Lecture notes on Topology and Geometry

Hu`ynh Quang Vu
F M I, U N S,
V N U, 227 N V C, D 5, H C M C,
V
E-mail address: hqvu@hcmuns.edu.vn
URL: http://www.math.hcmuns.edu.vn/hqvu

A. This is a set of lecture notes prepared for a series of introductory

courses in Topology and Geometry for undergraduate students at the University
of Natural Sciences, Vietnam National University in Ho Chi Minh City.
This is indeed a lecture notes in the sense that it is written to be delivered
by a lecturer, namely myself, tailored to the need of my own students. I did not
write it with self-study readers or with other lecturers in mind.
Most statements are intended to be exercises. I provide proofs for some
of the more difficult propositions, but even then there are still many details for
students to fill in. More discussions will be carried out in class. I hope in this
way I will be able to keep this lecture note shorter and more readable.
In general if you encounter an unfamiliar notion, look at the Index and the
Contents. A problem with a sign * is considered more difficult. A problem with
a sign is an important one.
This lecture notes will be continuously developed and I intend to keep it
freely available on my web page. Although at this moment it is only a draft I do
hope that it is useful to the readers. Your comments are very welcomed.
May 14, 2005 September 23, 2008.

Contents
Part 1. General Topology

Chapter 1. Theory of Infinite Sets

1.1. The Cardinality of a Set
1.2. The Axiom of Choice
Guide for Further Reading in General Topology

3
3
8
10

Chapter 2. Topological Spaces

2.1. Topological Spaces
2.2. Continuity
2.3. Subspaces

11
11
15
18

Chapter 3. Connectivity
3.1. Connected Space
3.2. Path-connected Spaces
Further Reading

21
21
25
28

Chapter 4. Separation Axioms

4.1. Separation Axioms

29
29

Chapter 5. Nets
5.1. Nets

31
31

Chapter 6. Compact Spaces

6.1. Compact Spaces

35
35

Chapter 7. Product Spaces

7.1. Product Spaces
7.2. Tikhonov Theorem
Further Reading

39
39
42
44

Chapter 8. Compactifications
8.1. Alexandroff Compactification
8.2. Stone-Cech Compactification

45
45
47

Chapter 9. Urysohn Lemma and Tiestze Theorem

9.1. Urysohn Lemma and Tiestze Theorem
Further Reading

49
49
53

Chapter 10. Quotient Spaces

10.1. Quotient Spaces

55
55

Chapter 11. Topological Manifolds

11.1. Topological Manifolds
Further Reading

61
61
63
iii

iv

CONTENTS

Part 2. Algebraic Topology

65

Chapter 12. Homotopy and the fundamental groups

12.1. Homotopy and the fundamental groups

67
67

Chapter 13. Classification of Surfaces

13.1. Introduction to Surfaces
13.2. Classification Theorem
13.3. Proof of the Classification Theorem

69
69
70
71

Part 3. Differential Topology

75

Chapter 14. Differentiable manifolds

14.1. Smooth manifolds
14.2. Tangent spaces Derivatives

77
77
80

Chapter 15. Regular Values

15.1. Regular Values
15.2. Manifolds with Boundary

83
83
87

Chapter 16. The Brouwer Fixed Point Theorem

16.1. The Brouwer Fixed Point Theorem

91
91

Chapter 17. Oriented Manifolds The Brouwer degree

17.1. Orientation
17.2. Brouwer Degree
17.3. Vector Fields
Further Reading

93
93
94
98
99

Part 4. Differential Geometry

Guide for Reading

101
102

Chapter 18. Regular Surfaces

18.1. Regular Surfaces
18.2. The First Fundamental Form
18.3. Orientable Surfaces
18.4. The Gauss Map

103
103
105
106
107

Bibliography

109

Index

111

Part 1

General Topology

CHAPTER 1

Theory of Infinite Sets

In general topology we often work in very general settings, in particular we
often deal with very large sets. Therefore we start with a deeper study of set
theory.
1.1. The Cardinality of a Set
Sets. We will not define what a set is. That means we only work on the level of

the so-called naive set theory.

Even so here we should be aware of certain problems in naive set theory. These
problems are both educational and fascinating.
Till the beginning of the 20th century, the set theory of German mathematician George Cantor, in which set is not defined, was widely used and thought to
be a good basis for mathematics. Then certain critical problems were discovered
relating to the liberal uses of the undefined notion of set.
1.1.1. E (Russells Paradox). A famous version of it is the Barber para-

dox. It is as follows: In a village there is a barber. His job is to do hair cut to

all villagers who cannot cut his hair himself. The question is who would cut the
barbers hair? If he cut his hair, then he would have cut the hair of somebody who
could do that himself, thus violating the terms of his job. On the other hand, if he
does not cut this hair he also violates those terms, because he did not cut the hair of
someone who could not do it himself. This means if we take the set of all villagers
who had his hair cut by the barber then we cant decide whether the barber himself
is a member of that set or not.
1.1.2. E. Consider the set S = {x/x < x} (the set of all sets which are not a

member of itself). Then whether S S or not is undecidable.

These examples show that we are having too much liberty with the notion of
set. Deeper study of the notion of set is needed. There are two axiomatic systems for the theory of sets, the Zermelo-Fraenkel system and the Von NeumannBernays-Godel one. In the Von Neumann-Bernays-Godel system a more general
notion than set, called class, is used.
For our purpose it is enough for us to be a bit careful when dealing with large
sets, set of sets. In those occations we often replace the term set by the terms
class or collection. See [Dug66, p. 32].
Indexed family. Suppose that A is a collection, I is a set and f : I A is a

surjective map. The collection A together with the map f is called an indexed
family. We often write fi = f (i), and denote the indexed family by { fi / i I}. Note
that it can happen that fi = f j for some i , j.
Thus a family is not a collection, an indexed set is not a set.
On the other hand a collection can be associated with an indexed family by
taking the index set to be the collection itself and the index map to be the identity.
3

1. THEORY OF INFINITE SETS

Often it is convenient to write a collection of sets as an indexed family of sets,

so we often say let {S i / i I} be a collection of sets . . . .
Cartesian product. Let {Ai }iI be a family of sets indexed by a set I. The Carte-

Q
sian product iI Ai of this family is defined to be the collection of all maps
S
f : I iI Ai such that for each i I we have f (i) Ai . An element of
Q
iI Ai is often denoted by (ai )iI , with ai Ai is the coordinate of index i, in
analog to the finite product case.
Equivalent sets. Two sets are said to be equivalent if there is a bijection from

one to the other. When A and B are equivalent we write A B.

1.1.3. Two intervals [a, b] and [c, d] on the real number line are equivalent via a

linear map. Two intervals (a, b) and (c, d) are equivalent.

1.1.4. The interval (1, 1) is equivalent to R via the map

x 7

1
x.
1 |x|

1.1.5. The ball B(0, 1) = {(x1 , x2 , . . . , xn ) Rn / x12 + x22 + + xn2 < 1} is equivalent

to Rn .

1.1.6. Define the sphere S n to be the set

2
{(x1 , x2 , . . . , xn+1 ) Rn+1 / x12 + x22 + + xn+1
= 1}.

Then S n \ {(0, 0, . . . , 0, 1)} is equivalent to Rn via the stereographic projection.

Countable sets.
1.1.7. D. A set is called countably infinite if it is equivalent to the set of

positive integers. A set is called countable if it is either finite or countably infinite.

A countably infinite set can be enumerated by the positive integers. The
elements of such a set can be indexed by the positive integers as a1 , a2 , a3 , . . . .
1.1.8. E. The set of intergers Z is countable. The set of even integers is

countable.
1.1.9. A union between a countable set and a finite set is countable.
1.1.10. A subset of a countable set is countable.
1.1.11. T. A union of a countable collection of countable sets is a countable

set
P. The collection can be indexed as A1 , A2 , . . . , Ai , . . . (if the collection is
finite we can let Ai be the same set for all i starting from a certain number). The
elements of each set Ai can be indexed as ai,1 , ai,2 , . . . , ai, j , . . . .
S
This means the union iI Ai can be mapped injectively to the index set Z+ Z+
by ai, j 7 (i, j).
Thus it is sufficient for us to prove that Z+ Z+ is countable.
We can index Z+ Z+ by the method shown in the following diagram:

1.1. THE CARDINALITY OF A SET

/ (1, 4)
/ (1, 2)
(1, 3)
;
w
w
w
w
w
w
ww
ww
ww
ww
ww
ww
w
w
w
{w
{w
w

(1, 1)

(2, 1)


(2, 2)

w;
ww
w
ww
ww

(3, 1)

(2, 3)

ww
ww
w
w
w{ w

(3, 2)

ww
ww
w
w
w
{w

(4, 1)


(4, 2)

;
ww
ww
w
w
ww

(5, 1)

1.1.12. Theorem 1.1.11 can be reduced to the statement that Z+ Z+ is equivalent

to Z+ .
Give another proof by checking that the map f : Z+ Z+ Z+ , (m, n) 7 2m 3n
is injective.
1.1.13. T. The set Q of rational numbers is countable.

P. Write Q =

S  p
n=1


/
p,
q

Z,
q
>
0,
|p|
+
q
=
n
.
q

Another way is to observe that the map

p
q

7 (p, q) from Q to Z Z is injective.



1.1.14. Q Q Q.

Inquiry minds would have noted that we did not define the set of integers or the
set of real numbers. Such definitions are not easy. We contain ourself that those
sets have some familiar properties.
1.1.15. T. The set of real numbers is uncountable.

P. The proof uses the Cantor diagonal argument.

Suppose that the interval [0, 1] is countable and is enumerated as a sequence
{ai / i Z+ }. Suppose that
a1 = 0.a11 a12 a13 . . .
a2 = 0.a21 a22 a23 . . .
a3 = 0.a31 a32 a33 . . .
..
.
There are rational numbers whose decimal presentations are not unique, such
as 1/2 = 0.5000 . . . = 0.4999 . . . . To cover this case we should choose bn , 0, 9.
Choose a number b = 0.b1 b2 b3 . . . such that b1 , a11 , b2 , a22 , . . . , bn , ann ,
. . . . Then b , an for all n.


1. THEORY OF INFINITE SETS

Cardinality. A genuine definition of cardinality of sets requires an axiomatic treat-

ment of set theory, therefore here we contain ourselves that for each set A there
exists an object called its cardinal |A|, and there is an order on the set of cardinals
such that:
(1) If a set is finite then its cardinal is its number of elements.
(2) Two sets have the same cardinals if and only if they are equivalent:
|A| = |B| (A B)
(3) |A| |B| if and only if there is a injective map from A to B.
The set Z+ has cardinal 0 (read aleph-0, aleph being the first character in
the Hebrew alphabet): |Z+ | = 0 .
The set R has cardinal c (continuum): |R| = c.
1.1.16. An infinite set contains a countably infinite subset.
1.1.17. 0 is the smallest infinite cardinal, and 0 < c.

Georg Cantor put forward the The Continuum Hypothesis: There is no cardinal
between 0 and c. Godel (1939) and Cohen (1964) have shown that the Continuum
Hypothesis is independent from other axioms of set theory.
1.1.18. If A has n elements then |2A | = 2n .
1.1.19. T. The cardinal of a set is strictly less than the cardinal of the set of

its subsets, i.e. |A| < |2A |.

This implies that there is no maximal cardinal. There is no universal set, a
set which contains everything.
P. Let A , and denote by 2A the set of its subsets.
(1) |A| |2A |: The map from A to 2A : a 7 {a} is injective.
(2) |A| , |2A |: Let be any map from A to 2A . Let X = {a A/ a < (a)}.
Then there is no x A such that (x) = X (assuming the contrary there
will be a contradiction), therefore is not surjective.

1.1.20. 2N is equivalent to the set of sequences of binary digits.
1.1.21. T (Cantor-Bernstein-Schroeder). If A is equivalent to a subset

of B and B is equivalent to a subset of A then A and B are equivalent.

(|A| |B| |B| |A|) |A| = |B|
P. Suppose that f : A 7 B and g : B 7 A are injective maps. Let
A1 = g(B), we will show that A A1 .
Let A0 = A and B0 = B. Define Bn+1 = f (An ) and An+1 = g(Bn ). Then An+1
An . Furthermore via the map g f we have An+2 An , and An \ An+1 An+1 \ An+2 .
Using the following identities

\
A = (A \ A1 ) (A1 \ A2 ) (An \ An+1 ) . . . ( An ),
n=1

A1 = (A1 \ A2 ) (A2 \ A3 ) (An \ An+1 ) . . . (

An ),

n=1

we see that A A1 .

1.1. THE CARDINALITY OF A SET

1.1.22. 20 = c.
Hint: That |2N | |[0, 1]| follows from 1.1.20. For the reverse direction, observe that any real
number can be written in binary form (or use the Continuum Hypothesis).

1.1.23. 20 20 = 20 .
Hint: An injective map from 2N 2N to 2N can be constructed as follows. Two binary sequences
a1 a2 . . . and b1 b2 . . . correspond to the sequence a1 b1 a2 b2 . . ..

1.1.24. R2 R, in other words c2 = c.

Hint: Use the results of 1.1.22 and 1.1.23, or prove directly as in 1.1.23.
Note: In fact for all infinite cardinal we have 2 , see [Dug66, p. 52], [Lan93, p. 888].

More problems.
1.1.25. Check that (

iI

S
S
Ai ) ( jJ B j ) = iI, jJ Ai B j .

1.1.26. Which of the following formulas are correct?

S
S
S
(a) ( iI Ai ) ( iI Bi ) = iI (Ai Bi ).
T S
S T
(b) iI ( jJ Ai, j ) = iI ( jJ Ai, j ).
1.1.27. Let f be a function. Then:

(a)
(b)
(c)
(d)

S
S
f ( i Ai ) = i f (Ai ).
T
T
f ( i Ai ) i f (Ai ). If f is injective (one-one) then equality happens.
S
S
f 1 ( i Ai ) = i f 1 (Ai ).
T
T
f 1 ( i Ai ) = i f 1 (Ai ).

1.1.28. Let f be a function. Then:

(a) f ( f 1 (A)) A. If f is surjective (onto) then equality happens.

(b) f 1 ( f (A)) A. If f is injective then equality happens.
1.1.29. A set which contains an uncountable subset is uncountable.
1.1.30. If A is finite and B is inifinite then A B B.
Hint: There is an infinitely countable subset of B.

1.1.31. The set of points in Rn with rational coordinates is countable.

1.1.32. Is the set of functions f : {0, 1} Z countable?
1.1.33. The set of functions f : A {0, 1} is equivalent to 2A .
1.1.34. A real number is called an algebraic number if it is a root of a polynomial

with integer coefficients. Show that the set of algebraic numbers is countable.
1.1.35. A real number which is not algebraic is called transcendental. For example

it is known that and e are transcendental (whereas it is still not known whether
+ e is transcendental or not). Show that the set of transcendental numbers is
uncountable.
1.1.36. Show that [a, b] (a, b] (a, b).
1.1.37. A countable union of continuum sets is a continuum set.
Hint:

n=1 [n, n

+ 1] = [1, ).

1. THEORY OF INFINITE SETS

1.2. The Axiom of Choice

Ordered Sets. A relation on S is a non-empty subset of the set S S . A (partial)

order on the set S is a relation R on S such that for all a, b, c S :

(1) (a, a) R.
(2) ((a, b) R (b, a) R) a = b.
(3) ((a, b) R (b, c) R) (a, c) R.
If any two elements of S are related by R then R is called a total order and (S , R)
is a totally ordered set. When (a, b) R we often write aRb and use the suggestive
notation for R.
(1) (R, ) is a totally ordered set.
(2) Let S be a set. Then (2S , ) is a partially ordered set but is not totally
ordered if S has more than one element.

1.2.1. E.

1.2.2. Let (S 1 , 1 ) and (S 2 , 2 ) be two ordered sets. Show that the following is an
order on S 1 S 2 : (a1 , b1 ) (a2 , b2 ) if (a1 < a2 ) or ((a1 = a2 ) (b1 b2 )). This is
called the dictionary order.
1.2.3. D. A totally order on a set S is a well-order if every non-empty

subset A of S has a smallest element, i.e. a A, b A, a b.

For example (N, ) is well-ordered while (R, ) is not.
The Axiom of Choice.
1.2.4. T. The following statements are equivalent:

(1) Axiom of Choice: Given an arbitrary set M, there exists a choice function giving with any subset of M an element of M.
(2) Given a family of disjoint non-empty sets Ai there exists a set A such that
A contains exactly one element from each Ai .
(3) The Catersian product of a family of non-empty sets is non-empty.
(4) The cardinalities of any two sets can be compared.
(5) Zorn Lemma: If any totally ordered subset A of a partially ordered set X
has an upper bound (i.e. b X, a A, b a) then X has a maximal
element (i.e. a X, (b X b a) a = b).
(6) Hausdorff Maximality Principle: A totally ordered subset of a partially
ordered set belongs to a maximal totally ordered subset.
The Axiom of Choice is needed for many important results in mathematics,
such as the Tikhonov Theorem about products of compact sets, the Hahn-Banach
and Banach-Alaoglu Theorems in Functional Analysis, the existence of bases in a
vector space, the existence of a Lebesgue unmeasureable set, . . . .
Zorn Lemma is often a convenient form of the Axiom of Choice.
1.2.5. Show that any vector space has a vector basis.
Hint: Consider the collections B of all independent sets of vectors in a vector space V with
the order of set inclusion. Suppose that {Bi } is a totally ordered collection of members of B. Let
S
A = i Bi . Then A B and is an upper bound of {Bi }.

The following is based on the Axiom of Choice.

1.2.6. T (Zermelo, 1904). On any set there is a well-order.

1.2. THE AXIOM OF CHOICE

More problems.
1.2.7. The set Z+ with the order m n m|n is a partially ordered set.
1.2.8. Let (S 1 , 1 ) and (S 2 , 2 ) be two ordered sets. For a and b in S 1 S 2 , define

a b if (a 1 b) (a, b S 1 ), or (a 2 b (a, b S 2 \ S 1 )). Show that this is an

order on S 1 S 2 .
1.2.9. Find a partial order on R2 .
1.2.10. A totally ordered finite set is well-ordered.
1.2.11. A subset of a well-ordered set is well-ordered.
1.2.12. The set of rational numbers on the interval [0, 1] is not well-ordered.
1.2.13 (Transfinite Induction Principle). Let A be a well-ordered set. Let P(a)

be a statement whose truth depends on a A. If

(1) P(a) is true when a is the smallest element of A
(2) if P(a) is true for all a < b then P(b) is true
then P(a) is true for all a A.
Hint: Assume the contrary.

10

1. THEORY OF INFINITE SETS

Guide for Further Reading in General Topology

The book by Kelley [Kel55] has been a classics and a standard reference although it was published in 1955. Its presentation is rather abstract. The book has
no picture!
Munkres book [Mun00] is famous. Its treatment is somewhat more modern
than Kelley, with many examples, pictures and exercises. It also has a section on
Algebraic Topology.
Hocking and Youngs book [HY61] contains many deep and difficult results.
This book together with Kelley and Munkres contain many topics not discussed in
our lectures, some are at more advanced levels than the level here.
The more recent book by Roseman [Ros99] works mostly in Rn . Its strength is
that it is more down-to-earth and it contains many new topics such as space-filling
curves, knots, and manifolds.
Some other good books on General Topology are the books by Cain [Cai94],
Duong Minh Duc [Duc01], Viro and colleagues [VINK08].
If you want to have some ideas about the kinds of current research in General
Topology you can have a look at a collection of open problems in [MR90].
All of the items in the References are available from me.

CHAPTER 2

Topological Spaces
On sets equipped with topological structures we can study continuity of functions.
2.1. Topological Spaces
2.1.1. D. Let X be a set. A topology on X is a family of subsets of X

satisfying:
(1) The sets and X are elements of .
(2) A union of elements of is an element of .
(3) A finite intersection of elements of is an element of .
Elements of are called open sets of X in this topology.
A complement of an open set is called a closed set.
The set X together with the topology is called a topological space. We often
call an element of a topological space a point.
(1) On any set X there is the trivial topology {, X}.
(2) On any set X there is the discrete topology whereas any point constitutes
an open set. That means any subset of X is open, so the topology is 2X .

2.1.2. E.

2.1.3. E. Let X = {1, 2, 3}. The following are topologies on X:

(1) 1 = {, {1}, {2, 3}, {1, 2, 3}}.

(2) 2 = {, {1, 2}, {2, 3}, {2}, {1, 2, 3}}.
2.1.4. E (The Euclidean topology). In Rn = {(x1 , x2 , . . . , xn )/xi R}, the

Euclidean distance between two points x = (x1 , x2 , . . . , xn ) and y = (y1 , y2 , . . . , yn )

P
is d(x, y) = [ ni=1 (xi yi )2 ]1/2 . An open ball centered at x with radius r is the set
B(a, r) = {y Rn /d(y, x) < r}. A subset of Rn is called open if it is either empty or
is a union of open balls. This is the Euclidean topology of Rn .
2.1.5. The finite complement topology on X consists of the empty set and all subsets of X whose complements are finite.
2.1.6. A finite intersection of open sets is open is equivalent to an intersection

of two open sets is open.

2.1.7. Show that in a topological space X:

(a) and X are closed.

(b) A finite union of closed sets is closed.
(c) An intersection of closed sets is closed.
A neighborhood of a point x X is a subset of X which contains an open set
containing x. Note that a neighborhood doesnt need to be open.
11

12

2. TOPOLOGICAL SPACES

Bases of a topology. A collection B of open sets is called a basis for the

topology of X if any non-empty member of is a union of members of B.

2.1.8. E. In the Euclidean space Rn the set of balls with rational radii is a

basis.
2.1.9. In the Euclidean space Rn the set of balls with radii

1
2m ,

m 1 is a basis.

2.1.10. A collection B of open sets is a basis if for each point x and each open set

O containing x there is a U B containing x such that U is contained in O.

A collection S of open sets is called a subbasis for the topology of X if
the collection of finite intersections of members of S is a basis for .
2.1.11. E. Let X = {1, 2, 3}. The topology 2 = {, {1, 2}, {2, 3}, {2}, {1, 2, 3}}

has a basis {{1, 2}, {2, 3} {2}} and a subbasis {{1, 2}, {2, 3}}.
2.1.12. The collection of open rays, that is sets of the forms (a, ) and (, a) is

a subbasis of R with the Euclidean topology.

Generating topologies. Given a collection of subsets of a set, when is it a basis

for a topology?
2.1.13. T. Let B be a collection of subsets of X. Then B {} is a basis for

a topology on X if and only if the union of members of B is X and the intersection

of two members of B is a union of members of B.
The collection consists of the empty set and all unions of members of B is a
topology on X. It is called the topology generated by B.
P. Verifying that is a topology is reduced to checking that the intersecS
S
S
tion of two members of is a member of . In deed ( i Bi )( j B j ) = i, j (Bi B j ).
S
But then Bi B j = i, j,k Bk .

Next we want to know, given a collection of subsets of a set, is there a smallest topology which contains these subsets? When is this collection a subbasis for
a topology?
2.1.14. T. Let S be a family of subsets of X whose union is X. Then S

is a subbasis for a topology on X consisting of the empty set and unions of finite
intersections of members of S .
This topology is called the topology generated by S . A basis for this topology
is the collection of finite intersections of members of S .
By this theorem, just any collection of subsets covering the set generates a
topology on that set.
2.1.15. E. Let X = {1, 2, 3, 4}. The set {{1}, {2, 3}, {3, 4}} generates the topol-

ogy {, {1}, {3}, {1, 3}, {2, 3}, {3, 4}, {1, 2, 3}, {1, 3, 4}, {2, 3, 4}, {1, 2, 3, 4}}. A basis for
this topology is {{1}, {3}, {2, 3}, {3, 4}}.
2.1.16 (Order topology). Let (X, ) be a totally ordered set with at least two

elements. The subsets of the forms { X/ < } and { X/ > } generate a

topology on X, called the order topology.
2.1.17. E. The Euclidean topology on R is the ordering topology with re-

spect to the usual order of real numbers.

2.1. TOPOLOGICAL SPACES

13

Metric spaces. Metric space is a motivation for generalization to topological

space. Metric spaces are also important examples of topological spaces.

A ball is a set of the form B(x, r) = {y X/ d(y, x) < r}.
2.1.18. In the theory of metric spaces, a set U X is said to be open if x

U,  > 0, B(x, ) U.
Show that the family of balls is a basis for a topology on (X, d). When we speak
about topology on a metric space we mean this topology.
Comparing topologies. Let 1 and 2 are two topologies on X. If 1 2 we

say that 2 is finer (or stronger) than 1 and 1 is coarser (or weaker) than 2 .
2.1.19. E. On a set the trivial topology is the coarsest topology and the

discrete topology is the finest one.

2.1.20. The topology generated by a collection of subsets is the coarsest topology

containing those subsets.

More problems.
2.1.21. Is the collection of all open half-planes (meaning not consisting the sepa-

rating lines) a subbasis for the Euclidean topology of R2 ?

2.1.22. Show that on R2 the basis consists of interiors of circles, the basis consists

of interiors of squares, and the basis consists of interiors of ellipses generate the
same topology.
2.1.23. Show that two bases generate the same topology if and only if each mem-

ber of one basis is a union of members of the other basis.

2.1.24 (Rn has a countable basis). The set of balls each with rational radius

whose center has rational coordinates forms a basis for the Euclidean topology of
Rn .
2.1.25. On Rn consider the following metrics, which are generated by norms. Find

the unit ball for each metric. Show that these metrics generate the same topology.
P
(a) d1 (x, y) = ni=1 |xi yi |
(b) d2 (x, y) = max1in |xi yi |
P
(c) d3 (x, y) = ( ni=1 (xi yi )2 )1/2
2.1.26. Let d1 and d2 be two metrics on X. If there are , > 0 such that for
all x, y X, d1 (x, y) < d2 (x, y) < d1 (x, y) then the two metrics are said to be
equivalent. This is indeed an equivalence relation. Two equivalent metrics generate
the same topology.
Hint: Show that a ball in one metric contains a ball in the other metric with the same center.
Note: It is shown in a course in Real Analysis or Functional Analysis that all norms on Rn
generate equivalent metrics, so all norms on Rn generate the same topology, exactly the Euclidean
topology.

2.1.27. Is the Euclidean topology on R2 the same as the ordering topology on R2

with respect to the dictionary order?

2.1.28. An open set in R is a countable union of open intervals.
2.1.29. The family of intervals of the form [a, b) generates a topology on R. Is it

the Euclidean topology?

14

2. TOPOLOGICAL SPACES

2.1.30. Describe all sets that have only one topology.

2.1.31. * Describe all topologies that have only one basis.
Hint: It must be that any open set is not a union of other open sets. But if this happens then
the topology has no two open sets such that one is not contained in the order. This means that the
topology is totally ordered with respect to the inclusion order. Thus this is a totally ordered topology
such that any open set is not the union of its open strict subsets.

2.1.32. On the set of integer numbers Z, consider all arithmetic progressions

S a,b = a + bZ,
where a Z and b Z+ .
(a) Show that these sets form a base for a topology on Z.
(b) Show that with this topology each set S a,b is both open and closed.
(c) Show that the set {1} is closed.
(d) Show that if there are only finitely many prime numbers then the set {1}
is open.
(e) From (d) conclude that there are infinitely many prime numbers.

2.2. CONTINUITY

15

2.2. Continuity
Continuity.
2.2.1. D. Let X and Y be topological spaces. We say a map f : X Y is

continuous at x X if for any neighborhood U of f (x) there is a neighborhood V

of x such that f (V) U.
Equivalently, f is continuous at x if for any neighborhood U of f (x) the inverse
image f 1 (U) is a neighborhood of x.
We say that f is continuous on X if it is continuous everywhere on X.
2.2.2. T. A map is continuous if and only if the inverse image of an open set

is an open set.
P. () Suppose that f : X Y is continuous. Let U be an open set
in Y. Let x f 1 (U), and let y = f (x). Since f is continuous at x and U is a
neighborhood of y, the set f 1 (U) is a neighborhood of x. Thus x is an interior
point of f 1 (U), so f 1 (U) is open.
() Suppose that the inverse image of any open set is an open set. Let x X,
and let y = f (x). Let U be a neighborhood of y, containing an open neighborhood
U 0 of y. Then f 1 (U 0 ) is an open set containing x, therefore the set f 1 (U) will be
a neighborhood of x.

2.2.3. A map is continuous if and only if the inverse image of a closed set is a

closed set.
2.2.4. Let (X, d1 ) and (Y, d2 ) be two metric spaces. In the theory of metric spaces,

a map f : (X, d1 ) (Y, d2 ) is continuous at x X if and only if

 > 0, > 0, d1 (y, x) < d2 ( f (y), f (x)) < .
Show that this is a special case of the notion of continuity in topological spaces.
2.2.5. R. Therefore from now on we can use any results in previous courses

involving continuity in metric spaces.

Homeomorphism. A map from one topological space to another is said to be

a homeomorphism if it is a bijection, is continuous and its inverse map is also

continuous.
Two spaces X and Y are said to be homeomorphic, written X Y, if there is a
homeomorphism from one to the other.
An open map is a map such that the image of an open set is an open set.
A closed map is a map such that the image of a closed set is a closed set.
2.2.6. A homeomorphism is both an open map and a closed map.
2.2.7. P. If f : (X, X ) (Y, Y ) is a homeomorphism then it induces a

bijection between X and Y .

P. The map
f : X Y
O 7 f (O)
is a bijection.

16

2. TOPOLOGICAL SPACES

In the category of topological spaces and continuous maps, when two spaces
are homeomorphic they are the same.
An embedding (or imbedding) (phep nhung) from the topological space X to
the topological space Y is a map f : X Y such that its restriction f : X f (X)
is a homeomorphism. This means f maps X homeomorphically onto its image. We
say that X can be embedded in Y.
2.2.8. E. The Euclidean line R can be embedded in the Euclidean plane R2 .
2.2.9. E. Suppose that f : R R2 is continuous under the Euclidean topol-

ogy. Then R can be embedded onto the graph of f .

Topologies generated by maps.
2.2.10. Let (X, ) be a topological space and Y be a set. Let f : X Y be a map.

Find the coarsest and finest topologies on Y such that f is continuous.

2.2.11. Let X be a set and (Y, ) be a topological space. Let f : X Y be a map.

Find the coarsest and finest topologies on X such that f is continuous.

2.2.12. Let X be a set and (Y, ) be a topological space. Let fi : X Y, i I be a

collection of maps. Find the coarsest topology on X such that all maps fi , i I are
continuous.
Note: This problem involves a useful construction. For example in Functional Analysis, there
is the important notion of weak topology on a normed space. It is the coarsest topology such that
all linear continuous (under the norm) functionals on the space are continuous. See for example
[Con90].

More problems.
2.2.13. If f : X Y and g : Y Z are continuous then g f is continuous.
2.2.14. Suppose that f : X Y and B is a basis for the topology of Y. Show that

f is continuous if and only if the inverse image of any element of B is an open set
in X.
2.2.15. A continuous bijection is a homeomorphism if and only if it is an open

map.
2.2.16. Any two closed intervals in R are homeomorphic. Also (a, b) R.
2.2.17. S n \ {(0, 0, . . . , 0, 1)} Rn via the stereographic projection.
2.2.18. Any two balls in the Euclidean Rn are homeomorphic.
2.2.19. The unit ball B(0, 1) in the Euclidean Rn is homeomorphic to Rn .
Hint: Consider the map x 7

1
x.
1 ||x||

2.2.20. (a) A square and a circle are homeomorphic.

(b) The region bounded by a square and the region bounded a the circle are
homeomorphic.
2.2.21. If f : X Y is a homeomorphism and Z X then X \ Z and Y \ f (Z) are

homeomorphic.
2.2.22. Let X = A B where A and B are both open or are both closed in X.

Suppose f : X Y, and f |A and f |B are both continuous. Then f is continuous.

2.2. CONTINUITY

2.2.23. On the Euclidean plane R2 , show that:

(a) R2 \ {0, 0} and R2 \ {1, 1} are homeomorphic.

(b) R2 \ {{0, 0}, {1, 1}} and R2 \ {{1, 0}, {0, 1}} are homeomorphic.

17

18

2. TOPOLOGICAL SPACES

2.3. Subspaces
Relative Topology. Let (X, ) be a topological space and A X. The relative

topology, or the subspace topology of A is {A O/ O }. With this topology we

say that A is a subspace of X.
Thus a subset of a subspace A X is open in A if and only if it is a restriction
of an open set in X to A.
2.3.1. A subset of a subspace A X is closed in A if and only if it is a restriction

of a closed set in X to A.
2.3.2. Suppose that X is a topological space and Z Y X. Then the relative

topology on Z with respect to Y is the same as the topology on Z with respect to X.

2.3.3. R. Let Y be a subspace of a topological space X. It is not true that if a

set is open or closed in Y then it is open or closed in X.

When we mention that a set is open, we must know which topological space we
are talking about.
Interiors Closures Boundaries. Let X be a topological space and A X.

The union A of all open sets of X contained in A is called the interior of A in X. It

is the largest open set of X contained in A.
A point is in the interior of A if and only if A is a neighborhood of this point in
X. Such a point is called an interior point of A in X.
2.3.4. A set is open if and only if it is equal to its interior. In other words, all of its

points are interior.

The intersection A of all closed set of X containing A is called the closure of A
in X. It is the smallest closed set of X containing A.
A point in x X is said to be a contact point (or point of closure) of the subset
A of X if any neighborhood of x contains a point of A.
2.3.5. A set is closed if and only if it contains all its contact points.

A point in x X is said to be a limit point (or cluster point or acummulation

point) of the subset A of X if any neighborhood of x contains a point of A other
than x.
2.3.6. A set is closed if and only if it contains all its limit points.
2.3.7. The closure of a set is the union of the set and its set of limit points.

If A X then define the boundary of A to be A = A X \ A. If x A we say

that it is a boundary point of A.
2.3.8. A point is in the boundary of A if and only if every of its neighborhoods has

non-empty intersections with A and the complement of A.

More problems.

2.3.9. Show that A is the disjoint union of A and A.

2.3.10. Show that X is the disjoint union of A, A, and X \ A.

2.3. SUBSPACES

19

2.3.11. Verify the following properties.

(a) X\ A= X \ A.

(b) X \ A =X \ A.

(c) If A B then A B.
2.3.12. The set {x Q/

2 x 2} is both closed and open in Q R.

2.3.13. The map : [0, 1) S 1 R2 given by t 7 e2it is a bijection but is not

a homeomorphism.
Hint: Compare the subinterval [1/2, 1) and its image via .

2.3.14. Consider Q R. Then Q= and Q = R.

2.3.15. Find the closures, interiors and the boundaries of the interval [0, 1) under

the Euclidean, discrete and trivial topologies of R.

2.3.16. Find the closures, interiors and the boundaries of N R.
2.3.17. In a metric space X, a point x X is a limit point of the subset A X if

and only if there is a sequence in A \ {x} converging to x.

Note: This is not true in general topological spaces.

2.3.18. In Rn with the Euclidean topology, the boundary of the ball B(x, r) is the

sphere {y/ d(x, y) = r}. The closed ball B0 (x, r) = {y/ d(x, y) r} is the closure of
B(x, r).
2.3.19. In a metric space, is the boundary of the ball B(x, r) the sphere {y/ d(x, y) =

r}? Is the closed ball B0 (x, r) = {y/ d(x, y) r} the closure of B(x, r)?
Hint: Consider a metric space consisting of two points.
Y

2.3.20. Suppose that A Y X. Then A = A Y. Furthermore if Y is closed

Y

in X then A = A .
2.3.21. Let On = {k Z+ /k n}. Then {} {On /n Z+ } is a topology on Z+ .

Find the closure of the set {5}. Find the closure of the set of even positive integers.
2.3.22. Consider R with the finite complement topology. Find the closures, interi-

ors and the boundaries of the subsets {1, 2} and N.

2.3.23. Which ones of the following equalities are correct?

(a) A B=A B.

(b) A B=A B.
(c) A B = A B.
(d) A B = A B.
2.3.24. Show that these spaces are not homeomorphic to each other: Z, Q, R with

Euclidean topology, and R with the finite complement topology.

CHAPTER 3

Connectivity
3.1. Connected Space
Connected space. A topological space is said to be connected if is not a union

of two non-empty disjoint open subsets.

3.1.1. P. A topological space X is connected if and only if its only subsets

which are both closed and open are the empty set and X.
When we say that a subset of a topological space is connected we implicitly
mean that the subset under the subspace topology is a connected space.
3.1.2. In a topological space a set containning one point is connected.
3.1.3. P. Let X be a topological space and A and B are two connected

subsets. If A B , then A B is connected.

Thus the union of two non-disjoint connected subsets is a connected set.
P. Suppose that C is subset of A B that is both open and closed. Suppose
that C , . Then either C A , or C B , . Without loss of generality, assume
that C A , .
Note that C A is both open and closed in A. Since A is connected, C A = A.
Then C B , , hence C B = B, so C = A B.

The same proof gives a more general result:
3.1.4. P. Let X be a topological space and let Ai , i I be connected

subsets. If

iI

Ai , then

Ai is connected.

3.1.5. T (Continuous image of connected set is connnected). If f :

X Y is continuous and X is connected then f (X) is connected.

3.1.6. If two spaces are homeomorphic and one space is connected then the other

space is also connected.

Connected Component.
3.1.7. T. Let X be a topological space. Define a relation on X whereas

two points are related if both belong to a connected subset of X. Then this is an
equivalence relation.
3.1.8. P. An equivalence class under the above equivalence relation is

connected.
P. Consider the equivalence class [p] represented by a point p. By the
definition, q [p] if and only if there is a connected set containing both p and q.
S
Thus [p] = q[p] Oq where Oq is a connected set containing both p and q. By
3.1.4, [p] is connected.

21

22

3. CONNECTIVITY

3.1.9. D. Under the above equivalence relation, the equivalence classes

are called the connected components of the space.

Thus a space is a disjoint union of its connected components.
3.1.10. A connected component is a maximal connected subset under the set in-

clusion.
3.1.11. P. The closure of a connected set is a connected set.

P. Suppose that A is connected. Let B A be both open and closed in A

and is non-empty.
If B does not contain a limit point of A then B A, therefore B = A.
If B contains a limit point of A then B A , . Then B A = A, so B A,
therefore B A.

3.1.12. The proof above actually showed that if A is connected and A B A

then B is connected.
3.1.13. A connected component must be closed.
Connected sets in the Euclidean real number line.
3.1.14. P. A connected set in R under the Euclidean topology must be

an interval.
P. Suppose that A X is connected. Suppose that x, y A and x < y. If
x < z < y we must have z A, otherwise the set {a A/a < z} = {a A/a z}
will be both closed and open in A.

3.1.15. T. The interval (0, 1) as a subset of the Euclidean real number line

is connected.
A proof of this fact must deal with some fundamental properties of real numbers.
P. First note that a set is open in (0, 1) if and only if it is open in R.
Let C (0, 1) be both open and closed in (0, 1). Suppose that C , , and
C , (0, 1). Then there is an x (0, 1) \ C. We can assume that there is a number in
C which is smaller than x, the other case is similar.
The set D = C \ (x, 1) is the same as the set C \ [x, 1), which means D is both
open and closed in (0, 1).
If D , we can let s = sup D (0, 1). Then s x < 1. Since D is closed,
s D. Since D is open s must belong to an open interval contained in D. But then
there are points in D which are bigger than s.
If D = we let E = C \ (0, x) and consider t = inf E.

3.1.16. T. An interval in the Euclidean real number line is connected.

Therefore a subset of the Euclidean real number line is connected if and only
if it is an interval.
P. By homeomorphisms we just need to considers the intervals (0, 1),
(0, 1], and [0, 1]. Note that [0, 1] is the closure of (0, 1), and (0, 1] = (0, 3/4)
[1/2, 1].
Or we can modify the proof of 3.1.15.


3.1. CONNECTED SPACE

23

More problems.
3.1.17. S 1 is connected in the Euclidean topology of the plane.
Hint: The circle is a continuous image of an interval.

3.1.18 (Intermediate Value Theorem). If f : R R is continuous under the

Euclidean topology then the image of an interval is an interval.

3.1.19. If f : R R is continuous then its graph is connected in the Euclidean

plane.
3.1.20. Let X be a topological space and A Y X. If A is connected in Y then A

is connected in X, and vice versa.

3.1.21. Let X be a topological space and let Ai , i I be connected subsets. If

Ai A j , for all i , j then

Ai is connected.

3.1.22. Let X be a topological space and let Ai , i Z+ be connected subsets. If

Ai Ai+1 , for all i 1 then

i=1

Ai is connected.

Hint: Note that the conclusion is stronger than that

Sn
i=1

Ai is connected for all n Z+ .

3.1.23. Is an intersection of connected sets connected?

3.1.24. Let X be a topological space. A map f : X Y is called a discrete map if

Y has the discrete topology and f is continuous.

Show that X is connected if and only if all discrete maps on X are constant.
Use this criterion to prove some of the results in this section.
3.1.25. What are the connected components of N R under the Euclidean topol-

ogy?
3.1.26. What are the connected components of Q R under the Euclidean topol-

ogy?
Hint: Suppose that C is a connected component of Q. If C contains two different points a and
b, then there is an irrational number c between a and b, and (, c) C is both open and closed in
C.

3.1.27. * What are the connected components of Q2 R2 under the Euclidean

topology?
3.1.28. If a space has finitely many components then each component is both open

and closed.
1
n
the open connected components of X.

3.1.29. Let X = {0} { /n Z+ } R where R has the Euclidean topology. Find

3.1.30. If X and Y are homeomorphic then they have the same number of con-

nected components, i.e. there is a bijection between the sets of connected components of the two sets.
3.1.31. The Euclidean space Rn is connected.
3.1.32. No interval on the Euclidean real number line is homeomorphic to S 1 .
3.1.33. The Euclidean spaces R and R2 are not homeomorphic.
Hint: Delete a point from R. Use 2.2.21 and 3.1.30.

24

3. CONNECTIVITY

That R2 and R3 are not homeomorphic is not easy. It is a consequence of the

following difficult theorem:
3.1.34. T (Invariance of Domain). If two subsets of the Euclidean Rn are

homeomorphic and one set is open then the other is also open.
As a consequence, Rm and Rn are not homeomorphic if m , n.
This result allows us to talk about topological dimension.
3.1.35. Show that R with the finite complement topology and R2 with the finite

complement topology are homeomorphic.

3.2. PATH-CONNECTED SPACES

25

3.2. Path-connected Spaces

Let X be a topological space and a, b X. A path in X from a to b is a

continuous map f : [0, 1] X such that f (0) = a and f (1) = b.
The space X is said to be path-connected if for any two different points a and
b in X there is a path in X from a to b.
3.2.1. The Euclidean Rn is path-connected.
3.2.2. A ball in the Euclidean Rn is path-connected.

Let f be a path from a to b. Then the inverse path of f is defined to be the path
= f (1 t) from b to a.
Let f be a path from a to b, and g be a path from b to c, then the composition
of f with g is the path

0 t 21
f (2t),
.
h(t) =

g(2t 1), 1 t 1
f 1 (t)

The path h is often denoted as f g.

3.2.3. Show that f g is continuous.
Hint: If f(t) = f (2t) and g (t) = g(2t 1) then h1 (U) = f1 (U) g 1 (U).

3.2.4. Let X be a topological space. Define a relation on X whereas a point x

is related to a point y there is a path in from x to y. Then this is an equivalence

relation.
3.2.5. An equivalence class under the above equivalence relation is path-connected.

Each equivalence class is called a path-connected component.

3.2.6. Let X be a topological space and A and B are two path-connected subsets.

If A B , then A B is path-connected.
3.2.7. A path-connected component is a maximal path-connected subset under the

set inclusions.
3.2.8. T. A path-connected space is connected.

P. The proof is based on the fact that the image of a path is a connected
set.
Let X be path-connected. Let a, b X. There is a path from a to b. The image
of this path is a connected subset of X. That means any two points of X are in the
same connected component of X. Therefore X has only one connected component.

Generally, the reverse statement of 3.2.8 is not correct. However we have:
3.2.9. T. An open, connected subset of the Euclidean space Rn is path-

connected.
P. Let A be open, connected in Rn . Let B be a path-connected component
of A. Then B must be both open and closed in A. Indeed, if x B then there is a
ball B(x, r) A. Then B B(x, r) is still path-connected, so B B(x, r), thus B is
open. Similarly we can show that A \ B is open.

3.2.10. If f : X Y is continuous and X is path-connected then f (X) is path-

connected.

26

3. CONNECTIVITY

Locally connected and locally path-connected spaces. A topological space

is said to be locally connected if every neighborhood of a point contains a connected neighborhood of that point.
A topological space is said to be locally path-connected if every neighborhood
of a point contains a path-connected neighborhood of that point.
3.2.11. E. All open sets in the Euclidean space Rn are locally connected and

locally path-connected.
Generalize 3.2.9 we get:
3.2.12. T. A connected, locally path-connected space is path-connected.

P. Suppose that X is connected and locally path-connected. Let C be a

path-connected component of X. If x X has a path-connected neighborhood U
such that U C , , then U C is path-connected, and so U C. This means that
C is both open and closed in X, hence C = X.

Topologists Sine Curve. The closure of the graph of the curve y = sin 1x , x > 0

is often called the Topologists Sine Curve.

1

sin(1/x)

0.8
0.6
0.4
0.2
0
-0.2
-0.4
-0.6
-0.8
-1
0

0.1

0.2

0.3

0.4

0.5

0.6

0.7

0.8

0.9

F 3.1. Topologists Sine Curve.

Denote A = {(x, sin 1x )/0 < x 1} and B = {0} [1, 1]. Then A B = and
the Topologists Sine Curve is X = A B.
3.2.13. P. The Topologists Sine Curve is connected.

P. By 3.1.19 the set A is connected. And A X A.

3.2.14. P. The Topologists Sine Curve is not path-connected.

P. Suppose that there is a path (t) = (x(t), y(t)), t [0, 1] from the origin
(0, 0) on B to the point (1, sin 1) on A, we show that there is a contradiction.
Let t0 = sup{t [0, 1]/x(t) = 0}. Then x(t0 ) = 0, t0 < 1, and for all t > t0
we have x(t) > 0. Thus t0 is the moment when the path departs from B. We
can see that the path jumps immediately when it departs from B. Thus we will
show that (t) cannot be continuous at t0 , by showing that for any > 0 there are

3.2. PATH-CONNECTED SPACES

27

t1 , t2 (t0 , t0 + ) such that y(t1 ) = 1 and y(t2 ) = 1, therefore y(t) is not continuous
at t0 .
To find t1 , note that the set {x(t)/t0 t t0 + } is an interval [0, x0 ] where
x0 > 0. There exists an x1 (0, x0 ) such that sin x11 = 1: we just need to take
1
with sufficiently large k. There is t1 (t0 , t0 + ) such that x(t1 ) = x1 .
x1 = +k2
2

Then y(t1 ) = sin

1
x(t1 )

= 1.

More problems.
3.2.15. R2 \ {one point} is path-connected under the Euclidean topology.
3.2.16. R2 \ A where A is a finite set is path-connected under the Euclidean topol-

ogy.
Hint: Bound A in a rectangle. For any point in R2 \ A there is a straight line through it that does
not intersect A, by an argument using cardinalities of sets.

3.2.17. * R2 \ Q2 is path-connected under the Euclidean topology. Indeed if A is

countable then R2 \ A is path-connected.

Hint: Let a R2 \ A. Let `a be a line passing through a and does not intersect A. If b R2 \ A
let `b be a line passing through b and does not intersect A, but does intersect `a .

3.2.18. The sphere S n , n 1 is connected under the Euclidean topology.

Hint: Either show that S n is path-connected, or show that it is a union of connected parts which
are not mutually disjoint.

3.2.19. The Topologists Sine Curve is not locally path-connected.

3.2.20. The Topologists Sine Curve is not locally connected.
3.2.21. * (a) Classify the alphabetical characters up to homeormophisms, that is,

which of the following characters are homeomorphic to each other as subsets of

the Euclidean plane?

ABCDEFGHIJKLMNOPQRSTUVWXYZ
Hint: Use 2.2.22 to modify a letter part by part.

(b) Note that the result depends on the font you use! Indeed, what if instead of
a sans-serif font as above you use a serif one?

ABCDEFGHIJKLMNOPQRSTUVWXYZ

28

3. CONNECTIVITY

Further Reading
Jordan Curve Theorem. The following is an important and deep result of plane

topology.
3.2.22. T (Jordan Curve Theorem). A simple, continuous, closed curve

separates the plane into two disconnected regions.

More concisely, if C is a subset of the Euclidean plane homeomorphic to the
circle then R2 \ C has two connected components.
Space Filling Curves. A rather curious and surprising result is:
3.2.23. T. There is a continuous curve filling a rectangle on the plane.

More concisely, there is a continuous map from the interval [0, 1] onto the
square [0, 1]2 .
Note that this map cannot be injective, in other words the curve cannot be
simple.
Such a curve is called a Peano curve. It could be constructed as a limit of an
iteration of piecewise linear curves.

CHAPTER 4

Separation Axioms
4.1. Separation Axioms
4.1.1. D. The following are called separation axioms.

T 0 : A topological space is called a T 0 -space if for any two different points

there is an open set containing one of them but not the other.
T 1 : A topological space is called a T 1 -space if for any two points x , y
there is an open set containing x but not y and an open set containing y
but not x.
T 2 : A topological space is called a T 2 -space or Hausdorff if for any two
points x , y there are disjoint open sets U and V such that u U and
v V.
T 3 : A T 1 -space is called a T 3 -space or regular (chnh tac) if for any point
x and a closed set F not containing x there are disjoint open sets U and
V such that x U and F V.
T 4 : A T 1 -space is called a T 4 -space or normal if for any two disjoint closed
sets F and G there are disjoint open sets U and V such that F U and
G V.
These are called separation axioms because they involve separating certain
sets from one another by open sets.
4.1.2. P. A space is T 1 if and only if a set containing exactly one point

is a closed set.
4.1.3 (T 4 T 3 T 2 T 1 T 0 ). If a space is T i then it is T i1 , for 1 i 4.
4.1.4. Any space with the discrete topology is normal.
4.1.5. Give an example of a space which is T 0 but not T 1 .
4.1.6. The real number line under the finite complement topology is T 1 but is not

T2.
4.1.7. A metric space is regular.
4.1.8. P. A metric space is normal.

P. We introduce the notion of distance between two sets in a metric space

X. If A and B are two subsets of X then we define the distance between A and
B as d(A, B) = inf{d(x, y)/x A, y B}. In particular if x X then d(x, A) =
inf{d(x, y)/y A}. Using the triangle inequality we can check that d(x, A) is a
continuous function with respect to x.
Now suppose that A and B are disjoint closed sets. Let U = {x/d(x, A) <
d(x, B)} and V = {x/d(x, A) > d(x, B)}. Then A U, B V, U V = , and both
U and V are open.

4.1.9. A subspace of a Hausdorff space is Hausdorff.
29

30

4. SEPARATION AXIOMS

4.1.10. P. A T 1 -space X is regular if and only if given a point x and an

open set U containing x there is an open set V such that x V V U.

P. Suppose that X is regular. Since X \ U is closed and disjoint from C
there is an open set V containing x and an open set W containing X \ U such that
V and W are disjoint. Then V (X \ W), so V (X \ W) U.
Now suppose that X is T 1 and the condition is satisfied. Given a point x and a
closed set C disjoint from x. Let U = X \ C. Then there is an open set V containing

x such that V V U. Then V and X \ V separate x and C.
4.1.11. A T 1 -space X is normal if and only if given a closed set C and an open set

U containing C there is an open set V such that C V V U.

More problems.
4.1.12. If a finite set is a T 1 -space then the topology is the discrete topology.
4.1.13. * There are examples of a T 2 -space which is not T 3 , and a T 3 -space which

is not T 4 , but they are rather difficult, see 9.1.13 and [Mun00, p. 197].
4.1.14. * Let X be normal, f : X Y is surjective, continuous, and closed. Prove

that Y is normal.

CHAPTER 5

Nets
5.1. Nets

In metric spaces we can study continuity of functions via convergence of sequences. In general topological spaces, we need to use a notion more general than
sequences, called nets. Roughly speaking in general topological spaces, sequences
(countable indices) might not be enough to describe the neigborhood systems at a
point, we need things of arbitrary infinite indices.
A directed set is a (partially) ordered set I such that
i, j I, k I, k i k j.
A net on a topological space X is a map n : I X. Writing xi = n(i), we often
denote n as (xi )iI .
5.1.1. E. Nets on I = N with the usual order are exactly sequences.
5.1.2. E. Let X be a topological space and x X. Let I be the family of

open neighborhoods of x. Define an order on I by U V U V. Then I

becomes a directed set.
It will be clear in a moment that this is the most important example of directed
sets concerning nets.
Convergence. A net (xi ) is said to be convergent to x X if

neighborhood U of x, i I, j i x j U.
The point x is called a limit of the net (xi ), and we often write xi x.
5.1.3. E. Convergence of nets on I = N is exactly convergence of sequences.
5.1.4. E. Let X = {x1 , x2 , x3 } with topology {, X, {x1 , x3 }, {x2 , x3 }, {x3 }}. The

net (x3 ) converges to x1 , x2 , and x3 . The net (x1 , x2 ) converges to x2 .

5.1.5. P. A point x X is a limit point for a set A X if and only if there

is a net in A \ {x} convergent to x.

This proposition allows us to describe topologies in terms of convergences.
With it many statements about convergence in metric spaces could be carried to
topological spaces by simply replacing sequences by nets.
P. () Suppose that x is a limit point of A. Consider the directed set
I consisting of all the open neighborhoods of x with the partial order U V if
U V.
For any open neighborhood U of x there is an element xU U A, xU , x.
Consider the net (xU )UI . It is a net in A \ {x} convergent to x. Indeed, given an
open neighborhood U of x, for all V U, xV V U.
() Suppose that there is a net (xi )iI in A \ {x} convergent to x. Let U be an
open neighborhood of x. There is an i I such that for j i we have x j U, in
particular xi U (A \ {x}).

31

32

5. NETS

5.1.6. R (When can nets be replaced by sequences?). By examining

the above proof we can see that the term net can be replaced by the term sequence
if there is a countable collection F of neighborhood of x such that any neighborhood of x contains a member of F. In other words, the point x has a countable
neighborhood basis. A space having this property at every point is said to be a first
countable space. A metric space is such a space.
Similar to the case of metric spaces we have:
5.1.7. T. Let X and Y be topological spaces. Then f : X Y is continuous

if and only if whenever a net n in X is convergent to x then the net f n is convergent

to f (x).
In more familiar notations, f is continuous if and only if for all nets (xi ) and
all points x in X, xi x f (xi ) f (x).
The proof is simply a repeat of the proof for metric spaces.
P. () Suppose that f is continuous. Let U is a neighborhood of f (x).
Then f 1 (U) is a neighborhood of x in X. Since (xi ) is convergent to x, there is an
i I such that for all j i we have x j f 1 (U), which implies f (x j ) U.
() We will show that if U is open in Y then f 1 (U) is open in X. Indeed,
suppose that let x f 1 (U) but is not an interior point, so it is a limit point of
X \ f 1 (U). There is a net (xi ) in X \ f 1 (U) convergent to x. Since f is continuous,
f (xi ) Y \ U is convergent to f (x) U. That contradicts the assumption that U is
open.

5.1.8. A map f is continuous at x if and only if for all nets (xi ), xi x f (xi )

f (x).
5.1.9. P. If a space is Hausdorff then a net has at most one limit.

P. Suppose that a net (xi ) is convergent to two different points x and y.

Since the space is Hausdorff, there are disjoint open neighborhoods U and V of x
and y. There is i I such that for i we have x U, and there is j I such
that for j we have x U. Since there is a I such that i and j, the
point x will be in U V, a contradiction.

5.1.10. The converse statement of 5.1.9 is also true. A space is Hausdorff if and

only if a net has at most one limit.

Hint:

Suppose that there are two points x and y that could not be separated by open sets.

Consider the directed set whose elements are pairs (U x , Vy ) of open neighborhoods of x and y, under
set inclusion. Take a net n such that n(U x , Vy ) is a point in U x Vy . Then this net converges to both
x and y.

More problems.
5.1.11. Consider the Euclidean line R. Let I = {(0, a) R} with the order (0, a)

(0, b) if a b. Check that I is a directed set. Define a net n : I R with

n((0, a)) = a/2. Is n convergent?
5.1.12. Suppose that 1 and 2 are two topologies on X. Furthermore suppose that
1

for all nets xi and all points x, xi x xi x. Show that 1 2 .

In other words, if convergence in 1 implies convergence in 2 then 1 is finer
than 2 .

5.1. NETS

33

5.1.13. Let X be a topological space, R have the Euclidean topology and f : X

R be continuous. Suppose that A X and f (x) = 0 on A. Show that f (x) = 0 on

A, by:
(a) using nets.
(b) not using nets.

CHAPTER 6

Compact Spaces
6.1. Compact Spaces

A cover of a set X is a collection of subsets of X whose union is X. A cover

is said to be an open cover if each member of the cover is an open subset of X. A
subset of a cover which is itself still a cover is called a subcover.
A space is compact if every open cover has a finite subcover.
6.1.1. E. Any finite topological space is compact.

Let A be a subset of a topological space X. We say that A is a compact set if A

is a compact space under the topology restricted from X.
6.1.2. R. Let I be an open cover of A. Each O I is an open set of A, so it

is the restriction of an open set UO of X. Thus we have a collection of open sets

{UO / O I} whose union contains A. On the other hand if we have a collection I
of open sets of X whose union contains A then the collection {U O/ O I} is an
open cover of A.
6.1.3. Any subset of R with the finite complement topology is compact.
Hint: Any open set covers a subset of R except finitely many points.

6.1.4. T. In a Hausdorff space compact sets are closed.

P. Let A be a compact set in a Hausdorff space X. We show that X \ A is

open.
Let x X\A. For each a A there are disjoint open sets Ua containing x and Va
containing a. The family {Va /a A} covers A, so there is a finite subcover {Vai /1
T
S
i n}. Let U = ni=1 Uai and V = ni=1 Vai . Then U is an open neighborhood of x
disjoint from V, a neighborhood of A.

6.1.5. T (Continuous image of compact set is compact). If X is com-

pact and f : X Y is continuous then f (X) is compact.

6.1.6. P. If X is compact and A X is closed then A is compact.

P. Add X \ A to an open cover of A.

6.1.7. R. When A is a compact subset of X and X is a subspace of Y then

A is also a compact subset of Y, because the topology of X restricted to A and the

topology of Y restricted to A are the same.
Compactness is an absolute property, not depending on outer spaces.
The following proposition is quite useful later:
6.1.8. P. If X is compact, Y is Hausdorff, f : X Y is bijective and

continuous, then f is a homeomorphism.

6.1.9. P. In a compact space an infinite set has a limit point.
35

36

6. COMPACT SPACES

P. Let A be an infinite set in a compact space X. Suppose that A has no

limit point. Let x X, then there is an open neighborhood U x of x that contains at
most one point of A. The family of such U x cover A, so there is a finite subcover.
But that implies that A is finite.

Characterization of compact sets in terms of closed sets. A collection A of

subsets of a set is said to have the finite intersection property if the intersection of
every finite subcollection of A is non-empty.
6.1.10. T. A space is compact if and only if any family of closed subsets

with the finite intersection property has non-empty intersection.

Compact sets in metric spaces. Most of the following results have been stud-

ied in a course in Real Analysis or Functional Analysis. It is very useful to have a

look back at notes for those courses.
6.1.11. In a metric space, if a set is compact then it is closed and bounded.
6.1.12. If X is a compact space and f : X (R, Euclidean) is continuous then f

has a maximum value and a minimum value.

6.1.13. A metric space is compact if and only if every sequence has a convergent

subsequence.
6.1.14. In the Euclidean space Rn a subset is compact if and only if it is closed and

bounded.
More problems.
6.1.15. Find a cover of the interval (0, 1) with no finite subcover.
6.1.16. A discrete compact topological space is finite.
6.1.17 (An extension of Cantor Lemma in Calculus). Let X be compact and

X A1 A2 An . . . be a ascending sequence of closed, non-empty sets.

T
Then
n=1 An , .
6.1.18. A compact Hausdorff space is normal.
Hint: Use 6.1.20.

The proof of 6.1.4 contains the following:

6.1.19. In a Hausdorff space a point and a compact set disjoint from it can be

separated by open sets.

More generally:
6.1.20. In a Hausdorff space two disjoint compact sets can be separated by open

sets.
Hint: We already have that for each x in the first set there are an open set U x containing x and
an open set V x containing the second set and disjoint from U x . Since the first set is compact, it is
S
T
covered by ni=1 U xi . Consider ni=1 V xi .

6.1.21. In a regular space a compact set and a disjoint closed set can be separated

by open sets.
6.1.22. In a topological space a finite unions of compact subsets is compact.

6.1. COMPACT SPACES

37

6.1.23. In a Hausdorff space an intersection of compact subsets is compact.

6.1.24. The set of n n-matrix with real coefficients, denoted by M(n; R), could be
2

naturally considered as a subset of the Euclidean space Rn by considering entries

of a matrix as coordinates, via the map
(ai, j ) 7 (a1,1 , a2,1 , . . . , an,1 , a1,2 , a2,2 , . . . , an,2 , a1,3 , . . . , an1,n , an,n ).
The Orthogonal Group O(n) is defined to be the group of matrices representing
orthogonal linear maps of Rn , that are linear maps that preserve inner product. Thus
O(n) = {A M(n; R)/ A AT = In }.
The Special Orthogonal Group SO(n) is the subgroup of O(n) consisting of all
orthogonal matrices with determinant 1.
(a) Show that any element of SO(2) is of the form

cos() sin()

.
sin() cos()
This is a rotation in the plane around the origin with an angle . Thus SO(2) is the
group of rotations on the plane around the origin.
(b) Show that SO(2) is path-connected.
(c) How many connected components does O(2) have?
(d) Show that SO(n) is compact.
(e) Show that any unit vector in Rn could be rotated to the unit vector e1 =
(1, 0, 0, . . . , 0) using an orthogonal transformation.
(f) Show that any matrix R SO(n) is path-connected in SO(n) to a matrix of
the form

,
R1
where R1 SO(n 1).
(g) Show that S O(n) is connected.
The General Linear Group GL(n; R) is the group of all invertible nn-matrices
with real coefficients.
(h) Show that GL(n; R) is not compact.
(k) Find the number of connected components of GL(n; R).

CHAPTER 7

Product Spaces
7.1. Product Spaces
Finite products of spaces. Let X and Y be two topological space, and consider

the Cartesian product X Y. The product topology on X Y is the topology generated by the collection F of sets of the form U V where U is an open set in X and
V is an open set in Y.
The collection F is a subbasis for the product topology. Actually, since the
intersection of two members of F is also a member of F, the collection F is a basis
for the product topology.
Thus every open set in the product topology is a union of products of open sets
of X with open sets of Y.
7.1.1. Note that, as sets:

(a) (A B) (C D) = (A C) (B D).
(b) (A B) (C D) (A C) (B D) = (A B) (A D) (C B) (C D).
7.1.2. If 1 is a basis for X and 2 is a basis for Y then 1 2 is a basis for the

product topology on X Y.
i=1 (Xi , i )

Similarly the product topology on

Q
generated by ni=1 i .

Qn

7.1.3. If each i is a basis for Xi then

i=1 i

Qn

is defined to be the topology

is a basis for the product topology on

i=1 (Xi , i ).

Qn

7.1.4. E (Euclidean topology). Recall that Rn = |

R R {z
R
}. The
n times

Euclidean topology on R is generated by open intervals. An open set in the product

topology of Rn is a union of products of open intervals.
Since a product of open intervals is an open rectangle, and an open rectangle is
a union of open balls and vice versa, the product topology is exactly the Euclidean
topology.
Infinite products. Let {(Xi , i ), i I} be a family of topological spaces. The

Q
product topology on iI Xi is the topology generated by the collection F consistQ
ing of sets of the form iI Ui , where Ui i and Ui = Xi for all except finitely
many i I.
7.1.5. Check that F is really a basis for a topology.

For j I the projection p j :

projection to the j coordinate.

iI

Xi X j is defined by p j ((xi )) = x j . It is the

7.1.6. P (Product topology is the topology such that projections

Q
are continuous). (a) If iI Xi has the product topology then pi is continuous for

all i I.
39

40

7. PRODUCT SPACES

Q
(b) The product topology is the coarsest topology on iI Xi such that all the
maps pi are continuous. This is the topology generated by the all the maps pi , i I,
as in 2.2.12.
Q
P. (a) Note that if O j X j then p1
iI U i with U i = Xi for all i
j (O j ) =
except j, and U j = O j .
(b) The topology generated by all the maps pi is the topology generated by sets
of the form p1
i (Oi ) with Oi i . A finite intersections of these sets is exactly a
member of the basis of the product topology as in the definition.

7.1.7. Show that each projection map pi is a an open map, mapping an open set to
an open set.
Hint: Only need to show that the projection of an element of the basis is open.

7.1.8 (Map to product space is continuous if and only if each component

Q
map is continuous). Show that f : Y iI Xi is continuous if and only if

fi = pi f is continuous for every i I.

7.1.9. P (Convergence in product topology is coordinate-wise conQ
vergence). A net n : J iI Xi is convergent if and only if all of its projections

pi n are convergent.
P. () Suppose that each pi n is convergent to ai , we show that n is
convergent to a = (ai )iI .
Q
A neighborhood of a contains an open set of the form U = iI Oi with Oi are
open sets of Xi and Oi = Xi except for i K, where K is a finite subset of I.
For each i K, pi n is convergent to ai , therefore there exists an index ji J
such that for j ji we have pi (n( j)) Oi . Take an index j0 such that j0 ji for
all i K. Then for j j0 we have n( j) U.

More problems.
7.1.10. Check that in topological sense R3 = R R R = R2 R.
Hint: Look at their bases.

7.1.11. If X is homeomorphic to X1 and Y is homeomorphic to Y1 then X Y is

homeomorphic to X1 Y1 .
7.1.12. Give an example to show that in general the projection pi is not a closed

map.
7.1.13. Fix a point x = (xi )

iI

Xi . Define the inclusion map f : Xi

iI

Xi

by

x j
y 7 ( f (y)) j =

if j , i
if j = i

The inclusion f is a homeomorphism to its image (an embedding of Xi ).

Q
The image of the inclusion map is Xi = jI A j where A j = {x j } if j , i and
Q
Ai = Xi . Thus Xi is a parallel copy of Xi in iI Xi .
The spaces Xi have x as common point.
Hint: Use 7.1.8 to prove that the inclusion map is continuous.

7.1.14. (a) If each Xi , i I is Hausdorff then

(b) If

iI Xi is Hausdorff.
X
is
Hausdorff
then
each
X
is
Hausdorff.
i
iI i

Hint: (b) Use 7.1.13.

7.1. PRODUCT SPACES

7.1.15. (a) If

41

Xi is path-connected then each Xi is path-connected.

Q
(b) If Xi , i I is path-connected then iI Xi is path-connected.
Hint:

iI

(b) Let (xi ) and (yi ) be in

Q
iI

Xi . Let i (t) be a continuous path from xi to yi . Let

(t) = (i (t)). Use 7.1.8.

7.1.16. (a) If

iI Xi is connected then each Xi is connected.

(b) If X and Y are connected then X Y is connected.
Q
(c)* If each Xi , i I is connected then iI Xi is connected.

Hint: (b) Use 7.1.13. (c) Fix a point x

Xi . Use (b) to show that if a point differ from x

Q
atmost finitely many coordinates then that point and x belong to a certain connected subset of iI Xi ,
Q
such that the union of these connected subsets is iI Xi .

7.1.17. (a) If

iI

Xi is compact then each Xi is compact.

(b)* Prove that if X and Y are compact then X Y is compact, without using
the Axiom of Choice.
iI

Hint: Use 7.1.13. It is enough to prove for the case an open cover of X Y by open sets of
the form a product of an open set in X with an open set in Y. For each slice {x} Y there is finite
Tx
(U x )i . The family {U x / x X} covers X so
subcover {(U x )i (V x )i / 1 i n x }. Take U x = ni=1
there is a subcover {U x j / 1 j n}. The family {(U x j )i (V x j )i / 1 i n x j , 1 j n} is a finite
subcover of X Y.

7.1.18. (a) If Oi is an open set in Xi for all i I then is

(b) If Fi is a closed set in Xi for all i I then is

Oi open?
iI F i closed?
iI

7.1.19 (Zariski Topology). Let F = R or F = C.

A polynomial in n variables on F is a function from Fn to F which is a finite

sum of terms of the form ax1m1 x2m2 xnmn , where a, xi F and mi N. Let P be the
set of all polynomials in n variables on F.
If S P then define Z(S ) to be the set of common zeros of all polynomials in
S , thus Z(S ) = {x Fn / p S , p(x) = 0}. Such a set is called an algebraic set.
(a) Show that if we define that a set in Fn is closed if it is algebraic, then this
gives a topology on Fn , called the Zariski topology.
(b) Show that the Zariski topology on F is exactly the finite complement topology.
(c) Show that if both F and Fn have the Zariski topology then all polynomials
on Fn are continuous.
(d) Is the Zariski topology on Fn the product topology?
Note: The Zariski topology is the fundamental topology in Algebraic Geometry.

42

7. PRODUCT SPACES

7.2. Tikhonov Theorem

7.2.1. T (Tikhonov theorem). A product of compact spaces is compact.

Applications of this theorem include the Banach-Alaoglu Theorem in Functional Analysis and the Stone-Cech compactification.
Tikhonov theorem is equivalent to the Axiom of Choice, and needs a difficult
proof. However in the case of finite product it can be proved more easily (7.1.17).
Different techniques can be used in special cases of this theorem (7.2.3 and 7.2.4).
A proof of Tikhonov theorem.

Q
P. Let Xi be compact for all i I. We will show that X = iI Xi is compact by showing that if a collection of closed subsets of X has the finite intersection
property then it has non-empty intersection.
Let F be a collection of closed subsets of X that has the finite intersection
T
property. We will show that AF A , .
Note: Have a look at the following argument, which suggests that proving the Tikhonov theorem
might not be easy. If we take the closures of the projections of the collection F to the i-coordinate
then we get a collection {pi (A), A F} of closed subsets of Xi having the finite intersection property.
Since Xi is compact, this collection has non-empty intersection.
From this it is tempting to conclude that F must have non-empty intersection itself. But that is
not true, see the figure.

In what follows we will overcome this difficulty by enlarging the collection F to the extent that
the intersections of the closures of the projections of the collection will give common elements of
the collection.

(1) We show that there is a maximal collection F of subsets of X that contains

F and still has the finite intersection property. We will use Zorn Lemma
for this purpose. (This is a routine step; it is easier for the reader to carry
it out instead of reading.)
Let K be the collection of collections G of subsets of X such that G
contains F and has the finite intersection property. On K we define an
order by the usual set inclusion.
Now suppose that L is a totally ordered subcollection of K. Let M =
S
AL A. We will show that M K, therefore M is an upper bound of L.
First M contains F. We also need to show that M has the finite intersection property. Suppose that Mi M, 1 i n. Then Mi Ai for
some Ai L. There is an i0 such that Ai0 contains all Ai . Then Mi Ai0
for all 1 i n, and since Ai0 has the finite intersection property, we
T
have ni=1 Mi , .
(2) Since F is maximal, it is closed under finite intersections.

7.2. TIKHONOV THEOREM

43

(3) We will show that

,

Y\
\
[
pi (A)]
A.
iI AF

AF

To show that iI [ AF pi (A)] is non-empty means to show that

AF pi (A) is non-empty for each i I. Since F has the finite intersection

also has this property, and so is the
property, the collection {pi (A), A F}

is a collection of
collection {pi (A), A F}. Furthermore {pi (A), A F}
T
closed subsets of the compact set Xi . So AF pi (A) is non-empty.
Q T
Since A
(4) Let x iI [ AF pi (A)], we will show that x A, A F.
is closed we need to show that any neighborhood of x has non-empty
intersection with A. It is suffice to prove this for neighborhoods of the
T
form iD p1
i (U i ) where U i is open in Xi , and D is a finite subset of I.
We have pi (x) = xi pi (A). For each i D, since Ui is a
Let A F.
neighborhood of xi we have Ui pi (A) , . Therefore p1
i (U i ) A , .
1

Then {pi (Ui )}F has the finite intersection property. Since F is maximal
T
1

we must have p1
i (U i ) F. Therefore [ iD pi (U i )] A , .
T


More problems.
7.2.2. Let [0, 1] have the Euclidean topology. If I is an infinite set then [0, 1]I is

called the Hilbert cube. The Hilber cube is compact.

7.2.3. Using the characterization of compact subsets of Euclidean spaces, prove

the Tikhonov theorem for finite products of compact subsets of Euclidean spaces.
7.2.4. Let (X, dX ) and (Y, dY ) be metric spaces.

(a) Prove that the product topology on X Y is given by the metric

d((x1 , y1 ), (x2 , y2 )) = max{dX (x1 , x2 ), dY (x2 , y2 )}.
(b) Using the characterization of compact metric spaces in terms of sequences,
prove the Tikhonov theorem for finite products of compact metric spaces.

44

7. PRODUCT SPACES

Further Reading
Strategy for a proof of Tikhonov theorem based on net. The proof that we

will outline here is based on further developments of the theory of nets and a characterization of compactness in terms of nets.
7.2.5. D (Subnet). Suppose that I and I 0 are directed sets, and h : I 0 I

is a map such that

k I, k0 I 0 , (i0 k0 h(i0 ) k).
If n : I X is a net then n h is called a subnet of n.
The notion of subnet is an extension of the notion of subsequence. If we take
ni Z+ such that ni < ni+1 then (xni ) is a subsequence of (xn ). In this case the map
h : Z+ Z+ is given by h(i) = ni . Thus a subsequence of a sequence is a subnet
of that sequence.
On the other hand there are subnets of sequences which are not subsequences.
Suppose that x1 , x2 , x3 , . . . be a sequence. Then x1 , x1 , x2 , x2 , x3 , x3 , . . . is a subnet
of that sequence, but not a subsequence. In this case the map h is given by h(2i
1) = h(2i) = i.
A net (xi )iI is called eventually in A X if there is j I such that i j
xi A.
7.2.6. D (Universal net). A net n in X is universal if for any subset A of X

either n is eventually in A or n is eventually in X \ A.

7.2.7. P. If f : X Y is continuous and n is a universal net in X then

f (n) is a universal net.

7.2.8. P. The following statements are equivalent.

(a) X is compact.
(b) Every universal net in X is convergent.
(c) Every net in X has a convergent subnet.
The proof of the last two propositions above could be found in [Bre93].
Then we finish the proof of Tikhonov theorem as follows.
Q
P T . Let X = iI Xi where each Xi is compact. Suppose that (x j ) jJ is a universal net in X. By 7.1.9 the net (x j ) is convergent if and
only if the projection (pi (x j )) is convergent for all i. But that is true since (pi (x j ))
is a universal net in the compact set Xi .


CHAPTER 8

Compactifications
8.1. Alexandroff Compactification

A compactification of a space X is a compact space Y such that X is homeomorphic to a dense subset of Y.

8.1.1. E. A compactification of the Euclidean (0, 1) is the Euclidean [0, 1].
8.1.2. E. A one-point compactification of the open Euclidean interval (0, 1)

is the circle S 1 .
A space X is called locally compact if every point has a compact neighborhood.
8.1.3. E. The Euclidean space Rn is locally compact.
8.1.4. T (Alexandroff compactification). Let X be a locally compact

Hausdorff space which is not compact. Let be not in X and let X = X {}.
Define a topology on X as follows: an open set in X is an open set in X or is
X \ C where C is a compact set in X. Then this is the only topology on X such
that X is compact, Hausdorff and contains X as a subspace.
With this topology X is dense in X .
The space X is called the one-point compactification or the Alexandroff compactification of X.
P.
(1) Suppose that there is a topology on X such that X is compact, Hausdorff and contains X as a subspace. Let O be open in X . If
< O then O X. Then O = O X must be open in X. If O then
C = X \ O is a closed subset of the compact space X , therefore C is
compact in X . But C X, so C must be compact in X too. Thus the
open sets of X must be open sets of X or complements of compact sets
of X.
(2) We check that we really have a topology.
S
T
Let Ci be compact sets in X. Consider i (X \ Ci ) = X \ i Ci .
T
Note that since X is Hausdorff, i Ci is compact.
If O is open in X and C is compact in X then O (X \ C) = X \
(C (X \ O)).
T
S
If Ci , 1 i n are compact sets then ni=1 X \ Ci = X \ ( ni=1 Ci ).
Finally O (X \ C) = O (X \ C).
With this topology X is a subspace of X .
(3) We show that X is compact. Let {Oi , i I} be an open cover of X .
Then one Oi0 will cover . Therefore the complement of Oi0 in X will
be a compact set C in X.
Then {Oi , i I, i , i0 } is an open cover of C. From this cover there is
a finite cover. This finite cover together with Oi0 is a finite cover of X .
(4) To check that X is Hausdorff, we only need to check that and x X
can be separated by open sets.
45

46

8. COMPACTIFICATIONS

Since X is locally compact there is a compact set C containing an

open neighborhood O of x. Then O and X \ C separates x and .
(5) Since X is not compact and X is compact, X cannot be closed in X ,
therefore the closure of X in X is X .

8.1.5. P. Let X and Y be two locally compact Hausdorf spaces. If X and

Y are homeomorphic then X and Y are homeomorphic.

P. A homeomorphism from X to Y induces a homeomorphism from X
to Y . We can also use 6.1.8.

8.1.6. R. Since a one-point compactification is unique up to homeomor-

phisms we often use the word the one-point compactification.

8.1.7. E. The one-point compactification of the Euclidean line R is S 1 .

The one-point compactification C {} of the complex plane C is homeomorphic to S 2 , is often called the extended complex plane or the Riemann sphere.
More problems.
8.1.8. Find the one-point compactification of the Euclidean (0, 1) (2, 3).
8.1.9. What is the one-point compactification of Z with the Euclidean topology?

Describe the topology of the compactification.

8.1.10. What is the one-point compactification of { n1 /n Z+ } under the Euclidean

topology? Describe the topology of the compactification.

8.1.11. What is the one-point compactification of the Euclidean open ball B(0, 1)?

Find the one-point compactification of the Euclidean space Rn .

8.1.12. What is the one-point compactification of the Euclidean annulus {(x, y)

R2 /1 < x2 + y2 < 2}?

8.1.13. A locally compact Hausdorff space is regular.
Hint: Suppose that a point x and a closed set C are disjoint. Since X\C is an open set containing
x, it contains a compact neighborhood A of x. So A contains an open neighborhood U of x. Since X
is Hausdorff, A is closed. Consider U and X \ A.

8.1.14. We could have noticed that the notion of local compactness as we have

defined is not apparently a local property. For a property to be local, every neighborhood of any point must contain a neighborhood of that point with the given
property (as in the cases of connectedness and path-connectedness).
Show that for Hausdorff spaces local compactness is indeed a local property.
8.1.15. The Topologists Sine Curve (3.2) is a compactification of the Euclidean

interval (0, 1).

Note:

This is not a one-point compactification. There can be many ways to compactify a

space.

8.1.16. Define a topology on R {} such that it is a compactification of the

Euclidean R.

8.2. STONE-CECH COMPACTIFICATION

47

8.2. Stone-Cech Compactification

A space is said to be completely regular (sometimes called a T 3 1 -space) if it

2
is a T 1 -space and for each point x and each closed set A with x < A there is a
continuous map f from X to [0, 1] such that f (x) = 0 and f (A) = {1}.
Thus in a completely regular space a point and a closed set disjoint from it
could be separated by continuous functions.
8.2.1. A completely regular space is regular.

Let X be a completely regular space. Let F be the set of all continuous maps
from X to [0, 1]. Let be a function from X to [0, 1]F = {[0, 1]/ f F}} defined
by for x X, (x) f = f (x) for each f F.
Since [0, 1]F is compact, and (X) [0, 1]F , we have (X) is compact.
The compact space (X) is called the Stone-Cech compactification of the completely regular space X.
8.2.2. T. If X is completely regular then : X (X) (X) is a

homeomorphism. In other words is an embedding.

P.
(1) is injective: If (x) = (y) then (x) f = (y) f for all
f F, so f (x) = f (y) for all f F. Since X is completely regular we
must have x = y.
(2) is continuous: Let (xi )iI be a net converging to x X. We show
that (xi ) (x). Recall that the product topology on [0, 1]F has the
property that convergence is coordinate-wise convergence (see 7.1.9), so
(xi ) (x) if and only if (xi ) f = f (xi ) (x) f = f (x) for all f F.
(3) 1 is continuous: Suppose that (xi ) (x). This implies f (xi )
f (x) for all f F. Suppose that (xi )iI does not converge to x. There is a
neighborhood U of x such that for all i I there is a j I such that j i
and x j < U.
Choose f on X such that f (x) = 0 and f (X \ U) = {1} then f (xi ) does
not converge to f (x), a contradiction.

8.2.3. The Stone-Cech compactification of a completely regular space is Haus-

dorff.
8.2.4. P. If f is a bounded continuous real function on a completely

regular space X then there is a unique continuous extension of f to the Stone-Cech

compactification of X.
P.
(1) We can reduce the problem to the case when f is bounded
between 0 and 1.
(2) A continuous extension of f , if exists, is unique.
(3) Define g : [0, 1]F [0, 1] by g(y) = y f . Then g is an extension of f .
(4) We check that g is continuous. Let (yi ) be a net in [0, 1]F convergent to
y. Then the net (g(yi )) is convergent to g(y), since convergence in product
space is coordinate-wise convergence (7.1.9).

In some sense the Alexandroff compactification is the smallest compactification of a space and the Stone-Cech compactification is the largest one. For more
discussions, see [Mun00, p. 237]

CHAPTER 9

Urysohn Lemma and Tiestze Theorem

9.1. Urysohn Lemma and Tiestze Theorem

We consider real functions, i.e. maps to the Euclidean R.

9.1.1. T (Urysohn Lemma). If X is normal, F is closed, U is open, and

F U, then there exists a continuous map f : X [0, 1] such that f |F 0 and

f |X\U 1.
P U L. Recall 4.1.11: Since X is normal, if F is closed, U
is open, F U then there is V open such that F V V U.
(1) We construct a family of open sets in the following manner.
Let U1 = U.
n = 0: F U0 U0 U1 .
n = 1: U0 U 1 U 1 U1 .
2

n = 2: U0 U 1 U 1 U 2 = U 1 U 2 U 3 U 3 U 4 = U1 .
4
4
4
2
4
4
4
4
Inductively we have a family of open sets:
F U0 U0 U 1n U 1n U 2n U 2n U 3n U 3n
2

U
m
2n /m, n

2n 1
2n

U 2n n1 U 2nn = U1 .
2

2n }.

Let I = {r =
N; 0 m
We have a family of open
sets {Ur /r I} having the property r < s Ur U s .
(2) We can check that I is dense in [0, 1].
(3) Define a function f : X [0, 1],

inf{r I/x Ur } if x U
f (x) =
.

1
if x < U
We prove that f is continuous.
(4) Checking that f 1 ((, a)) is open. We show that {x X/ f (x) < a} =
S
r<a U r . We have f (x) < a if and only if r I, r < a, f (x) < r, which
in turns is if and only if r0 I, r0 < a, x Ur0 .
(5) Checking that f 1 ((b, +)) is open.
S
First we show that {x X/ f (x) > b} = r>b X \ Ur .
If f (x) > b then r I, r > b, f (x) > r, so x < Ur , hence x X \ Ur .
Conversely, if there is r I, r > b such that x < Ur , then f (x) r > b.
S
S
Now we show that r>b X \ Ur = r>b X \ Ur . Indeed, if r I, r > b
S
then there is s I, r > s > b. Then U s Ur , therefore r>b X \ Ur
S
r>b X \ U r .

9.1.2. Let A and B be two disjoint closed subsets of a normal space X. Show that

there is a continuous function f from X to [0, 1] such that f (x) is 0 on A and is 1

on B.
49

50

9. URYSOHN LEMMA AND TIESTZE THEOREM

The sets A and B are said to be separated by a continuous function.

As a corrolary: A normal space is completely regular.
9.1.3. It is much easier to prove Urysohn Lemma for metric space, using the func-

tion
f (x) =

d(x, A)
.
d(x, A) + d(x, B)

An application of Urysohn Lemma is:

9.1.4. T (Tiestze Extension Theorem). Let X be a normal space. Let F

be closed in X. Let f : F R be continuous. Then there is a continuous map

g : X R such that g|F = f .
P. First consider the case when f is bounded.
(1) The general case can be reduced to the case when inf F f (x) = 0 and
supF f (x) = 1. We will restrict our attention to this case.
(2) Let f0 = f . By Urysohn Lemma, there is a continuous function g1 : X
[0, 13 ] such that

1
1

0 x f0 ([0, 3 ])
g1 (x) =
.

1 x f 1 ([ 2 , 1])
3

Let f1 = f0 g1 . Then sup xF f1 (x) = 23 , inf xF f1 (x) = 0 and sup xX g(x) =

1
3.
(3) Inductively, once we have such a function
fn : F R, n 0 we will

1 2 n
obtain a function gn+1 : X [0, 3 3 ] such that

 n

x fn1 ([0, 13 32 ])
0
.
gn+1 (x) =
 n
 n+1

13 32
x fn1 ([ 23
, 1])
 n+1
Let fn+1 = fn gn+1 . Then sup xF fn+1 (x) = 23
and sup xX gn+1 (x) =
 
1 2 n
3 3 .
P
(4) The series
n=1 gn converges uniformly to a continuous function g(x).
P
P
(5) Since fn = f ni=1 gi the series
n=1 gn |F converges uniformly to f .
Therefore g|F = f .
(6) Note that with this construction inf xX g(x) = 0 and sup xX g(x) = 1.
Now consider the case when f is not bounded.
(1) Suppose that f is neither bounded from below nor bounded from above.
Let h be a homeomorphism from (, ) to (0, 1). Then f1 = h f is
bounded by 0 and 1, therefore it can be extended, as in the previous case,
to a continuous function g1 such that inf xX g1 (x) = inf xF f1 (x) = 0 and
sup xX g1 (x) = sup xF f1 (x) = 1.
If the range of g1 does not include 0 or 1 then g = h1 g1 will be the
desired function.
It may happens that the range of g1 includes 0 or 1. In this case let
C = g1
1 ({0, 1}). Note that C F = . By Usrysohn Lemma, there is a
continuous function k : X [0, 1] such that k|C = 0 and k|F = 1. Let
g2 = kg1 + (1 k) 12 then g2 |F = g1 |F and the range of g2 is a subset of
(0, 1). Then g = h1 g2 will be the desired function.

9.1. URYSOHN LEMMA AND TIESTZE THEOREM

51

(2) If f is bounded from below then similarly to the previous case we can use
a homeomorphism h : [a, ) [0, 1), and we let C = g1
1 ({1}).
The case when f is bounded from above is similar.

More problems.
9.1.5. Show that the Tiestze extension theorem implies the Urysohn lemma.
9.1.6. The Tiestze extension theorem is not true without the condition that the set

F is closed.
9.1.7. Show that the Tiestze extension theorem can be extended to maps to the

Euclidean Rn .
9.1.8. Let X be a normal space and F be a closed subset of X. Then any continuous

map f : F S n can be extended to an open set containing F.

Hint: Use 9.1.7.

Let X be a topological space, and Y be a subspace of X. We say that Y is a

retract of X if there is a continuous map r : X Y such that r|Y = idY . In other
words the identity map idY can be extended to X.
9.1.9. If Y is a retract of X then any map from Y to a topological space Z can be

extended to X.
9.1.10. (a) Show that S 1 is a retract of R2 \ {(0, 0)}.

(b) Show that a subset containing two points cannot be a retract of R2 .

Note: This shows that the Tiestze extension theorem cannot be automatically generalized to
maps to general topological spaces.

(c)* Could S 1 be a retract of R2 or D2 ?

Note: This question could be answered using basic tools in homotopy theory (in Algebraic
Topology) or smooth functions (Differential Topology).

9.1.11. * Show that if X is Hausdorff and Y is a retract of X then Y is closed in X.

Hint: Use nets.

9.1.12. Prove the following version of the Urysohn Lemma, as stated in [Rud86].

Suppose that X is a locally compact Hausdorff space, V is open in X, K V,

and K is compact. Then there is a continuous function f : X [0, 1] such that
f (x) = 1 for x K and supp( f ) V, where supp( f ) is the closure of the set
{x X/ f (x) , 0}, called the support of f .
Hint: Use 8.1.13 and 6.1.21.

9.1.13 (Niemytzki space). * Let H = {(x, y) R2 / y 0} be the upper half-plane.

Equip H with the topology generated by the Euclidean open disks (i.e. open balls)
in K = {(x, y) R2 / y > 0}, together with sets of the form {p} D where p is a
point on the line L = {(x, y) R2 / y = 0} and D is an open disk in K tangent to L
at p. This is called the Niemytzki space.
(a) Check that this is a topological space.
(b) What is the subspace topology on L?
(c) What are the closed sets in H?
(d) Show that H is Hausdorff.
(e) Show that H is regular.

52

9. URYSOHN LEMMA AND TIESTZE THEOREM

(f) Show that H is not normal.

Hint: Any real function on L is continuous. The cardinality of the set of such function is cc .
A real function on H is continuous if and only if it is continuous on the dense subset of points with
rational coordinates, so the cardinality of the set of such functions is c0 . Since cc > c0 , the space H
cannot be normal, by Tiestze Extention Theorem.

FURTHER READING

53

Further Reading
Metrizability. A space is said to be metrizable if its topology can be generated by

a metric.
9.1.14. T (Urysohn Metrizability Theorem). A regular space with a count-

able basis is metrizable.

The proof uses the Urysohn Lemma [Mun00].

CHAPTER 10

Quotient Spaces
10.1. Quotient Spaces

Suppose that X is a topological space, Y is a set, and f : X Y is a surjective

map. We want to find a topology on Y so that f becomes a continuous map. Define
V Y to be open in Y if f 1 (V) is open in X. This is a topology on Y, called the
quotient topology generated by f , denoted by Y/ f .
10.1.1. This is the finest topology on Y such that f is continuous.

Let X be a topological space and be an equivalence relation on X. Let p :

X X/ be the projection x 7 [x]. The set X/ with the quotient topology
generated by p is called a quotient space.
If A X then there is an equivalence relation on X: x x if x < A, and x y
if x, y A. The quotient space X/ is also denoted by X/A.
10.1.2. T. Suppose that f : X Y is surjective and Y has the quotient
topology corresponding to f . Let Z be a topological space. Then g : Y Z is
continuous if and only if g f is continuous.
f

X?
?

/Y

??
?? g
? 

g f

The following result will provide us a tool to identify quotient spaces.

10.1.3. T. Suppose that X is compact, Y is Hausdorff, f : X Y is contin-

uous and onto. If f factors through the quotient, i.e. f (x1 ) = f (x2 ) if x1 x2 , then
it induces a homeomorphism from X/ to Y.
In more details, define h : X/ Y by h([x]) = f (x), then f = h p.
p

/ X/
DD
DD
DD h
f
D! 

X D
D

If f is continuous then h is a homeomorphism.



P. By 10.1.2 and 6.1.8.

10.1.4. E (Gluing the two end-points of a line segment gives a circle).

More precisely [0, 1]/0 1 is homeomorphic to S 1 :

[0, 1]

/ [0, 1]/0 1
LLL
LLL
LLL
h
f
LL% 

S1

Here f is the map t 7 (cos(2t), sin(2t)).

55

56

10. QUOTIENT SPACES

10.1.5 (Gluing a pair of opposite edges of a square gives a cylinder). Let

X = [0, 1] [0, 1]/ where (0, t) (1, t) for all 0 t 1, then X is homeomorphic
to the cylinder [0, 1] S 1 . The homeomorphism is induced by the map (s, t) 7
(s, cos(2t), sin(2t)).
10.1.6 (Gluing opposite edges of a square gives a torus). Let X = [0, 1]

[0, 1]/ where (s, 0) (s, 1) and (0, t) (1, t) for all 0 s, t 1, then X is
homeomorphic to the torus T 2 = S 1 S 1 .

F 10.1. The torus.

The torus T 2 is homeomorphic to a subspace of R3 (we say that the torus can be
embedded in R3 ). The subspace is the surface of revolution obtained by revolving
a circle around a line not intersecting it.

F 10.2. The torus embedded in R3 .

Suppose that the circle is on the Oyz-plane, the center is on the y-axis and the
axis for the rotation is the z-axis. Let a be the distance from the center of the circle
to the z-axis, b be the radius of the circle (a > b). Let S be the surface of revolution,
then the embedding is given by
/ T 2 = ([0, 2]/0 2) ([0, 2]/0 2)
WWWW
WWWW
WWWW
h
WWWW
WWWW
f
WWWW 
+

[0, 2] [0, 2]

where f (s, t) = ((a + b cos(s)) cos(t), (a + b cos(s)) sin(t), b sin(s)).

10.1.7 (Gluing the boundary circle of a disk together gives a sphere). More

precisely D2 /D2 is homeomorphic to S 2 . We only need to construct a continuous

map from D2 onto S 2 such that after quotient out by the boundary D2 it becomes
injective, see Figure 10.1.7.

10.1. QUOTIENT SPACES

57

F 10.3.

F 10.4. The Mobius band embedded in R3 .

10.1.8 (The Mobius band). Gluing a pair of opposite edges of a square in op-

posite directions gives the Mobius band. More precisely the Mobius band is X =
[0, 1] [0, 1]/ where (0, t) (1, 1 t) for all 0 t 1.
The Mobius band could be embedded in R3 . It is homeomorphic to a subspace of R3 by rotating a straight segment around the z-axis while also turning
that segment up side down. The embedding can be induced by the map (s, t) 7
((a + t cos(s/2)) cos(s), (a + t cos(s/2)) sin(s), t sin(s/2)), with 0 s 2 and
1 t 1.

t
a

s
s/2

F 10.5. The embedding of the Mobius band in R3 .

10.1.9 (The projective plane). Identifying opposite points on the boundary of a

disk we get a topological space called the the projective plane RP2 .
10.1.10. Show that RP2 is homeomorphic to the sphere with antipodal points iden-

tified, that is, S 2 /x x.

58

10. QUOTIENT SPACES

The real projective plane cannot be embedded in R3 . It can be embedded in

R4 .
10.1.11 (The projective space). More generally, identifying antipodal points of

S n , or homeomorphically, identifying antipodal boundary points of Dn gives us the

(real) projective space RPn .
10.1.12 (The Klein bottle). Identifying one pair of opposite edges of a square

and the other pair in opposite directions gives a topological space called the Klein
bottle. More precisely it is [0, 1][0, 1]/ with (0, t) (1, t) and (s, 0) (1 s, 1).

F 10.6. The Klein bottle.

This space cannot be embedded in R3 , but it can be immersed in R3 . An immersion (phep nhung ch`m) is a local embedding. More concisely, f : X Y is
an immersion if each point in X has a neighborhood U such that f |U : U f (U)
is a homeomorphism.

F 10.7. The Klein bottle immersed in R3 .

10.1.13. R. The above topological spaces are obtained by identifying parts of

the boundary circle of a disk. They are two-dimensional surfaces. For the general
theory, see 13.
In the above examples, a question might be raised:
10.1.14. Q. If the identifications are carried out in steps rather than simul-

taneously, will the result be different?

Let R1 and R2 be two equivalence relations on the space X such that R1 R2
is also an equivalence relation. This is the requirement that ([x]R1 [y]R2 , )


([x]R2 [y]R1 , ) [x]R1 [x]R2 , . Consider X/R1 . On this space we define an
equivalence relation R2 induced from R2 as follows: [x]R1 R2 [y]R1 if ([x]R1 [y]R2 ,
) ([x]R2 [y]R1 , ).

10.1. QUOTIENT SPACES

59

10.1.15. P. The correspondence h : X/(R1 R2 ) (X/R1 )/R2 , [x] 7

[[x]] is a homeomorphism.
P. By Theorem 10.1.2.

Thus the answer for 10.1.14 is No.

More problems.
10.1.16. Describe the space [0, 1]/ 21 1.
10.1.17. On the Euclidean R define x y if x y Z. Show that R/ is

homeomorphic to S 1 .
Note: The space R/ is also described as R quotient by the action of the group Z.

10.1.18. On the Euclidean R2 , define (x1 , y1 ) (x2 , y2 ) if (x1 x2 , y1 y2 ) Z Z.

Show that R2 / is homeomorphic to T 2 .

10.1.19. Describe the space which is the sphere S 2 quotient by its equator S 1 .
10.1.20. If X is connected then X/ is connected.
10.1.21. Show that RPn is a compactification of Rn .

CHAPTER 11

Topological Manifolds
11.1. Topological Manifolds

A manifold is roughly speaking a space that is locally like a Euclidean space.

Manifold is a central object in modern mathematics.
11.1.1. D (Topological manifold). A topological manifold of dimension

n is a topological space such that

(1) each point has a neighborhood which is homeomorphic to a neighborhood of the Euclidean Rn .
(2) it is Hausdorff.
(3) it has a countable basis.
The first condition, which is the main one, says that a manifold is locally the
same as a Euclidean space.
The second condition is useful for doing Analysis on manifolds.
The third condition is neccessary for the existence of Partitions of Unity.
11.1.2. T (Partition of Unity). Let U be an open cover of a manifold M.

Then there is a collection F of continuous real functions f : M [0, 1] such that

(1) For each f F, there is V U such that supp( f ) V.
(2) For each x M there is a neighborhood of x such that there are only
finitely many f F which is non-zero on that neighborhood.
(3) For each x M,
X
f (x) = 1
f F

The existence of Partitions of Unity is important for the use of manifold. It

allow us the extend some local properties to global ones, by patching neighborhoods. It is needed for such important results as the existence of a Riemannian metric on a manifold in Differential Geometry, the definition of integration on
manifold in Theory of Differential Forms. It is also used in the proof of the Riesz
Representation Theorem in Measure Theory [Rud86].
11.1.3. R. In this section we assume Rn has the Euclidean topology unless

we mention otherwise.
11.1.4. P. Rn has a countable basis.

P. The set of balls with rational radius whose center has rational coordinates forms a basis for the Euclidean topology of Rn .

11.1.5. R. By Invariance of Domain 3.1.34, Rn and Rm are not homeomor-

phic if m , n, therefore a manifold has a unique dimension.

11.1.6. Any subset of Rn is Hausdorff and has a countable basis.
11.1.7. E. Any open subset of Rn is a manifold of dimension n.
61

62

11. TOPOLOGICAL MANIFOLDS

11.1.8. A manifold is locally compact.

11.1.9. A manifold is a regular space.
Hint: By 8.1.13.

By the Urysohn Metrizability Theorem 9.1.14 we have:

11.1.10. P. A manifold is metrizable.
11.1.11. If two spaces are homeomorphic and one space is an n-dimensional man-

ifold then the other is also an n-dimensional manifold.

11.1.12. R. The interval [0, 1] is not a manifold. It is a manifold with bound-

ary. We will not give the precise definition of this notion here.
11.1.13. E. If f : (a, b) R is continuous then the graph of f is a one-

dimensional manifold.
We often check that a Hausdorff space with a countable basis is a manifold by
showing that it can be covered by open sets, each of which is homeomorphic to an
open set in Rn .
11.1.14. E. The sphere S n is an n-dimensional manifold.

One way to show this is to cover S n with two neighborhoods S n \{(0, 0, . . . , 0, 1)}
and S n \ {(0, 0, . . . , 0, 1)}. Each of these neighborhoods is homeomorphic to Rn
via stereographic projections.
Another way is to cover S n by hemispheres, each of which is homemorphic to
an open ball in Rn by projections parallel to coordinate axes.
11.1.15. E. RP1 is homeomorphic to S 1 . This is easy to convince geometri-

cally. A rigorous proof could be obtained from the following commutative diagram
[0, 1]

JJ
JJ
JJ
JJ
JJ

%
/ S1
[0, 1]/0 1
O
t9
tt
tt
t
tt
tt

RP1

RPn is an n-dimensional topological manifold. Similar to the case of S n , we

could use the charts whose domains are hemispheres.

FURTHER READING

63

Further Reading

Bernard Riemann proposed the idea of manifold in his Habilitation dissertation (among the jury was Karl Gauss). A translation of this article is available in
[Spi99].

Part 2

Algebraic Topology

CHAPTER 12

Homotopy and the fundamental groups

12.1. Homotopy and the fundamental groups
Homotopy. Let X be a topological space, and let a, b X.

Let and be two paths from a to b. A homotopy from to is a continuous

map F : [0, 1] [0, 1] X, often written as Ft (s) with s, t [0, 1] such that
F0 (s) = (s) and F1 (s) = (s). If there is a homotopy from to we say that is
homotopic to , written .
12.1.1. P. The property of being homotopic is an equivalence relation

on the set of paths from a to b.

P. We check and implies . Let F be a homotopy from
to and G be a homotopy from to . Let

0 t 12
F2t (s),
Ht (s) =

G2t1 (s), 12 t 1.
s) = F(2t, s) and G(t,
s) =
To show that H is continuous we can denote F(t,
1
1
1
G(2t 1, s), then H (U) = F (U) G (U). Or we can note that for a map
f : Y X where Y is a metric space, continuity is the same as that xn x implies
f (xn ) f (x).

If is a path then denote by [] its equivalence class under homotopy.
Recall that we can compose a path from a to b with a path from b to c to
have a path from a to c, see Section 3.2. We often denote as . We also have
the inverse 1 of a path .
A loop at x0 X is a closed path at x0 , that is, a continuous map : [0, 1] X
such that (0) = (1) = x0 . The constant loop is the loop (t) x0 .
12.1.2. P. If f f1 and g g1 then f g f1 g1 . Therefore we can

define [ f ] [g] = [ f g].

P. Let F be the first homotopy and G be the second one. Consider Ht =
Ft Gt .

12.1.3. P. If f is a path from a to b then f f 1 is homotopic to the

constant loop at a.
P. Our homotopy from f f 1 to the constant loop at a can be described
as follows. At a given t, the loop Ft (s) is to go from a along f (s) at twice the speed
until time 12 2t , stay there until time 12 + 2t to catch the inverse path f 1 moving at
twice the speed on its way back.
More precisely,

f (2s),
0 s 21 2t

1 t
Ft (s) =
f ( 2 2 ), 12 2t s 12 + 2t

1
f 1 (2s),
+ t s 1.
2

67

68

12. HOMOTOPY AND THE FUNDAMENTAL GROUPS


12.1.4. T. The homotopy classes of loops of X at a point x0 is a group under

composition with the homotopy class of the constant loop at x0 as the unit.
This group is called the fundamental group of X at x0 , denoted as 1 (X, x0 ).
The point x0 is called the base point.
12.1.5. E. If X is convex then 1 (X, x0 )  1.

The dependence of the fundamental group on the base point is explained in the
following proposition.
12.1.6. T. Let be a path from x0 to y0 . Then the map

: 1 (X, x0 ) 1 (X, y0 )
[ f ] 7 [1 f ]
is an isomorphism.

CHAPTER 13

Classification of Surfaces
13.1. Introduction to Surfaces
13.1.1. E (The Mobius band). The Mobius band is an unorientable surface

with boundary. The reason why the surface is unorientable is as follow. Take one
point on the surface. Choose an orientation for a neighborhood of that point, say
in the counter-clockwise direction. Now move that point along the central circle
of the band, during the process keep orient the points neighborhood in compatible
manner. Observe that after the point travels a full circle and comes back to its
original place the orientation of its neighborhood has been reversed. This means
that there is no way to consistently orient the Mobius band.
Unorientable surfaces often cannot be represented (i.e. imbedded) in R3 .
Connected sum. Let S and T be two surfaces. On each surface deletes an open

disk, obtaining a surface with circle boundary. Glue the two surfaces along the
two boundary circles. The resulting surface is called the connected sum of the two
surfaces, denoted by S #T .
13.1.2. (a) RP2 \ D2 is the Mobius band.

(b) T 2 #RP2 = K#RP2 .

(c) The union of two Mobius band along their boundary is a Klein bottle.

69

70

13. CLASSIFICATION OF SURFACES

13.2. Classification Theorem

13.2.1. T (Classification of compact boundaryless surfaces). A connected compact boundaryless surface is homeomorphic to one of the following
surfaces:

(1) S 2 .
(2) T 2 , T 2 #T 2 , T 2 #T 2 #T 2 , . . . .
(3) RP2 , RP2 #RP2 , RP2 #RP2 #RP2 , . . . .
Note that at this stage we have not yet been able to prove that the surfaces in
the list are distinct.
A torus minus an open disk is called a handle, and a projective plane minus an
open disk is called a crosscap.
13.2.2. T. Any connected closed surface is homeomorphic to a sphere with

crosscaps or handles attached.

13.3. PROOF OF THE CLASSIFICATION THEOREM

71

13.3. Proof of the Classification Theorem

Triangulation. A triangulation of a surface is a division of the surface into a union
of a finite number of triangles, with a requirement that two triangles are either
disjoint, or have one common edge, or have one common vertex. We assume the
fact that any surface can be triangulated. This was proved in the 1920s.
Cut the surface S along the triangles. Label the edges by alphabet characters
and mark the orientations of each edge. In this way each edge will appear twice on
two different triangles.
13.3.1. E. A triangulation of the sphere with 8 triangles.
13.3.2. E. A trianglulation of the projective space with 10 triangles.
13.3.3. E. A triangulation of the torus with 18 triangles.

Take one triangle. Pick a second triangle which has one common edge with
the first one, then glue the two along the common edge following the orientation of
the edge. Continue this gluing process in such a way that at every step the resulting
polygon is planar. This is possible if at each stage the gluing is done so that there
is one edge of the polygon so that the entire polygon is on one of its side. The last
polygon P is called a fundamental polygon of the surface.
The boundary of the fundamental polygon consists of labeled and oriented
edges. Choose one edge as the initial one then follow the edge of the polygon in a
predetermined direction. This way we associate each polygon with a word w.
We consider two words equivalent if they give rise to homeomorphic surfaces.
13.3.4. E. A fundamental polygon of the sphere and its associated word.

In the reverse direction, the surface can be reconstructed from an associated

word. We consider two words equivalent if they give rise to homeomorphic surfaces. In order to find all possible surfaces we will find all possible associated
words up to equivalence.
13.3.5. T. An associated word to a connected compact without boundary

surface is equivalent to a word of the forms:

(1) aa1 ,
1
1 1
1 1
(2) a1 b1 a1
1 b1 a2 b2 a2 b2 ag bg ag bg ,
(3) c21 c22 c2g .
A direct consequence is:
13.3.6. T. A connected compact without boundary surface is homeomor-

phic to a surface determined by a word of the forms:

(1) aa1 ,
1
1 1
1 1
(2) a1 b1 a1
1 b1 a2 b2 a2 b2 ag bg ag bg ,
(3) c21 c22 c2g .
This theorem gives the the Classification Theorem.
Proof of Theorem 13.3.5. Let w be a word of a fundamental polygon.
13.3.7. L. A pair of the form aa1 in w can be deleted, meaning that this

action will give an equivalent word corresponding to a homeomorphic surface.

72

13. CLASSIFICATION OF SURFACES

13.3.8. L. The word w is equivalent to a word whose all of the vertices of the

associated polygon is identified to a single point on the associated surface (w is

reduced).
13.3.9. L. A word of the form a a is equivalent to a word of the form

aa.
13.3.10. L. Suppose that w is reduced. Assume that w has the form aa1

where is a non-empty word. Then there is a character b such that b is in but

the other b or b1 is not.
13.3.11. L. The word of the form a b a1 b1 is equivalent to a word

of the form aba1 b1 .

13.3.12. L. A word of the form aba1 b1 cc is equivalent to a word of

the form a2 b2 c2 .
The proof of the theorem now follows the following steps.
P. Theorem 13.3.5
1. Bring w to the reduced form by using Lemma 13.3.8 finitely many times.
Go to 2.
2. If w has the form aa1 then go to 2.1, if not go to 3.
2.1. If w has the form aa1 then stop, if not go to 2.2
2.2. w has the form aa1 where , . Repeatedly apply Lemma 13.3.7
finitely many times, deleting pairs of the form aa1 in w until no such pair is left
or w has the form aa1 . If no such pair is left go to 3.
3. w does not have the form aa1 . Repeatedly apply Lemma 13.3.9 finitely
many times until w no longer has the form aa where , . Note that if we
apply Lemma 13.3.9 then some pairs of of the form aa with , could
become a pair of the form a a1 , but a pair of the form aa will not be
changed. Therefore Lemma 13.3.9 could be used finitely many times until there is
no pair aa with = left.
Also it is crucial from the proof of Lemma 13.3.9 that this step will not undone
the steps before it.
Go to 4.
4. If there is no pair of the form aa1 where , , then stop: w has the
form a21 a22 a2g . Otherwise go to 5
5. w has the form aa1 where , . By Lemma 13.3.10 w must has the
form a b a1 b1 , since after Step 3 there could be no b a1 b. Go
to 6.
6. Repeatedly apply Lemma 13.3.11 finitely many times until w no longer has
the form aba1 b1 where at least one of , , or is non-empty.
1
1 1
7. If w is not of the form aa then stop: w has the form a1 b1 a1
1 b1 ag bg ag bg .
Otherwise go to 8.
8. w has the form aba1 b1 cc. Use Lemma 13.3.12 finitely many times
to transform w to the form a21 a22 a2g .

1
1 1
We denote by T g the surface associated with the word a1 b1 a1
1 b1 ag bg ag bg ,
Mg the surface c21 c22 c2g . The number g is called the genus of the surface.

13.3. PROOF OF THE CLASSIFICATION THEOREM

73

13.3.13. a) S 2 #S = S for any surface S .

b) T g #T h = T g+h .
c) Mg #Mh = Mg+h .
d) Mg #T h =?
13.3.14. Show that M2 is the Klein bottle.
Euler Characteristics. The Euler Characteristics of a triangulated surface S is

the number V of vertices minus the number E of edges plus the number F of
triangles (faces):
(S ) = V E + F
It is an invariant of surface not depending on triangulations.
13.3.15. E. (S 2 ) = 2.
13.3.16. Compute (T 1 ) and (M1 ).
13.3.17. Show that (S 1 #S 2 ) = (S 1 ) + (S 2 ) 2.
Hint: Deleting an open disk is the same as deleting the interior of a triangle.

13.3.18. Compute the Euler Characteristics of all connected compact without bound-

ary surfaces. Then deduce that the listed surfaces are all distinct, meaning not
homeomorphic to each other.
13.3.19. Find a triangulation and compute the Euler Characteristics of the Mobius

band.

Part 3

Differential Topology

CHAPTER 14

Differentiable manifolds
We only study smooth manifolds imbedded in Euclidean spaces. Unless stated
otherwise, manifolds means smooth manifolds.

14.1. Smooth manifolds

Smooth maps on open sets in Rn . Let U be an open subset of Rk . A function

f : U Rl is said to be smooth if all partial derivatives of all orders exist, i.e.

f C (U).
Let U be an open subset of Rk and V an open subset of Rl . We say that f : U
V is a diffeomorphism if it is a homeomorphism and both f and f 1 are smooth.
Let f : Rk Rl be differentiable. The derivative of f at x is a linear map
fi
(x)] with 1 i l and
d f x : Rk Rl represented by an l k-matrix J f x = [ x
j
1 j k, called the Jacobian of f at x.
We will often use the important Inverse Function Theorem.
14.1.1. T (Inverse Function Theorem). Let f : Rk Rk be smooth. If

d f x is bijective then there is a neighborhood of x where f is a diffeomorphism.

More concisely, let f : Rk Rk be smooth and det(J f x ) , 0. Then there
is an open neighborhood U of x and an open neighborhood V of f (x) such that
f : U V is a homeomorphism and f 1 : V U is smooth.
14.1.2. R. For a proof, see for example [Spi65]. Usually the result is stated

for continuously differentiable function (i.e. C 1 ), but the result for smooth functions follows from that, since the Jacobian matrix of the inverse map is the inverse
matrix of the Jacobian of the original map, and the entries of an inverse matrix can
be obtained from the entries of the original matrix via smooth operations, namely
(14.1.1)

A1 =

1
A ,
det A

here Ai, j = (1)i+ j det(A j,i ), and A j,i is obtained from A by omitting the ith row and
jth column.
14.1.3. T (Implicit Function Theorem). Suppose that f : Rm+n Rn is

smooth and f (x) = y. If d f x is onto then locally at x the level set f 1 (y) is a graph
of dimension m.
More concisely, suppose that f : Rm Rn Rn is smooth and f (x0 , y0 ) =
0. If the matrix [Dm+ j fi (x0 , y0 )], 1 i, j n is non-singular then there is a
neighborhood U V of (x0 , y0 ) such that for each x U there is a unique g(x) V
satisfying f (x, g(x)) = 0. The function g is smooth.
The Implicit Function Theorem is obtained by setting F(x, y) = (x, f (x, y)) and
apply the Inverse Function Theorem to F.
77

78

14. DIFFERENTIABLE MANIFOLDS

14.1.4. The following is a common smooth function:

1/x

e
f (x) =

if x > 0
if x 0

(a) The function f (x) is smooth.

Hint: Show that f (n) (x) = e1/x Pn (1/x) where Pn (x) is a polynomial.

(b) Let a < b and let g(x) = f (x a) f (b x). Then g is smooth, g(x) is positive
on (a, b) and is zero everywhere else.
(c) Let
Rx
g(x) dx
.
h(x) = R

g(x) dx

Then h(x) is smooth, h(x) = 0 if x a, 0 < h(x) < 1 if a < x < b, and h(x) = 1 if
x b.
(d) The function
f (x a)
k(x) =
f (x a) + f (b x)
also has the above properties of h(x).
(e) In Rn , construct a smooth function whose value is 0 outside of the ball of
radius b, 1 inside the ball of radius a, and between 0 and 1 in between the two balls.
Smooth Manifolds. Let X be a subset of Rk . A map f : X Rl is said to be

smooth at x X if it can be extended to become a smooth function on a neighborhood of x in Rk . Namely there is an open set U Rk and a smooth F : U Rl so
that F|UX = f .
Let X Rk and Y Rl . Then f : X Y is a diffeomorphism if it is a
homeomorphism and both f and f 1 are smooth.
14.1.5. D. A set M Rk is a smooth manifold of dimension m if any x M

has a neighborhood in M which is diffeomorphic to a neighborhood in Rm .

A pair (U, ) of a neighborhood U M and a diffeomorphism : U Rm is
called a chart or coordinate system with domain U. The inverse map 1 is called
a parametrization.
14.1.6. R. An open set in Rm cannot be homeomorphic to an open set in Rn

if m < n. This obvious fact could be explained as follows. Since an open ball in
Rm is homeomorphic to Rm , the question is that whether the subspace Rm is open
in Rn . Since Rm is closed, it cannot be also open, because Rn is connected.
14.1.7. E. A manifold of dimension 0 is a discrete set of points.
14.1.8. E (The circle). Let S 1 = {(x, y) R2 / x2 + y2 = 1}. It is covered

by four neighborhoods which are half circles, each corresponds to points (x, y)
S 1 such that x > 0, x < 0, y > 0 and y < 0. Each of these neighborhoods is
diffeomorphic to (1, 1). For example consider the map from : W1 = {(x, y)
S 1 /x > 0} (1, 1) given by (x, y) 7 y. The map (x, y) 7 y is smooth on R2 , so
p
it is smooth on W1 . The inverse map y 7 ( 1 y2 , y) is smooth. Therefore is a
diffeomorphism.
14.1.9. The sphere S n Rn+1 is a differentiable manifold of dimension n, covered

by the hemispheres.

14.1. SMOOTH MANIFOLDS

79

14.1.10. The torus can be obtained by rotating around the z axis a circle on the

xOz plane not intersecting the z axis. Show that the torus is a smooth manifold.
Hint: Since S 1 can be covered by four neighborhoods, the torus T 2 = S 1 S 1 can be covered
p
by 4 4 neighborhoods. It can be shown that the torus has the equation ( x2 + y2 b)2 + z2 = a2
where 0 < a < b.

14.1.11. E. On the coordinate plane, the union of the two axes is not a

manifold.
14.1.12. E. The real number line R is a manifold, but t 7 t3 is not a

parametrization of this manifold.

14.1.13. There is a another way to consider S n as a manifold, via two stereographic

projections, one from the North Pole and one from the South Pole.
14.1.14. The graph of a smooth function y = f (x) for x (a, b) (a smooth curve)
is a 1-dimensional manifold.
14.1.15. The graph of a smooth function z = f (x, y) (a smooth surface) is a 2-

dimensional manifold.
14.1.16. Show that the hyperboloid x2 + y2 z2 = 1 is a manifold. Is the surface

x2 + y2 z2 = 0 a manifold?
Hint: Graph the surfaces.

14.1.17. a) Consider the union of the curve y = sin 1x , x > 0 and the segment

{(0, y)/ 1 y 1} (the Topologists Sine Curve, see also Section 3.2). Is it a
manifold?
Hint: Consider a neighborhood of a point on the curve on the y-axis. Can it be homeomorphic
to a neighborhood in R?

b) Consider the curve which is the union of the curve y = x3 sin 1x , x , 0 and
y = 0 when x = 0. Is this a parametrization of a manifold?
14.1.18. A connected manifold is path-connected.

80

14. DIFFERENTIABLE MANIFOLDS

14.2. Tangent spaces Derivatives

We will associate with a manifold a tangent space at each of its point.

Tangent spaces and Derivatives on Open sets in Rn . Let U be an open set

in Rk and V be an open set in Rl . Let f : U V be smooth. We define the tangent

spaces of U to be T U x = Rk . We define the derivative of f at x U to be the linear
map
d f x : T U x T V f (x)

f (x + th) f (x)
= J f x h.
t
The derivative d f x is the best linear approximation of f at x.
Some properties of derivatives:
h 7 d f x (h) = limh0

14.2.1. P (The Chain Rule). Let U, V, W be open sets in Rk , Rl , R p re-

spectively, f : U V and g : V W are smooth maps, and y = f (x). Then

d(g f ) x = dgy d f x .
In other words, the following commutative diagram
V @
@@ g
~?
~
@@
~
~
@@
~
~~
/W
U
f

g f

induces the commutative diagram

<
zz
z
z
zz
zz
d fx

T Ux

T Vy

GG
GG dgy
GG
GG
#
/ T Wg(y)

d(g f ) x

14.2.2. P. Let U and V be open sets in Rk and Rl respectively. If f :

U V is a diffeomorphism then k = l and the linear map d f x is invertible (in

other words, the Jacobian J f x is a non-singular matrix).
Tangent spaces of Manifolds.
14.2.3. E. Tangent spaces of graphs of smooth functions, regular curves,

regular surfaces.
14.2.4. D. Let M be an m-dimensional manifold in Rk . Let : U M,

where U is an open set in Rm , be a parametrization of a neighborhood of x = (0).

We define the tangent space of M at x to be the following linear subspace of
k
R:
T M x = d0 (T U0 ) = d0 (Rm ).
T M x is the set of linear combinations of the tangent vectors

xi (0)

xi (0),

1 i m.

Recall that
is the velocity of the curve on M resulting from fixing all
variables other than xi .
14.2.5. P (Independence of tangent spaces on parametrizations).

The tangent space does not depend on the choice of parametrization.

14.2. TANGENT SPACES DERIVATIVES

81

P.
> M `BB 0
BB
~~
~
BB
~
BB
~~
~
~
/ U0
U
01

where 01 is a diffeomorphism.

Notice that the map 01 is to be understood

as follows. We have that (U) 0 (U 0 ) is a neighborhood of x M. Restricting to
1 ((U) 0 (U 0 )), the map 01 is well-defined.

14.2.6. P (Tangent space has same dimensions as manifold). The

tangent space T M x is an m-dimensional linear space.

P. Since is a diffeomorphism, there is a smooth map F from an open set
in Rk to Rm such that F = Id. So dF(0) d0 = IdRm . This implies that the
dimension of the image of d0 is m.

Derivatives of maps on manifolds. Let M Rk and N Rl be manifolds of

dimensions m and n respectively. Let f : M N be smooth. Let x M. There is

a neighborhood W of x in Rk and a smooth extension F of f to W. Recall that dF x
is a linear map from Rk to Rl .
14.2.7. D. The derivative of f at x is defined to be the linear map

d f x : T M x T N f (x)
h 7 d f x (h) = dF x (h).
Observe that d f x = dF x |T Mx .
We need to show that the derivative is well-defined.
14.2.8. P. d f x (h) T M x and does not depend on the choice of F.

P. The commutative diagram

WO

/ l
>R
~
~~
~~ f
~
~
F

U
induces that dF x [d0 (v)] = d( f )0 (v) for v Rm .

14.2.9. R. From the above commutative diagram we can also define d f x by

(14.2.1)

d f x d0 = d( f )0 .

But then we need to show that our definition does not depend on choices of parametrizations.
14.2.10. P (The Chain Rule). If f : M N and g : N P are smooth

functions between manifolds, then

d(g f ) x = dg f (x) d f x .
P. There is a neighborhood of x in Rk and an extension F of f to that
neigborhood. Similarly there is a neighborhood y in Rl and an extension G of g
to that neighborhood. Then d(g f ) x = d(G F) x |T Mx = (dGy dF x )|T Mx =
dGy |T Ny dF x |T Mx = dgy d f x .

14.2.11. R. A proof using Equation (14.2.1) is also possible.

82

14. DIFFERENTIABLE MANIFOLDS

14.2.12. If Id : M M then d(Id) x is Id : T M x T M x .

14.2.13. If M N are two smooth manifolds in Rk then we say that M is a

submanifold of N. In this case T M x T N x .

14.2.14. P. If f : M N is a diffeomorphism then d f x : T M x T N f (x)

is a linear isomorphism. In particular, dim(M) = dim(N).

1
P. Since d f x d f f1
(x) = IdT N f (x) and d f f (x) d f x = IdT M x we deduce, via
the rank of d f x that m n. Doing the same with d f f1
(x) we get m n, hence m = n.
From that d f x must be a linear isomorphism.


14.2.15. Rk and Rl are not diffeomorphic when k , l.

14.2.16. a) Calculate the tangent spaces of S 1 .

b) Calculate the derivative of the map f : (0, 1) S 1 , f (t) = (cos t, sin t).
c) Calculate the derivative of the map f : S 1 R, f (x, y) = ey .
14.2.17. Calculate the tangent spaces of S 2 .
14.2.18. Calculate the tangent spaces of S n .
14.2.19. Calculate the tangent spaces of the hyperboloid x2 + y2 z2 = a, a > 0.
14.2.20. A curve on a manifold M is a smooth map c from an open interval of R to

M. The derivative of this curve is a linear map dc

dt (t0 ) : R T Mc(t0 ) is represented
k
by a vector in R , this vector is called the velocity of the curve at t = t0 , it is exactly
dc
dt (t0 )(1).
Show that any vector in T M x is the velocity vector of a curve in M.
14.2.21. Use Problem 14.2.20 to compute the tangent spaces of S n .
14.2.22 (Cartesian products of manifolds). If X Rk and Y Rl are mani-

folds then X Y Rk+l is also a manifold.

CHAPTER 15

Regular Values
15.1. Regular Values

Let M be a manifold of dimension m and N be manifold of dimension n, and

let f : M N be smooth.
A point x M is called a regular point of f if d f x is surjective. If d f x is not
surjective then we say that x is a critical point of f .
If x is a critical point of f then its value y = f (x) is called a critical value of f .
A value y N is called a regular value if it is not a critical value, that is if
1
f ({y}) contains only regular points.
For brevity we will write f 1 ({y}) as f 1 (y).
Thus y is a critical value if and only if f 1 (y) contains a critical point. In
particular, if y N \ f (M) then f 1 (y) = but y is still considered a regular value.
15.1.1. E. The function f : R2 R, f (x, y) = x2 y2 has (0, 0) as the only

critical point.
15.1.2. E. If f : M N where dim(M) < dim(N) then every x M is a

critical point and every y N is a critical value.

15.1.3. E. Let U be an open interval in R and let f : U R be smooth.

Then x U is a critical point of f if and only if f 0 (x) = 0.

15.1.4. E. Let U be an open set in Rn and let f : U R be smooth. Then

x U is a critical point of f if and only if f (x) = 0.

15.1.5. P (Inverse Function Theorem for manifolds). Let M and N

are two manifolds of the same dimensions, and let f : M N be smooth. If x

is a regular point of f then there is a neighborhood in M of x on which f is a
diffeomorphism.
P.
f

MO

/ N
>
~
~
~
~~
~~ f

U
If d f x is surjective then it is bijective. Then d( f )0 = d f x d0 is an isomorphism.
The Inverse Function Theorem can be applied to f , giving that it is a local
diffeomorphism at 0, so f = ( f ) 1 is a local diffeomorphism at x.

15.1.6. P. If dim(M) = dim(N) and y is a regular value of f then f 1 (y)

is a discrete set. Furthermore if M is compact then f 1 (y) is a finite set.

P. If x f 1 (y) then there is a neighborhood of x on which f is a bijection.
That neighborhood contains no other point in f 1 (y). Thus f 1 (y) is a discrete set.
If M is compact then the set f 1 (y) is compact. If it the set is infinite then
it has a limit point x0 . Because of the continuity of f , we have f (x0 ) = y. That
contradicts the fact that f 1 (y) is discrete.

83

84

15. REGULAR VALUES

15.1.7. P. Let dim(M) = dim(N), M be compact and S be the set of

regular values of f . For y S , let | f 1 (y)| be the number of elements of f 1 (y).

The map
S N
y 7 | f 1 (y)|.
is locally constant.
P. Each x f 1 (y) has a neighborhood U x on which f is a diffeomorT
S
phism. Let V = [ x f 1 (y) f (U x )] \ f (M \ x f 1 (y) U x ). Note that V is open. On
V S the above map is constant.

15.1.8. Let f : R2 R, f (x, y) = x2 y2 . Show that if a , 0 then f 1 (a) is a

1-dimensional manifold, but f 1 (0) is not.

Show that if a and b are both positive or both negative then f 1 (a) and f 1 (b)
are diffeomorphic.
15.1.9. Let f : R3 R, f (x, y) = x2 + y2 z2 . Show that if a , 0 then f 1 (a) is a

2-dimensional manifold, but f 1 (0) is not.

Show that if a and b are both positive or both negative then f 1 (a) and f 1 (b)
are diffeomorphic.
15.1.10. Show that the height function on the sphere S 2 has exactly two critical

points. The height function is the function (x, y, z) 7 z.

15.1.11. If x is a local extremum of f then x is a critical point of f .
15.1.12. If M is compact and f is a smooth real function on M then f has at least

two critical points.

The Preimage Theorem.
15.1.13. T (Preimage of a regular value is a manifold). If y is a regular

value of f : M N then f 1 (y) is a manifold of dimension dim(M) dim(N).

The theorem is essentially the Implicit Function Theorem carried over to manifolds.
P. Let x f 1 (y).
f

MO

/ N
:
tt
t
t
t
t
tt
tt g

Rmn Rn

assuming (0) = x.
Since d f x is onto, dg0 is also onto. By the Implicit Function Theorem applied
to g, after a possible permutation of variables, since g(0, 0) = 0 then there is a
neighborhood UV Rmn Rn of (0, 0) such that on this neighborhood g(u, v) = y
if and only if v = h(u) for a certain function h on U. In other words the equation
g(u, v) = y determine a graph (u, h(u)).
Now we have f 1 (y) = (u, v) = (u, h(u)). Let (u)

= (u, h(u)) then is a

1
diffeomorphism from U to f (y), which is a parametrization of a neighborhood of
(u0 , v0 ) in f 1 (y).

15.1.14. E. S n is a submanifold of Rn+1 .

15.1. REGULAR VALUES

85

15.1.15. E. The torus T 2 is a submanifold of R3 .

15.1.16. Find a diffeomorphism from the open unit ball Dn = B(0, 1) to Rn .
15.1.17. Find the critical points of the function f (x, y, z) = x2 + y2 z2 .
15.1.18. Find the critical points of the function f (x, y, z) = [4x2 (1 x2 ) y2 ]2 +

z2 14 .
15.1.19. If f : M N is smooth and x f 1 (y) is a regular point of f then the

kernel of d f x is exactly T f 1 (y) x .

Lie groups. The set Mn (R) of n n matrices over R can be identified with the
2

Euclidean manifold Rn .
Consider the map det : Mn (R) R. Let A = (ai, j ) Mn (R). Since det(A) =
P
P

i+ j
i, j
S n (1) a1,(1) a2,(2) an,(n) =
j (1) ai, j det(A ), we can see easily that
det is a smooth maps between manifolds.
Let us find the critical points of det. A critical point is a matrix A = (ai, j ) at
which adet
(A) = (1)i+ j det(Ai, j ) = 0 for all i, j. In particular, det(A) = 0. So 0 is
i, j
the only critical value of det.
Therefore SLn (R) = det1 (1) is a manifold of dimension n2 1.
Furthermore we note that the group multiplication in SLn (R) is a smooth map
from SLn (R) SLn (R) to SLn (R). The inverse operation is a smooth map from
SLn (R) to itself, because of for example Formula (14.1.1). We then say that SLn (R)
is a Lie group.
15.1.20. D. A Lie group is a smooth manifold which is also a group, for

which the group operations are compatible with the smooth structure, namely the
group multiplication and inversion are smooth.
Let O(n) be the group of orthogonal n n matrices, the group of linear transformation of Rn that preserves distances.
15.1.21. P. The orthogonal group O(n) is a manifold. Further, it is a Lie

group.
P. Let S (n) be the set of symmetric n n matrices. This is clearly a
2
manifold of dimension n 2+n .
Consider the smooth map f : M(n) S (n), f (A) = AAt . We have O(n) =
f 1 (I). We will show that I is a regular value of f .
We compute the derivative of f at A f 1 (I):
f (A + tB) f (A)
d fA (B) = lim
= BAt + ABt .
t0
t
We note that the tangents spaces of M(n) and S (n) are themselves. To check
whether d fA is onto for A O(n), we need to check that given C S (n) there is a
B M(n) such that C = BAt + ABt . We can write C = 12 C + 12 C, and the equation
1
1
t
2 C = BA will give a solution B = 2 CA, which is indeed a solution to the original
equation.

15.1.22. Show that S 1 is a Lie group.
15.1.23. (a) Check that the derivative of the determinant map det : Mn (R) R is

represented by a gradient vector whose (i, j)-entry is (1)i+ j det(Ai, j ).

(b) Determine the tangent space of SLn (R) at A SLn (R).

86

15. REGULAR VALUES

Hint: Use Problem 15.1.19.

(c) Let I be the n n identity matrix. Show that the tangent space T (SLn (R))I
is the set of n n matrices with zero traces. This is called the Lie algebra sln (R) of
the Lie group SLn (R).
In general if G is a Lie group then the tangent space TGe of G at its identity
element e is called the Lie algebra of G, often denoted by g.

15.2. MANIFOLDS WITH BOUNDARY

87

15.2. Manifolds with Boundary

15.2.1. E. The closed disk Dn is an n-manifold with boundary.

Consider the closed half-space Hn = {(x1 , x2 , . . . , xm ) Rm /xm 0}. The

boundary of Hn is Hn = {(x1 , x2 , . . . , xm ) Rm /xm = 0} = Rm1 0.
15.2.2. D. A subset M of Rk is called a manifold with boundary of di-

mension m if each point in M has a neighborhood which is diffeomorphic to a

neighborhood in Hm .
The boundary M of M is the set of points of M which are mapped to Hm
under the above diffeomorphisms. The complement of the boundary is called the
interior.
We need to check that our definition of the boundary is consistent. An inspection shows that the question reduces to
15.2.3. L. Suppose that f is a diffeomorphism from the closed unit disk Dn =

B0 (0, 1) in Rn to itself. Then f maps interior points to interior points.

P. Suppose that x is an interior point of Dn . Consider f |B(0,1) Rn ,
a function defined on an open set in Rn . By the chain rule d f x is non-singular,
therefore by the Inverse Function Theorem f is a diffeomorphism from from an
open ball containing x onto an open ball containing f (x). Thus f (x) must be an
interior point.

15.2.4. R. There is a stronger result called Invariance of Domain (3.1.34): If

f is a continuous, injective map from an open set U in Rn to Rn then f (U) is open

in Rn .
As a consequence, if f is a continuous, injective map from an open set U in Rn
to Rn then it is a homeomorphism onto its image.
Proofs of this result are either long, or use Algebraic Topology. However the
case n = 1 is simpler: it is easy to show that a continuous injective map on an
interval must be monotonic.
15.2.5. R. The boundary of a manifold is not its topological boundary.

From now on when we talk about a manifold it may be with or without boundary.
15.2.6. P. Let M be an m-manifold with boundary. The boundary of M

is an (m 1)-manifold, and the interior of M is an m-manifold without boundary.

P. Let x M. There is a parametrization from a neighborhood U
of 0 in Hm to a neighborhood V of x in M, such that (0) = x. By definition,
1 (V M) U Hm . By Lemma 15.2.3 (U Hm ) V M. Therefore
|UHm is a parametrization of a neighborhood of x in M.

15.2.7. E. Let f be the height function on S 2 and let y be a regular value.

Then the set f 1 ((, y]) is a disk with the circle f 1 (y) as the boundary.
15.2.8. T. Let M be an m-dimensional manifold without boundary. Let

f : M R be smooth. Let y be a regular value of f . Then f 1 ([y, )) is an

m-dimensional manifold with boundary f 1 (y).

88

15. REGULAR VALUES

P. Let N = f 1 ([y, )).

If x M such that f (x) > y then there is a neighborhood O of x in M such that
f (O) [y, ). Therefore O N, so x is an interior point of N.
The crucial case is when f (x) = y. As in the proof of Theorem 15.1.13, there
is an open ball U in Rm1 containing 0 and an open interval V in R containing
0 such that in U V the set g1 (y) is a graph {(u, v)/v = h(u), u U}. Then a
neighborhood in M of x is parametrized as (u, v) with (u, v) U V, and in that
neighborhood f 1 (y) is parametrized as (u, h(u)) with u U.
f

MO

/R
x<
x
x
xx
xx g
x
x

U V

V
U
F 15.1.
Since (U V) \ g1 (y) consists of two connected components, exactly one of
the two is mapped via g to (y, ). In order to be definitive, let us assume that
it is W = {(u, v)/v h(u)} that is mapped to [y, ). Then : W N is a
parametrization of a neighborhood of x in N. It is not difficult to see that W is
diffeomorphic to an open neighborhood of 0 in Hm . In fact the map W Hm
given by (u, v) 7 (u, v h(u)) would give the desired diffeomorphism. Thus x is a
boundary point of N.

The tangent space of a manifold with boundary M is defined as follows. It x is
an interior point of M then T M x is defined as before. If x is a boundary point then
there is a parametrization : U M, where U is an open neighborhood of 0 in
Hm and (0) = x. Then T M x is still defined as d0 (Rm ).
15.2.9. E. If y is a regular value of the height function on D2 then f 1 (y) is

a 1-dimensional manifold with boundary on D2 .

15.2.10. T. Let M be an m-dimensional manifold with boundary, N an n-

manifold with or without boundary. Let f : M N be smooth. Suppose that y N

is a regular value of f and f |M . Then f 1 (y) is an (m n)-manifold with boundary
M f 1 (y).

15.2. MANIFOLDS WITH BOUNDARY

89

P. If x is an interior point of M then the result is proved in the proof of

Theorem 15.2.8.
The crucial case is x M f 1 (y).

x f

g
U
Hm

T g 1 (y)u
F 15.2.

x f

Hm
T g 1 (y)u
U
F 15.3.
The map g can be extended to g defined on an open neighborhood U of 0 in
As before, g 1 (y) is a graph of a function of (m n) variables so it is an
(m n)-manifold without boundary.
Let p : g 1 (y) R be the projection to the last coordinate (the height function). We have g1 (y) = p1 ([0, )) therefore if we can show that 0 is a regular
value of p then the desired result follows from Theorem 15.2.8 applied to g 1 (y)
and p. For that we need to show that the tangent space T g 1 (y)u at u p1 (0) is
not contained in Hm . Note that since u p1 (0) we have u Hm .
Since g is regular at u, the null space of dg u on T U u = Rm is exactly T g 1 (y)u ,
of dimension m n. On the other hand, g |Hm is regular at u, which implies that
Rm .

90

15. REGULAR VALUES

m
the null space of dg u restricted to T Hm
u = H has dimension (m 1) n. Thus
T g 1 (y)u is not contained in Hm .


CHAPTER 16

The Brouwer Fixed Point Theorem

16.1. The Brouwer Fixed Point Theorem

We use the following theorem of Sard, whose proof is from Analysis:

16.1.1. T (Sard Theorem). Let U be an open subset of Rm and f : U Rn

be smooth. Then the set of critical values of f has Lebesgue measure zero.
As a consequence the set of regular values of f must be dense in Rn .
Also we will also need the classification of compact one-dimensional manifolds:
16.1.2. T (Classification of compact one-dimensional manifolds). A

smooth compact connected one-dimensional manifold is diffeomorphic to either a

circle, in which case it has no boundary, or an arc, in which case its boundary
consists of two points.
16.1.3. L. If M and N are two manifolds and f : M N is smooth then f

has a regular value in N.

P. Suppose the contrary that every y N is a critical value of f . That
implies f is onto N. Let x f 1 (y). Consider the following parametrizations of
neighborhoods of x and y:
f

MO

/ N
O

/V

It follows that every point in U is a critical point of g, and every point in g(U) is a
critical value of g. But g(U) must be a neighborhood in V, and that violates Sard
Theorem.

16.1.4. Show that a smooth loop on S 2 (i.e. a smooth map from S 1 to S 2 ) cannot

cover S 2 . On the other hand there is a continuous loop covering S 2 (space filling
curve).
If N M and f : M N such that f |N = idN then f is called a retraction
from M to N and N is a retract of M.
16.1.5. L. Let M be a compact manifold with boundary. There is no map

f : M M such that f |M = idM . In other words there is no retraction from M

to its boundary.
P. Suppose that there is such a map f . Let y be a regular value of f . Since
f |M is the identity map, y is also a regular value of f |M . By Theorem 15.2.10 the
inverse image f 1 (y) is a 1-manifold with boundary f 1 (y) M = {y}, consisting
of exactly one point. But that is impossible.

91

92

16. THE BROUWER FIXED POINT THEOREM

16.1.6. T (Smooth Brouwer Fixed Point Theorem). A smooth map f :

Dn Dn has a fixed point.

P. Suppose that f does not have a fixed point, i.e. f (x) , x for all x Dn .
The line from h(x) to x will intersect the boundary Dn at a point g(x). We can
check that g is a smooth function Dn . Then g : Dn Dn is smooth and is the
identity on Dn , and that is impossible.

16.1.7. Check that the function g in the proof above is smooth.

Actually the Brouwer Fixed Point Theorem holds true for continuous map. The
proof use the smooth version of the theorem. Since its proof does not use smooth
techniques we will not present it here, the interested reader can find it in Milnors
book [Mil97]. Basically one approximates a continuous function by a smooth one.
16.1.8. T (Brouwer Fixed Point Theorem). A continuous map f : Dn

Dn has a fixed point.

16.1.9. Find a smooth map from the solid torus to itself without fixed point.
16.1.10. Prove the Brouwer fixed point theorem for [0, 1] directly.
16.1.11. Show that the Brouwer fixed point theorem is not correct for (0, 1).
16.1.12. Show that the Brouwer fixed point theorem is not correct for open balls

in Rn .
Hint: Let be a diffeomorphism from Bn to Rn . Let f be any smooth map on Rn . Consider the
map 1 f .

16.1.13. Let A be an n n matrix whose entries are all nonnegative.

Av
brings the first quadrant
a) Check that the map A : S n1 S n1 , v 7 ||Av||
n1
Q = {(x1 , x2 , . . . , xn ) S /i, xi 0} to itself.
b). Prove that Q is homeomorphic to the closed ball Dn1 .
c). Derive a theorem of Frobenius that A must have a nonnegative eigenvalue.

CHAPTER 17

Oriented Manifolds The Brouwer degree

17.1. Orientation
Orientation on vector spaces. On a finite dimensional real vector space, two

bases are said to determine the same orientation of the space if the change of bases
matrix has positive determinant. Being of the same orientation is an equivalence
relation on the set of bases. With it the set bases is divided into two equivalence
classes. If we choose one of the two as the positive one, then we say the vector
space is oriented. Thus any finite dimensional real vector space is orientable.
17.1.1. E. The standard positive orientation of Rn is represented by the basis

{e1 = (1, 0, . . . , 0), e2 = (0, 1, 0, . . . , 0), . . . , en = (0, . . . , 0, 1)}.

Let T be an isomorphism of a finite dimensional real vector space V. Then T
brings a basis of V to a basis of V. The change of base matrix is exactly the matrix
[T ] representing T . So when det([T ]) > 0 we say that T is orientation-preserving,
and if det([T ]) < 0 we say that T is orientation-reversing.
Orientation on manifolds. A manifold M is said to be oriented if for each point

x an orientation for T M x is chosen and x has a neighborhood parametrized by a

map : U M such that the derivative dy brings the positive orientation of Rn
to the positive orientation on T My for all y (U).
equivalently, a manifold M is said to be oriented if there is a consistent way to
orient the tangent spaces of the manifold. By consistency (i.e. being well-defined)
we mean that when two parametrized neighborhood overlap the orientations on the
tangent spaces induced by the parametrizations must be the same.
Suppose that : U M and 0 : U 0 M are two overlapping parametrizations. At each point, the orientation on T M(x) is given by the image of the standard



(x),
(x),
.
.
.
,
(x)
. Since
basis of Rn via d(x), i.e. it is given by the basis x
x
x
1
2
n
0
0
1
d = d( ) d, the requirement is that the determinant of the change of
base matrix d(0 1 ) must be positive. We can say that the change of coordinates
must be orientation preserving.
If a manifold could be oriented then we say that it is orientable. A connected
orientable manifold could be oriented in two ways.
Orientation on the boundary of an oriented manifold. Suppose that M is a

manifold with boundary and the interior of M is oriented. We orient the boundary
of M as follows. Suppose that under an orientation-preserving parametrization
the point (x) is on the boundary M of M. Then the orientation {b2 , b3 , . . . , bn }
of Hn such that the ordered set {en , b2 , b3 , . . . , bn } is a positive basis of Rn will
induce the positive orientation for T M(x) through d(x). This is called the outer
normal first orientation of the boundary.

93

94

17. ORIENTED MANIFOLDS THE BROUWER DEGREE

17.2. Brouwer Degree

Let M and N be boundaryless, oriented manifold of dimension m. Let M be

compact and N be a connected.
Let f : M N be smooth. Suppose that x is a regular point of f . Then
d f x is an isomorphism from T M x to T N f (x) . Let sign(d f x ) = 1 if d f x preserves
orientations, and sign(d f x ) = 1 otherwise.
For any regular value y N, let
X
deg( f, y) =
sign(d f x ).
x f 1 (y)

The sum is a finite sum because of Proposition 15.1.6.

As in the proof of Proposition 15.1.7, every regular value y has a neighborhood
V such that every x f 1 (y) has a neighborhood U on which f is a diffeomorphism
onto V. Since d f x is continuous, its sign does not change in U.
Thus deg( f, y) counts the algebraic number of times f covers the value y.
17.2.1. E. Consider f : R R, f (x) = x2 . Then f 1 (1) = {1, 1}, and

deg( f, 1) = 0. This could be explained as f covers the value 1 twice in opposite

directions.
The situation is similar if we consider the projection from the graph of f to the
y-axis and the regular value (0, 1).
17.2.2. Let p : R R be a polynomial of degree n. Let y be a regular value of p.

Show that deg(p, y) = n mod 2.

17.2.3. Let f : S 1 S 1 , f (z) = zn , where n Z. We can also consider f as a

vector-valued function f : R2 R2 , f (x, y) = ( f1 (x, y), f2 (x, y)). Then f = f1 +i f2 .

(a) Recalling the notion of complex derivative and the Cauchy-Riemann condition, check that det(J fz ) = | f 0 (z)|2 .
(b) Check that all values of f are regular.
(c) Check that deg( f, y) = n for all y S 1 .
Using Proposition 15.1.7 we have:
17.2.4. P. deg( f, y) is locally constant on the set of regular values of f .
17.2.5. L. Let M be the boundary of a compact oriented manifold X and M is

oriented as the boundary of X. If f : M N extends to a smooth map F : X N

then deg( f, y) = 0 for every regular value y.
P. (a) Assume that y is a regular value of F. Then F 1 (y) is a 1-dimensional
manifold of dimension 1 whose boundary is F 1 (y) M = f 1 (y), by Theorem
15.2.8.
By the Classification of one-dimensional manifolds, F 1 (y) is the disjoint union
of arcs and circles. Let A be a component that intersects M. Then A is an arc with
boundary {a, b} M.
We will show that sign(det(d fa )) = sign(det(d fb )). Taking sum over all arc
components of F 1 (y) would give us deg( f, y) = 0.
An orientation on A. Let x A. Recall that T A x is the kernel of dF x :
T X x T Ny . We will choose the orientation on T A x such that this orientation
together with the pull-back of the orientation of T Ny via dF x is the orientation
of X. Let (v2 , v3 , . . . , vn+1 ) be a positive basis for T Ny . Let v1 T A x such that

17.2. BROUWER DEGREE

95

1
{v1 , dF 1
x (v2 ), . . . , dF x (vn+1 )} is a positive basis for T X x . Then v1 determine the
positive orientation on T A x .
At x = a or at x = b we have d f x = dF x |T Mx . Therefore d f x is orientationpreserving on T M x oriented by the basis {d f x1 (v2 ), . . . , d f x1 (vn+1 )}.
We claim that exactly one of the two above orientations of T M x at x = a or
x = b is opposite to the orientation of T M x as the boundary of X. This would show
that sign(det(d fa )) = sign(det(d fb )).
Observe that if at a the orientation of T Aa is pointing outward with respect to
X then b the orientation of T Ab is poiting inward, and vice versa. Indeed, since
A is a smooth arc it is parametrized by a smooth map (t) such that (0) = a and
(1) = b. If we assume that the orientation of T A(t) is given by 0 (t) then it is clear
that at a the orientation is inward and at b it is outward.
(b) Suppose now that y is not a regular value of F. There is a neighborhood
of y in the set of regular values of f such that deg( f, z) does not change in this
neighborhood. Let z be a regular value of F in this neighborhood, then deg( f, z) =
deg(F, z) = 0 by (a), and deg( f, z) = deg( f, y). Thus deg( f, y) = 0.


17.2.6. L. If f is smoothly homotopic to g then deg( f, y) = deg(g, y) for any

common regular value y.

P. Let I = [0, 1] and X = M I. Since f be homotopic to g there is a
smooth map F : X N such that F(x, 0) = f (x) and F(x, 1) = g(x).
The boundary of X is (M {0}) t (M {1}). Then F is an extension of the pair
f, g from X to X, thus deg(F, y) = 0 by the above lemma.
Note that one of the two orientations of M {0} or M {1} as the boundary of
X is opposite to the orienation of M (this is essentially for the same reason as in
the proof of the above lemma). Therefore deg(F, y) = (deg( f, y) deg(g, y)) = 0,
so deg( f, y) = deg(g, y).

17.2.7. T. The Brouwer degree does not depend on the choice of regular

values and is invariant under smooth homotopy.

To prove this theorem we use the Homogeneity Lemma:
17.2.8. L (Homogeneity). Let M be a connected manifold. Let y and z be

arbitrary interior points of M. Then there is a diffeomorphism h : M M that is

smoothly isotopic to the identity and carries y into z.
P T 17.2.7. We already showed that degree is invariant under
homotopy.
Let y and z be two regular values for f : M N. Choose a diffeomorphism h
from N to N that is isotopic to the identity and carries y to z.
Note that h preserves orientation. Indeed, there is a smooth isotopy F : N
[0, 1] N such that F0 = h and F1 = id. Let x M, and let : Rm M be
an orientation-preserving parametrization of a neighborhood of x with (0) = x.
Since dFt (x) d0 : Rm R is smooth with respect to t, the sign of dFt (x) does not
change with t.
As a consequence, deg( f, y) = deg(h f, h(y)).
Finally since h f is homotopic to id f , we have
deg(h f, h(y)) = deg(id f, h(y)) = deg( f, h(y)) = deg( f, z).


96

17. ORIENTED MANIFOLDS THE BROUWER DEGREE

17.2.9. What happens if we drop the condition that N is connected?

17.2.10. Let M and N be oriented boundaryless manifolds, M is compact and N

is connected. Let f : M N. Show that if deg( f ) , 0 then f is onto.

17.2.11. E. Let M be a compact, oriented and boundaryless manifold. Then

the degree of the identity map on M is 1.

17.2.12. E. Let M be a compact, oriented and boundaryless manifold. Then

the degree of the identity map on M is 0.

A proof of the Brouwer fixed point theorem via the Brouwer degree.
17.2.13. Let M be a compact, orientable, connected and boundaryless manifold.

Show that the identity map on M is not homotopic to the constant map on M.
P B . We can prove that Dn+1 cannot
retract to its boundary (Proposition 16.1.5 for the case of Dn+1 ) as follows. Suppose
that there is a smooth map f : Dn+1 S n that is the identify on S n . Define
F : S n [0, 1] by F(t, x) = f (tx), then F is a smooth homotopy from a constant
map to the identity map on the sphere.

17.2.14. Let ri : S n S n be the reflection map

ri ((x1 , x2 , . . . , xi , . . . , xn+1 )) = (x1 , x2 , . . . , xi , . . . , xn+1 ).

Show that deg(ri ) = 1.
17.2.15. Suppose that M, N, P are compact, oriented, connected, boundaryless mf

manifolds. Let M N P. Then deg(g f ) = deg( f ) deg(g).

17.2.16. Let r : S n S n be the antipodal map

r((x1 , x2 , . . . , xn+1 )) = (x1 , x2 , . . . , xn+1 ).

Show that deg(r) = (1)n+1 .
17.2.17. Let f : S 4 S 4 , f ((x1 , x2 , x3 , x4 , x5 )) = (x2 , x4 , x1 , x5 , x3 ). Find

deg( f ).
17.2.18. Show that any polynomial of degree n gives rise to a map from S 2 to

itself of degree n.
17.2.19. Find a map from S 2 to itself of any given degree.
17.2.20. If f, g : S n S n be smooth such that || f (x) g(x)|| < 2 for all x S n

then f is smoothly homotopic g.

Hint: Note that f (x) and g(x) will not be antipodal points. Use the homotopy
Ft (x) =

(1 t) f (x) + tg(x)
||(1 t) f (x) + tg(x)||

17.2.21. Let f : M S n be smooth. Show that if dim(M) < n then f is homotopic

to a constant map.
Hint: Using Sard Theorem show that f cannot be onto.

17.2.22 (Brouwer fixed point theorem for the sphere). Let f : S n S n be

smooth. If deg( f ) , (1)n+1 then f has a fixed point.

Hint: If f does not have a fixed point then f will be homotopic to the reflection map.

17.2. BROUWER DEGREE

97

17.2.23. Show that any map of from S n to S n of odd degree carries some pair of

antipodal points to a pair of antipodal point.

98

17. ORIENTED MANIFOLDS THE BROUWER DEGREE

17.3. Vector Fields

17.3.1. D. A (smooth) (tangent) vector field on a boundaryless manifold

M Rk is a smooth map v : M Rk such that v(x) T M x for each x M.

17.3.2. E. Let v : S 1 R2 , v((x1 , x2 )) = (x2 , x1 ) is a nonzero (not zero

anywhere) tangent vector field on S 1 .

17.3.3. E. Find a nonzero tangent vector field on S n with odd n.
17.3.4. T (The Hairy Ball Theorem). There is no smooth nonzero tangent

vector field on S 2n .
P. Suppose that v is a nonzero tangent smooth vector field on S 2n . Let
v(x)
, then w(x) is a unit smooth tangent vector field on S n .
w(x) = ||v(x)||
Let Ft (x) = cos t x + sin t w(x) with 2 t 2 . Then F is a homotopy from
x to x. But the degree of the two maps are different.

This theorem can be described cheerfully as that on your head there must be a
place with no hair!

FURTHER READING

99

Further Reading

We have been closely following John Milnors masterpiece [Mil97]. There are
not many textbooks for Differential Topology at this level. Another excellent text
is [GP74].
More advanced texts include [Hir76], [DFN85].

Part 4

Differential Geometry

Guide for Reading

The best textbook for this course is the book of do Carmo [dC76].

CHAPTER 18

Regular Surfaces
18.1. Regular Surfaces
18.1.1. D. A subset S of R3 is a regular surface if for each p in S there is

a open neighborhood V of p in S with a local parametrization r from an open set

U R2 onto V such that
(1) r is smooth.
(2) r is a homeomorphism.
(3) dr(q) is injective for all q U.
The second condition in the definition expresses that r is a parametrization of
a neighborhood of a point on the surface. A point which is often overlooked is that
r being injective is not enough for that purpose.
The third condition means that if r is written as r(u, v) = (x(u, v), y(u, v), z(u, v))
then the two tangent vectors r/u and r/v are not parallel at each point. So the
third condition means that we can define the tangent plane at every point on the
surface.
18.1.2. E. The sphere S 2 and the torus T 2 are regular surfaces.
18.1.3. T (A graph is a regular surface). If U is an open set in R2 and

f : U R is smooth then the graph of f is a regular surface.

P. In this case the parametrization is r : U R3 , r(x, y) = (x, y, f (x, y)).

18.1.4. T (A regular surface is locally a graph). Every point on a regular

surface has a neighborhood which is the graph of a smooth function.

P. Let p be a point on a regular surface S having a neighborhood V
parametrized by r : U V such that r(u, v) = (x, y, z) and r(u0 , v0 ) = p.
  (y, z)
  (z, x)

 (x, y)
(u0 , v0 ), 
(u0 , v0 ), 
(u0 , v0 )
Since rankdr(u0 , v0 ) is 2, one of 
(u, v)
(u, v)
(u, v)
is nonzero.
 (x, y)

Lets assume that 
(u0 , v0 ) is nonzero. According to the Inverse Func(u, v)
tion Theorem, there is a neighborhood W U of (u0 , v0 ) such that on W the
correspondence : (u, v) (x, y) is a diffeomorphism onto (W). Then r 1 :
(W) V is a parametrization of a neighborhood r(W) of p, since r is a homeomorphism.

18.1.5. E. The surface z2 = x2 + y2 , z 0 is not a regular surface. If is

was, in a neighborhood of (0, 0, 0) it must have been the graph of a function. That
p
function could only be f (x, y) = x2 + y2 , but this function is not smooth.
18.1.6. R. In this proof further note that r1 on r(W) is the restriction of the

smooth map 1 on (W) R to r(W), where is the projection to the x and

y coordinates. Therefore r on W is a diffeomeorphism. This means that each point
103

104

18. REGULAR SURFACES

on a regular surface has a neighborhood diffeomorphic to a neighborhood in R2 .

Thus the notion of regular surface is exactly the notion of two-dimensional smooth
manifold imbedded in R3 .
18.1.7. R. If r is a smooth map from an open set U in R2 to R3 such that

its derivative is injective at every point then it is called an immersion in standard

terminology. It is not possible to drop the condition that the parametrization is a
homeomorphism. If it is only an injective immersion then a situation as follow
might occur. We do not wish to regard it as a manifold.

F 18.1. Not a manifold

18.1.1. Regular Values. This is a special case of the Preimage Theorem 15.1.13.

It is essentially the Implicit Function Theorem.

18.1.8. T (Preimage of a regular value is a regular surface). If U is an

open set in R3 and f : U R is smooth, and a is a regular value of f then f 1 (a)

is a regular surface.
The proof is easier since here we do not need to parametrize U.
18.1.9. E. The sphere, the ellipsoid, the torus are regular surfaces.
18.1.10. E. The map (sin cos , sin sin , cos ) with 0 < < 2 and

0 < < is a parametrization of a neighborhood of S 2 . However it is not easy to

check that the inverse map from (x, y, z) to (, ) is continuous.
The following theorem gives us a way to overcome the difficulty.
18.1.11. T. Let S be a regular surface. Suppose that r is an injective smooth

map from an open set U in R2 to S such that dr is injective at every point in U.

Then r is a parametrization.
P. Let p r(U). Since S is a regular surface, there is a neighborhood V
of p in S such that V is a graph of a function (x, y, f (x, y) on an the open set (V)
where is the projection (x, y, z) (x, y).


18.2. THE FIRST FUNDAMENTAL FORM

105

18.2. The First Fundamental Form

Let E = g11 = hru , ru i, F = g12 = hru , rv i, and G = g22 = hrv , rv i.

Suppose that (t) = r(x(t), y(t)) with (0) = p is a smooth curve passing
through p S .
Then we have the length of the tangent vector 0 (0) is:
h0 (0), 0 (0)i = hru u0 + rv v0 , ru u0 + rv v0 i = g11 u02 + 2g12 u0 v0 + g22 v02 .
Therefore the length of a curve on the surface could be expressed through the
smooth functions g11 , g12 , g21 = g12 , g22 .
s(t) =

| ()| d =

t0

q
g11 u02 + 2g12 u0 v0 + g22 v02 d.

t0

In the basis {ru , rv } of T p S , the product of the two vectors a = (a1 , a2 ) and
b = (b1 , b2 ) is
ha, bi = a1 a2 g11 + a1 b2 g12 + a2 b1 g21 + a2 b2 g22 .
This is a symmetric bilinear form. Indeed this form could be written as

g11 g12 b1
.
I(a, b) = (a1 , a2 )
g21 g22 b2

g11 g12

then I(a, b) = aT Gb.

Or if we let G =
g21 g22

f 2 + 1
18.2.1. E. In the case the surface is a graph z = f (x, y) then G = x
f x fy

f x fy

fy2 + 1

18.2.2. E. Under certain parametrizations the cylinder and the plane have

the same first fundamental forms.

18.2.1. Surface area. In Advanced Calculus the area of the region V = r(U) on

the surface is defined to be

A(V) =

|ru rv |.
U

It can be verified directly from the change of variable formula for integration
that this definition does not depend on the parametrization.
Using the formula |a b|2 = |a|2 |b|2 ha, bi2 , we get the familiar formula
Z q
g11 g22 g212 .
A(V) =
U

106

18. REGULAR SURFACES

18.3. Orientable Surfaces

For a general theory, see the part on Differential Topology of this note.
A surface is orientable if there is a consistent way to orient its tangent spaces.
A surface is two-sided if there is a smooth way to choose a unit normal vector
N(p) at each point p S . That is, the map N : S R3 is smooth.

F 18.2. The Mobius band is not orientable and is one-sided.

18.3.1. P. A surface is orientable if and only if it is two-sided.

P. If the surface is orientable then its tangent spaces could be oriented

ru rv
smoothly. That means the unit normal vector
is well-defined on the sur||ru rv ||
face, and it is certainly smooth.
Conversely, if there is a smooth unit normal vector N(p) on the surface then
we can parametrize a neighborhood of any point by a parametrization r(u, v) such
that ru rv is in the same direction with N (if the given parametrization gives the
reversed orientation we can just switch the variables u and v). This can be done if
we choose the neighborhood to be connected, since then hru rv , Ni will always be
positive in that neighborhood.

18.3.2. The sphere is orientable.
18.3.3. A graph is an orientable surface. Any surface which could be parametrized

by one parametrization is orientable.

18.3.4. P. If f : R3 R is smooth and a is a regular value of f then

f 1 (a) is an orientable surface.

P. In Multi-variable Calculus we know that the gradient vector f (p) is
always perpendicular to the level set containing p.

18.3.5. The torus is orientable.
Hint: This can be seen from an implicit equation of the torus, or as follows. Let Let (t) be a
curve on the torus. Let 1 (t) be the circle on the xOy plane with 1 (t) in the plane spanned by (t)
and the z-axis. Show that (t) 1 (t) is perpendicular to (t), noting that it is already perpendicular
to 1 (t).

18.3.6. Two diffeomorphic surfaces are either both orientable or both un-orientable.
Hint: d( f r) = d f dr and r01 r = ( f r0 )1 ( f r).

18.4. THE GAUSS MAP

107

18.4. The Gauss Map

Let S be an oriented surface with a smooth unit normal vector field N chosen.
A measure of the curvature of the surface is the rate of change of the direction
of the tangent plane T S p of S , that is the rate of change dN(p) of the unit normal
vector N(p).
We have a map N : S S 2 where N(p) is the unit normal vector at the point
p.
Consider dN p : T S p T S 2N(p) . Since T S 2N(p) is the plane perpendicular to
N(p), it is exactly T S p . Thus dN p is a linear map from T S 2N(p) to itself called the
Gauss map.
18.4.1. Self-adjoint Maps. Let T be a linear map on a complex finite dimen-

sional vector space V. The adjoint map T of T is defined to be the unique linear
map T such that hT v, wi = hv, T wi for all v, w V.
T is said to be self-adjoint if T = T .
18.4.1. If {e1 , e2 , . . . , en } is an orthonormal basis of V then the matrix [T ] repret

senting T in this basis is [T ] = [T ] , the complex conjugate transpose of [T ]. The

t
map T is self-adjoint if and only if [T ] = [T ].
18.4.2. On the real field, a self-adjoint map is represented in an orthonormal basis

by a symmetric matrix.
18.4.3. The eigenvalues of a self-adjoint linear map are real numbers.
vi.
Hint: hT v, vi = hv, vi = hv, T vi = hv,

18.4.4. Two eigenvectors corresponding to two different eigenvalues of a self-

adjoint map are orthogonal.

Hint: hT v1 , v2 i = 1 hv1 , v2 i = hv1 , T v2 i = 2 hv1 , v2 i.

18.4.5. P. The Gauss map is self-adjoint.

P. We have
hdN p (ru ), rv i = h(N r)u , rv i = hN r, rv iu hN r, ruv i = hN r, rvu i.
Similarly hru , dN p (rv )i = hN r, ruv i.

Associated with a self-adjoint map A is a symmetric bilinear form B(x, y) =

hAx, yi and a quadratic form Q(x) = B(x, x) = hAx, xi.
The map dN is called the Weingarten map and the quadratic form II associated to it is called the second fundamental form. This form is represented by the
matrix bi j = hN(p), rui u j (p)i.

Bibliography
[Bre93]

Glen E. Bredon, Topology and Geometry, Graduate Texts in Mathematics, vol. 139,
Springer, 1993.
[Cai94]
George L. Cain, Introduction to general topology, Addison-Wesley, 1994.
[Con90] John B. Conway, A course in functional analysis, Springer-Verlag, 1990.
[dC76]
Manfredo do Carmo, Differential geometry of curves and surfaces, Prentice-Hall, 1976.
[DFN85] Boris A. Dubrovin, Anatoly T. Fomenko, and Sergey P. Novikov, Modern Geometry
Methods and Applications, Part II, Graduate Texts in Mathematics, vol. 104, SpringerVerlag, 1985.
[DFN90]
, Modern GeometryMethods and Applications, Part III, Graduate Texts in Mathematics, vol. 124, Springer-Verlag, 1990.
[Duc01] Duong Minh Duc, Topo, Nha Xuat Ban Dai hoc Quoc gia Thanh pho Ho Chi Minh, 2001.
[Dug66] James Dugundji, Topology, Allyn and Bacon, 1966.
[GP74]
Victor Guillemin and Alan Pollack, Differential topology, Prentice-Hall, 1974.
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Morris W. Hirsch, Differential Topology, Graduate Texts in Mathematics, vol. 33,
Springer, 1976.
[HY61]
John G. Hocking and Gail S. Young, Topology, Dover, 1961.
[Kel55]
John L. Kelley, General topology, Van Nostrand, 1955.
[Lan93] Serge Lang, Algebra, 3 ed., Addison-Wesley, 1993.
[Mil97]
John Milnor, Topology from the differentiable viewpoint, Princeton landmarks in Mathematics and Physics, Princeton University Press, 1997.
[MR90] Jan Mill and George Reed (eds.), Open problems in topology, North-Holland, 1990.
[Mun00] James Munkres, Topology a first course, 2nd ed., Prentice-Hall, 2000.
[Ros99] Dennis Roseman, Elementary topology, Prentice-Hall, 1999.
[Rud86] Walter Rudin, Real and complex analysis, 3 ed., McGraw Hill, 1986.
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Michael Spivak, Calculus on manifolds, Addison-Wesley, 1965.
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problem textbook, preprint, 2008.

109

Index

immersion, 58, 104

interior, 18
Invariance of Domain, 24, 61

Axiom of Choice, 8
basis, 12
boundary, 18
Brouwer Fixed Point Theorem, 92

Jacobian, 77
Jordan Curve Theorem, 28

Cantor diagonal argument, 5

Cantor-Bernstein-Schroeder Theorem, 6
Cartesian product, 4
chart, 78
Classification of compact one-dimensional
manifolds, 91
closure, 18
compact, 35
compactification, 45
Alexandroff, 45
Hausdorff, 45
one-point, 45
continuous map, 15
Continuum Hypothesis, 6
convergent, 31
coordinate system, 78
critical point, 83
critical value, 83
crosscap, 70
curve on a manifold, 82

Klein bottle, 58
Lie algebra, 86
Lie group, 85
loop, 67
manifold
with boundary, 87
orientable, 93
smooth, 78
topological, 61
map
closed, 15
discrete, 23
open, 15
metric
equivalent, 13
Mobius band, 57, 106
neighborhood, 11
net, 31
universal, 44

derivative, 81
diffeomorphism, 77, 78
distance
between two sets, 29

order
dictionary, 8

embedding, 16
Euler Characteristics, 73

parametrization, 78
path, 25
composition, 25
inverse, 25
point
contact, 18
interior, 18
limit, 18
projective plane, 57
projective space, 58

finite intersection property, 36

fundamental group, 68
Gauss map, 107
Hairy Ball Theorem, 98
handle, 70
Hausdorff Maximality Principle, 8
Hilbert cube, 43
homeomorphism, 15
homotopy, 67

regular point, 83
regular value, 83
retract, 51, 91
retraction, 91

imbedding, 16
111

112

Riemann sphere, 46
Sard Theorem, 91
second fundamental form, 107
separation axioms, 29
set
cardinal, 6
closed, 11
countable, 4
directed, 31
equivalence, 4
indexed family, 3
open, 11
ordered, 8
well-order, 8
space
completely regular, 47
first countable, 32
Hausdorff, 29
locally compact, 45
Niemytzki, 51
normal, 29
quotient, 55
regular, 29
tangent, 80
Space Filling Curve, 28
stereographic projection, 4
Stone-Cech compactification, 47
subbasis, 12
support, 51
surface
closed, 70
connected sum, 69
fundamental polygon, 70
genus, 73
two-sided, 106
Tiestze Extension Theorem, 50
topological dimension, 24
topological space
connected, 21
connected component, 22
Topologists Sine Curve, 26
topology
coarser, 13
discrete, 11
Euclidean, 11
finer, 13
finite complement, 11
order, 12
product, 39
quotient, 55
relative, 18
subspace, 18
trivial, 11
Zariski, 41
torus, 56

INDEX

Urysohn Lemma, 49
Urysohn Metrizability Theorem, 53
vector field, 98
Weingarten map, 107
Zorn Lemma, 8

You may think Im a dreamer

But Im not the only one
I hope someday youll join us . . .
John Lennon, Imagine.