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Chapter I

PRELIMINARIES

## This chapter contains some basic concepts and results on semigroups

and topological vector spaces which are frequently needed in the sequel. It
also serves to fix notational and terminological conventions followed in this
work.
Elementary notions of set theory and of general topology as in Chapters
0, 1 and 3 of  are assumed to be known; so also are simple properties of
algebraic systems (such as groups, rings and vector spaces) and of Banach
spaces and Hilbert spaces as contained in Chapters 8, 9 and 10 of .
These are not explicitly stated here, and are often used without comment
in the sequel.

1.1. Semigroups
In this section, we present certain basic definitions and results concerning
semlgroups.

## Definition 1.1. A nonempty set S, with a binary operation (x, y) 1-+ xy

from S x S to S is said to be a semigroup if x(yz) = (xy)z for all x, y, z E S.

## If A, B are subsets of a semigroup S, we write AB to denote the set

{xy : x E A, y E B}. Usual notational simplifications are used in the case
of singletons, such as writing Ab for A{b}.
A semigroup S may not contain an element e with xe = ex= x for all
x E 5; but if such an element exists in 5, it is easily seen to be unique.

1
1.1. Semigroupll 2

## Definition 1.2. A semigroup 8 is said to be a monoid, if there exists an

element 1 E 8 with xl = Ix = x for all x E 8. The element 1, which is
necessarily unique, is called the the identity of 8.

## It is easy to adjoin an identity to a semigroup which is not a monoid.

Let 5 be a semigroup and let 1 be an object not in 5 (for example, we can
take 1 = 5, since by the axiom of regularity of set theory we have 5 i 5).
Extend the binary operation on 8 to 5 U {1} by xl = 1x = x for all x E 5
and 1 1 = 1. Then it is easily seen that 5 U {I} is a monoid. We denote
this monoid by 8+ and define

5 {5, ,
1 _
- 5+
if 5 is a monoid;
if 5 is not a monoid .

## Thus in any case, 8 1 is a monoid containing S.

Definition of subsemigroups is analogous to that of subsystems of other
algebraic systems.

## Definition 1.3. A nonempty set T of a semigroup 5 is said to be a sub-

semigroup of SifT itself is a semigroup under the binary operation induced
by that on 5.

## Since the induced binary operation on T is necessarily associative, it

follows that T is a subsemigroup of S if and only if xy E T for all x, YET.
By analogy with ring theory, we define ideals of a semigroup as follows:

## Definition 1.4. A nonempty subset A of a semigroup 5 is said to be a left

ideal if 5 A ~ A, a right ideal if A5 ~ A and a (two sided) ideal if it is
both a left ideal and a right ideal.
1.1. Semigroupl! 3

## If a is an element of a semigroup S then it is easily seen that Sla is the

smallest left ideal, aS I is the smallest right ideal and SlaSI the smallest
ideal containing a. These are called respectively, the principal left ideal, the
principal right ideal and the principal ideal generated by a.
AB usual, homomorphisms are defined to be structure preserving maps.

## Definition 1.5. A map ~ from a semigroup S to a semigroup T is said

to be a homomorphism if ~(xy) = ~(x)~(y) for all x,y E S. An injective
homomorphism is called all isomorphism. If there exists an isomorpllism
from S onto T, then we say that Sand T are isomorphic and write S ~ T.

## AB in other algebraic systems, there is a close connexion between ho-

momorphic images and quotient structures. We define a quotient of a semi-
group as follows:

## Definition 1.6. An equivalence relation p all a semigroup S is said to be

a congruence if for a, b, c, dES, apb and cpd imply acpbd.
If p is a congruence on a semigroup S and a E S, then the congruence
class {x E 8 : xpa} containing a is denoted by p(a) and the set of a.ll
congruence classes in S by S / p. It is easily seen that

p(a)p(b) =p(ab) .
is a well defined, associative operation on S/ p. The ~emigroup S/ p with
the above operation is called the quotient se.migroup of S modulo p .
It is well known that congruences on a group are induced by normal
subgroups and vice versa. Since this fact is sometimes made use of in our
later work, we make an explicit statement (, 1.8.2; , 1.5.l(i)).
1.1. Semigroupll 4
Proposition 1.7. Let G be a group with identity e.

## PN = { (x, y) E G XG : xy-l EN}

is a congruence on G and

## PN(X) = Nx = xN for all x E G.

Also
PN = {(x, y) E G X G : x-1y EN}.
(2) If p is a congruence on G, then N = p( e) is a normal subgroup of G
and p = PN. •

## If P is a congruence on G, then G/ P can be easily seen to be a group

with p(X)-l = p(x- 1) for all x E G. If N = p(e), then we denote the
quotient group Glp by GIN (d. ,1.5.4).
It can be shown that any homomorphic image of a semigroup can be
realized as a quotient of S. For this we require the following

Definition 1.8. If X and Yare sets and 4> a map from X to Y, then the
kernel of 4>, denoted ker 4>, is the relation on X given by

## The following result is proved in Theorem 1.5.3 of .

• i
'.
t· ....· .

"tP1)..;: GJ~b44Jf
/1
-.- .-,," 1.1. Semigroups 5
n'
Theorem 1.9. If p is a congruence on a semigroup 5, then the map 7r from
5 to SI p defined by 7r(x) = p(x) is a surjective homomorphism. Conversely,
if 5 and Tare semigroups and 4> from 5 to T is a homomorphism, then p =
ker 4> is a congruence on 5, and 51 p is isomorphic with the subsemigroup
4>(8) ofT under the map l/J on 81 p defined by 1f;(p(x)) = 4>(x). • .

## If p is a congruence on a semigroup S, then the homomorphism 7r

defined above is called the canonical projection of 5 onto Sip. We also note
the following result (see Theorem 1.5.6 of ).

## Proposition 1.10. If p and a are congruences on a semigroup 5 such

that p ~ a, then p(x) H a(x) is a homomorphism of 51 ponto Bla. Also
alp = {(p(x),p(y)) E 51p X 51p: (x,y) E a} is a congruence on 51p and
(51 p)/(al p) ~ 51a under the map (al p)(p(x)) H a(x). •

## We now describe certain equivalences on a semigroup, which are of con-

siderable importance in understanding its structure. Let 8 be a semigroup.
,
We define
.c = {(a, b) E 8 X 5 : 5 I a = 8 I b}
R. = { (a, b) E S X5 : aS I = bS I }
J ={(a, b) E 5 x 5 : 51 a5 1 = 51 b5 1}
~=.cnR

D=.cvR
where .c V R denotes the smallest equivalence containing .c and R..
The following result is immediate (cf. [201, II.l.I).

## Proposition 1.11. The relations .c, R, J,}f and D are equivalences on 5.

For a, b E 5, a.cb if and only if there exist x, y E 51 with a = xb and b = ya;
1.1. Semigroupll 6

aRb if and only if there exist x, yES 1 with a = bx and b = ay, and aJb
if and only if there exist x, y, U, v E Sl with a = xby and b = uav. Also
! u R. ~ f) ~ J. II

## Proposition 1.12. In any semigroup S, f) =! 0 R. = R. o!. Consequently

for a, b E S the following are equivalent:

(1) af)b;
(2) there exists c E S with a!cRb;
(3) there exists c E S with aRc!b. •
The five equivalences defined above are collectively called Green's re-
lations. For xES, the !-class, R-class, J-class, }/-class and f)-class con-
tabling x will be denoted respectively by Lx, Rx, Jx,Hx and Dx. Since £" R
and J are defined in terms of principal ideals, we can define partial orders
on Sf!, Sf R. and Sf J by

## La ~ Lb ¢=:> Sia ~ SIb

Ra ~ Rb {:=;> aS l ~ bS l
Ja ~ Jb {:=;> Sl aSl ~ SlbS 1,

patents.

## Definition 1.13. An element e of a semigroup S is said to be idempotent

if e2 = e. The set of all idempotents in a subset T of S is denoted by E(T).
1.1. SemigrouplI 7

## If e is an idempotent in a semigroup S and a E S with L4 ~ L e , then

by definition there exists xES 1 with a = xe so that ae = xe 2 = xe =
a. Conversely if a . :. . ae, then by definition we have La ~ Le. Similar
computations yield the following

## Proposition 1.14. Let e be an idempotent in a semigroup S and let a E S.

Then La :5 Le if and only if ae = a and Ra :5 Re if and only if ea = a. In
particular, for e, I E E(S), ell if and only if el = e and Ie = I; eRI if
and only if el = f and Ie = ej and eJi I if and only if e = f. -
An important concept in the theory of semigroups is that of regularity.

## Definition 1.15. An element x of a semigroup S is said to be regular if

there exists x' E S with xx' x = x. S is said to be a regular semigroup if all
elements of S are regular.
The following result shows that regularity is a property of V-classes
rather than of individual elements of S (, II.3.l).

## Proposition 1.16. If a is a regular element of a semigroup S, then every

element of Da is regular. _

## Thus if D is a V-class of a semigroup, then either all elements of Dare

regular or no element of D is regular. In the former case, D is Jaid to be
a regular V-class. In particular, since an idempotent e is evidently regular,
De is a regular V-class. Conversely, it can be shown that a regular V-class
contains an idempotent. In fact we have the following result ([20}, 11.3.2).

## Proposition 1.17. In a regular V-class, each l-class and each R-class

contains at least one idempotent. _
1.1. Semigroupll 8

## Definition 1.18. Let x be an element of a semigroup S. If there exists

x' E S with xx'x = x and x'xx' = x' then x' is said to be a (generalized)
inverse of x.
It must be noted that there is considerable variation in literature re-
garding the term "generalized inverse" (see for example, ). If an element
x has an inverse, then x is obviously regular. An easy computation estab-
lishes the following converse.

## Proposition 1.19. If x is a regular element of a semigroup Sand xx'x = x

for x' E S, then x" = x'xx' is an inverse of x. •

Note that an element of a semigroup can have more than one inverse.
The next result shows how inverses of an element are distributed within a
D- class (d. , II.3.5).

## Theorem 1.20. If a is a regular element of a semigroup S and a' an inverse

of a in S, then a'Da and e = a' a, 1 = aa' are idempotents with af,eRa' and
a' £1 Ra. Conversely, if a is an element of Sand e, 1 idempotents in S with
e£aRI, then a is regular and there exists a unique inverse a' of a in S with
eRa' £1 and a' a = e., aa' = f. •

## It is illuminating to depict the content of the above result by means of

what Clifford and Preston call an "egg box picture" . In such a. picture,
each D-cIass of a semigroup is represented by a. square which is divided
into vertical rectangles representing !- classes and the horizontal rectangles
representing R-classes. Each small square formed by the intersection of such
1.1. SemigrouplI 9

## rectangles represents an )I-class. Using such a scheme, the situation in the

above result is given by the diagram below.

a f

e a'

The result says that if a' is an inverse of a, then a, a' are in the same
large square and there exist idempotents aa', a' a in the other two corners,
and conversely, if a is in a corner determined by two idempotents e and J
then one can find an inverse a' of a in the fourth corner with a' a = e, aa' = f.
If e is an idempotent in a semigroup S and a E He, then by 1.14,
ae =ea = a and by 1.20, there exists a' E He with aa' =a'a =e. Thus He
is a subgroup of S. Again, if G is a subgroup of Sand e, the identity of G,
then e is an idempotent of S, and it can be easily seen that G ~ He. This
gives the following

## Proposition 1.21. If e is an idempotent in a semigroup S, then He is a

subgroup of S with identity e. Also, any subgroup of S is contained in the
}I-class of an idempotent in S. •

## Another result concerning the V-class structure of a semigroup is. the

Clifford-Miller theorem (,2.17).
1.1. Semigroupe 10

## Theorem 1.22. Let S be a semigroup and a, b E S. Then ab is in Ra n Lb

if and only if ~ n La contains an idempotent. •

a ab

e b

## A useful partial binary operation on a semigroup S can be defined as

follows. For x, yES, we define

x *y - {X y , if xy E Rx n LlI
- undefined otherwise.
This is called the trace product of x and y. Thus the equation z = x*y means
z :::: xy and emphasizes the fact that z == xy E R-z n L.,j (or equivalently
that there exists an idempotent in Lx n RlI ).
Next we consider some concepts related to the idempotents of a semi-
group, which are introduced in .

## Definition 1.23. Let S be a semigroup. On the set E(S) of all idempo-

tents in S, we define the relations wi and wr by

## ew' f ¢::> ef:::: e and ew r f ¢::> f e == e

1.1. Semigroups 11

w =wi nw r •

## It is ea.sily seen that ew l f if and only if L e :::; L f and ew r f if and only

if Re ~ Rf and hence wr and wi are quasi orders (reflexive and transitive)
on E(S) and w is a partial order. For e, f E E(S), we define

## g --< h ¢::::> egwreh and gfw'hf

for g,h E M(e,f). This defines a qua.si order on M(e,f). The set

## is called the sandwich set of e and f.

The importance of these concepts is that an abstract (axiomatic) char-
acterization of the set of idempotents of a regular semigroup can be given
in terms of these . Since we will not be making use of this in our work,
we do not discuss the details.
Another important set associated with a pair of idempotents e, f of a
semigroup is defined by

## The following result is from , Theorem 1.1.

.'
1.1. Semigroups 12

## 81(e,J) = {h E M(e,J) : h is an inverse of ef}

and 81 (e, J) ~ 8 (e, J). Also ef is regular if and only if 8 1(e, J) is non empty
and in this case, Sl(e,J) = S(e,J). -

## It is shown in Proposition 2.5 of  that if el,e2,ft,h E E(S) with

el,Ce2 and ftRh, then S(el,ft) = S(e2,h). It can be easily seen that we
also have Sl(el,ft) = Sl(e2,h) in this case. Now if x and yare regular
elements of S, then there exist e,f E E(S) with elx and fRy by 1.17; and
so we can unambiguously define

## S(x,y) = S(e,J) and Sl(X,y) = Sl(e,J).

Also if elx and fRy, then we have eflxf Rxy so that efDxy, and
hence it follows from 1.16 that xy is regular if and only if ef is regular.
This together with 1.24 gives the first part of the following; the proof of the
remaining part can be found in (31], Theorem 1.2.

## Theorem 1.25. Let S be a semigroup and x, y regular elements of S.

Then xy is a regular element of S if and only if Sl(X,y) is non empty. Also
if hE Sl(X,y) then xy = (xh) * (hy) and y'hx' = (y'h) * (hx') is an inverse
of xy for any choice of inverses x' and y' of x and y. -

## In Proposition 1.1 of [32}, it is shown how a partial order can be defined

on any regular semigroup.
1.1. Semigroup" 13

defined by

## is a partial order on S whose restriction to E(8) is the relation w. •

This partial order is called the natural partial order on S. In the sequel,
whenever we write x ~ y for x, y in a regular semigroup, the symbol ~

stands for this order. .From Proposition 1.2 of  we have the following
alternate characterizations of the natural partial order.

## Proposition 1.27. Let x, y be elements of a regular semigroup S. Then

the following are equivalent:

(1) x ~ y;
(2) Lx ~ L y and there exists e E E(L x) with x = ye;
(3) For each f E E{Ry) there exists e E E(Rz:) with ew f and x == ey;
(4) For each f E E(L y) there exists e E E(L x ) with ewf and x == yeo •

## Another important property of the natural partial order is given in

Theorem 1.6 of .

## Theorem 1.28. Let x, y be elemen ts of a regular semigroup S. Then there

exist tt, v E S with tt ~ x, V ~ Y and xy = u * v. •

## In fact it suffices to choose h E Sl(X,y), define u = xh, v = hy and use

. 1.25.
We now consider some stronger forms of regularity. We begin with the
following from [3ul.
1.1. Semigroupll 14

## Definition 1.29. An element x of a semigroup S is said to be completely

regular if there exists x' E S with xx' x = x and xx' = x' x. A semigroup S
is said to be completely regular if all elements of S are completely regular.
The result below, which is a slightly modified version of Proposition
IV.1.2 of , gives other characterizations of complete regularity.

## Proposition 1.30. The following are equivalent for an element x of a

semigroup S:
(1) x is completely regular;
(2) tllere exists an inverse x' of:l; with xx' = x'x;
(3) t}lere exists e E E(S) with e)l Xi
(4) there exists an inverse x' ofx with x')lx. •
Another type of regularity can be defined for elements of a monoid.

## Definition 1.31. Let S be a monoid. An element u of S is said to be a

right unit if there exists u' E S with uu' = 1 and a left unit jf there exists
u' E 8 with = 1. u is said to be a. unit if there exists u' E S with
tt' u

## uu' = u'u = 1. An element x of S is said to be unit regular if there exists

a unit u in S with xux =x. S is said to be a unit regular semigroup if all
elements of S are unit regular.
The following characterizations of unit regularity are easily proved (cf.
, 7.3.4).

for xES:

## (1) x is unit regular;

1.1. Semigroup!l 15

## (2) there exists a unit u in 8 and e E E(8) with x = uej

(3) there exists a unit u in 8 and e E E(8) with x = eu. •
We next consider some classes of semigroups, which are used in the
sequel.
If a semigroup S contains an element 0 such that xO = Ox = 0 for all
XES, then we say that 0 is a zero element of S and that S is a semigroup
with zero. It can be easily shown that there can be at most one zero element
in a semigroup.

## Definition 1.33. A semigroup 8 is said to. be simple if it contains no

ideals other than itself. A semigroup 8 with zero element 0 is said to be
O-simple if 8 2 =I 0 and S, {OJ are the only ideals in 8.
Recall that the idempotents of a semigroup S are partially ordered
with respect to the relation w defined by ewf iff ef = fe = e (see 1.23).
An idempotent e of 8 is said to be primitive if e i- 0 and if e is a minimal
element with respect to w.

## Definition 1.34. A semigroup S is said to be completely simple (com-

pletely O-simple) if S is simple (D-simple) and contains a primitive idempo-
tent.
To describe another class of semigroups, we first consider the following
concepts from section 2.6 of .
Let I be an ideal of a semigroup S. Then the relation p defined on S
by (x, y) E p iff either x = y or x, y E I is easily seen to be a congruence on
S. The quotient semigroup S/ p is denoted by 8/ I and is called the Rees
factor semigroup of 8 modulo I . Now for a E 8, we denote by J (a) the
1.1. Semigroups 16

## principal ideal SlaSI generated bya, and by Ja , the J-class containing a.

Let I(a) = {x E J(a) : x ~ Ja }. If I(a) is nonempty, then it can be shown
to be an ideal in S and hence an ideal in J(a). We define P(a) by

## P(a) = {J(a)/I(a), if I(a) ~s nonempty;

J (a), otherwise.

## Then each of the semigroups P( a) is called a principal factor of S. It is

shown in Lemma 2.39 of  that if P is a principal factor of a semigroup
S, then P satisfies one and only one of the following conditions:

(1) p2 = OJ
(2) P is a-simple;
(3) P is simple.

## Definition 1.35. A semigrollp S is said to be semisimple if every principal

factor of S is o-simple or simple. S is said to be completely semisimple if
every principal factor is completely simple or completely o-simple.

## A completely semisimple semigroup can be shown to be regular .

Further we have the following result. from .

## Proposition 1.36. A. regular semigroup S is completely simple if and only

if no pair of distinct D-related idempotents are comparable under w. •

## Definition 1.37. A semigroup S is said to be bisimple if xVy for every

x,y E S.
1.2. Topological semigroups 17

## 1.2. Topological semigroups

A few results on topological semigroups, which will be used in the
sequel are presented here.

## Definition 2.1. A semigroup S with a Hausdorff topology is said to be a

topological semigroup if the binary operation (x, y) xy from S x S to S
H

## is continuous with respect to this topology on S and the product topology

on S x S. A group G with a Hausdorff topology is said to be a topological
-group if it is a topological semigroup and the map x H x- 1 from G to G is
continuous.
If T is a subsemigroup of a topological semigroup S, then it is easily
seen that T is a topological semigroup with respect to the relative topology
induced by the topology on S. However, if p is a congruence on a topological
semigroup S, then Sip may not be a topological semigroup with respect to
the quotient topology .

## Definition 2.2. A congruence p on a topological semigroup S is said to

be a topological congruence if Sip is a topological semigroup with respect
to the quotient topology. p is said to be a topologica.l group congruence if
Sip with the quotient topology is a topological group.

## In the following, if S is a topological semigroup and p is a congruence

on S, then Sip is always assumed to have the quotient topology.
If p is a topological congruence on a topological semigroup S, then the
canonical projection 71' : S ~ Sip is a continuous homomorphism; in fact it
is a quotient map. (Recall that a surjection J from atopological space X
to a topological space Y is said to be a quotient map if the topology on Y
1.2. Topological eemigroupe 18

is the largest topology for which f is continuous ). Before stating the
analogue of the second part of 1.9, we make the following

## Definition 2.3. Two topological semigroups S, T are said to be topologi-

cally isomorphic if there exists a semigroup isomorphism of S onto T, which
is also a homeomorphism..
The following result is proved in ' 1.49.

## Theorem 2.4. Let 8, T be topological semigroups and let </> : 8 -t T be a

surjective homomorphism, which is also a quotient map. Then p = ker </> is
a topological congruence on Sand 81 p is topologically isomorphic with T
under the map 'Ij; defined on 81p by 'Ij; (p(x)) = </>(x). _

## Proposition 2.5. Let p and a be topological congruences on a topolog-

ical semigroup 5 with p ~ a. Then p(x) H a(x) is a continuous 110-
momorphis111 of 51 ponto 51a. Also pia is a topological congruence on
Sip and (Slp)/(pla) is topologically isomorphic witil 81a under tile ma.p
(alp) (p(x)) H a(x). _

## The following situation is sometimes encountered in the sequel. Let p

and a be topological group congruences on a topological srmigroup 5 with
p ~ a. If e E E(5), then p(e) is the identity of the group 51 p. Also
(alp) (p(e)) = {p(x) : a(x) = a(e)} = {p(x): x E a(e)} = 1l' (aCe))
where IT : 81 p is the canonical projection. Hence by 1.7, 1l' (a(e)) is a
8 -t

normal subgroup of 51 p and (51 p)/(al p) = (51 p)/7f (a(e)). So we have the
following
I.S. Topological vector IIpacell 19

## Proposition 2.6. Let S be a topological semigroup and p, a topological

group congruences on S with p ~ a. If 9 = Sip and N = 11' (a(e)), where
e E E(S) and 11' : S ~ Sip is the canonical projection, then N is a normal
subgroup of 9 and S I a is topologically isomorplIic with giN under tIle
map a(x) 1-+ p(x)N. •

## 1.3. Topological vector spaces

We consider only vector spaces over the field R of real numbers or the field
C of complex numbers. The symbol K is used to denote either R or C. Any
statement about vector spaces in which the field of scalars is not explicitly
mentioned is to be understood to apply to both the cases K = Rand K =
C.

## Definition 3.1. A vector space X (over I{) endowed with a Hausdorff

topology (1\ being equipped with usual topology) is said to be a topological
vector space if the maps (x,y) H x+y from X x X to X and (A,x) 1-+ AX
from KxX to X are continuous with respect to this topology on X and the
product topology on the respective domains.
Since many authors do not require the Hausdorff condition above, we
reiterate that all topological vector spaces considered by us are assumed to
be Hausdorff spaces.
W~ first note that subspaces and quotients by closed subspaces of a
topological vector space are well behaved. So is the product of a family of
topological vector spaces (, 11.6, H.8, 11.9).

## Proposition 3.2. If Y is a subspace of a topological vector space X, then

Y with the relative topology is a topological vector space. If Y is a closed
1.3. Topological vector Ilpaces 20

## subspace, tllen XI Y with the quotient topology is a topological vector space

and the canonical projection 11" : X ~ XIY defined by 1I"(x) == X + Y is a
continuous, open linear transformation. Also the product of any family of
topological vector spaces is a topological vector space with respect to the
product topology. •

## In the sequel all subspaces of a. topological vector space a.re a.B8umed

to have the relative topology, all quotients the quotient topology and all
products the product topology.
Defore considering continuous linear transformations between topolog-.
ical vector spaces, we introduce the following notations.

## Definition 3.3. If X and Yare vector spaces and t : X ~

Y a linear
transformation, tlIen the range oft, denoted by R(t), is defined by

R (t) = { tx : x EX}

## and the null space of t, denoted by N(t) is defined by

N (t) = { x EX: tx = 0 }.

## It is easily seen that R(t) is a subspace of Y and N(t) is a subspace

of X. Also if X and Yare topological vector spaces and t is continuous,
then N(t) = t-1(O) is closed, since Y is Hausdorff.. The following result is
proved in , 5.8.

## a continuous linear transformation. Then <p : XI N(t) ~ R(t) defined by

<p (x + N(t)) == t(x) is a continuous, bijective linear transformation. _
I.S. Topological vector spaces 21

## Note that ¢ defined above need not be a homeomorphism. We now

consider those linear maps for which the induced maps are also open.

## Definition 3.5. Let X and Y be topological vector spaces. A continuous

linear map t : X - ? Y is said to be a topological homomorphism if for eadl
open set G of X, the image t(G) is an open subset of R(t). An injective
topologicallIomoIDorphisID is said to be a topological isomorphism. If there
exists a topological isomorphism from X onto Y, then X and Yare said
to be topologically isomorphic and we write X ~ Y.
It is not difficult to see that the map ¢ in 3.4 is a topological isomor-
phism precisely when t is a topological homomorphism (, III. 1.2).

## Proposition 3.6. Let X, Y be topological vector spaces. A linear map

t :X -? Y is a topological homomorphism if and only if the induced map
x + N(t) H tx of XjN(t) onto R(t) is a topological isomorphism. _

## We will be mostly interested in continuous linear transformations from

a topological vector space to itself.

## Definition 3.7. Let X be a topological vector space. A continuous linear

transformation from X to itself is called an operator on X.
Idempotent operators playa major role in our work. We first consider
the algebraic case(, Sec 44).

## Proposition 3.8. If X is a vector space and e : X -? X an idempotent

linear map, then so is 1- e. Also N(1- e) = R(e) and R(l- e) =N(e)._
There is a one to one correspondence between idempotent linear maps
from X to itself and certain pairs of subspaces of X.
1.3. Topological vector Ilpacell 22

## Definition 3.9. Let X be a vector space and A, B, subspaces of X. If

A + B = X and An B = {O}, then A and B are said to be algebraic
complements of each other in X and we write X = A+B.
The following result is proved in , Sec 44, Theorem B.

## Prop08ition 3.10. Let X be a vector space. If e : X ~ X is an idempotent

linear map, then X = N(e)+R(e). Conversely, if A and Bare subspaces
of X with X = A+B, then there exists a unique idempotent linear map
e : X ~ X with R(e) = A and N(e) = B. •

## Now let X be a topological vector space and X = A+B. Then the

idempotent e with R(e) = A and N(e) = B is not necessarily continuous.
For this we will have to strengthen the requirements on A and B. Note
that the map (x, y) H X +Y from A x B to X is a continuous bijection, but
not necessarily open.

## Definition 3.11. Let X be a topological vector space and A, B, subspaces

of X. If X = A+B and if the map (x, y) H X + Y from A x B to X is a
homeomorphism then A and B are said to topological complements of each
=
other and we write X A \$ B.
Now we can state the topological analogue of 3.10 (, 20.3, 20.7, 20.9).

## Prop08ition 3.12. Let X be a topological vector space and A, B, sub-

spaces of X with X = A+B. Let e be the idempotent linear map with
R(e) = A and N(e) = B. Then the following are equivalent:
(1) X = AEB B;.
(2) e is continuous;
1.3. Topological vector Ilpacell 23

(3) 1- e is continuous;
(4) the map ~ : A -+ X/B defined by ~(x) = x +B is a topological
isomorphism onto X/ B;
(5) the map tf; : B -+ X/A defined by tf;(x) = x +A is a topological
isomorphism onto X/A.

## In particular, if X = A EB B, then A and B are closed.

Using 3.6 and the equivalence of (2) and (4) in 3.12 we can prove the
-
following

## Proposition 3.13. An idempotent operator on a topological vector space

is a topological homomorphism. _

## It should be noted that though every subspace of a (topological) vector

space has an algebraic complement, a closed subspace of even a Banach
space may fail to have a topological complement (see , 31.2(5) for an
example}. However, certain types of subspaces in any topological vector
space do possess such complements. Recall that by the codimension of a
subspace Y of a vector space we mean the dimension of X/ Y. The following
result is from , 23.7 .

## Proposition 3.14. Let X be a topological vector space and let A be a

closed subspace of finite codimension in X. If B is a subspace of X with
X = A+B, then X = AEB B. _

## Next we note some results on spaces of finite dimension. The following

is proved in , 23.6.
1.3. Topological vector spaces 24

## Proposition 3.15. Let X be a topological vector space and let A be a

subspace of finite dimension. Then A + Y is closed for any closed subspace
Y of X. In particular, A is closed. _

## From 23.9 of  we have the following result on a linear transformation

whose domain is of finite dimension.

## Proposition 3.16. Let X and Y be topological vector spaces, where X is

of finite dimension. Then any linear map t : X ---+ Y is continuous. _

Note that the finite dimensionality of the range does not imply conti-
nuity. We consider such maps in the next result (' III.1.3)

## Proposition 3.17. Let X, Y be topological vector spaces and let t be a

linear map from X to Y with R(t) of finite dimension. Then the following
are equivalent:
(1) t is continuous;
(2) N(t) is closed!
(3) t is a topological homomorphism.

## Most of our work will be about operators on some special types of

-
topological vector spaces. Recall that a subset A of a vector space X is said
to be convex, if x,y E A implies AX + (1 - A)Y E A, for all scalars A with
o ~ ). ~ 1. Also by a neighborhood of a point x in a topological space, we
mean a set containing an open set containing x.

## Definition 3.18. A topological vector space X is said to be a locally

convex space if for every X E X andevery neighborhood U of x, there
exists a convex neighborhood V of x with V ~ U.
1.3. Topological vector lIpaces 25

## We note first that this property is preserved by subspaces, quotients

and products (, 33.4, 33.5).

## Proposition 3.19. Every subspace and every quotient by a closed sub-

space of a locally convex space is locally convex. Also the product of any
,family of locally convex spaces is locally convex. _

## In the study of (topological) vector spaces, (continuous) linear maps of

the space to the underlying field play an important role.

## Definition 3.20. Let X be a vector space. A linear map 4> : X -+K 18

called a linear functional on X. The set of all linear functionals on X is
called the algebraic dual of X and is denoted by X'. If X is a topological
vector space, then the set of all continuous linear functionals on X is called
the topological dual of X and is denoted by X·.

## One important feature of a locally convex space is that it has suf-

ficiently many continuous linear funetionals to distinguish points. More
precisely we have the following result from Theorem 3.5 of . Note that
if Y is a subset of a topological space, then the closure of Y is denoted by
Y.

## Theorem 3.21. Let Y be a subspace of a locally convex space X and

Xo EX. If Xo f/. Y, then there exists ¢ E X· with ¢(xo) = 1 and ¢(y) = 0
for all y E Y. •

## We also note the following version of the Hahn-Banach theorem (,

3.6).
1.3. Topological vector IIpacell 26

## Theorem 3.22. IfX is a locally convex space and Y a subspace of X, then

every continuous linear functional on Y may be extended to a continuous
linear functional on X. •

(, 34.10).

## Proposition 3.23. If X is a locally convex space then every finite dimen-

sional subspace of X ha.s a topological complement in X. •

We define below two more types of topological vector spaces. Note that
a metric d on a vector space X is said to be invariant if d(x + z, y + z) =
d(x, y) for all x, y, z EX.

## Definition 3.24. Let X be a topological vector space with topology T.

X is said to be metrizable if there exists a metric on X which induces the
topology T. X is said to be an F-space if T is induced by a complete,
invariant metric. If X is a locally convex F -space then X is called a Frechet
space.

## It should be pointed out that there is considerable variation in litera-

ture regarding the names F-space and Frechet space. In the above definition
we follow the terminology of .
Another class of locally convex spaces can be described as follows. Let
X be a vector space and Y, a subspace of X' which separates points of X in
the sense that for each x E X with x i- 0 there eXIsts 4; E Y with 4;( x) i- O.
Then among all the topologies T on X for which (X, T) is a locally. convex
space with (X, T)· = Y, there exists a strongest one (, Theorem 5).
1.3. Topological vector spaces 27

## This topology is denoted by r(X, Y). Now if X is a locally convex space

then X* separates points of X and so r(X,X*) exists.

## Definition 3.25. A locally convex space X with topology T is said to be

a Mackey space if T = r( X, X*).
Many of the locally convex spaces used in applications are Mackey
spaces. For example, every metrizable space is a Mackey space ([391, IV.3A).
If X is a locally convex space then r(X, X·) is the strongest locally
convex topology on X with respect to which X has dual X'. Now we
describe the smallest such topology. First note that X is a set and 1 a
nonempty family of maps f :X -+ Yf where each Yf is a topological space,
then among all topologies on X for which each f 1 is continuous, there
E
is a smallest (' 8.9). This is called the weak topology on X induced by
1.

## Definition 3.26. If X is a locally convex space then the weak topology

on X induced by X· is called the weak topology on X.

The following is a special case of Theorem 3.10 (see also 3.11) of .

## Proposition 3.27. IE X is a locally convex space, then X with the weak

topology is a locally convex space whose topological dual is also X·. •

From 17.13 of , we have the following facts on the weak topology
on subspaces, quotients and products.

## Proposition 3.28. Let X be a locally convex space and Y a subspace of

X:
1.3. Topological vector spaces 28

## (1) the weak topology on Y is the relativization of the weak topology on

Xj
(2) ifY is closed, then the weak topology on X/Y is the quotient topology
derived from the weak topology on X.
Also the weak topology on the product of a family of locally convex spaces
is the product of the weak topologies on the factors. _

## To distinguish topological notions pertaining to the weak topology from

those relating to the given topology, we use the adjective 'weakly'(or 'weak')
when referring to the former. Thus for example, a linear map between
locally convex spaces X and Y is said to be weakly continuous if it is
continuous with respect to the weak topologies on X and Y.
The following result is a special case of [251, 17.1.

## Proposition 3.29. Let X be a locally convex space and Y a subspace of

X. Then Y is weakly closed if and only if it is closed. _

The next result relates continuity and weak continuity of linear maps
(, IV.7.4, Corollary to 7.5 and 7.6 ).

-+

## a linear map. If t is continuous, then it is weakly continuous and if t is a

topological homomorphism, then it is a weak topological homomorphism.
If X is a Mackey space and t weakly continuous, then it is continuous and if
X and R(t) are Mackey spaces and t is a weak topological homomorphism,
then it is a topological homomorphism. _

## An important topology on the dual X· of a topological vector space

can be defined as follows.
1.3. Topological vector spaces 29

## Definition 3.31. Let X be a topological vector space and for each x in

X, let ~% be defined on X* by ~%(t/J) = t/J(x) for all t/J E X*. Then the weak
topology on X· induced by the family {~% : x EX} of maps is called the
weak* topology on X·.

## One interesting feature of this topology is that it is always locally

.convex (, 3.10, 3.14).

## Proposition 3.32. If X is a topological vector space, then X* with the

weak* topology is a locally convex space. _

We next see that if X and Yare locally convex spaces then to each
weakly continuous linear map from X to Y there exists a weak* continuous
linear map from y* to X* (, 21.5).

## Proposition 3.33. Let X, Y be locally convex spaces and let t be a weakly

continuous linear map from X to Y. Then t* defined on Y* by t* (~) = #
for all ~ E y* is a weak* continuous linear map from Y· to X·. . _

## The map t· defined in the above result is called (topological) adjoint

of t. The next result gives further relations between t and t* (, 21.4,
21.6 ).

## Proposition 3.34. Let X, Y be locally convex spaces and let t : X - Y

be a weakly continuous linear map. Then t is a weak topological homomor-
phism if and only if R(t*) is weak* closed and t* is a weak* topological
homomorphism if and only if R(t) is closed. _
I.S. Topological vector spaces 30

## Finally, we mention some results on the set of all (closed) subspaces of

a (topological) vector space. It is eaBily seen that the set of all subspaces
of a vector space is a poset under set inclusion and in fact forms a lattice
with A + B aB the join and An B as the meet of two subspaces A and B
([261, 7.10(1)). We denote this lattice by l(X). An important property of
this lattice is the following

Proposition 3.35. l(X) is a modular lattice for any vector space X; that
IS,
A~C => A + (B n C) = (A + B) n C
for subspaces A, Band C of X. •
If X is a topological vector space, then the set of all closed subspaces
of X does not form a sublattice of .c(X), since A + B may not be closed for
closed subspaces A and B of X. However if we define A vB = A + B, ( the
closure of A and B) and A 1\ B = An B, then this set becomes a lattice
with respect to these operations. We denote this lattice by I(X). Also
the lattice of all weak* closed subspaces of X· with similar operations is
denoted by I(X·). It can be shown that if X is a locally convex space, then
I(X) and I(X') are dually isomorphic. To make this explicit we make use
of the following

## Definition 3.36. Let X be a topological vector space. If Y ~ X, then

the annihilator of Y, denoted by y.l, is defined by

## y.l = { 4J E X' : 4J(y) = 0 for all y E Y }.

If y ~ X', then the preannihilator of Y, denoted by .1 Y, is defined by
.lY={xEX:4J(x)=O [orall 4JEY}.
I.:L Topological vector spaces 31

The result below is obtained by using 3.29 above with 20.3(3) of 
(see also ,'38.14). Note that a map ~ from a lattice Ll to a lattice L2 is
said to be a dual isomorphism if ~ is a bijection and x ~ y in L 1 if and
only if ~(x) ~ ~(y) in L2.

## Proposition 3.37. If X is a locally convex space, then map A H AJ.. is a

dual isomorphism of the lattice I(X) onto the lattice I(X*). •

## Though the lattice I(X) is not modular, certain pairs of subspaces do

satisfy a local version of modularity.

## Definition 3.38. An ordered pair (a, b) of elements of a lattice L is said

to be a modular pair, written m(a,b), if for x E L

x ~ b =;. x V (a t\ b) = (x va) t\ b

and (a, b) is said to be a dual modular pair, written m* (a, b), if for x E L

## x ~ b =;. x t\ (a Vb) = (x t\ a) vb.

Note that in general m(a, b) does not imply m(b, a); nor does m*(a, b) imply
m*(b,.a). In other words m and m* do not define symmetric relations on L.

Modular and dual modular pairs in the lattice of weakly closed sub-
space of a topological vector space are given in Theorem III.6 and Theorem
llI.7 of . The condition for dual modularity is easily seen to hold in
'c(X). Again, if X is a locally convex space, then using 3.29 above, the
condition for modularity can also be carried over to 'c(X).
1.3. Topological vector spaces 32

## Proposition 3.39. Let X be a topological vector space and A, B closed

subspaces of X. Then m·(A, B) in I(X) if and only if A + B is closed. In
the case when X is a locally convex space, m(A, B) in I(X) if and only if
the"map ~ : Ax B - A+B defined by ~(x, y) = x+y is a weak topological
homomorphism. _

From this we can easily deduce the first part of the following result;
the second part follows from 3.30.

## Corollary 3.40. Let A, B be closed subspaces of a locally convex space

X. Then A and B are weak topological complements if and only if A and
B are algebraic complements with m(A, B) in I(X). In particular, if X is
a Mackey space, then A and B are topological complements if and only if
A and B are algebraic complements with m(A,B) in I(X). •