Connectedness
Two global properties dominate the topology of the spaces we build the rest of this curriculum on:
connectedness, the impossibility of splitting a space into separate pieces, and
compactness, a finiteness condition that tames otherwise unwieldy infinite spaces. Both
were first met for
metric spaces,
where a metric was available to express them. Here we restate them in the generality of arbitrary
topological spaces, where no metric is assumed. The metric versions become the special case in
which the topology happens to come from a metric. This is the topological foundation on which the
theory of manifolds rests, and the
source of the technical tools that recur throughout differential topology. Those tools are the
closed map lemma, properness, and local compactness.
Connected and Disconnected Spaces
The intuitive notion is that a space is connected if it is "all one piece." The precise definition
negates the possibility of separating it into two open halves.
Definition: Connected and Disconnected Spaces
A topological space \(X\) is disconnected if it has two disjoint nonempty
open subsets whose union is \(X\). Such a pair is called a separation of
\(X\). The space \(X\) is connected if no such separation exists. A
connected subset of a topological space is a subset that is a connected space
when endowed with the
subspace topology.
Negating the definition gives the characterization most often used in proofs. A space is connected
if and only if the only subsets that are simultaneously open and closed (clopen) are
\(\emptyset\) and \(X\) itself. Indeed, if \(U\) is a proper nonempty clopen subset, then \(U\)
and \(X \setminus U\) form a separation. Conversely a separation \(\{U, V\}\) makes each of
\(U, V\) clopen, since each is the complement of the other.
Theorem: Connected Subsets of the Real Line
The nonempty connected subsets of \(\mathbb{R}\) are exactly the singletons
and the intervals. Here an interval is a subset \(J \subseteq \mathbb{R}\)
containing more than one point with the property that whenever \(a, b \in J\) and
\(a \lt c \lt b\), it follows that \(c \in J\).
Proof:
A singleton is connected trivially. For a subset \(J\) with more than one point, the
equivalence "connected \(\iff\) interval" depends only on the order structure of
\(\mathbb{R}\), its Dedekind completeness, and the open sets these generate. These are the
same whether \(\mathbb{R}\) is viewed as a topological space or as a metric space. The
argument is carried out in full for the
metric setting,
and applies verbatim here.
In outline, suppose first that \(J\) is not an interval. Points \(a, b \in J\) and
\(c \notin J\) with \(a \lt c \lt b\) yield the separation
\(J = \bigl(J \cap (-\infty, c)\bigr) \sqcup \bigl(J \cap (c, \infty)\bigr)\), so \(J\) is
disconnected. Conversely, suppose \(J\) is an interval and \(J = U \sqcup V\) is a
hypothetical separation with \(a \in U\), \(b \in V\), \(a \lt b\). Examining
\(c = \sup\{\, t \in [a,b] : [a,t] \subseteq U \,\}\) rules this out, since \(c\) can lie in
neither \(U\) nor \(V\) without contradicting either the openness of that set or the defining
supremum.
Components
A space that is not connected still decomposes canonically into connected pieces. These pieces are
its maximal connected subsets.
Definition: Connected Component
A component of a topological space \(X\) is a maximal connected subset: a connected
subset \(C \subseteq X\) such that no connected subset of \(X\) properly contains \(C\).
Proposition: Properties of Connected Spaces
Let \(X\) and \(Y\) be topological spaces.
- If \(F : X \to Y\) is continuous and \(X\) is connected, then \(F(X)\) is connected.
- Every connected subset of \(X\) is contained in a single component of \(X\).
- A union of connected subspaces of \(X\) with a point in common is connected.
- The components of \(X\) are disjoint nonempty closed subsets whose union is \(X\), and thus
they form a partition of \(X\).
- If \(S \subseteq X\) is both open and closed, then \(S\) is a union of components of \(X\).
- Every finite product of connected spaces is connected.
- Every quotient space of a connected space is connected.
Proof:
(1) View \(F\) as a surjection onto \(F(X)\). If \(F(X) = A \sqcup B\) were a separation by
sets open in \(F(X)\), then \(F^{-1}(A)\) and \(F^{-1}(B)\) would be open by continuity,
disjoint, and nonempty by surjectivity, with union \(X\). That is a separation of \(X\),
contradicting its connectedness.
(3) Let \(\{C_\alpha\}\) be connected subspaces sharing a point \(p\), and suppose
\(\bigcup_\alpha C_\alpha = U \sqcup V\) is a separation with \(p \in U\). For each
\(\alpha\), the sets \(U \cap C_\alpha\) and \(V \cap C_\alpha\) are open in \(C_\alpha\) and
partition it. Since \(C_\alpha\) is connected and \(p \in U \cap C_\alpha \neq \emptyset\), we
must have \(V \cap C_\alpha = \emptyset\), that is, \(C_\alpha \subseteq U\). Then
\(V = \emptyset\), a contradiction.
(2) The union of all connected subsets containing a point \(x\) is connected by (3) and is by
construction maximal, hence the component of \(x\). Any connected subset meeting a component
is absorbed into it by (3).
(4) The components are nonempty and partition \(X\) by (2)-(3). For closedness, we first note
that the closure of a connected subset is connected. Suppose \(C\) is connected and
\(\overline{C} = A \sqcup B\) were a separation into sets open in \(\overline{C}\). Then
\(C\), being connected, would lie entirely in one part, say \(C \subseteq A\). But then any
point \(x \in B\) would have \(B\) as a neighborhood (in \(\overline{C}\)) disjoint from
\(C\), contradicting the
characterization of the closure,
by which every neighborhood of a point of \(\overline{C}\) meets \(C\). Hence \(\overline{C}\)
is connected, and by maximality each component equals its own closure and is therefore closed.
(5) A clopen \(S\) meets each component \(C\) in a subset that is clopen in the connected
space \(C\), hence equal to \(\emptyset\) or to \(C\). Thus \(S\) is the union of the
components it contains.
(6) For two factors, assume both are nonempty, since otherwise the product is empty and
therefore connected, and fix a base point \((x_0, y_0) \in X \times Y\). For each \(x \in X\) the
"cross" \(T_x = (\{x\} \times Y) \cup (X \times \{y_0\})\) is connected. It is the union of
\(\{x\} \times Y \cong Y\) and \(X \times \{y_0\} \cong X\), which share the point
\((x, y_0)\), so (3) applies. Every \(T_x\) contains the common slice \(X \times \{y_0\}\),
hence \(\bigcup_{x} T_x\) is connected by (3) again, and this union is all of \(X \times Y\).
Finite products follow by induction.
(7) is a special case of (1), since a quotient map is a continuous surjection.
Property (1) is the topological form of the intermediate value theorem. A continuous real-valued
function on a connected space takes every value between any two of its values, since its image is
a connected subset of \(\mathbb{R}\), hence an interval.
Path-Connectedness
Connectedness as defined above is a subtle condition. It forbids a separation but says nothing
constructive about how to travel within the space. A stronger and more tangible notion asks that
any two points be joined by a continuous curve. For
metric spaces
this was phrased using the metric. The topological definition needs only the notion of continuity.
Definition: Path and Path-Connectedness
Let \(X\) be a topological space and \(p, q \in X\). A path in \(X\) from \(p\) to \(q\)
is a continuous map \(f : I \to X\), where \(I = [0, 1]\), such that \(f(0) = p\) and \(f(1) = q\). The
space \(X\) is path-connected if for every pair of points \(p, q \in X\) there exists
a path in \(X\) from \(p\) to \(q\). The path components of \(X\) are its maximal
path-connected subsets.
Proposition: Properties of Path-Connected Spaces
Let \(X\) and \(Y\) be topological spaces.
- Apart from closedness of the components, the properties of connected spaces hold with
"connected" replaced by "path-connected" and "component" by "path component" throughout.
Continuous images, unions sharing a point, finite products, and quotients of
path-connected spaces are path-connected.
- Every path-connected space is connected.
Proof:
For (1), each clause is proved by exhibiting paths rather than ruling out separations. A
continuous image carries a path \(f\) from \(p\) to \(q\) to the path \(F \circ f\) from
\(F(p)\) to \(F(q)\). For a union of path-connected sets sharing a point \(r\), any two points
are joined by concatenating a path into \(r\) with a path out of \(r\). If \(g, h : I \to X\)
satisfy \(g(1) = h(0)\), their concatenation \(g \ast h\), equal to \(g(2t)\) on
\([0, \tfrac12]\) and \(h(2t - 1)\) on \([\tfrac12, 1]\), is continuous by the
gluing lemma,
since it is continuous on each of the two closed subintervals and the two definitions agree at
\(t = \tfrac12\), where \(g(1) = h(0)\). For a finite product, two points \((x_1, y_1)\) and
\((x_2, y_2)\) of \(X \times Y\) are joined by first moving in the \(X\)-factor along a path
from \(x_1\) to \(x_2\) at height \(y_1\), then in the \(Y\)-factor at base \(x_2\). These
assemble into a path in the product. A quotient \(q : X \to X/{\sim}\) is a continuous
surjection, so \(q \circ f\) joins the images of the endpoints of any path \(f\).
For (2), suppose \(X\) is path-connected but \(X = U \sqcup V\) is a separation. Pick
\(p \in U\), \(q \in V\), and a path \(f : I \to X\) from \(p\) to \(q\). Then \(f^{-1}(U)\)
and \(f^{-1}(V)\) are open in \(I\) by continuity, disjoint, and nonempty, containing \(0\)
and \(1\) respectively, with union \(I\). That is a separation of \(I\), contradicting that
\(I\) is connected as an interval.
The converse of (2) fails in general. The topologist's sine curve is connected but not
path-connected. That same example accounts for the exception in (1). Its two path components are
the graph over \((0, 1]\) and the limiting segment on the vertical axis, and the graph is not
closed, since its closure picks up that segment. Yet for the spaces this curriculum is built on,
the two notions coincide. The bridge is a local hypothesis.
Locally Path-Connected Spaces
For most topological spaces we treat, including all manifolds, connectedness and path-connectedness turn
out to be equivalent. The link between the two concepts is provided by the following local notion.
Definition: Locally Path-Connected Space
A topological space is locally path-connected if it admits a
basis
of path-connected open subsets.
Proposition: Properties of Locally Path-Connected Spaces
Let \(X\) be a locally path-connected topological space.
- The components of \(X\) are open in \(X\).
- The path components of \(X\) are equal to its components.
- \(X\) is connected if and only if it is path-connected.
- Every open subset of \(X\) is locally path-connected.
Proof:
(1) Let \(C\) be a component and \(x \in C\). By hypothesis \(x\) has a path-connected open
neighborhood \(U\). Since \(U\) is path-connected it is connected, and meeting \(C\) it is
contained in \(C\). Thus \(C\) is a neighborhood of each of its points, hence open.
(2) Each path component is connected, so contained in a component. Conversely, fix \(x\) and
let \(P\) be its path component. The set of points reachable from \(x\) by a path is open,
since each such point has a path-connected open neighborhood all of whose points are
reachable, and its complement within the component is open by the same argument. Since the
component is connected, \(P\) exhausts it.
(3) Immediate from (2). A connected space is a single component, hence a single path
component, hence path-connected. The converse is the previous proposition.
(4) Let \(S \subseteq X\) be open. The members of the ambient basis that are contained
in \(S\) form a basis for \(S\), and each of them is path-connected, so \(S\) is
locally path-connected.
Manifolds are locally Euclidean, so they possess a basis of open sets each homeomorphic to a ball
in \(\mathbb{R}^n\), and such balls are manifestly path-connected. Manifolds are therefore locally
path-connected, and for them connectedness, path-connectedness, and connectedness of each
component all collapse into one notion. This is the result that justifies treating "connected
manifold" as an unambiguous phrase throughout the manifold series.
Compactness
Compactness is the topological distillation of finiteness. It was introduced for
metric spaces
through open covers, and the definition transfers without change to the topological setting, since it
refers only to open sets.
Definition: Compact Space and Compact Subset
A topological space \(X\) is compact if every open cover of \(X\) admits a
finite subcover. A compact subset of a topological space is a subset that is
a compact space in the
subspace topology.
Equivalently, every collection of open sets of the ambient space whose union contains the
subset has a finite subcollection still containing it.
For subsets of \(\mathbb{R}^n\), the
Heine-Borel theorem
identifies the compact sets as exactly the closed and bounded ones. Boundedness is a metric
notion, so in a general topological space only the "closed" half survives, and even that requires
a separation hypothesis, as we record below.
Proposition: Properties of Compact Spaces
Let \(X\) and \(Y\) be topological spaces.
- If \(F : X \to Y\) is continuous and \(X\) is compact, then \(F(X)\) is compact.
- If \(X\) is compact and nonempty and \(f : X \to \mathbb{R}\) is continuous, then \(f\) is bounded and attains
its maximum and minimum values.
- Any union of finitely many compact subspaces of \(X\) is compact.
- If \(X\) is Hausdorff and \(K, L \subseteq X\) are disjoint compact subsets, then there exist
disjoint open subsets \(U, V \subseteq X\) with \(K \subseteq U\) and \(L \subseteq V\).
- Every closed subset of a compact space is compact.
- Every compact subset of a Hausdorff space is closed.
- Every compact subset of a metric space is bounded.
- Every finite product of compact spaces is compact.
- Every quotient of a compact space is compact.
Clause (6), that compact subsets of Hausdorff spaces are closed, is used so often that we
state and prove it separately, immediately after this proof.
Proof:
(1) This is the topological form of the statement that the
continuous image of a compact metric space is compact.
Given an open cover of \(F(X)\), its preimages cover \(X\), a finite subcollection covers
\(X\) by compactness, and the corresponding images cover \(F(X)\).
(2) Applying (1) with \(Y = \mathbb{R}\), the image \(f(X)\) is a compact subset of
\(\mathbb{R}\), hence closed and bounded by Heine-Borel. A closed bounded subset of
\(\mathbb{R}\) contains its supremum and infimum, which are the attained maximum and minimum.
This is the
extreme value theorem.
(3) An open cover of a finite union \(K_1 \cup \cdots \cup K_m\) covers each \(K_j\).
Extracting a finite subcover for each and taking the union of these finitely many finite
families gives a finite subcover of the whole.
(4) For each \(x \in K\), the Hausdorff condition together with compactness of \(L\) yields
disjoint open sets \(U_x \ni x\) and \(W_x \supseteq L\), by the point-compact-set form of the
argument below. The sets \(\{U_x\}_{x \in K}\) cover \(K\), a finite subfamily
\(U_{x_1}, \ldots, U_{x_k}\) covers \(K\), and \(U = \bigcup_i U_{x_i}\),
\(V = \bigcap_i W_{x_i}\) are disjoint open sets separating \(K\) and \(L\).
(5) If \(K\) is closed in the compact space \(X\) and \(\{U_\alpha\}\) is an open cover of
\(K\) by sets open in \(X\), then \(\{U_\alpha\} \cup \{X \setminus K\}\) is an open cover of
\(X\). A finite subcover, with \(X \setminus K\) discarded, covers \(K\). Clause (6) is the
separate theorem below.
(7) In a metric space a compact set is covered by the balls of radius \(1\) about its points,
and a finite subcover bounds it.
(8) and (9) for products and quotients are the topological counterparts of the corresponding
clauses for connectedness. The finite product case is the special case of
Tychonoff's theorem
for finitely many factors, and the quotient case follows from (1), since a quotient map is a
continuous surjection.
Compactness asks that a cover be thinned to a finite subfamily. Asking only for a countable
subfamily is a strictly weaker demand, and that weaker demand costs nothing once the topology is
describable by countably many open sets. The statement below is elementary, but it is the step
that makes an arbitrary cover usable in any construction that proceeds one index at a time along
the natural numbers.
Proposition: Second-Countable Spaces Admit Countable Subcovers
Let \(X\) be a
second-countable
topological space. Then every open cover of \(X\) admits a countable subcover. A space with
this property is called Lindelöf.
Proof:
Fix a countable
basis
\(\{D_m\}_{m \in \mathbb{N}}\) for the topology of \(X\), and let
\(\mathcal{U}\) be an open cover of \(X\). Let \(N \subseteq \mathbb{N}\) be the set of
indices \(m\) for which \(D_m\) is contained in at least one member of \(\mathcal{U}\), and
for each \(m \in N\) select one such member, calling it \(U_m\). The family
\(\{U_m\}_{m \in N}\) is a subfamily of \(\mathcal{U}\) indexed by a subset of
\(\mathbb{N}\), hence countable.
It remains to check that this subfamily still covers \(X\). Let \(x \in X\). Since
\(\mathcal{U}\) covers \(X\), some member \(U \in \mathcal{U}\) contains \(x\). The set
\(U\) is open, so the basis property supplies an index \(m\) with
\(x \in D_m \subseteq U\). That index lies in \(N\), witnessed by \(U\) itself, so \(U_m\)
is defined and \(x \in D_m \subseteq U_m\). The point \(x\) was arbitrary, so
\(\{U_m\}_{m \in N}\) covers \(X\).
Countability is the whole of what a countable basis delivers. The further passage from a
countable subfamily to a finite one is what compactness adds, and nothing in the argument above
supplies it.
Compactness also supplies a uniform scale, although the statement is metric rather than
topological, since it speaks of distances and not of open sets alone. On a compact metric space a
single radius can be chosen that works at every point at once for a prescribed open cover, and that
uniformity is what turns a cover into a subdivision of fixed mesh.
Theorem (Lebesgue Number Lemma)
Let \(X\) be a
compact metric space
with metric \(d\), and let \(\mathcal{U}\) be an open cover of \(X\). Then there exists
\(\delta \gt 0\), called a Lebesgue number for \(\mathcal{U}\), such that for
every \(x \in X\) the
open ball
\(\mathcal{B}[x ; \delta)\) is contained in a single member of \(\mathcal{U}\). Consequently
every nonempty subset of \(X\) whose
diameter
is smaller than \(\delta\) is contained in a single member of \(\mathcal{U}\).
Proof:
If \(X = \emptyset\) the conclusion holds vacuously with \(\delta = 1\), so assume \(X\) is
nonempty. We first attach a radius to every point. Let \(x \in X\). Since \(\mathcal{U}\)
covers \(X\), some member \(U_x \in \mathcal{U}\) contains \(x\). Being
open,
the set \(U_x\) contains no
boundary point
of itself, so \(x \notin \partial U_x\). The distance from \(x\) to \(U_x\) is \(0\),
because \(x\) lies in \(U_x\), and hence the distance from \(x\) to \(X \setminus U_x\)
is not \(0\). Choose \(r_x \gt 0\) such that every \(z \in X \setminus U_x\) satisfies
\(d(x, z) \geq 2 r_x\). This is possible when that distance is a positive real number, and
also when \(U_x = X\), since the condition is then vacuous. Every \(y \in X\) with
\(d(x, y) \lt 2 r_x\) therefore lies in \(U_x\), that is,
\(\mathcal{B}[x ; 2 r_x) \subseteq U_x\). The point \(x\) was arbitrary, so this
construction runs at every point of \(X\).
The balls \(\mathcal{B}[x ; r_x)\), as \(x\) ranges over \(X\), cover \(X\), since each
point lies in its own ball. By the ball cover criterion among the
equivalent formulations of compactness,
finitely many of them already cover \(X\), say
\(X = \mathcal{B}[x_1 ; r_1) \cup \cdots \cup \mathcal{B}[x_n ; r_n)\), where
\(r_i\) abbreviates \(r_{x_i}\). A cover of a nonempty set is itself nonempty, so
\(n \geq 1\) and \(\delta = \min\{r_1, \ldots, r_n\}\) is a positive real number.
Let \(w \in X\) be arbitrary and choose \(i\) with \(w \in \mathcal{B}[x_i ; r_i)\). If
\(y \in X\) satisfies \(d(w, y) \lt \delta\), the triangle inequality gives
\(d(x_i, y) \leq d(x_i, w) + d(w, y) \lt r_i + \delta \leq 2 r_i\), so
\(y \in \mathcal{B}[x_i ; 2 r_i) \subseteq U_{x_i}\). Hence
\(\mathcal{B}[w ; \delta) \subseteq U_{x_i}\), which is the first assertion.
For the second assertion, let \(S \subseteq X\) be nonempty with
\(\operatorname{diam}(S) \lt \delta\) and pick \(p \in S\). Every \(y \in S\)
satisfies \(d(p, y) \leq \operatorname{diam}(S) \lt \delta\), so
\(S \subseteq \mathcal{B}[p ; \delta)\), and the first assertion places that ball inside
a single member of \(\mathcal{U}\).
The single most useful consequence of compactness in a Hausdorff space is that compact sets behave
like closed sets. Indeed, they are closed.
Theorem: Compact Subsets of Hausdorff Spaces are Closed
If \(X\) is a Hausdorff space and \(K \subseteq X\) is compact, then \(K\) is closed.
Proof:
If \(K = \emptyset\), it is closed trivially, so assume \(K \neq \emptyset\). We show that
\(X \setminus K\) is open. Let \(x \in X \setminus K\). For each \(y \in K\), the Hausdorff
condition provides disjoint open sets \(U_y \ni x\) and \(V_y \ni y\). The collection
\(\{V_y\}_{y \in K}\) covers \(K\), so by compactness there exist \(y_1, \ldots, y_n\) with
\(K \subseteq V_{y_1} \cup \cdots \cup V_{y_n}\). Set
\(U = U_{y_1} \cap \cdots \cap U_{y_n}\). Then \(U\) is a finite intersection of open sets
containing \(x\), so \(U\) is an open neighborhood of \(x\). Moreover, \(U \subseteq U_{y_i}\)
for each \(i\), so \(U \cap V_{y_i} \subseteq U_{y_i} \cap V_{y_i} = \emptyset\). Hence \(U\)
is disjoint from \(V_{y_1} \cup \cdots \cup V_{y_n} \supseteq K\), giving
\(U \subseteq X \setminus K\). Since \(x\) was arbitrary, \(X \setminus K\) is open.
The same construction yields more. The open set
\(W = V_{y_1} \cup \cdots \cup V_{y_n} \supseteq K\) is disjoint from the open neighborhood
\(U \ni x\), so a point and a disjoint compact set in a Hausdorff space can always be
separated by disjoint open sets. This is the point-compact-set separation invoked in clause
(4) above.
This is the topological core of the closed map lemma that follows. A continuous map out of a
compact space carries closed sets to closed sets precisely because their images are compact, and
compact subsets of a Hausdorff codomain are closed.
The Closed Map Lemma and Proper Maps
The Closed Map Lemma
We now harvest the consequences of compactness for the structure of continuous maps. The pattern
is invariably the same. Compactness of the domain forces images of closed sets to be compact, and
the Hausdorff property of the codomain forces those compact images to be closed. The result is a
remarkably efficient criterion that turns a continuous map into a closed map, a quotient map, an
embedding,
or a homeomorphism, with no further hypotheses beyond compactness and the Hausdorff condition.
Theorem (Closed Map Lemma)
Let \(X\) be a compact space, \(Y\) a Hausdorff space, and \(F : X \to Y\) a continuous map. Then:
- \(F\) is a closed map.
- If \(F\) is surjective, it is a quotient map. A set \(V \subseteq Y\)
is open (equivalently closed) if and only if its preimage \(F^{-1}(V)\) is open
(equivalently closed) in \(X\).
- If \(F\) is injective, it is a
topological embedding.
- If \(F\) is bijective, it is a homeomorphism.
Proof:
We prove (1) directly, and the remaining three assertions then follow formally. Let
\(K \subseteq X\) be closed. Since \(X\) is compact, the closed subset \(K\) is itself
compact, by the clause of the
compactness properties
stating that a closed subset of a compact space is compact. The continuous image of a compact
set is compact, so \(F(K)\) is compact in \(Y\). Finally, \(Y\) is Hausdorff, so the compact
set \(F(K)\) is
closed. Thus
\(F\) carries closed sets to closed sets, which is to say that \(F\) is a closed map.
(2) Suppose \(F\) is also surjective. A quotient map is a continuous surjection for which
\(V \subseteq Y\) is open precisely when \(F^{-1}(V)\) is open. Continuity gives the forward
implication, so only the converse requires the hypothesis. Suppose \(F^{-1}(V)\) is open. Then
its complement \(F^{-1}(Y \setminus V) = X \setminus F^{-1}(V)\) is closed, so by (1) its
image \(F(X \setminus F^{-1}(V))\) is closed in \(Y\). Surjectivity gives
\(F(X \setminus F^{-1}(V)) = Y \setminus V\), whence \(Y \setminus V\) is closed and \(V\) is
open. Thus \(F\) is a quotient map.
(3) An injective map is a bijection onto its image \(F(X)\), and the corestriction
\(F : X \to F(X)\) is a continuous bijection that is closed, since a closed map remains closed
when the codomain is cut down to the image. By the
characterization of homeomorphisms,
a closed continuous bijection is a homeomorphism. Hence \(F : X \to F(X)\) is a homeomorphism,
which is exactly the assertion that \(F\) is an embedding.
(4) A bijective map is simultaneously surjective and injective, so it is both a quotient map
and an embedding. Equivalently, the corestriction in (3) is onto all of \(Y\), giving a
homeomorphism \(F : X \to Y\).
The force of this lemma lies in how little it asks. To verify that a continuous bijection between
a compact space and a Hausdorff space is a homeomorphism, one ordinarily checks continuity of the
inverse by hand. The lemma dispenses with that entirely. The same machine underlies the most
common method of recognizing embeddings of compact manifolds, and it is the reason quotients of
compact spaces by closed equivalence relations remain so well-behaved.
Proper Maps
The closed map lemma extracts its conclusion from compactness of the entire domain. Many
maps of interest have non-compact domains yet still control compact sets in the codomain by
pulling them back to compact sets. They include inclusions of submanifolds, covering projections,
and the orbit maps of group actions. That pullback property is the notion of properness, and it is precisely the
hypothesis that resurrects the closed map lemma in the non-compact setting.
Definition: Proper Map
A map \(F : X \to Y\) between topological spaces (continuous or not) is proper if
for every compact set \(K \subseteq Y\), the preimage \(F^{-1}(K)\) is compact in \(X\).
Theorem (Sufficient Conditions for Properness)
Let \(F : X \to Y\) be a continuous map between topological spaces. Each of the first four
conditions below guarantees that \(F\) is proper. The fifth records how properness passes to
saturated restrictions.
- \(X\) is compact and \(Y\) is Hausdorff.
- \(F\) is a closed map with compact fibers \(F^{-1}(\{y\})\).
- \(F\) is a
topological embedding
with closed image.
- \(Y\) is Hausdorff and \(F\) has a continuous left inverse \(G : Y \to X\) (a continuous map
with \(G \circ F = \operatorname{id}_X\)).
- If \(F\) is proper and \(A \subseteq X\) is saturated with respect to \(F\) (that is,
\(A = F^{-1}(F(A))\)), then the restriction \(F|_A : A \to F(A)\) is proper.
Proof:
(1) Let \(K \subseteq Y\) be compact. Since \(Y\) is Hausdorff, \(K\) is
closed, so
\(F^{-1}(K)\) is closed in \(X\) by continuity. A closed subset of the compact space \(X\) is
compact, so
\(F^{-1}(K)\) is compact and \(F\) is proper.
(2) Let \(K \subseteq Y\) be compact. We show \(F^{-1}(K)\) is compact by extracting a finite
subcover from an arbitrary open cover \(\mathcal{U}\) of \(F^{-1}(K)\). For each \(y \in K\),
the fiber \(F^{-1}(\{y\}) \subseteq F^{-1}(K)\) is compact, so finitely many members of
\(\mathcal{U}\) cover it. Let \(U_y\) be their union, an open set containing the fiber. The
set \(V_y = Y \setminus F(X \setminus U_y)\) is open, because \(F\) is a closed map. It also
contains \(y\), because the entire fiber over \(y\) lies in \(U_y\) and therefore no point of
\(X \setminus U_y\) maps to \(y\). Moreover \(F^{-1}(V_y) \subseteq U_y\). The sets
\(\{V_y\}_{y \in K}\) form an open cover of \(K\), so finitely many
\(V_{y_1}, \ldots, V_{y_n}\) suffice. The corresponding \(U_{y_1}, \ldots, U_{y_n}\) cover
\(F^{-1}(K)\), and each is a finite union of members of \(\mathcal{U}\). Thus \(F^{-1}(K)\)
admits a finite subcover and is compact.
(3) Suppose \(F\) is an embedding with closed image \(F(X)\). Let \(K \subseteq Y\) be compact.
Then \(K \cap F(X)\) is a closed subset of the compact set \(K\), hence compact, and it lies in
\(F(X)\). Since \(F : X \to F(X)\) is a homeomorphism onto its image, \(F^{-1}(K) = F^{-1}(K \cap
F(X))\) is the homeomorphic image of a compact set, hence compact.
(4) Suppose \(G : Y \to X\) is continuous with \(G \circ F = \operatorname{id}_X\). This
identity forces \(F\) to be injective. Let \(K \subseteq Y\) be compact. For any
\(x \in F^{-1}(K)\) we have \(x = G(F(x)) \in G(K)\), so \(F^{-1}(K) \subseteq G(K)\). The set
\(G(K)\) is compact, being the continuous image of the compact set \(K\). Since \(Y\) is
Hausdorff, \(K\) is closed, so \(F^{-1}(K)\) is closed in \(X\) by continuity. Being a closed
subset of the compact set \(G(K)\), it is compact.
(5) Suppose \(F\) is proper and \(A = F^{-1}(F(A))\) is saturated. Let \(L \subseteq F(A)\) be
compact in the subspace \(F(A)\). Then \(L\) is compact in \(Y\), so \(F^{-1}(L)\) is compact
by properness of \(F\). Since \(L \subseteq F(A)\), every point of \(F^{-1}(L)\) maps into
\(F(A)\), so \(F^{-1}(L) \subseteq F^{-1}(F(A)) = A\). Consequently
\((F|_A)^{-1}(L) = F^{-1}(L) \cap A = F^{-1}(L)\), which is compact. Hence \(F|_A\) is proper.
Locally Compact Hausdorff Spaces
The spaces whose properties are most familiar are the metrizable ones, those whose topology is
induced by a metric. When studying manifolds, however, it is often inconvenient to produce such a
metric explicitly. Fortunately, manifolds belong to another class with comparably good behavior:
the locally compact Hausdorff spaces. They are the natural arena in which the closed map lemma
extends to maps with non-compact domain, and in which the Baire category theorem holds.
Definition: Locally Compact Space and Precompact Subset
A topological space \(X\) is locally compact if every point has a neighborhood
contained in a compact subset of \(X\). A subset of \(X\) is precompact (or
relatively compact) in \(X\) if its closure in \(X\) is compact.
For Hausdorff spaces, local compactness admits two reformulations that are usually more convenient
in practice. They sharpen "contained in some compact set" to a statement about precompact
neighborhoods and bases.
Theorem (Characterizations of Local Compactness in the Hausdorff Case)
For a Hausdorff space \(X\), the following are equivalent:
- \(X\) is locally compact.
- Each point of \(X\) has a precompact neighborhood.
- \(X\) has a basis of precompact open subsets.
Moreover, every open subspace and every closed subspace of a locally compact Hausdorff space is
itself a locally compact Hausdorff space.
Proof:
The implications \((3) \Rightarrow (2) \Rightarrow (1)\) are immediate. A precompact open set
is a neighborhood whose closure is compact, and any neighborhood is contained in such a
compact closure. The substance is \((1) \Rightarrow (3)\). Let \(p \in X\) and let \(U\) be
any open neighborhood of \(p\). We seek a precompact open set \(W\) with
\(p \in W \subseteq U\). By local compactness, \(p\) has a neighborhood \(V\) contained in
some compact set \(C\). Since \(X\) is Hausdorff, \(C\) is
closed, so
\(\overline{V} \subseteq C\), and a closed subset of a compact set is
compact. The set
\(\overline{V} \setminus U\) is a closed subset of the compact \(\overline{V}\), hence
compact, and it does not contain \(p\).
Since \(X\) is Hausdorff and the singleton \(\{p\}\) and the compact set
\(\overline{V} \setminus U\) are disjoint compact subsets, the
separation of disjoint compact sets
provides disjoint open sets \(A \supseteq \{p\}\) and
\(B \supseteq \overline{V} \setminus U\). Put \(W = A \cap V\). Then \(W\) is open,
\(p \in W\), and \(W \subseteq V\) gives \(\overline{W} \subseteq \overline{V}\), so
\(\overline{W}\) is compact. Moreover \(W \subseteq A \subseteq X \setminus B\), and
\(X \setminus B\) is closed, so
\(\overline{W} \subseteq X \setminus B \subseteq X \setminus (\overline{V} \setminus U)\).
Combined with \(\overline{W} \subseteq \overline{V}\), this forces
\(\overline{W} \subseteq U\). Thus \(W\) is a precompact open neighborhood of \(p\) contained
in \(U\), and the collection of all such \(W\) is a basis of precompact open sets.
For the heredity statement, let \(S \subseteq X\) be open. Given \(p \in S\), condition (3)
applied with the neighborhood \(S\) yields a precompact open \(W\) with \(p \in W\) and
\(\overline{W} \subseteq S\). This \(W\) is a precompact neighborhood of \(p\) in \(S\), and
\(S\) is Hausdorff as a subspace. If instead \(S\) is closed, take any \(p \in S\) and a
precompact neighborhood \(N\) of \(p\) in \(X\). Then \(N \cap S\) is a neighborhood of \(p\)
in \(S\). Its closure in \(S\) is \(\overline{N \cap S} \cap S\) (closure taken in \(X\)),
which is contained in \(\overline{N} \cap S\). Since \(S\) is closed, \(\overline{N} \cap S\)
is a closed subset of the compact set \(\overline{N}\), hence compact, and the closure of
\(N \cap S\) in \(S\) is a closed subset of it, hence also compact. Thus \(N \cap S\) is a
precompact neighborhood of \(p\) in \(S\). In either case \(S\) satisfies (2), so \(S\) is a
locally compact Hausdorff space.
Proper Maps into Locally Compact Spaces
The closed map lemma required the domain to be compact. Replacing that hypothesis by properness of the
map, and compactness of the codomain by local compactness, recovers the same conclusion. The result
below is the precise generalization.
Theorem (Proper Continuous Maps Are Closed)
Let \(X\) be a topological space and \(Y\) a locally compact Hausdorff space. Then every proper
continuous map \(F : X \to Y\) is a closed map.
Proof:
Let \(K \subseteq X\) be closed. To show \(F(K)\) is closed in \(Y\), we show it contains all
of its limit points. Let \(y\) be a limit point of \(F(K)\). Since \(Y\) is locally compact
Hausdorff, we may let \(U\) be a precompact neighborhood of \(y\), so that \(\overline{U}\) is
compact. Then \(y\) is also a limit point of \(F(K) \cap \overline{U}\), because every
neighborhood of \(y\) contained in \(U\) meets \(F(K)\) in a point necessarily lying in
\(U \subseteq \overline{U}\). Because \(F\) is
proper, the preimage
\(F^{-1}(\overline{U})\) is compact, so its closed subset \(K \cap F^{-1}(\overline{U})\) is
compact. Its continuous
image \(F\bigl(K \cap F^{-1}(\overline{U})\bigr) = F(K) \cap \overline{U}\) is therefore
compact, and a compact subset of the Hausdorff space \(Y\) is
closed. A
closed set contains its limit points, so \(y \in F(K) \cap \overline{U} \subseteq F(K)\).
Hence \(F(K)\) is closed.
Taking \(X\) compact and \(Y\) Hausdorff makes any continuous map proper, so this statement contains
the
closed map lemma
as the special case in which the entire domain, rather than each fiber, supplies the compactness.
The Baire Category Theorem
Locally compact Hausdorff spaces share a deep completeness-like property with complete metric
spaces. They cannot be exhausted by countably many "thin" sets. Recall that a subset is
nowhere dense if the interior of its closure is empty.
Theorem (Baire Category Theorem)
In a locally compact Hausdorff space, and in a
complete metric space,
every countable union of nowhere dense sets has empty interior.
Both incarnations of this theorem rest on the same nested construction, shrinking precompact open
sets in the locally compact case and closed balls in the metric case. The
complete-metric-space version
is the one we invoke in functional analysis, where it is the engine behind the open mapping,
closed graph, and uniform boundedness theorems. For the locally-compact-Hausdorff version we
sketch the parallel argument.
Proof sketch (locally compact Hausdorff case):
Let \(A = \bigcup_{n=1}^{\infty} A_n\) with each \(A_n\) nowhere dense. We show \(A\) has
empty interior by showing that every nonempty open set \(W_0\) contains a point outside \(A\).
Shrinking \(W_0\) using the
basis of precompact open sets,
we may assume \(\overline{W_0}\) is compact. Since \(A_1\) is nowhere dense,
\(\overline{A_1}\) has empty interior, so \(W_0 \setminus \overline{A_1}\) is nonempty and
open. Choose a precompact open \(W_1\) with
\(\overline{W_1} \subseteq W_0 \setminus \overline{A_1}\). Continuing inductively produces
precompact open sets \(W_n\) with
\(\overline{W_n} \subseteq W_{n-1} \setminus \overline{A_n}\), so the closures form a
decreasing sequence of nonempty compact sets
\(\overline{W_1} \supseteq \overline{W_2} \supseteq \cdots\).
By compactness this nested sequence has nonempty intersection. Suppose it were empty. Then the
open sets \(X \setminus \overline{W_n}\) would cover \(\overline{W_1}\), so finitely many
would suffice, and since they increase with \(n\) the largest index \(N\) among them already
gives \(\overline{W_1} \subseteq X \setminus \overline{W_N}\). But
\(\overline{W_N} \subseteq \overline{W_1}\) then forces \(\overline{W_N} = \emptyset\),
contradicting the construction. Any point \(x\) in the intersection lies in every \(W_{n-1}\)
and avoids every \(\overline{A_n}\), hence \(x \in W_0\) and \(x \notin A\). The
complete-metric case is identical with \(\overline{W_n}\) replaced by closed balls of radius
\(\to 0\), the nonempty intersection coming from completeness rather than compactness.
We use this theorem here only through the corollary below.
Corollary (Countable Closed Sets Have Isolated Points)
In a locally compact Hausdorff space or a complete metric space, every nonempty countable closed
subset contains at least one isolated point.
Proof:
Let \(X\) be such a space and let \(A \subseteq X\) be a nonempty countable closed subset.
Suppose, for contradiction, that \(A\) has no isolated points. Because \(A\) is closed in
\(X\), it is itself a locally compact Hausdorff space or a complete metric space, so the Baire
category theorem applies within \(A\). For each \(a \in A\), the singleton \(\{a\}\) is closed
in \(A\) (since \(A\) is Hausdorff), and it has empty interior in \(A\) precisely because
\(a\) is not isolated. Thus \(\{a\}\) is nowhere dense in \(A\). But \(A\) is the countable
union \(\bigcup_{a \in A} \{a\}\), which by Baire must have empty interior in \(A\). This
contradicts the fact that \(A\), being the whole space, is open in itself with nonempty
interior. Therefore \(A\) has an isolated point.
Exhaustion by Compact Sets
The final structural result equips a sufficiently nice locally compact space with an increasing
sequence of compact sets filling it out, each sitting inside the interior of the next. Such a
sequence is the standard scaffolding for constructions that proceed one compact piece at a time.
Definition: Exhaustion by Compact Sets
An exhaustion of \(X\) by compact sets is a sequence \((K_i)_{i=1}^{\infty}\) of
compact subsets with \(X = \bigcup_i K_i\) and \(K_i \subseteq \operatorname{int}(K_{i+1})\) for
every \(i\).
Theorem (Existence of Exhaustions)
Every second-countable locally compact Hausdorff space admits an exhaustion by compact sets.
Proof:
Let \(X\) be such a space. By the characterization above it has a basis of precompact open
sets. Those sets form an open cover of \(X\), and since \(X\) is second-countable the cover
admits a countable subcover.
If \(X = \emptyset\), the constant sequence \(K_i = \emptyset\) is an exhaustion, so assume
\(X\) is nonempty. The subcover is then nonempty as well, and its members can be listed as a
sequence \((U_i)_{i=1}^{\infty}\), with repetitions if the subcover is finite. Each
\(\overline{U_i}\) is compact. We build the exhaustion
inductively. Set \(K_1 = \overline{U_1}\).
Assume compact sets \(K_1, \ldots, K_k\) have been constructed with \(U_j \subseteq K_j\) for
each \(j\) and \(K_{j-1} \subseteq \operatorname{int}(K_j)\) for \(j \geq 2\). Since \(K_k\) is
compact and the \((U_i)\) cover it, finitely many suffice:
\(K_k \subseteq U_1 \cup \cdots \cup U_{m_k}\) for some \(m_k\), which we may take with
\(m_k \geq k+1\). Define \(K_{k+1} = \overline{U_1} \cup \cdots \cup \overline{U_{m_k}}\), a
finite union of compact sets, hence compact. Then
\(K_k \subseteq U_1 \cup \cdots \cup U_{m_k} \subseteq \operatorname{int}(K_{k+1})\) and
\(U_{k+1} \subseteq K_{k+1}\). By induction this yields compact sets with
\(K_k \subseteq \operatorname{int}(K_{k+1})\). Since \(U_i \subseteq K_i\) for every \(i\)
while the \(U_i\) cover \(X\), we have \(X = \bigcup_i K_i\). This is the required exhaustion.