidable if.upper bound of M . We now know that each point of M is unavoidable. by the paragraph above. It contains a. but the latter certainly implies that x y becasue f is an inﬂator. it must be the whole of M . this completes the proof of Lemma A17.7. f (U ) ⊆ U . A similar argument shows that the least upper bound of any chain in U belongs to U . If u is an unavoidable point. We can now prove that every point is unavoidable. Proof. (Well ordering principle) Every nonempty set can be wellordered. a is the least element of the minimal closed set M . we have f (x) u. 54 . For. let x. hence f (x) x. then. and the last possibility cannot occur. since f is an inﬂator. or f (u) x. either x < u.3. it follows that f (x) = x. so U is closed. Let X be a set. Thus. ) where S is a subset of X and is a wellordering of S. Proposition A17. By Zorn’s lemma. say (S. it must equal M itself. It is easy to deduce that M is totally ordered. we can choose some x ∈ X \ S and wellorder S ∪ {x} by insisting that x is greater than every element of S. then x ∈ M and f (x) ∈ M also. ). If x < f (u) then.
Reformulate it to use Zorn’s Lemma. Let I = i(X) ⊆ Y . −k + 1. . There exists an injection from X to Y if and only if there exists a surjection from Y to X. . . Proof. . A subset S of Z is stable if z ∈ Z iff h(z) ∈ Z. then there exists a bijection from Y to X. . The stable sets Sz are of four types: (a) Xstopping: hn (z) is deﬁned only for n = −k. . s(y) = x0 . so they partition Z.2. Explicitly. Let i : X → Y be an injection. (K¨ nig) Assume (wlog) that X and Y are disjoint sets and let Z be their o disjoint union.3. It sufﬁces now to establish a bijection Sz ∩X → Sz ∩Y for each Sz separately. The last part of this argument uses the Axiom of Choice directly. then s(y) is the unique x ∈ X such that i(x) = y. and h−k (z) ∈ Y . considered as a map Z → Z. stable sets either coincide or are disjoint. Proposition A18. let f : X → Y and g : Y → X be injections and let h be the union of these maps. By the injectivity of h. Exercise A18. and h−k (z) ∈ X. Deﬁne s : Y → X as follows: if y ∈ I. Without loss of generality assume that X = ∅. but it is unique if it does exist. Theorem A18. For each x ∈ X choose some yx ∈ Y such that s(yx ) = x.Lecture A18 Countability and Metrization We now brieﬂy discuss the theory of cardinal numbers. (Schr¨ derBernstein) If there exists an injection from X to Y o and an injection from Y to X. Let X and Y be sets. Fix an element x0 ∈ X. (d) Cyclic: hm (z) = z for some m (necessarily even). 55 .1. suppose that s : Y → X is a surjection. Then i is an injection. Conversely. Proof. Let Sz be the minimal stable set containing z. where we note that h−1 (p) denotes an element q such that h(q) = p. Let i be the map that sends x to yx . (c) Two way inﬁnite: the hn (z) are all distinct for different values of n ∈ Z. such an element may not exist. (b) Y stopping: hn (z) is deﬁned only for n = −k. This is a surjection. otherwise. Sz is the set {hn (z) : n ∈ Z}. −k + 1.
In the second case.In the ﬁrst case. Let X be a set and let P(X) (the power set) be the set of all subsets of X. suppose that f is such a surjection. Arithmetic laws like xy·z = (xy )z then follow from corresponding settheoretic properties (a map from Y × Z to X is the same as a map from Z to the set of maps from Y to X). We deﬁne card X = card Y iff there is a bijection between X and Y (one says that X and Y are equinumerous).5. The integers Z and the rationals Q are countable sets. To each set X associate a “number”. We will show that there is no surjection X → P(X). the cardinality of the set of all maps X → Y is denoted (card Y )card X .6. either f or g will do. It follows that card(P(X)) > card(X). Proof. The cardinality of the natural numbers is denoted ℵ0 (read: alephzero). The cardinal 2ℵ0 is denoted c (the continuum). g gives a bijection Sz ∩ Y → Sz ∩ X. On the other hand. Indeed. Proposition A18. (We also call a set countable if its cardinality is countable. 56 . f gives a bijection Sz ∩ X → Sz ∩ Y . A cardinal that is ℵ0 is called countable. We denote the cardinality of P(X) by 2card X . Y have cardinalities x. y respectively then xy is the cardinality of X × Y . In the third and fourth cases. Deﬁnition A18. If S = f (y) for some y ∈ X we obtain (from the deﬁnition of S) the contradiction y ∈ f (y) ⇔ y ∈ f (y).4. its cardinality card X. More generally. / Thus f is not surjective after all. x + y is the cardinality of X Y .) Example A18. For every cardinal there is a strictly larger cardinal. Consider S = {x ∈ X : x ∈ f (x)}. / This is a subset of X. and so on. We deﬁne card X card Y iff there is an injection X → Y . there is an obvious injection X → P(X) (as oneelement subsets). Once can do “arithmetic” with cardinals: if X. The Schr¨ derBernstein theorem shows that this deﬁnes a partial order on the cardio nalities.
The set of all sequences of rational numbers has cardinality ℵ0 ℵ0 = c. and for any x ∈ X and any open set U containing x. Then the set B of balls B(s. t) where s ∈ S and t ∈ Q is countable. so U ∩ S contains xn and is in particular nonempty. For instance. and select a point xn from each Un . Moreover. there are in general examples of separable spaces that are not second countable. and this subset maps onto R. On the other hand. let X be an uncountable set equipped with the coﬁnite topology. r) ⊆ U . Proof. and is included in U .Example A18. A secondcountable space is separable. and the assignment a → ∞ 3−n an is n=1 an injection from this set of sequences to R. contains x.. there is a rational t with d(x. The set S = {xn } is countable. Thus S is dense. It’s a oneliner: cℵ0 = 2ℵ0 ℵ0 = 2ℵ0 ·ℵ0 = 2ℵ0 = c. there is a countable family B of open sets such that every open set is a union of sets from B. Proposition A18. X is separable it it has a countable dense subset. It is second countable if there is a countable basis for the topology of X: i. 57 .9. s) < t < r/2. Deﬁnition A18.10. Let X be a topological space. there is a ball B(x. there is some Un ⊆ U containing x. so card R c.e. Let X be a second countable space. it forms a base for the topology: if x ∈ X belongs to an open set U . Then X is separable (any countable subset of X meets every nonempty open set) but it is not second countable (a countable family of coﬁnite sets can omit only countably many points in total. Let us prove that cℵ0 = c. Let X be separable and metrizable. t) belongs to B. the ball B(s. Let {Un } be a countable base for the topology. Proof.8.7. there is an s ∈ S such that d(x. However. s) < r/2. SchroderBernstein now completes the proof. Lemma A18. with S a countable dense set. the set of all sequences a = {an } of zeroes and ones also has cardinality c. The subset of convergent sequences must then have cardinality c. A separable metric space is secondcountable. so card R c. The set of real numbers has cardinality c. so there must be some coﬁnite set that does not contain any member of the family).
13. by Urysohn’s lemma. then there is a V ∈ B containing x but not y (by the Hausdorff property). It is clear that d(x. y) = 0 iff x = y. i. There is a set V ∈ B such that 58 . Every metric space is ﬁrst countable. Let X be such a space and let B be a countable basis for the topology. Whenever U. so d is a metric. Deﬁne d : X × X → R+ by ∞ d(x.A neighborhood base at a point x ∈ X is a family of open sets containing x such that each open set containing x must include a member of the family. . A topological space X is ﬁrst countable if each point has a countable neighborhood base. 1] that is equal to 0 on U and is equal to 1 on X \ V . It remains to show that every set open in the original topology is dopen. so every dopen set is open in the original topology. Being the sum of a uniformly convergent series of continuous functions. Show that a compact metric space is separable and second countable. Deﬁnition A18. . . Exercise A18. f2 .}. then fn (x) = fn (y) for all n. so then the function fn corresponding to this pair (U. a continuous function f : X → [0.11. But. y) = 0. If d(x. Every second countable space is ﬁrst countable but the converse is false: e. y) = n=1 2−n fn (x) − fn (y).12. by normality there is an open set U containing x with U ⊆ V . We will show that d is a metric deﬁning the topology of X. The collection F of all such functions is countable: denote it {f1 . x).g.e. V ) has fn (x) = 0 but fn (y) = 1. and we may take it that U ∈ B also. d is continuous (relative to the original topology on X). and x ∈ W . V ∈ B with U ⊆ V there exists. x) = 0. Let W be open in the original topology. the topology can be given by a metric. Proof. y) = d(y. that d(x. and this is a contradiction. It follows that every dopen ball is open in the original topology. if x = y. We conclude that d(x. Theorem A18. (Urysohn metrization theorem) A second countable normal Hausdorff space is metrizable. and that d satisﬁes the triangle inequality. consider the discrete topology on an uncountable set.
Let = 2−n . Then. fn (y) < 1 and so y ∈ V . ). if y ∈ Bd (x. and there is a set U ∈ B such that x ∈ U and U ⊆ V . as required. so it is dopen. in particular y ∈ W .x ∈ V and V ⊆ W . Let fn be the function constructed above corresponding to the sets U and V . Thus W contains a dball around each of its points. 59 .
Lecture A19 Convergence and Nets Let {xn } be a sequence in a topological space X. In a ﬁrst countable space X. Any totally ordered set X can be equipped with the order topology for which a basis is the “half open intervals” (a. the “ﬁrst uncountable ordinal”). Suppose that A ⊆ X. If X is ﬁrst countable then sequences in x contain all the information that there is about the topology of X. but I lied. this will be true iff every member of a countable neighborhood base {Un } at x contains points of A. or only for one of them (and. and wellorder it (using the axiom of choice). try the following exercise. then x belongs to the closure of A) is easy. Picking such a point an ∈ A ∩ Un for each n = 1.1.k. One way to see this is the following Lemma A19. 60 . Show that f : X → Y is continuous if and only if the sequence f (xn ) → f (x) in Y whenever the sequence xn → x in X. Exercise A19. Let C = {x ∈ X : x < Ω} be the set of predecessors of Ω. (Hint: The proof is exactly the same as the one we already discussed for metric spaces. a subset A is closed if and only if the limit of every convergent sequence in A is itself a member of A. .3. But. 2. Let Ω ∈ X be the smallest element that has uncountably many predecessors (a.) We say that {xn } converges to a point x ∈ X if. Let X and Y be ﬁrst countable. Let X be uncountable. For another example. gives a sequence (an ) in A converging to x. which)? But in general sequences are “not enough” to probe the structure of a topological space. . Proof.2. if so. Then Ω belongs to the closure of C. A point x belongs to the closure of A iff every open neighborhood of x contains points of A. Example A19. The converse statement (if x is the limit of a convergent sequence in A. but nevertheless there is no sequence in C converging to Ω. for every open neighborhood U of x. since X is ﬁrst countable. (Okay.a. b] := {x ∈ X : a < x b}. this exists because of wellordering. I know that I told you that I was not going to use sequences outside metric spaces. there is some N such that xn ∈ U for n N . 3 .) Do you need ﬁrst countability for both spaces.
Since x belongs to the closure of A. and it is then almost a tautology that C converges to Ω even though we have seen there is no sequence that will do this. Similarly we have Proposition A19. in Example A19. A map f : X → Y between topological spaces is continuous if and only if the net f (xi ) → f (x) in Y whenever the net xi → x in X.This motivates the following deﬁnition. On the other hand. We deﬁne U V if U ⊇ V (notice that the inclusion is reversed!). we could take the collection C itself in its natural ordering to be a net. Proof. and in fact a directed set: an upper bound for U and V is the intersection U ∩V .8. Proposition A19. suppose that U and V are open neighborhoods of x. These deﬁnitions match the deﬁnitions of “sequence” and “convergent sequence” when we take the net simply to be the natural numbers N. A net has to parameterized by a directed set.3 above. Deﬁnition A19. The trick is to pick the collection of all neighborhoods of x as the directed set! In fact.6. a subset A is closed if and only if the limit of every convergent net in A is itself a member of A. A net {xi } converges to x ∈ X if it is eventually in every neighborhood of x. then there is some net in A that converges to x. A net {xi } is eventually in S if there is i0 such that xi ∈ S for all i i0 . Deﬁnition A19. it converges to x by deﬁnition: if V is any neighborhood of A then there is an element of N (namely V itself) such that if U V then aU ∈ V . it is frequently in S if it is not eventually in X \ S.) Let S be a subset of X. Emulating the proof of Lemma A19. Moreover.5. Deﬁnition A19. This makes the collection N = {U open : x ∈ U } a partially ordered set.4. The mapping2 from N to A given by U → aU is a net. 2 Using the axiom of choice here! 61 . for every U ∈ N there exists aU ∈ A ∩ U . Now suppose that X is a topological space. what we have to show is that if x is a point of the closure of A.7. In any topological space X. A net in a set X is a map from a directed set to X. (Recall that a directed set is a partially ordered set in which any two elements have an upper bound.1.
xU converges to x.) One might ask whether we can similarly generalize the deﬁnition of compactness. by construction. such that f −1 (W ) is not a neighborhood of x. A collection F of subsets of X will be called an N ﬁlter if N is frequently in every member of F .9. for any i0 ∈ D. for every U ∈ F which contains x. Every subnet of a convergent net is convergent (with the same limit). {X} is an N ﬁlter. and an open neighborhood W of y. The collection of N ﬁlters is partially ordered by inclusion. the result of composing it with a ﬁnal function h is called a subnet or reﬁnement of the original one. given any subset S of X whatsoever.12. Given a net D → X. Deﬁnition A19. we must arrive at the correct deﬁnition of subnet. there is j0 ∈ D such that j j0 implies h(j) i0 .10. Deﬁnition A19. the deﬁnition of “ﬁnal function” is cooked up to make this true. Exercise A19. Then there exist a point x ∈ X.Proof. Then. Let N : D → X be a net in X. The proof that a continuous map has this property is essentially the same as the corresponding proof for sequences. A net {xi } in X is called universal if. Lemma A19. Let D and D be directed sets.11. and if F is closed under ﬁnite intersections and the formation of supersets. either {xi } is eventually in S or else eventually in X \ S. Show that a net xi converges to x iff. y = f (x). Such objects exist: for example. Proof. Every net has a universal subnet. which in the metric space case is expressed as “every sequence has a convergent subsequence. and every chain in this partially ordered set has an 62 . It follows that for every open neighborhood U of x there exists xU ∈ U \ W . since it never lies in the neighborhood W of y.” To do this. Suppose that all we know about the topology of X is that it is generated by some family F of subsets. (This exercise should help you understand why we insist that a net should be parameterized by a directed set. as in the previous proposition. the net xi is eventually in U . This depends unavoidably on the axiom of choice. Suppose that f has the property in question but is not continuous. parameterized by a directed set D. Organize the xU into a net parameterized by the directed set N of neighborhoods of x. A function h : D → D is called ﬁnal if. but f (xU ) does not converge to y.
13.upper bound (the union). Proposition A19. i) with A ∈ F0 . Conversely. call it F0 . j) ∈ B ∩ S ⊆ A ∩ S. so the intersection of some ﬁnite subcollection of F is empty. Let A ∈ F0 and let i be arbitrary. By maximality we deduce that S itself belongs to F0 . It is not possible that N be frequently both in S and in X \ S. there exist B ∈ F0 . i ∈ D. (ii) (the ﬁnite intersection property) if F is a family of closed subsets of X. Proof. hence it has a ﬁnite subcover. and N (i) ∈ A. j) (A. The following properties of a topological space X are equivalent: (i) X is compact. then in fact the intersection of all the members of F is nonempty. The map (A. Let S ⊆ X have the property that N is frequently in S. Thus N fails to be frequently in one of these sets. Now let S be arbitrary. We conclude that N is frequently in A ∩ S for every A ∈ F0 and hence. the empty set. (iv) every net in X has a convergent subnet. a contradiction. is again an N ﬁlter. and then their intersection. i) ⇔ B ⊆ A. would do so as well. j i. Suppose that S ⊆ X has the property that N is frequently in A ∩ S for every A ∈ F0 . A ∈ F0 . If F is empty then U is an open cover of X. and the intersection of any ﬁnite number of members of F is nonempty. (iii) every universal net in X converges. that S itself belongs to F0 . B ⊆ A. Let D be the collection of pairs (A. which is to say that it is eventually in the other one. Let F be a family as in (ii) and let U = {X \ F : F ∈ F}. We will use this property to construct the desired universal reﬁnement. Thus Zorn’s Lemma provides a maximal N ﬁlter. as observed above. Then the union of F0 with the set of all sets A ∩ S. This proves (ii). i) → i is ﬁnal so deﬁnes a reﬁnement N of the net N . if we assume (ii) and let U be an open cover that is supposed to have 63 . for then (by the above) both S and X \ S would belong to F0 . and j i. such that N (j) = N (B. Suppose (i). We claim that this reﬁnement is universal. By deﬁnition. it is a directed set under the partial order (B.
It follows that xα is eventually in any ﬁnite intersection of the Fx . Let X be the Cartesian product α Xα : that is. which sends the point x to its “coordinate” xα . By (ii) the intersection of all the Fx is nonempty. The product topology on X is the topology generated by all −1 the sets πα (Uα ). hence convergent. and this is a contradiction since x ∈ Fx for each x. Let x ∈ X be the unique point such that πα (x) = xα . Show that xi converges to x ∈ X if and only if πα (xi ) converges to πα (x) for all α ∈ A . xi → x in X. where xα ∈ Xα . Deﬁnition A19. Let xi be a universal net in X. and let {xα } be a universal net in X. Let D be the directed set comprised of ﬁnite intersections of members of F (directed by reverse inclusion) and for each D ∈ D let xD be a point of D. For each α there is a projection map πα : X → Xα . Let F be a family of closed sets with the ﬁnite intersection property. If it does not converge. Proof. Thus (i) and (ii) are equivalent. we deduce that x ∈ F . then each x ∈ X has a neighborhood Ux for which xα is not eventually in Ux . choose a subnet convergent to x ∈ X.15. We use the characterization (iii) of compactness in Proposition A19. Then xD is a net in X. Thus X is compact. Then πα (xi ) is a universal net in Xα . This proves (ii). Suppose (ii).no ﬁnite subcover.15. Theorem A19.16. any neighborhood of x meets every F ∈ F. Exercise A19. an element of X is a mapping x : α → xα . By deﬁnition. / (iii) implies (iv) by Lemma A19. say to xα . parameterized by α ∈ A where A is some index set (possibly inﬁnite or even uncountable). Thus the intersection of all the F contains x. Then.12. hence (by universality) xα is eventually in Fx = X \ Ux .13 above. by Exercise A19.14. Let xi be a net in the product X deﬁned above. In particular no ﬁnite intersection of the Fx is empty. Suppose (iv). (Tychonoff) The product of any family of compact spaces is compact. Now let (Xα ) be a family of topological spaces. 64 . we reach a similar contradiction by considering the family of closed sets F = {X \ U : U ∈ U}. where α runs over A and Uα runs over all the open subsets of Xα . since F is closed.
and it is the largest topology (most open sets) that does so.3. Now suppose that X is a topological space. So we are done. Let X = [0. The quotient topology on X/ ∼ is deﬁned by declaring that a subset U ⊆ X/ ∼ is open iff the inverse image π −1 (U ) is open in X.Lecture A20 Quotient Spaces Let X be a set and ∼ an equivalence relation on it. A subset of X is called saturated (with respect to ∼) if it is a union of equivalence classes. Recall that the notation X/ ∼ denotes the set of equivalence classes of the equivalence relation. There is a canonical map π : X → X/ ∼ that sends each x ∈ X to its equivalence class. 1] for some > 0. namely that the sets U identiﬁed by this deﬁnition do satisfy the axioms for a topology. the smallest saturated set that includes S. there is something to check here.2. Of course. Moreover. Deﬁnition A20. and then f (U ) = {(cos 2πt. ) ∪ (1 − . 1]/ ∼ is homeomorphic to the unit circle S 1 . The saturation of an arbitrary subset S is the union of all the equivalence classes that meet S. Clearly. )} is a neighborhood of (1. we must show that any saturated open set containing x maps to a neighborhood of g(x). f is a continuous map from X/ ∼ to S 1 . To see this.e. and deﬁne f : X/ ∼→ S 1 by f (π(t)) = g(t). Thus. Then [0. 1} this is easy. The ideas underlying this example can be summarized in the next two propositions. x + ). By the remark above. let g : X → S 1 be the continuous map g(t) = e2πit = (cos 2πt.1. sin 2πt). The ﬁrst is the topological analog of the “ﬁrst isomorphism theorem” in 65 . and for this it sufﬁces to show that f takes each neighborhood of each point π(x) of X/ ∼ to a neighborhood of f (π(x)) = g(x). That is. the open sets of the quotient topology correspond to the saturated open subsets of X. sin 2πt) : t ∈ (− . What about saturated open sets containing 0 or 1? Any such must include U = [0. which is in fact bijective. When x ∈ {0. Remark A20. since any saturated open set containing x includes an interval (x − . We must show that f is also open. 1] and let ∼ be the equivalence relation that makes 0 and 1 equivalent and whose only other equivalence classes are points. 0) in S 1 . But this is easy. this is welldeﬁned since g(0) = g(1). Example A20. the quotient topology makes π continuous. i. a function f : (X/ ∼) → Y is continuous iff f ◦ π : X → Y is continuous.
4. and Y is a Hausdorff space. A continuous g : X → Y is ∼respecting iff g = f ◦ π for some continuous f : X/ ∼→ Y . Proof. and let ∼ be the equivalence relation which makes (x1 .12. Show that X is a Hausdorff space. Then g = f ◦ π. An obvious necessary condition for Hausdorffness is that the equivalence classes should be closed: after all. y1 ) equivalent to (x2 . Exercise A20. It might be helpful to think of ∼. g is ∼respecting. 1]×[0. which is in fact a bijection X/ ∼→ Y . in this proposition. 3. as the “kernel” of the map g. y2 ) iff either x1 = x2 and y1 = y2 or y1 = y2 > 0.}. so there is a continuous map f as described. Then we have Proposition A20. Let X be a compact space and Y a Hausdorff space and suppose that g : X → Y is continuous and surjective.algebra. for an equivalence class c. .5. each equivalence class is the inverse image of a point in X/ ∼ under the continuous map π. If g is ∼respecting then a function f can be deﬁned by setting f (c). which is a compact Hausdorff space. Then the map f : X/ ∼→ Y induced by g is a homeomorphism. 0) must intersect. Let X be the real line. Proposition A12. with the topology generated by all the open sets of the usual topology together with the complement of the set A = {1/n : n = 1. . Proposition A20. Let X be the unit square [0. but that the quotient 66 . 1]. and f is continuous by deﬁnition of the quotient topology. But X/ ∼ is a compact space (as the image of a compact space under the continuous map π. Then any two saturated neighborhoods of (0.8). 2. Let ∼ be the equivalence relation on X deﬁned by x ∼ x iff g(x) = g(x ).7. Proof. equal to f (x) for any representative x of c.6. and we know that onepoint sets are closed in a Hausdorff space. so this bijection is in fact a homeomorphism by Corollary A12. Tautologically. 0) and (1. But this is by no means a sufﬁcient condition: Example A20. so the corresponding quotient space cannot be Hausdorff. One can even give an example of this kind where all the equivalence classes except one consist of single points. Let us call a continuous map f : X → Y ∼respecting if f (x) = f (x ) whenever x ∼ x . One problem with quotient spaces is that they are frequently not Hausdorff. .
But then π(U1 ) and π(U2 ) are disjoint open subsets of X/ ∼ containing x1 and x2 respectively. Proposition A20. the projection π : X → X/ ∼ is a closed map (it need not be open). then the point (x1 . Let ∼ be an equivalence relation on X. Now. Let X be a compact Hausdorff space and let ∼ be an equivalence relation on X whose graph is closed. π : X → X/ ∼ is a closed map). Suppose that π is open. Then X/ ∼ is Hausdorff also. Proposition A20. Let G denote the graph of ∼. Thus π −1 (U1 ) × π −1 (U2 ) is open in X × X. and does not meet G. Proof. where π2 : X × X → X is the second projection map of the product space. The graph of ∼ is the subset G = {(x1 . Then whenever x1 ∼ x2 there are disjoint open subsets U1 . Moreover. C × X and G are closed subsets of X × X. there are additional conditions under which the closure of the graph is both necessary and sufﬁcient for the Hausdorffness of the quotient. then the graph G is closed. which is compact (by the Tychonoff 67 .8. x2 ) and does not meet G.) We will give some useful conditions for Hausdorffness of quotients. We conclude that if X/ ∼ is Hausdorff. Suppose that X/ ∼ is Hausdorff.) The previous exercise shows that the converse is not necessarily the case. so there is an open rectangle of the form U1 × U2 which contains (x1 . We ﬁrst show that the saturation of any closed subset of X is closed (equivalently. We may write the saturation S of C as S = π2 ((C × X) ∩ G) ⊆ X. (This is also an example of a Hausdorff space that is not regular.9. (This statement includes our previous requirement that the equivalence classes should all be closed. Let C be a closed subset of S. Let X be a Hausdorff space and let ∼ be an equivalence relation on X whose graph is closed. x2 ) ∈ X × X does not meet the closed set G. x2 ) : x1 ∼ x2 } ⊆ X × X. U2 of X/ ∼ with π(x1 ) ∈ U1 and π(x2 ) ∈ U2 . Proof. Let x1 .space obtained by identifying all the points of A to a single point (this is usually denoted X/A) is not. contains (x1 . but it is stronger. x2 ∈ X with π(x1 ) = π(x2 ). x2 ). If in addition the projection π : X → X/ ∼ is an open map then X/ ∼ is Hausdorff also. However.
Si is closed (by the ﬁrst thing we proved above) and does not meet Ci . 68 . with (U1 × U2 ) ∩ G = ∅. Qyn . we prove the analog of regularity. C2 respectively. . U2 ⊇ C2 .theorem). and let Si be its saturation. Because C2 is compact there is a ﬁnite subcover of C2 say by Qy1 . (U1 × U2 ) ∩ G = ∅. Fix x ∈ C1 . so compact. . For each y ∈ C2 there are open sets Py containing x and Qy containing y such that (Py × Qy ) ∩ G = ∅. whose saturations do not meet — that is to say. Then P = n Pyj and Q = n Qyj are open sets. Consider now the closed set X \ Ui . It follows that π2 ((C × X) ∩ G) is a compact subset of a Hausdorff space. so the complement X \ Si = Vi is a saturated open set with Ci ⊆ Vi ⊆ Ui . Let us show that there are open sets U1 . one j=1 j=1 containing x and one including C2 . Now suppose that x1 . First. Thus (C × X) ∩ G is a closed subset of a compact space. This is the same argument as the proof that compact Hausdorff spaces are normal. . Now π(Vi ) and π(V2 ) are disjoint open subsets containing x1 and x2 respectively. such that P ×Q∩G = ∅. Repeat the argument using the compactness of C1 to obtain the desired open sets U1 ⊇ C1 . x2 ∈ X with π(x1 ) = π(x2 ). . This proves our assertion. and let C1 and C2 be the equivalence classes of x1 and x2 respectively. so it is closed. including C1 . U2 .
Proposition A21. u2 ∈ U2 . the multiplication map G × G → G. or in other words the space of equivalence classes 69 (x. SL(n. etc. Deﬁnition A21. O(n). This is one example of the “homogeneity” of topological groups. deﬁned by Lg (x) = gx. are homeomorphisms G → G. every onepoint set is closed. then u1 = g2 u−1 with u1 ∈ U1 . Consequently. x → x−1 . Proof. C) as well as their various subgroups SL(n. y) → xy . and then g2 = u1 u2 ∈ U1 U2 ⊆ V .2. the nonzero (real or complex) numbers under multiplication. We can think of it as a set provided with a distinguished element (the identity e) and two distinguished maps. But now U1 and g2 U2 are open neighborhoods of e and g respectively. By continuity of the multiplication map at the point (g1 . A topological group is a group provided with a topology for which the multiplication and inversion maps are continuous. there are open sets U1 . R) and GL(n. the matrix groups GL(n. e). We denote by G/H the space of left cosets xH for x ∈ G.Lecture A21 Basics of Topological Groups Let G be a group. A topological group G is Hausdorff if and only if the onepoint set {e} is closed. If g1 = g2 there exists an open set V = G \ {g2 } that contains g1 and does not contain g2 . U (n). a 2 contradiction. every translate gU or U g of an open subset U is again open (and every translate of a closed set is closed). Rg (x) = xg. U2 that contain −1 g1 and e respectively such that U1 · U2 ⊆ V . Any group can be thought of as a topological group when endowed with the discrete topology. together with the deﬁnition of the product topology. I claim they don’t intersect: if they did. Let G be a topological group and H a subgroup. By translation. In a topological group the left and right multiplication maps by a ﬁxed element g. R).1. C). There are many examples: the (real or complex) numbers under addition. Suppose that {e} is closed. and the inversion map G → G.
Proof. Proposition A21.. then x−1 y ∈ G \ H which is an open set. which are equivalence classes for the equivalence relation x ∼ y ⇔ xy −1 ∈ H. and we give them the quotient topology. The quotient maps G → G/H and G → H\G are open maps. y) that does not meet Γ. a key part of algebraic topology. Let G be a Hausdorff topological group and let H be a closed subgroup. Deﬁnition A21. If H is a normal subgroup of G then the left and right coset spaces are the same.6. it sufﬁces to show that the graph Γ of the equivalence relation x ∼ y ⇔ x−1 y ∈ H is a closed subset of G × G. A continuous. By A20. In this case we know from algebra that G/H has the structure of a group. It follows that the complement of Γ is open. Suppose that (x. But then U −1 × V is an open neighborhood of (x.for the equivalence relation x ∼ y ⇔ x−1 y ∈ H.8 and A21. so Γ is closed. surjective map f : X → Y is called a local homeomorphism if every x ∈ X has a neighborhood U such that the restriction of f to a map U → f (U ) is a homeomorphism. This can be envisaged as a special case of the next result: 70 . Local homeomorphisms will play a very important role in the study of covering spaces. Then the homogeneous spaces G/H and H\G are Hausdorff. y) ∈ Γ. By / continuity of multiplication there exist open sets U x−1 .3. similarly we denote by H\G the space of right cosets Hx. hence open. But the saturation of an open set U is uH = u∈U h∈H U h. Exercise A21. The classic example of a local homeomorphism is the exponential map t → e2πit from the real line to the circle. Y be topological spaces. multiplication and inversion are continuous. Show that G/H is a topological group. Theorem A21. the second representation exhibits it as a union of open sets.4. Proof. This is equivalent to the statement that the saturation of an open subset of G is open.4. V y with U · V ⊆ G \ H. We have also just equipped it with a topology.e. Let X. i.5. These are called (left and right) homogeneous spaces of G by H.
Proposition A21.7. Let G be a topological group and suppose that H is a closed subgroup which is discrete (in the induced topology). Then the quotient map π : G → G/H is a local homeomorphism. Proof. There is a neighborhood V of e such that H ∩ V = {e}. By the same kind of argument (continuity of multiplication) that we have already used several times, there exists a neighborhood U of the identity with U −1 U ⊆ V . But now the restriction of π : G → G/H to the set U is injective: if π(u1 ) = π(u2 ) then u−1 u2 ∈ V ∩ H = {e}, and so u1 = u2 . Thus the restriction of π to a map 1 from U to π(U ) is continuous, bijective, and open (A21.4): in other words, it is a homeomorphism. We have proved that π is a homeomorphism near e; by translation, the same holds near any point. A group G acts on a set X if there is given a map G × X → X, written (g, x) → gx, such that ex = x for all x ∈ X and g(hx) = (gh)x for all g, h ∈ G, x ∈ X. If G is a topological group and X is a topological space we deﬁne a continuous action by requiring that the associated map G×X → X be continuous. An action is transitive if for all x, y ∈ X there exists g ∈ G with gx = y. Example A21.8. The rotation group SO(n) acts transitively on the unit sphere S n−1 . Proposition A21.9. Suppose that G acts transitively on the Hausdorff space X. For any x ∈ X let Gx denote the stabilizer Gx = {g ∈ G : gx = x}, which is a closed subgroup of G. Then the formula [g] → g · x deﬁnes a continuous bijection G/Gx → X. It is a homeomorphism if G is compact. Proof. The continuous map G → X given by g → gx respects the equivalence relation given by the cosets of Gx . Thus it passes to a continuous map G/Gx → X, which is injective by construction, and is surjective because of the transitivity of the action. The ﬁnal statement follows because G/Gx is compact and X is Hausdorff. For example, considering the stabilizer of a single point (the North pole) gives us the identiﬁcation S n−1 ∼ SO(n)/SO(n − 1) (using the fact that SO(n) is = compact). 71
Lecture A22 Homotopy Hereafter “map” means “continuous map”. Consider the unit square X = I 2 = {(x, y) ∈ R2 : 0 x, y 1}. Imagine two continuous paths γ1 , γ2 : [0, 1] → X, with γ1 beginning at (0, 0) and ending at (1, 1), and γ2 beginning at (0, 1) and ending at (1, 0). It seems obvious that these two paths must cross somewhere in the interior of the square. But this is hard (maybe impossible?) to prove just with the tools that we have developed so far. We need a little homotopy theory. Deﬁnition A22.1. Let X and Y be topological spaces and let f0 , f1 : X → Y be continuous maps. A homotopy between f0 and f1 is a continuous map h : X × [0, 1] → Y with h(x, 0) = f0 (x) and h(x, 1) = f1 (x) for all x ∈ X. If there exists a homotopy between f0 and f1 we say that these maps are homotopic. Proposition A22.2. Homotopy is an equivalence relation on the class of maps X →Y. Proof. Clearly any map f is homotopic to itself via the constant homotopy h(x, t) = f (x). If h is a homotopy between f0 and f1 , then k(x, t) = f (x, 1 − t) is a homotopy between f1 and f0 . Finally, homotopies can be concatenated like paths: if h is a homotopy from f0 to f1 and h is a homotopy between f1 and f2 then h (x, 2t) (t 1 ) 2 h(x, t) = h (x, 2t − 1) (t 1 ) 2 is a homotopy between f0 and f2 . Exercise A22.3. Check in detail that the homotopy h deﬁned in the last part of this proof is continuous.
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Remark A22.4. This proof is obviously closely related to the proof that pathconnectedness is an equivalence relation, Lemma A15.10. In fact, pathconnectedness is just homotopy of maps where X is a point. Conversely, one can reduce the notion of homotopy to pathconnectedness in the space of maps X → Y if one deﬁnes a suitable topology on this space. But we won’t do that here. Proposition A22.5. If f0 , f1 are homotopic maps X → Y , and g0 , g1 : Y → Z are homotopic maps, then g0 ◦ f0 , g1 ◦ f1 are homotopic maps X → Z. (In particular, homotopic maps remain homotopic after composition on the left or the right with a ﬁxed map.) There is a related notion, that of relative homotopy. Let X be a space and A a closed subspace (one says sometimes that (X, A) is a pair). Then a homotopy relative to A from X to Y is a homotopy h : X × [0, 1] → Y such that h(a, t) is independent of t for all a ∈ A — a homotopy that stays constant on A. This also deﬁnes an equivalence relation by the same reasoning as above. Example A22.6. Let X be the unit disc in Euclidean space. Then the identity map X → X is homotopic to the map that sends every point to the origin. A homotopy between these maps is deﬁned by h(x, t) = (1 − t)x. A similar argument can be applied to any starshaped subset of Euclidean space. Example A22.7. Let X, Y be spaces and let f : X → Y be a continuous map. The mapping cylinder of f is the space Cf = X × [0, 1]
f
Y
obtained from the disjoint union X × [0, 1] Y by identifying (x, 0) with f (x) for all x ∈ X (and equipped with the quotient topology). As we saw earlier, there is a continuous map F : Cf → Y deﬁned by F (x, s) = f (x), F (y) = y. Moreover, the identity map Cf → Cf is homotopic, relative to Y , to the map Cf → Y → Cf deﬁned by composing F with the standard inclusion Y → Cf . A homotopy h between these maps can be deﬁned by the formula h((x, s), t) = (x, (1 − t)s), h(y, t) = y.
Notice that the second example actually includes the ﬁrst: the disc is the mapping cylinder of the constant map from a sphere to a point. The geometric situation deﬁned in these examples occurs often enough to have a special name. 73
8. Proposition A22. The relation of homotopy equivalence is. and that Y is a deformation retract of the mapping cylinder. A map that has a homotopy inverse is called a homotopy equivalence. The examples above establish that a point is a deformation retract of a disk. Proof.5 that g ◦ g is a homotopy inverse for f ◦ f . 74 .10. relative to A. Suppose that f : X → Y and f : Y → Z have homotopy inverses g and g respectively. Let X be a space and A a closed subspace. and one says that the spaces X and Y are homotopy equivalent if there is indeed a homotopy equivalence between them.Deﬁnition A22. so X and A are homotopy equivalent. from the identity map on X to a retraction X → A.9. indeed. A deformation retraction of X onto A is a homotopy. then the inclusion A → X and retraction X → A form a pair of homotopy inverse maps. Let X and Y be spaces and let f : X → Y and g : Y → X be maps. Deformation retraction is a special case of the general notion of homotopy equivalence. Then it follows from Proposition A22. Deﬁnition A22. For example. If these exist one says that A is a retract or deformation retract of X. A retraction of X onto A is a continuous map X → A which is the identity on A. if A is a deformation retract of X. an equivalence relation. One says that f and g are homotopy inverses if the composite g ◦ f is homotopic to the identity map on X and f ◦ g is homotopic to the identity map on Y .
and one says that the spaces X and Y are homotopy equivalent if there is indeed a homotopy equivalence between them. indeed. Then it follows from Proposition A22.5 that g ◦ g is a homotopy inverse for f ◦ f . so the cone on any space is contractible. the “ﬁgure 8”. Any mapping cylinder deformation retracts onto the range of the map from which it is deﬁned (as we have seen). For example. there are topological properties that are preserved by homotopy equivalence. so X and A are homotopy equivalent. and the “dumbbell” are all homotopy equivalent.2. Example A23. Proof. the 1dimensional spaces given by the “theta curve”. if A is a deformation retract of X. Deﬁnition A23. A map that has a homotopy inverse is called a homotopy equivalence. although no two of them are homeomorphic.1. and that Y is a deformation retract of the mapping cylinder. Deﬁnition A23. Homotopy equivalent spaces can be rather different topologically. then so is Y . an equivalence relation. The relation of homotopy equivalence is.3. 1]/X × {0}. However. If X is pathconnected. Suppose that f : X → Y and f : Y → Z have homotopy inverses g and g respectively. For example. Proposition A23. The cone CX on a space X is the quotient X × [0. then the inclusion A → X and retraction X → A form a pair of homotopy inverse maps. Deformation retraction is a special case of the general notion of homotopy equivalence. Let X and Y be spaces and let f : X → Y and g : Y → X be maps. Suppose X and Y are homotopy equivalent.Lecture A23 Homotopy Equivalence The examples above establish that a point is a deformation retract of a disk. A space is called contractible if it is homotopy equivalent to a point.4. or in other words the mapping cylinder of the constant map from X to a point. One says that f and g are homotopy inverses if the composite g ◦ f is homotopic to the identity map on X and f ◦ g is homotopic to the identity map on Y . 75 .
If A really were a point. Unfortunately this is not true. 1] ⊆ X × [0. y) : −1 y 1} on the yaxis. that is. Let X be a space and A a closed subspace. then t → h(y. Then there is a path γ in X joining g(y) to g(y ). 1] to Y . One says that (X. Let f : X → Y and g : Y → X be mutually inverse homotopy equivalences.5. It follows from the earlier discussion that y and y are in the same path component.13. Thus f (g(y)) and f (g(y )) are in the same path component. the points y and f (tg(y)) belong to the same path component: indeed. if h is a homotopy between f ◦ g and the identity. Now let y. the quotient space X/A would be just the same as X. What is missing in this example is the homotopy extension property (HEP). 1] → Dn × {0} ∪ S n−1 × [0. t) deﬁnes a path joining y to f (g(y)). Y is path connected. then the desired extension can be deﬁned by composing with r.e. y ∈ Y and suppose that X is path connected. Now f ◦ γ is a path joining f (g(y)) to f (g(y )). i. The way to think of this is that the initial data consist of a map X → Y together with a homotopy of the restriction of that map to the subspace A.6. A) has the homotopy extension property if any map from the subspace X × {0} ∪ A × [0. Most “nice” pairs of spaces have the HEP: proofs are often inductive based on the following example. 1] (which can be done for instance by projection from the point (0. To see this. Show that Z/A is pathconnected.13 shows that Z itself is not pathconnected. 3/2) in Rn+1 ). Suppose that X is a space and A a closed subspace. Note that for each y ∈ Y . If A is contractible. Clearly A is contractible. and let A ⊆ Z be the interval {(0. this proves that Z and Z/A cannot be homotopy equivalent. Example A23.7. we might say that “up to homotopy” A is the same as a point. 76 .Proof. S n−1 ) has the homotopy extension property. The pair (Dn . 1] to another space Y can be extended to a map from the whole of X × [0. it is enough to construct geometrically a retraction r : Dn × [0. Deﬁnition A23. . Let Z be the “topologist’s sine curve” of Exercise A15. Since Exercise A15. So we might be led to hope that if A is contractible. Exercise A23. the HEP says that this homotopy can be extended to a homotopy deﬁned on the whole space X. the quotient map X → X/A is a homotopy equivalence.. X/A is “up to homotopy” the same as X.
By the HEP. such that G(a) = p for all a ∈ A.Proposition A23. t) ∈ A for all a ∈ A and all t. Let p ∈ A be a point and let h : A × [0. 77 . the homotopy h extends to a homotopy H between the identity on X and some map G : X → X. 1]. that is. t) = π(H(x. In particular. t)) for all x ∈ X. To see this we must show that g ◦ π and π ◦ g are homotopic to the identity on X and X/A respectively. I claim. What about the other? The homotopy H has H(a. so there is a map g : X/A → X such that g ◦ π = G. π ◦ H respects the equivalence relation.8. 1] → (X/A) such that k(π(x). a homotopy inverse for π. The ﬁrst is easy: g ◦ π = G is homotopic to the identity by construction. Suppose that (X. Proof. Note that G respects the equivalence relation deﬁning the quotient space. It follows that there is a map k : (X/A) × [0. t) ∈ X/A is constant for all a ∈ A and t ∈ [0. A) has the HEP and that A is contractible. The ﬁrst order of business is to ﬁnd a potential homotopy inverse. 1]. 1] → A be a homotopy between the identity map and the constant map that sends A to p. Therefore. k gives the desired homotopy between π ◦ g and the identity on X/A. This map g is. t ∈ [0. π ◦ H(a. Then the quotient map π : X → X/A is a homotopy equivalence.
2. The natural notion of homotopy for maps of pointed spaces is based homotopy: a based homotopy from (X. t) = y0 for all t ∈ I. y0 ) is a homotopy h : X × I → Y such that h(x0 .3. x0 ) to (Y. x0 ). ∗) → (X. then so is γ γ . A map of pointed spaces (X. 1}. 1] → X such that γ(0) = γ(1) = x0 . 78 . Then γ and γ ◦ g represent the same element of π1 (X. x0 ) and it is called the fundamental group of (X.) Proof. y0 ) is just a map from X to Y that takes x0 to y0 . This object is denoted π1 (X. x0 ). Lemma A24. it is a path γ : [0. we’ll omit explicit mention of the base point.1. Moreover. x0 ). The map h(s.Lecture A24 The fundamental group For the next few lectures we are going to consider pointed topological spaces. x0 ). t) = γ((1 − t)s + tg(s)) deﬁnes a homotopy between γ and the reparameterized path γ ◦ g. Example A24. It is a pointed space whose base point ∗ is the equivalence class {0. (The composite γ ◦ g is called a reparameterization of γ. Let g : [0. if γ or γ is varied by a (based) homotopy. Let γ be a based loop in (X. 1] be a continuous map with g(0) = 0 and g(1) = 1. x0 ). Deﬁnition A24. In particular we can consider the collection of all based homotopy classes of loops in (X. As we shall see. to save space. Thus the operation passes to a “multiplication” operation on π1 (X. Such an object is just a topological space X together with a choice of a base point x0 ∈ X. A loop in a pointed space (X. 1] → [0. x0 ) → (Y. In other words. Sometimes. Let γ and γ be paths in X. 1}. x0 ). there is indeed a natural way to make it into a group. 1]/{0. x0 ) is a map of pointed spaces (S 1 . We regard the unit circle S 1 as the quotient space [0. Recall that the concatenation of these paths is deﬁned by 1 γ (2s) (s 2 ) γ γ (s) = γ (2s − 1) (s 1 ) 2 If γ and γ are (based) loops then so is γ γ .
as usual. Then. to reparameterize them. 1] → X be a path from x0 to x1 . 79 . Let q : [0. Proof. Then h(s. the path φ(γ) := q −1 γ q is a loop based at x1 .5.Proposition A24. There are three things that must be veriﬁed: associativity. x1 ∈ X. x0 ). x1 ) are isomorphic. for any loop γ. The effect of the choice of basepoint is summed up in the following. Then the groups π1 (X. x0 ) and π1 (X. Under this operation. x0 ) becomes a group. 1]) deﬁnes an identity element. Indeed. t) = γ((1 − t)g(s)) is a homotopy of based loops from γ γ −1 to the identity path. For associativity. Proof. Finally suppose that γ is a loop and let γ −1 be the loop deﬁned by γ −1 (s) = 1 and γ(1 − s). the existence of an identity. Then γ γ −1 is the path s → γ(g(s)) where g(s) = 2s for s 2 1 g(s) = 2 − 2s for s 2 . Lemma A24. in particular. The assignment γ → q γ q −1 gives the inverse homomorphism π1 (X. Let X be a pathconnected space and let x0 . and the existence of inverses. x1 ) to π1 (X. x0 ) to π1 (X. so these two groups are isomorphic. and let q −1 (s) = q(1 − s). and the assignment γ → φ(γ) gives a homomorphism of groups from π1 (X. we just need to note that the paths (γ1 γ2 ) γ3 and γ1 (γ2 γ3 ) are related by the reparameterization 1 2s s 4 1 s→ s+ 1 s 1 4 2 1 4 1 1 + 2s 2 s 1 2 The constant loop (e(s) = x0 for all s ∈ [0. The proofs of all three make extensive use of the freedom to deform loops by homotopies and. it is easy to see that e γ and γ e are simply reparameterizations of γ. x1 ).4. π1 (X. if γ is a loop based at x0 .
8. s) = h(2r(1 − s). 80 . the composite f ◦ γ is a based loop in Y . x0 ) → π1 (Y. (b) Suppose that f and g are maps (X.Beware that the isomorphism in the lemma above depends on the choice of the path q. x0 ). y0 ). x1 ) are “isomorphic but not canonically isomorphic”. Moreover. the assignment [γ] → [f ◦ γ] passes to homotopy classes and deﬁnes a homomorphism π1 (X. Item (c) is called functoriality: it is an extremely important property in many mathematical contexts. Let f : (X. which are homotopic by a homotopy h. But these are homotopic by a homotopy that goes diagonally across the square. Explicitly. Proof. based homotopic maps induce the same homomorphism. Let u ∈ π1 (Y. y0 ). x0 ) and π1 (X. s(2r − 1) + 1 − s) u to H(·. going along the left and top sides deﬁnes u g. Deﬁnition A24. y0 ) be deﬁned by the loop t → h(x0 . (c) If f : X → Y and g : Y → Z are based maps. we want to deﬁne H(r. 0) = f Corollary A24.7. t) → h(γ(s). then (f ◦ g)∗ = f∗ ◦ g∗ . x0 ) → π1 (Y. y0 ). t). (r (r 1 ) 2 1 ) 2 which gives a homotopy from H(·. One says that the groups π1 (X. (a) and (c) are immediate consequences of the deﬁnitions. Part (b) would be easier if we restricted our attention to based homotopies. x0 ) → (Y.6. Consider the map from the unit square to Y deﬁned by (s. and it is denoted by f∗ : π1 (X. If γ is a based loop in X. Then f∗ (v) = ug∗ (v)u−1 for all v ∈ π1 (X. y0 ) be a (basepointpreserving) map. 1) = u g. but we need the general case. The homomorphism so deﬁned is called the induced homomorphism of the map f . A homotopy equivalence induces an isomorphism of fundamental groups. In particular. The induced homomorphism has the following properties: (a) The identity map induces the identity homomorphism. t). Going along the bottom and right sides of this square deﬁnes the path f u. x0 ) → (Y. 2rs) h((1 − s)(2r − 1) + s. Proposition A24.
f∗ ◦ g∗ and g∗ ◦ f∗ are isomorphisms. In particular Corollary A24. Thus by (c) above. 81 . with homotopy inverse g. which implies that f∗ and g∗ are isomorphisms too. If X is contractible.9.Proof. Let f : X → Y be a homotopy equivalence. then its fundamental group is trivial. Then f g and gf are homotopic to the identity. and therefore by (a) and (b) above they induce isomorphisms on fundamental groups.
1. then a lifting of f (over p) is a map g : Y → E that makes the following diagram commute: >E Y in other words p ◦ g = f . together with an extension of the initial data of the homotopy to a map X → Y . respecting the given initial data. given any homotopy of maps A → Y . which we can also think of as a property of the inclusion map i : A → X. The notion of extension of a map can be expressed in diagrammatic terms using the inclusion i: X O i ? A / Y Here the solid arrows represent the given data and the dotted arrows represent the extension to be constructed. we can always extend the homotopy to a homotopy of maps X → Y . A). Dual to the notion of extension is the notion of lifting: suppose that p : E → B is a surjective map and f : Y → B is any map. We say that p : E → B has the homotopy lifting property or is a ﬁbration if. given any homotopy of maps Y → B together with a lifting of the initial data of the homotopy over p. Deﬁnition A25. 1] 82 / B . as one also says. In other words. the inclusion i is a coﬁbration) if. p has the HLP if. given the data expressed by the solid arrows in the diagram below /E Y × {0} < _ /B p Y × [0. The pair has the HEP (or.Lecture A25 Fibrations and the fundamental group Recall the homotopy extension property for a pair X. the entire homotopy can be lifted over p.
3. x0 ) = {1} for some (and hence any) basepoint x0 . for example.4. We may consider the path γ as a homotopy (of maps of a point into E) and. Let γ be a based loop in B and let x ∈ F be a point of the ﬁber F = p−1 (b0 ). Remark A25. Deﬁnition A25. we will say that X is simply connected. The inverse image F = p−1 {b0 } is called the ﬁber of the ﬁbration. if we do this.g. Suppose now that p : E → B is a ﬁbration and let b0 ∈ B be a base point. If X is pathconnected and π1 (X.2. γ 83 . Let p : E → B be a ﬁbration. e. so we can’t write down the full details of this. Then prove this statement by any one of a number of approximation techniques. by showing that any loop is homotopic to a “piecewise linear” loop made up of great circle arcs. 1] γ / B Filling in the dotted arrow provides a lifting γ of the path γ. But there are many other examples. γ and x together provide exactly the data for a homotopy lifting problem: {0} _ γ ˜ x / >E [0. but this lifting is ˜ not guaranteed to be a loop! All we know is that p(˜ (1)) = γ(1) = b0 . Contractible spaces. but to do so we have to consider a homotopy of maps A → Y as a single map from A to the space Y I of maps I → Y . Let X be a space. Show that the nsphere S n is simply connected for n 2. For now we are not going to worry too much about where ﬁbrations might come from. that is.5. We haven’t discussed the topology of mapping spaces. Hints: First show that it is enough if one knows that any loop in S n is homotopic to one that is not surjective. Instead we will concentrate on what they might tell us about the fundamental group.the dotted arrow can be ﬁlled in in such a way as to make the diagram commutative. Deﬁnition A25. Exercise A25.9). but it should not be hard to ﬁgure out the general idea. The homotopy extension property can be expressed in a similar diagrammatic way. and let B have a ﬁxed basepoint b0 . are simply connected (Corollary A24.
If γ .6. as above. (It’s obvious that γ (0) and γ (1) are in the same path component of E — they ˜ ˜ are joined by the path γ . then. and let γ be a based loop in B. Let h(s. righthand and top sides of the map of the unit square deﬁned by h are constant maps with value x0 . The concatenation (γ )−1 γ is a lifting of a nullhomotopic loop. Deﬁnition A25. It is not uniquely determined by this construction ˜ but we shall see in a moment that the path component of the ﬁber in which it lies is uniquely determined. Therefore the bottom. then their end points are in the same path component of F . The proof begins to build up the connection between ﬁbrations and the fundamental group. let π0 (F ) denote the set of path components of F . For any topological space F . Proof. ˜ ˜ Corollary A25. 0) = γ(s) and h(s. righthand and top sides of the lifted homotopy H are paths in the ﬁber F . γ (0) and γ (1) are in the same path component ˜ ˜ ˜ of the ﬁber F . b0 )). 1) = b0 . We apply the HLP to a homotopy between γ and the constant path.8. 1] × {0} _ γ ˜ / <E H [0. after all! — so the signiﬁcance of the lemma is that a ˜ path joining them can be found that lies wholly in F . 1] h /B The bottom. Then h together with γ provide the data for a homotopy lifting problem: ˜ [0. for any lift γ : [0. The concatenation of these three is a path in F from γ (0) to γ (1). 1] × [0. Let p : E → B be a ﬁbration. 1] → E of γ. 84 .γ (1) is a point of thee ﬁber F .7. t) be such a homotopy with h(s. starting at the same point γ (0) = γ (0).) Proof. If γ is nullhomotopic (that is. it represents the identity element in π1 (B. γ are two liftings of the same loop. To help keep track of this business of path components let’s introduce some notation. Lemma A25.
9. as discussed above. When a group action is both free and transitive. b0 ) on the set π0 (F ). b0 ). and a point x ∈ F representing c. and deﬁne c to be the path component containing γ (1). Proposition A25. the action is free. For g ∈ π1 (B. ˜ The lemma and corollary above show that this is well deﬁned. Then p ◦ H is a nullhomotopy of the path p ◦ β. The action law (cg )h = cgh follows from the fact that a lifting of a concatenation of loops is a concatenation of liftings of those loops. let γ be ˜ g any lift of γ starting at x. 85 . g) → cg . A (right) action of a group G on a set C is just a map C × G → C. Then given any two points x. on the other hand. Composing with p gives a based loop in B which (tautologically) lifts to a path in E from x to x . then this action is transitive. Thus the action is transitive. The composite p ◦ β is the concatenation of γ with a constant path. let us deﬁne cg (read: “c acted on by g”) as follows: choose a based loop γ representing g. Suppose now that E is path connected. The construction above deﬁnes an action of the fundamental group π1 (B. there exists g ∈ G such that cg = c . such that ce = c and (cg )h = cgh . for ﬁxed c. And ce = c follows from the fact that a constant loop can be lifted to a constant. Suppose that cg = c for some c ∈ π0 (F ) and g ∈ π1 (B. An action is free if cg = c implies g = e. which therefore represents the identity element of π1 (B. so it still ˜ represents g ∈ π1 (B. and it is transitive if for all pairs c. is a bijection from the group G to the set C. if E is path connected. the mapping g → cg . this means that g is represented by a based loop γ in B which lifts to γ such that γ (0) and γ (1) are in the same path component ˜ ˜ ˜ of F . x of the ﬁber there is a path in E joining them. β is nullhomotopic in E (say by a homotopy H) because E is simply connected. b0 ) as claimed.Suppose that p : E → B is a ﬁbration with ﬁber F . Let us explain the terminology. Proof. But. b0 ) and c ∈ π0 (F ). written (c. and if in addition E is simply connected. b0 ). Moreover. Construct a loop β in E by concatenating γ with a path in F from γ (0) to ˜ ˜ γ (1). c of elements of C. Suppose additionally that E is simply connected.
There are many different possible covering spaces of the “ﬁgure 8” space.1. Example A26. a covering map is “locally the projection of a product with a discrete space”. 1] with endpoints identiﬁed) or x → e2πix (if we think of the unit circle in C) is a covering map with ﬁber Z. I’ll draw some pictures in class. a the surface of a 2holed donut). Deﬁnition A26.e. Hatcher) give a deﬁnition which appears more general than this. One can tessellate the hyperbolic plane by such octagons with vertex angle of 45 degrees. A neighborhood U with the property described in the deﬁnition will be called a trivializing neighborhood for the ﬁbration.6. The map R → S 1 deﬁned by x → x mod 1 (if we think of the circle as [0. The map S 1 → S 1 deﬁned by x → nx mod 1 (or z → z n in the complex pictures) is a covering map with ﬁber an npoint space. Example A26. In other words. but it turns out that the deﬁnitions are equivalent for pathconnected base spaces B. The map p above is called a covering map (and E is called a covering space of B) if there is a discrete topological space F (the ﬁber) such that each point x ∈ B has an open neighborhood U for which there is a homeomorphism p−1 (U ) ∼ U × F making the diagram = ) p−1 (U H /U ×F HH HH HH HH pr1 p HHH HH HH H# ∼ = U commute.4.3.Lecture A26 Covering Spaces Let p : E → B be a surjective map of topological spaces. Then B can be obtained by a suitable identiﬁcation of the edges of a regular octagon. Let B be a compact oriented surface of genus −2 (i. Example A26. Example A26.5. Example A26. A homeomorphism is a covering map with 1point ﬁber. Some authors (e.2. 86 . From this tessellation we obtain a covering map from the plane to B.g.
. ﬁnitely many of these product neighborhoods Vt × Wt cover 87 . By connectedness. i. B has an open cover consisting of trivializing neighborhoods. t) should be the unique lifting of the path t → h(y. 1] into ﬁnitely many subintervals 0 t1 t2 ··· 1 of length less than the Lebesgue number. t) that begins at f (y). pr2 (H(tk ))) ∈ U × F ∼ p−1 (U ) ⊆ E. and in particular we may identify p−1 (U ) with U × F where F is the (discrete) ﬁber. By compactness. 1] h / B First of all let’s consider the case when Y is a single point (the “path lifting property”). Now we return to the case of general Y . Remember what we have to show: for each space Y we can ﬁll in the “homotopy lifting diagram” Y × {0} _ f / < E H Y × [0. which we just proved. tk+1 ]) ⊆ U for some trivializing neighborhood U . tk+1 ] that agrees with the lift already assumed to have been constructed on [0.Proposition A26. The inverse image of this open cover by the map h is then an open cover of the compact space [0. Partition [0.7. for each ﬁxed y ∈ Y . = By induction. Suppose then than a lifting H has been constructed on [0. We have h([tk . there is no question how to deﬁne H for general Y : namely. which has a positive Lebesgue number by the Lebesgue covering theorem. Indeed. it satisﬁes the homotopy lifting property. Because of the uniqueness of path lifting. ﬁx y0 ∈ Y and consider the following fact: for each t ∈ [0. we have done more than claimed: we have shown that there is a unique possible choice for H.e. H(y. To see this. By deﬁnition. A covering map is a ﬁbration. pr2 (H(t)) must be constant for any lift H. The only question is whether the function H deﬁned by this process is continuous as a function of y and t. 1]. Proof. tk ]. 1] there is a product neighborhood Vt × Wt of (y0 . t) such that h(Vt × Wt ) lies in a trivializing neighborhood in B. Therefore the unique continuous lift H of h on [tk . We will construct the desired lifting by induction over these subintervals. tk ] is H(t) = (h(t). we can construct H on [0. 1].
tk ))) ∈ U × F ∼ p−1 (U ) ⊆ E. t). h(V × [tk . in particular. Partition [0. 1]. t) for all t ∈ [0. this sufﬁces to complete the proof. 1].{y0 } × [0. tk+1 ]) is contained in a trivializing neighborhood. So the induction is complete and we have shown (in particular) that H is continuous at (y0 . We’re going to prove by induction over subintervals that H is continuous on V × [0. 88 . 1] into ﬁnitely many subintervals 0 t1 t2 ··· 1 of length less than . Notice that for each k. t) = (h(y. Let V be the intersection of the ﬁnitely many Vt ’s that appear and let be a Lebesgue number for the covering of [0. H(y. 1] by the ﬁnitely many Wt ’s. tk ) is a continuous function of y for y ∈ V . H(y. = and this is a continuous function of (y. π2 (H(y. tk ]. t). tk+1 ]. Suppose then that we already know that H is continuous on V × [0. Since y0 was arbitrary. 1]. But by the formula above. for t ∈ [tk .
3). in particular. as the above proof shows. Remark A27. 1)) · γ (min(0.4. Using a similar argument to the above. Exercise A27. The ﬁber F = Z is discrete and the total space E = R is contractible.Lecture A27 Applications So. show that if G is any topological group (not necessarily abelian). then π1 (G) is an abelian group. Proposition A27.2.3. We can therefore deﬁne a bijection π1 (S 1 ) → Z by sending g ∈ G to 0g ∈ Z. This proves that the bijection π1 (S 1 ) → π0 (Z) = Z is indeed an isomorphism of groups. All that is necessary is to show that this is a group isomorphism. Proof. notice that S 1 itself is a topological group.1. The integer n ∈ π1 (S 1 ) is represented by the map z → z n . In any topological group G. we can ﬁnally compute π1 (S 1 ).9 the action of π1 (S 1 ) on π0 (F ) = F is free and effective. the action of π1 (S 1 ) on the ﬁber Z satisﬁes 0gh = 0g +0h . The group π1 (S 1 ) is isomorphic to Z. For the expression H(s. which “wraps” the unit circle n times around itself. after all this machinery. For this. 1 − (2 − t)(1 − s))) deﬁnes a homotopy from the concatenation of γ and γ to their pointwise product. However. We make use of the covering space R → S 1 described above (Example A26. t) = γ (max((2 − t)s. instead of by concatenating them. The identity map S 1 → S 1 is a generator of the cyclic group π1 (S 1 ) = Z. so according to Proposition A25. (Noretraction theorem) There is no retraction of the disk D2 = {z ∈ C : z 1} onto its boundary circle S 1 = {z ∈ C : z 1}. the group operation in π1 (G) can be deﬁned by pointwise multiplying paths (using the group operation in G). the lift of a pointwise product of paths (in S 1 ) is clearly their pointwise sum (in R). Theorem A27. Here are some (standard) applications of this calculation. 89 .
Clearly. and this is impossible since π1 (S 1 ) ∼ Z while π1 (D2 ) is = trivial. A retraction is a map r : D2 → S 1 that is a left inverse to the inclusion i : S 1 → D2 . Let a ∈ C and let γ : S 1 → C \ {a} be a loop in the complex plane that does not pass through a. contradicting the previous result. (It does not depend on the choice of base point because π1 (S 1 ) = Z is abelian. The map νa (z) = (z − a)/z − a is a homotopy equivalence between C \ {a} and the unit circle. then g(x) = x. and is denoted n(f . Then g(x) = x + λu depends continuously on x and it is the point on S 1 obtained by continuing the ray from f (x) through x until it hits the unit circle. let u = u(x) be the unit vector (x − f (x))/ x − f (x) . Suppose for a contradiction that f : D2 → D2 has no ﬁxed point. The element of π1 (S 1 ) = Z represented by the composite νa ◦ f : S 1 → S 1 is called the winding number of f about a. if x ∈ S 1 . that is.5. It is a homotopy invariant. Then for each x ∈ D2 .Proof. But if this is so then the induced diagram π1 (S 1 ) = / π (S 1 ) 1 O GG GG GG GG GG r∗ GG GG GG # π1 (D2 ) should commute also. a). the diagram S 1 Ap = / S1 O AA AA AA AA r AA AA AA D2 should commute. Let λ = λ(x) be the nonnegative root of the quadratic equation x + λu 2 = λ2 + 2λu · x + x 2 = 1. Thus g is a retraction of D1 onto S 1 . Proof. Any continuous map f : D2 → D2 has a ﬁxed point. Proposition A27.) 90 .
But for r = 0 the winding number n(pr . This is an antipodal map S 1 → S 1 . then g(z) = g(−z) so g respects the equivalence relation z ∼ −z. Contradiction. This is a contradiction since it factors through the simply connected space S 2 .9. so the winding number of g is even. Suppose not and let p(z) = z n + an−1 z n−1 + · · · + a0 be a polynomial without root. so it is odd. and the quotient map is identiﬁed with the squaring map s(z) = z 2 . whereas for large r we may write p(reiθ ) = f (reiθ ) + g(reiθ ). Theorem A27.8. Proof.Lemma A27. in particular it is not nullhomotopic. Suppose not and let f be a counterexample. so it represents an odd multiple of the generator. then n(f . g factors through s and thus g∗ factors through s∗ : π1 (S 1 ) = Z s∗ / π1 (S 1 ) = Z / π1 (S 1 ) = Z . 91 . Let g(z) = zf (z). Proof. (Rouch´ ’s theorem) If f : S 1 → C\{0}. Proof. The winding number of f is 1 less than that of g. g : S 1 → C. (BorsukUlam) For every continuous map f : S 2 → R2 there exists x ∈ S 2 such that f (x) = f (−x). so by Rouch´ ’s theorem n(pr . The quotient of S 1 by this equivalence relation is again a copy of S 1 . 0) = e n n(z . Lemma A27. 0) = n(f + g. Theorem A27. The map h(z. f (−z) = −f (z).7. Consider the restriction of g to the equator on S 1 . These are homotopic loops in C \ 0. Proof. that is. 0). Then f represents an odd multiple of the generator of π1 (S 1 ). f (z) = z n and simple estimates show f (reiθ ) > g(reiθ ). 0) = n. and g(z) < e 1 f (z) for all z ∈ S . t) = f (z) + tg(z) is a homotopy between f and f + g in C \ {0}. 0) is zero. But s∗ is multiplication by 2. Let pr : S 1 → C \ {0} be the loop deﬁned by pr (eiθ ) = p(reiθ ). Let f : S 1 → S 1 be a loop with is antipodal.6. (Fundamental theorem of algebra) Every nonconstant polynomial over C has a root. Consequently. Then the map g(x) = (f (x) − f (−x)/ f (x) − f (−x) sends S 2 to S 1 and satisﬁes g(−x) = −g(x).
bread.Corollary A27. where h(u) and c(u) are the fractions of the ham and cheese.g. (Ham sandwich theorem) Any three bounded measurable subsets of R3 (e. The BorsukUlam theorem gives us a point such that 1 h(u) = h(−u) and c(u) = c(−u). ham. cheese) can be simultaneously volumebisected by a common plane cut. c(u)).) Deﬁne a map S 2 → R2 by sending u ∈ S 2 to the vector (h(u). that lie on the u side of the plane Pu . 92 . I’m sweeping this under the rug. say the bread. thus Pu perfectly divides the ham and the cheese (as well as the bread). respectively. Then h(−u) = 1 − h(u) and c(−u) = 1 − c(u).10. This implies that h(u) = c(u) = 2 . (The existence of such a plane follows from the intermediate value theorem. For each unit vector u ∈ S 2 let Pu be the plane having u as normal vector that volumebisects one of the ingredients. Proof. in the general case one has to maneuver a little to deal with the possible nonuniqueness of such a plane.
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