In functional analysis, the open mapping theorem, also known as the Banach–Schauder theorem or the Banach theorem (named after Stefan Banach and Juliusz Schauder), is a fundamental result that states that if a bounded or continuous linear operator between Banach spaces is surjective then it is an open map.
A special case is also called the bounded inverse theorem (also called inverse mapping theorem or Banach isomorphism theorem), which states that a bijective bounded linear operator T {\displaystyle T} from one Banach space to another has bounded inverse T − 1 {\displaystyle T^{-1}} .
Statement and proof
Open mapping theorem—23 Let T : E → F {\displaystyle T:E\to F} be a surjective continuous linear map between Banach spaces (or more generally Fréchet spaces). Then T {\displaystyle T} is an open mapping (that is, if U ⊂ E {\displaystyle U\subset E} is an open subset, then T ( U ) {\displaystyle T(U)} is open).
The proof here uses the Baire category theorem, and completeness of both E {\displaystyle E} and F {\displaystyle F} is essential to the theorem. The statement of the theorem is no longer true if either space is assumed to be only a normed vector space; see § Counterexample.
The proof is based on the following lemmas, which are also somewhat of independent interest. A linear map f : E → F {\displaystyle f:E\to F} between topological vector spaces is said to be nearly open if, for each neighborhood U {\displaystyle U} of zero, the closure f ( U ) ¯ {\displaystyle {\overline {f(U)}}} contains a neighborhood of zero. The next lemma may be thought of as a weak version of the open mapping theorem.
Lemma—45 A linear map f : E → F {\displaystyle f:E\to F} between normed spaces is nearly open if the image of f {\displaystyle f} is non-meager in F {\displaystyle F} . (The continuity is not needed.)
Proof: Shrinking U {\displaystyle U} , we can assume U {\displaystyle U} is an open ball centered at zero. We have f ( E ) = f ( ⋃ n ∈ N n U ) = ⋃ n ∈ N f ( n U ) {\displaystyle f(E)=f\left(\bigcup _{n\in \mathbb {N} }nU\right)=\bigcup _{n\in \mathbb {N} }f(nU)} . Thus, some f ( n U ) ¯ {\displaystyle {\overline {f(nU)}}} contains an interior point y {\displaystyle y} ; that is, for some radius r > 0 {\displaystyle r>0} ,
B ( y , r ) ⊂ f ( n U ) ¯ . {\displaystyle B(y,r)\subset {\overline {f(nU)}}.}Then for any v {\displaystyle v} in F {\displaystyle F} with ‖ v ‖ < r {\displaystyle \|v\|<r} , by linearity, convexity and ( − 1 ) U ⊂ U {\displaystyle (-1)U\subset U} ,
v = v − y + y ∈ f ( − n U ) ¯ + f ( n U ) ¯ ⊂ f ( 2 n U ) ¯ {\displaystyle v=v-y+y\in {\overline {f(-nU)}}+{\overline {f(nU)}}\subset {\overline {f(2nU)}}} ,which proves the lemma by dividing by 2 n {\displaystyle 2n} . ◻ {\displaystyle \square } (The same proof works if E , F {\displaystyle E,F} are pre-Fréchet spaces.)
The completeness on the domain then allows to upgrade nearly open to open.
Lemma (Schauder)—67 Let f : E → F {\displaystyle f:E\to F} be a continuous linear map between normed spaces.
If f {\displaystyle f} is nearly-open and if E {\displaystyle E} is complete, then f {\displaystyle f} is open and surjective.
More precisely, if B ( 0 , δ ) ⊂ f ( B ( 0 , 1 ) ) ¯ {\displaystyle B(0,\delta )\subset {\overline {f(B(0,1))}}} for some δ > 0 {\displaystyle \delta >0} and if E {\displaystyle E} is complete, then
B ( 0 , δ ) ⊂ f ( B ( 0 , 1 ) ) {\displaystyle B(0,\delta )\subset f(B(0,1))}where B ( x , r ) {\displaystyle B(x,r)} is an open ball with radius r {\displaystyle r} and center x {\displaystyle x} .
Proof: Let y {\displaystyle y} be in B ( 0 , δ ) {\displaystyle B(0,\delta )} and c n > 0 {\displaystyle c_{n}>0} some sequence. We have: B ( 0 , δ ) ¯ ⊂ f ( B ( 0 , 1 ) ) ¯ {\displaystyle {\overline {B(0,\delta )}}\subset {\overline {f(B(0,1))}}} . Thus, for each ϵ > 0 {\displaystyle \epsilon >0} and z {\displaystyle z} in F {\displaystyle F} , we can find an x {\displaystyle x} with ‖ x ‖ < δ − 1 ‖ z ‖ {\displaystyle \|x\|<\delta ^{-1}\|z\|} and z {\displaystyle z} in B ( f ( x ) , ϵ ) {\displaystyle B(f(x),\epsilon )} . Thus, taking z = y {\displaystyle z=y} , we find an x 1 {\displaystyle x_{1}} such that
‖ y − f ( x 1 ) ‖ < c 1 , ‖ x 1 ‖ < δ − 1 ‖ y ‖ . {\displaystyle \|y-f(x_{1})\|<c_{1},\,\|x_{1}\|<\delta ^{-1}\|y\|.}Applying the same argument with z = y − f ( x 1 ) {\displaystyle z=y-f(x_{1})} , we then find an x 2 {\displaystyle x_{2}} such that
‖ y − f ( x 1 ) − f ( x 2 ) ‖ < c 2 , ‖ x 2 ‖ < δ − 1 c 1 {\displaystyle \|y-f(x_{1})-f(x_{2})\|<c_{2},\,\|x_{2}\|<\delta ^{-1}c_{1}}where we observed ‖ x 2 ‖ < δ − 1 ‖ z ‖ < δ − 1 c 1 {\displaystyle \|x_{2}\|<\delta ^{-1}\|z\|<\delta ^{-1}c_{1}} . Then so on. Thus, if c := ∑ c n < ∞ {\displaystyle c:=\sum c_{n}<\infty } , we found a sequence x n {\displaystyle x_{n}} such that x = ∑ 1 ∞ x n {\displaystyle x=\sum _{1}^{\infty }x_{n}} converges and f ( x ) = y {\displaystyle f(x)=y} . Also,
‖ x ‖ ≤ ∑ 1 ∞ ‖ x n ‖ ≤ δ − 1 ‖ y ‖ + δ − 1 c . {\displaystyle \|x\|\leq \sum _{1}^{\infty }\|x_{n}\|\leq \delta ^{-1}\|y\|+\delta ^{-1}c.}Since δ − 1 ‖ y ‖ < 1 {\displaystyle \delta ^{-1}\|y\|<1} , by making c {\displaystyle c} small enough, we can achieve ‖ x ‖ < 1 {\displaystyle \|x\|<1} . ◻ {\displaystyle \square } (Again the same proof is valid if E , F {\displaystyle E,F} are pre-Fréchet spaces.)
Proof of the theorem: By Baire's category theorem, the first lemma applies. Then the conclusion of the theorem follows from the second lemma. ◻ {\displaystyle \square }
In general, a continuous bijection between topological spaces is not necessarily a homeomorphism. The open mapping theorem, when it applies, implies the bijectivity is enough:
Corollary (Bounded inverse theorem)—8 A continuous bijective linear operator between Banach spaces (or Fréchet spaces) has continuous inverse. That is, the inverse operator is continuous.
Even though the above bounded inverse theorem is a special case of the open mapping theorem, the open mapping theorem in turns follows from that. Indeed, a surjective continuous linear operator T : E → F {\displaystyle T:E\to F} factors as
T : E → p E / ker T → T 0 F . {\displaystyle T:E{\overset {p}{\to }}E/\operatorname {ker} T{\overset {T_{0}}{\to }}F.}Here, T 0 {\displaystyle T_{0}} is continuous and bijective and thus is a homeomorphism by the bounded inverse theorem; in particular, it is an open mapping. As a quotient map for topological groups is open, T {\displaystyle T} is open then.
Because the open mapping theorem and the bounded inverse theorem are essentially the same result, they are often simply called Banach's theorem.
Transpose formulation
Here is a formulation of the open mapping theorem in terms of the transpose of an operator.
Theorem—9 Let X {\displaystyle X} and Y {\displaystyle Y} be Banach spaces, let B X {\displaystyle B_{X}} and B Y {\displaystyle B_{Y}} denote their open unit balls, and let T : X → Y {\displaystyle T:X\to Y} be a bounded linear operator. If δ > 0 {\displaystyle \delta >0} then among the following four statements we have ( 1 ) ⟹ ( 2 ) ⟹ ( 3 ) ⟹ ( 4 ) {\displaystyle (1)\implies (2)\implies (3)\implies (4)} (with the same δ {\displaystyle \delta } )
- δ ‖ y ′ ‖ ≤ ‖ T ′ y ′ ‖ {\displaystyle \delta \left\|y'\right\|\leq \left\|T'y'\right\|} for all y ′ ∈ Y ′ {\displaystyle y'\in Y'} = continuous dual of Y {\displaystyle Y} ;
- δ B Y ⊂ T ( B X ) ¯ {\displaystyle \delta B_{Y}\subset {\overline {T\left(B_{X}\right)}}} ;
- δ B Y ⊂ T ( B X ) {\displaystyle \delta B_{Y}\subset {T\left(B_{X}\right)}} ;
- T {\displaystyle T} is surjective.
Furthermore, if T {\displaystyle T} is surjective then (1) holds for some δ > 0. {\displaystyle \delta >0.}
Proof: The idea of 1. ⇒ {\displaystyle \Rightarrow } 2. is to show: y ∉ T ( B X ) ¯ ⇒ ‖ y ‖ > δ , {\displaystyle y\notin {\overline {T(B_{X})}}\Rightarrow \|y\|>\delta ,} and that follows from the Hahn–Banach theorem. 2. ⇒ {\displaystyle \Rightarrow } 3. is exactly the second lemma in § Statement and proof. Finally, 3. ⇒ {\displaystyle \Rightarrow } 4. is trivial and 4. ⇒ {\displaystyle \Rightarrow } 1. easily follows from the open mapping theorem. ◻ {\displaystyle \square }
Alternatively, 1. implies that T ′ {\displaystyle T'} is injective and has closed image and then by the closed range theorem, that implies T {\displaystyle T} has dense image and closed image, respectively; i.e., T {\displaystyle T} is surjective. Hence, the above result is a variant of a special case of the closed range theorem.
Quantative formulation
Terence Tao gives the following quantitative formulation of the theorem:10
Theorem—Let T : E → F {\displaystyle T:E\to F} be a bounded operator between Banach spaces. Then the following are equivalent:
- T {\displaystyle T} is open.
- T {\displaystyle T} is surjective.
- There exists a constant C > 0 {\displaystyle C>0} such that, for each f {\displaystyle f} in F {\displaystyle F} , the equation T u = f {\displaystyle Tu=f} has a solution u {\displaystyle u} with ‖ u ‖ ≤ C ‖ f ‖ {\displaystyle \|u\|\leq C\|f\|} .
- 3. holds for f {\displaystyle f} in some dense subspace of F {\displaystyle F} .
Proof: 2. ⇒ {\displaystyle \Rightarrow } 1. is the usual open mapping theorem.
1. ⇒ {\displaystyle \Rightarrow } 4.: For some r > 0 {\displaystyle r>0} , we have B ( 0 , 2 ) ⊂ T ( B ( 0 , r ) ) {\displaystyle B(0,2)\subset T(B(0,r))} where B {\displaystyle B} means an open ball. Then f ‖ f ‖ = T ( u ‖ f ‖ ) {\displaystyle {\frac {f}{\|f\|}}=T\left({\frac {u}{\|f\|}}\right)} for some u ‖ f ‖ {\displaystyle {\frac {u}{\|f\|}}} in B ( 0 , r ) {\displaystyle B(0,r)} . That is, T u = f {\displaystyle Tu=f} with ‖ u ‖ < r ‖ f ‖ {\displaystyle \|u\|<r\|f\|} .
4. ⇒ {\displaystyle \Rightarrow } 3.: We can write f = ∑ 0 ∞ f j {\displaystyle f=\sum _{0}^{\infty }f_{j}} with f j {\displaystyle f_{j}} in the dense subspace and the sum converging in norm. Then, since E {\displaystyle E} is complete, u = ∑ 0 ∞ u j {\displaystyle u=\sum _{0}^{\infty }u_{j}} with ‖ u j ‖ ≤ C ‖ f j ‖ {\displaystyle \|u_{j}\|\leq C\|f_{j}\|} and T u j = f j {\displaystyle Tu_{j}=f_{j}} is a required solution. Finally, 3. ⇒ {\displaystyle \Rightarrow } 2. is trivial. ◻ {\displaystyle \square }
Counterexample
The open mapping theorem may not hold for normed spaces that are not complete. A quickest way to see this is to note that the closed graph theorem, a consequence of the open mapping theorem, fails without completeness. But here is a more concrete counterexample. Consider the space X of sequences x : N → R with only finitely many non-zero terms equipped with the supremum norm. The map T : X → X defined by
T x = ( x 1 , x 2 2 , x 3 3 , … ) {\displaystyle Tx=\left(x_{1},{\frac {x_{2}}{2}},{\frac {x_{3}}{3}},\dots \right)}is bounded, linear and invertible, but T−1 is unbounded. This does not contradict the bounded inverse theorem since X is not complete, and thus is not a Banach space. To see that it's not complete, consider the sequence of sequences x(n) ∈ X given by
x ( n ) = ( 1 , 1 2 , … , 1 n , 0 , 0 , … ) {\displaystyle x^{(n)}=\left(1,{\frac {1}{2}},\dots ,{\frac {1}{n}},0,0,\dots \right)}converges as n → ∞ to the sequence x(∞) given by
x ( ∞ ) = ( 1 , 1 2 , … , 1 n , … ) , {\displaystyle x^{(\infty )}=\left(1,{\frac {1}{2}},\dots ,{\frac {1}{n}},\dots \right),}which has all its terms non-zero, and so does not lie in X.
The completion of X is the space c 0 {\displaystyle c_{0}} of all sequences that converge to zero, which is a (closed) subspace of the ℓp space ℓ∞(N), which is the space of all bounded sequences. However, in this case, the map T is not onto, and thus not a bijection. To see this, one need simply note that the sequence
x = ( 1 , 1 2 , 1 3 , … ) , {\displaystyle x=\left(1,{\frac {1}{2}},{\frac {1}{3}},\dots \right),}is an element of c 0 {\displaystyle c_{0}} , but is not in the range of T : c 0 → c 0 {\displaystyle T:c_{0}\to c_{0}} . Same reasoning applies to show T {\displaystyle T} is also not onto in l ∞ {\displaystyle l^{\infty }} , for example x = ( 1 , 1 , 1 , … ) {\displaystyle x=\left(1,1,1,\dots \right)} is not in the range of T {\displaystyle T} .
Consequences
The open mapping theorem has several important consequences:
- If T : X → Y {\displaystyle T:X\to Y} is a bijective continuous linear operator between the Banach spaces X {\displaystyle X} and Y , {\displaystyle Y,} then the inverse operator T − 1 : Y → X {\displaystyle T^{-1}:Y\to X} is continuous as well (this is called the bounded inverse theorem).11
- If T : X → Y {\displaystyle T:X\to Y} is a linear operator between the Banach spaces X {\displaystyle X} and Y , {\displaystyle Y,} and if for every sequence ( x n ) {\displaystyle \left(x_{n}\right)} in X {\displaystyle X} with x n → 0 {\displaystyle x_{n}\to 0} and T x n → y {\displaystyle Tx_{n}\to y} it follows that y = 0 , {\displaystyle y=0,} then T {\displaystyle T} is continuous (the closed graph theorem).12
- Given a bounded operator T : E → F {\displaystyle T:E\to F} between normed spaces, if the image of T {\displaystyle T} is non-meager and if E {\displaystyle E} is complete, then T {\displaystyle T} is open and surjective and F {\displaystyle F} is complete (to see this, use the two lemmas in the proof of the theorem).13
- An exact sequence of Banach spaces (or more generally Fréchet spaces) is topologically exact.
- The closed range theorem, which says an operator (under some assumption) has closed image if and only if its transpose has closed image (see closed range theorem#Sketch of proof).
The open mapping theorem does not imply that a continuous surjective linear operator admits a continuous linear section. What we have is:14
- A surjective continuous linear operator between Banach spaces admits a continuous linear section if and only if the kernel is topologically complemented.
In particular, the above applies to an operator between Hilbert spaces or an operator with finite-dimensional kernel (by the Hahn–Banach theorem). If one drops the requirement that a section be linear, a surjective continuous linear operator between Banach spaces admits a continuous section; this is the Bartle–Graves theorem.1516
Generalizations
Local convexity of X {\displaystyle X} or Y {\displaystyle Y} is not essential to the proof, but completeness is: the theorem remains true in the case when X {\displaystyle X} and Y {\displaystyle Y} are F-spaces. Furthermore, the theorem can be combined with the Baire category theorem in the following manner:
Open mapping theorem for continuous maps1718—Let A : X → Y {\displaystyle A:X\to Y} be a continuous linear operator from a complete pseudometrizable TVS X {\displaystyle X} onto a Hausdorff TVS Y . {\displaystyle Y.} If Im A {\displaystyle \operatorname {Im} A} is nonmeager in Y {\displaystyle Y} then A : X → Y {\displaystyle A:X\to Y} is a (surjective) open map and Y {\displaystyle Y} is a complete pseudometrizable TVS. Moreover, if X {\displaystyle X} is assumed to be hausdorff (i.e. a F-space), then Y {\displaystyle Y} is also an F-space.
(The proof is essentially the same as the Banach or Fréchet cases; we modify the proof slightly to avoid the use of convexity,)
Furthermore, in this latter case if N {\displaystyle N} is the kernel of A , {\displaystyle A,} then there is a canonical factorization of A {\displaystyle A} in the form X → X / N → α Y {\displaystyle X\to X/N{\overset {\alpha }{\to }}Y} where X / N {\displaystyle X/N} is the quotient space (also an F-space) of X {\displaystyle X} by the closed subspace N . {\displaystyle N.} The quotient mapping X → X / N {\displaystyle X\to X/N} is open, and the mapping α {\displaystyle \alpha } is an isomorphism of topological vector spaces.19
An important special case of this theorem can also be stated as
Theorem20—Let X {\displaystyle X} and Y {\displaystyle Y} be two F-spaces. Then every continuous linear map of X {\displaystyle X} onto Y {\displaystyle Y} is a TVS homomorphism, where a linear map u : X → Y {\displaystyle u:X\to Y} is a topological vector space (TVS) homomorphism if the induced map u ^ : X / ker ( u ) → Y {\displaystyle {\hat {u}}:X/\ker(u)\to Y} is a TVS-isomorphism onto its image.
On the other hand, a more general formulation, which implies the first, can be given:
Open mapping theorem21—Let A : X → Y {\displaystyle A:X\to Y} be a surjective linear map from a complete pseudometrizable TVS X {\displaystyle X} onto a TVS Y {\displaystyle Y} and suppose that at least one of the following two conditions is satisfied:
- Y {\displaystyle Y} is a Baire space, or
- X {\displaystyle X} is locally convex and Y {\displaystyle Y} is a barrelled space,
If A {\displaystyle A} is a closed linear operator then A {\displaystyle A} is an open mapping. If A {\displaystyle A} is a continuous linear operator and Y {\displaystyle Y} is Hausdorff then A {\displaystyle A} is (a closed linear operator and thus also) an open mapping.
Nearly/Almost open linear maps
A linear map A : X → Y {\displaystyle A:X\to Y} between two topological vector spaces (TVSs) is called a nearly open map (or sometimes, an almost open map) if for every neighborhood U {\displaystyle U} of the origin in the domain, the closure of its image cl A ( U ) {\displaystyle \operatorname {cl} A(U)} is a neighborhood of the origin in Y . {\displaystyle Y.} 22 Many authors use a different definition of "nearly/almost open map" that requires that the closure of A ( U ) {\displaystyle A(U)} be a neighborhood of the origin in A ( X ) {\displaystyle A(X)} rather than in Y , {\displaystyle Y,} 23 but for surjective maps these definitions are equivalent. A bijective linear map is nearly open if and only if its inverse is continuous.24 Every surjective linear map from locally convex TVS onto a barrelled TVS is nearly open.25 The same is true of every surjective linear map from a TVS onto a Baire TVS.26
Open mapping theorem27—If a closed surjective linear map from a complete pseudometrizable TVS onto a Hausdorff TVS is nearly open then it is open.
Theorem28—If A : X → Y {\displaystyle A:X\to Y} is a continuous linear bijection from a complete Pseudometrizable topological vector space (TVS) onto a Hausdorff TVS that is a Baire space, then A : X → Y {\displaystyle A:X\to Y} is a homeomorphism (and thus an isomorphism of TVSs).
Webbed spaces are a class of topological vector spaces for which the open mapping theorem and the closed graph theorem hold.
See also
- Closed graph – Graph of a map closed in the product spacePages displaying short descriptions of redirect targets
- Closed graph theorem – Theorem relating continuity to graphs
- Closed graph theorem (functional analysis) – Theorems connecting continuity to closure of graphs
- Open mapping theorem (complex analysis) – Theorem that holomorphic functions on complex domains are open mapsPages displaying wikidata descriptions as a fallback
- Surjection of Fréchet spaces – Characterization of surjectivity
- Ursescu theorem – Generalization of closed graph, open mapping, and uniform boundedness theorem
- Webbed space – Space where open mapping and closed graph theorems hold
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This article incorporates material from Proof of open mapping theorem on PlanetMath, which is licensed under the Creative Commons Attribution/Share-Alike License.
Further reading
- "When is a complex of Banach spaces exact as condensed abelian groups?". MathOverflow. February 6, 2021.
References
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Trèves 2006, p. 170 - Trèves, François (2006) [1967]. Topological Vector Spaces, Distributions and Kernels. Mineola, N.Y.: Dover Publications. ISBN 978-0-486-45352-1. OCLC 853623322. https://search.worldcat.org/oclc/853623322 ↩
Narici & Beckenstein 2011, p. 468. - Narici, Lawrence; Beckenstein, Edward (2011). Topological Vector Spaces. Pure and applied mathematics (Second ed.). Boca Raton, FL: CRC Press. ISBN 978-1584888666. OCLC 144216834. https://search.worldcat.org/oclc/144216834 ↩
Narici & Beckenstein 2011, pp. 466. - Narici, Lawrence; Beckenstein, Edward (2011). Topological Vector Spaces. Pure and applied mathematics (Second ed.). Boca Raton, FL: CRC Press. ISBN 978-1584888666. OCLC 144216834. https://search.worldcat.org/oclc/144216834 ↩
Narici & Beckenstein 2011, pp. 466. - Narici, Lawrence; Beckenstein, Edward (2011). Topological Vector Spaces. Pure and applied mathematics (Second ed.). Boca Raton, FL: CRC Press. ISBN 978-1584888666. OCLC 144216834. https://search.worldcat.org/oclc/144216834 ↩
Narici & Beckenstein 2011, pp. 466. - Narici, Lawrence; Beckenstein, Edward (2011). Topological Vector Spaces. Pure and applied mathematics (Second ed.). Boca Raton, FL: CRC Press. ISBN 978-1584888666. OCLC 144216834. https://search.worldcat.org/oclc/144216834 ↩
Narici & Beckenstein 2011, pp. 467. - Narici, Lawrence; Beckenstein, Edward (2011). Topological Vector Spaces. Pure and applied mathematics (Second ed.). Boca Raton, FL: CRC Press. ISBN 978-1584888666. OCLC 144216834. https://search.worldcat.org/oclc/144216834 ↩
Narici & Beckenstein 2011, pp. 467. - Narici, Lawrence; Beckenstein, Edward (2011). Topological Vector Spaces. Pure and applied mathematics (Second ed.). Boca Raton, FL: CRC Press. ISBN 978-1584888666. OCLC 144216834. https://search.worldcat.org/oclc/144216834 ↩
Narici & Beckenstein 2011, pp. 466−468. - Narici, Lawrence; Beckenstein, Edward (2011). Topological Vector Spaces. Pure and applied mathematics (Second ed.). Boca Raton, FL: CRC Press. ISBN 978-1584888666. OCLC 144216834. https://search.worldcat.org/oclc/144216834 ↩
Narici & Beckenstein 2011, p. 469. - Narici, Lawrence; Beckenstein, Edward (2011). Topological Vector Spaces. Pure and applied mathematics (Second ed.). Boca Raton, FL: CRC Press. ISBN 978-1584888666. OCLC 144216834. https://search.worldcat.org/oclc/144216834 ↩