Open mapping theorem (functional analysis)

Open mapping theorem (functional analysis)

In functional analysis, the open mapping theorem, also known as the BanachSchauder theorem (named after Stefan Banach and Juliusz Schauder), is a fundamental result which states that if a continuous linear operator between Banach spaces is surjective then it is an open map. More precisely, (Rudin 1973, Theorem 2.11): If X and Y are Banach spaces and A : X Y is a surjective continuous linear operator, then A is an open map (i.e. if U is an open set in X, then A(U) is open in Y). The proof uses the Baire category theorem, and completeness of both X and Y is essential to the theorem. The statement of the theorem is no longer true if either space is just assumed to be a normed space, but is true if X and Y are taken to be Frchet spaces.

Consequences
The open mapping theorem has several important consequences: If A : X Y is a bijective continuous linear operator between the Banach spaces X and Y, then the inverse operator A1 : Y X is continuous as well (this is called the bounded inverse theorem). (Rudin 1973, Corollary 2.12) If A : X Y is a linear operator between the Banach spaces X and Y, and if for every sequence (xn) in X with xn 0 and Axn y it follows that y = 0, then A is continuous (Closed graph theorem). (Rudin 1973, Theorem 2.15)

Proof
One has to prove that if A : X Y is a continuous linear surjective map between Banach spaces, then A is an open map. It suffices to show that A maps the open unit ball in X to a neighborhood of the origin ofY. Let U, V be the open unit balls in X, Y respectively. Then X is the union of the sequence of multiples k U of the unit ball, k N, and since A is surjective,

By the Baire category theorem, the Banach space Y cannot be the union of countably many nowhere dense sets, so there is k > 0 such that the closure of A(kU) has non-empty interior. Thus, there is an open ball B(c,r) in Y, with center c and radius r > 0, contained in the closure of A(kU). If v V, then c + r v and c are in B(c,r), hence are limit points of A(k U). By continuity of addition, their difference rv is a limit point of A(k U) A(k U) A(2k U). By linearity of A, this implies that any v V is in the closure of A( 1 U), where = r / (2k). It follows that for any y Y and any > 0, there is an x X with: and Fix y V (where V means the ball V stretched by a factor of , rather than the boundary of V). By (1), there is some x 1 with ||x 1||< 1 and ||y A x 1||< / 2. Define a sequence {xn} inductively as follows. Assume: and by (1) we can pick x n +1 so that: and so (2) is satisfied for x n +1. Let From the first inequality in (2), {sn} is a Cauchy sequence, and since X is complete, sn converges to some x X. By (2), the sequence A sn tends to y, and so A x = y by continuity of A. Also,

Open mapping theorem (functional analysis)

This shows that every y V belongs to A(2 U), or equivalently, that the image A(U) of the unit ball in X contains the open ball ( / 2) V in Y. Hence, A(U) is a neighborhood of 0 in Y, and this concludes the proof.

Generalizations
Local convexity of X or Y is not essential to the proof, but completeness is: the theorem remains true in the case when X and Y are F-spaces. Furthermore, the theorem can be combined with the Baire category theorem in the following manner (Rudin, Theorem 2.11): Let X be a F-space and Y a topological vector space. If A : X Y is a continuous linear operator, then either A(X) is a meager set inY, or A(X)= Y. In the latter case, A is an open mapping and Y is also an F-space. Furthermore, in this latter case if N is the kernel of A, then there is a canonical factorization of A in the form

where X/ N is the quotient space (also an F-space) of X by the closed subspace N. The quotient mapping X X/ N is open, and the mapping is an isomorphism of topological vector spaces (Dieudonn, 12.16.8).

References
Rudin, Walter (1973), Functional Analysis, McGraw-Hill, ISBN0-07-054236-8 Dieudonn, Jean (1970), Treatise on Analysis, Volume II, Academic Press This article incorporates material from Proof of open mapping theorem on PlanetMath, which is licensed under the Creative Commons Attribution/Share-Alike License.

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