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Week 4 Compactness

Version 2024/11/02 Week 4 in PDF All notes in PDF To other weeks

Reminder: an open cover of a topological space \(X\) is a collection \(\mathscr C\) of subsets of \(X\) where, for each \(U\in \mathscr C,\) \(U\) is an open subset of \(X,\) and \(\bigcup \mathscr C = X.\)

Definition: subcover of an open cover.

A subcover of an open cover \(\mathscr C\) of \(X\) is a subcollection of \(\mathscr C\) which is still an open cover of \(X.\)

The following is one of the key notions of the course.

Definition: compact.

A topological space \(X\) is compact if every open cover of \(X\) has a finite subcover.

Compactness is a very powerful property, but it may require an effort to show directly that \(X\) is compact, beyond simple examples. Let us start with a non-example:

Example: a non-compact topological space.

Show that the Euclidean line \(\RR \) is not compact.

Solution: consider the collection

\[ \mathscr C = \{ B_r(0): r>0\} \]

which consists of all open intervals \((-r,r)\) with \(r\) positive. These intervals are open, and their the union contains all points of \(\RR ;\) that is, \(\mathscr C\) is an open cover of \(\RR .\)

Yet \(\mathscr C\) has no finite subcover: any finite subcollection \(\{B_{r_1}(0),\dots , B_{r_n}(0)\}\) of \(\mathscr C\) has union equal to \(B_R(0)\) where \(R=\max (r_1,\dots ,r_n),\) and this is not the whole of \(\RR .\)

Thus, there is an open cover of \(\RR \) which has no finite subcover, so \(\RR \) is not compact.

At the moment, we can only give a very easy example of a compact space:

Example: a finite space is compact.

Let \(X\) be a finite set. Show that any topology on \(X\) is compact.

Solution: exercise.

Terminology.

We say “a compact” to refer to a compact topological space.

We say “\(K\) is a compact set in \(X\)” or “a compact subset of \(X\)” to mean that \(K\) is a subset of a topological space \(X\) such that \(K,\) viewed with the subspace topology, is compact.

We will often deal with compact sets contained inside some topological space, and the following technical lemma will simplify proofs.

Lemma 4.1: criterion of compactness for a subset.

Let \(K\) be a subset of a topological space \(X.\) The following are equivalent:

  • 1. \(K\) is a compact subset of \(X.\)

  • 2. Any collection \(\mathscr F\) of open sets in \(X,\) which covers \(K\) (that is, \(K\subseteq \bigcup \mathscr F\)), has a finite subcollection which still covers \(K.\)

  • Proof (not given in class). 1. \(\Rightarrow \) 2.: suppose the subspace topology on \(K\) is compact, and let \(\mathscr F\) be a collection of open subsets of \(X\) such that \(K\subseteq \bigcup \mathscr F.\) The collection \(\mathscr F_K = \{U\cap K: U\in \mathscr F\}\) of subsets of \(K\) is clearly an open cover of \(K.\) By assumption, \(K\) is compact so this open cover must have a finite subcover, say \(\{U_1\cap K,\dots ,U_n\cap K\}.\) Then \(\{U_1,\dots ,U_n\}\) is a finite subcollection of \(\mathscr F\) which still covers \(K.\)

    2. \(\Rightarrow \) 1.: to show that \(K\) is compact, we let \(\mathscr C\) be an open cover of \(K.\) By definition of subspace topology, \(\mathscr C\) is of the form \(\{U_\alpha \cap K: \alpha \in I\}\) where \(U_\alpha \) are open in \(X.\) Clearly, for \(\mathscr C\) to cover \(K,\) one must have \(K\subseteq \bigcup _{\alpha \in I} U_\alpha .\)

    By condition 2., the collection \(\{U_\alpha :\alpha \in I\}\) has a finite subcollection, say \(U_{\alpha _1},\dots ,U_{\alpha _n},\) which still covers \(K.\) Hence \(\mathscr C\) has finite subcover \(U_{\alpha _1}\cap K,\dots ,U_{\alpha _n}\cap K,\) verifying the definition of “compact” for \(K.\)

The next result shows that compactness is not only a topological property but can help solve Main Problem 2, mentioned earlier.

Theorem 4.2: a continuous image of a compact is compact.

If \(X\) is a compact topological space and \(f\colon X \to Y\) is continuous, then \(f(X)\) is a compact set in \(Y.\)

  • Proof. We will use Criterion 4.1 of compactness for a subset to show that \(f(X)\) is a compact set. Suppose a collection \(\mathscr G\) of open sets in \(Y\) covers \(f(X):\) that is, \(f(X) \subseteq \bigcup \mathscr G.\)

    Consider the collection \(\mathscr C = \{f^{-1}(V): V \in \mathscr G\}\) of subsets of \(X.\) We claim that \(\mathscr C\) is an open cover of \(X.\) If \(V\) is open in \(Y,\) “\(f\) is continuous” means that \(f^{-1}(V)\) is open in \(X,\) so all members of \(\mathscr C\) are open in \(X.\) Also,

    \[ X = f^{-1}(f(X)) \subseteq f^{-1}\Bigl (\bigcup \mathscr G\Bigr ) = \bigcup \{ f^{-1}(V): V\in \mathscr G\} \]

    which shows that \(\mathscr C\) covers \(X.\)

    Since \(X\) is compact, \(\mathscr C\) has finite subcover, say \(f^{-1}(V_1),\dots ,f^{-1}(V_n).\) Then \(V_1,\dots ,V_n\) is a finite subcollection of \(\mathscr G\) which covers \(f(X).\) We have verified Criterion 4.1, hence \(f(X)\) is a compact set in \(Y.\)

Corollary.

Compactness is a topological property.

  • Proof. If \(X\) is compact and \(X\xrightarrow [f]{\sim } Y,\) then \(f\) is continuous, so \(f(X)\) must be compact by Theorem 4.2. Yet \(f(X)=Y\) because \(f,\) being a homeomorphism, is surjective.

If we found a compact space \(X,\) the next result allows us to construct new compact spaces.

Proposition 4.3.

A closed subset of a compact is compact.

Figure 4.1: if the sets \(U_1,\dots ,U_n,X\setminus F\) cover \(X,\) then the sets \(U_1,\dots ,U_n\) cover \(F\)

  • Proof. Let \(X\) be a compact topological space and let \(F\) be a closed subset of \(X.\) We want to use Criterion 4.1, so we let \(F\) be covered by a family \(\mathscr C\) of open subsets of \(X.\) Then

    \[ \mathscr C \cup \{X\setminus F\} \]

    is an open cover for the whole of \(X.\)

    Since \(X\) is compact, \(\mathscr C \cup \{X\setminus F\}\) has a finite subcover of \(X.\) This finite subcover of \(X\) can be \(U_1,\dots ,U_n\) or \(U_1,\dots ,U_n, X\setminus F.\) In either case, the sets \(U_1,\dots ,U_n\) form a finite subcollection of \(\mathscr C\) which must cover \(F.\) (This last step is illustrated by Figure 4.1.)

The above is as much as we can say about compact spaces without assuming additional topological properties besides compactness. We will now see that compactness works very well together with the Hausdorff property:

Proposition 4.4.

In a Hausdorff space, a compact set is closed.

  • Proof. Let \(X\) be a Hausdorff topological space and let \(K\) be a compact subset of \(X.\) Letting \(z\) be any point of \(X\setminus K,\) it is enough to prove:

    (†)  \(z\in X\setminus K\)  \(\Rightarrow \)  \(\exists \) open \(V(z):\) \(z\in V(z)\) and \(V(z)\subseteq X\setminus K.\)

    Indeed, if (†) holds then, in the same way as in the proof of Proposition 3.4 \(X\setminus K = \bigcup _{z\in X\setminus K} V(z)\) is an open set, so \(K\) is closed.

    For each \(x\in K,\) the Hausdorff property gives us open neighbourhoods

    \[ U(x) \ni x, \quad V_x(z)\ni z: \quad U(x)\cap V_x(z)=\emptyset . \]

    The open sets \(\{U(x): x\in K\}\) cover \(K,\) so by Criterion 4.1 there is a finite subcollection \(U(x_1),\dots ,U(x_n)\) which still covers \(K.\) Put

    \[ V(z) = V_{x_1}(z) \cap \dots \cap V_{x_n}(z). \]

    (The construction of the open neighbourhood \(V(z)\) is illustrated by Figure 4.2.)

    (a rectangle X with an irregular shape K inside it, three points on K covered by dashed ellipses, a point z outside K covered by an intersection of siilar dahsed ellipses)

    Figure 4.2: the construction of the open neighbourhood \(V(z)\) which does not intersect \(K\)

    As a finite intersection of open sets, \(V(z)\) is open. Moreover, by construction \(V(z) \cap U_{x_i}(z) \subseteq V_{x_i}(z) \cap U_{x_i}(z) = \emptyset \) and so

    \[ V(z) \cap (U(x_1)\cup \dots \cup U(x_n)) = \bigcup _{i=1}^n V(z) \cap U(x_i) = \emptyset . \]

    Since \(K\) is contained in the union \(U(x_1)\cup \dots \cup U(x_n),\) it follows that \(V(z)\) does not intersect \(K.\) We have therefore proved (†) and the Proposition.

We arrive at a result which generalises important results from real analysis known as inverse function theorems.

Theorem 4.5: the Topological Inverse Function Theorem, \(\mathscr T\)IFT.

If \(K\) is a compact space, \(Y\) is a Hausdorff space and \(f\colon K \to Y\) is a continuous bijection, then \(f\) is a homeomorphism.

  • Proof. \(f\) is already assumed to be bijective and continuous, hence to show that \(f\) is a homeomorphism, we need to prove that the inverse function \(f^{-1}\colon Y \to K\) is continuous. We will use the closed set criterion of continuity, Proposition 2.5. Let \(F\subset K\) be closed in \(K.\) The \(f^{-1}\)-preimage of \(F\) is \((f^{-1})^{-1}(F)=f(F):\)

    • a closed subset of a compact is compact (Proposition 4.3) so \(F\) is compact,

    • a continuous image of a compact is compact (Theorem 4.2), so \(f(F)\) is compact,

    • a compact subset of the Hausdorff space \(Y\) is closed (Proposition 4.4), so \(f(F)\) is closed in \(Y.\)

    We have shown that the function \(f^{-1}\) is such that the preimage of a closed set is closed. Hence, by the closed set criterion of continuity, \(f^{-1}\) is continuous.

References for the week 4 notes

[Sutherland] gives detailed definitions of cover, subcover and open cover in [Sutherland, Definitions 13.3-13.5] and then defines a compact subset of \(X\) straight away in [Sutherland, Definition 13.6], without defining a compact space first. In this way, [Sutherland] avoids the Criterion of Compactness for a subset 4.1 altogether — the Criterion becomes the definition of compactness!

Our Theorem 4.2, a continuous image of a compact is compact, is [Sutherland, Proposition 13.15].

The key idea behind Figure 4.1 is by OpenAI ChatGPT (prompt: generate a diagram to illustrate the proof that a closed subset of a compact is compact). YB changed the shapes of sets to make the diagram less cluttered.

Proposition 4.3, a closed subset of a compact is compact is [Sutherland, Proposition 13.20]. Proposition 4.4, a compact is closed in Hausdorff, is [Sutherland, Proposition 13.12]. Theorem 4.5, the topological inverse function theorem, is [Sutherland, Proposition 13.26].

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