Bourbaki

§ 3. Commutative Banach algebras

In this section, the base field is C\mathbf{C}.

1. Characters of a commutative Banach algebra

Theorem 1 027P

Let A be a Banach algebra and let χ:A→C\chi : A\rightarrow \mathbf{C} be an algebra morphism (cf. I, p. 9). Then χ\chi is continuous, of norm at most 1. If A is unital and if χ\chi is a unital morphism, then χ\chi is of norm 1.

Let us prove that ∣χ(x)∣⩽∥x∥|\chi (x)|\leqslant \|x\| for every x∈x\in A. Replacing A, if necessary, by the Banach algebra generated by xx, we may suppose that A is commutative; then, χ∈X′(A)\chi \in \mathsf{X}'(A). For every x∈Ax\in A, one has χ(x)∈\chi (x)\in SpA′(x)'_A(x) (I, p. 9, No.o7^o7), hence ∣χ(x)∣⩽ϱ(x)⩽∥x∥(|\chi (x)|\leqslant \varrho (x)\leqslant \|x\|(I, p. 28, cor. 5), whence the first assertion.

If, moreover, A is unital, the equality χ(1)=1\chi (1) = 1 implies that ∥χ∥⩾1\|\chi \|\geqslant 1, whence the required equality.

Remark 027Q

Let A be a commutative Banach algebra. It follows from this theorem that the topology of simple convergence on X′(A)\mathsf{X}'(A) coincides with the restriction to X′(A)\mathsf{X}'(A) of the weak topology σ(A′,A)\sigma (A',A) of the dual A′A' of A.

Corollary 027R

Let A be a commutative Banach algebra. The space X′(A)\mathsf{X}'(A) is compact. The space X(A)\mathsf{X}(A) is locally compact, and is compact if A admits a unit element.

Let A′A' be the dual of the Banach space A. Its unit ball A1′A'_1 is weakly compact (EVT, III, p. 17, cor. 2). By Theorem 1, one has X′(A)⊂A1′\mathsf{X}'(A)\subset A'_1. Moreover, X′(A)\mathsf{X}'(A) is closed in A′A' for the weak topology, because it is the intersection of the weakly closed sets

Xx,y={f∈A′∣f(xy)−f(x)f(y)=0}X_{x,y}=\{f\in A'|f(xy)-f(x)f(y) = 0\} (for x,y∈Ax,y\in A).

It follows that X′(A)\mathsf{X}'(A) is compact and that X(A)=X′(A)−{0}\mathsf{X}(A) =\mathsf{X}'(A)-\{0\} is locally compact.

If A admits a unit element 1, then X(A)\mathsf{X}(A) is the set of χ∈\chi \in X′(A)\mathsf{X}'(A) such that χ(1)=1\chi (1) = 1, and is therefore a closed subset, and hence compact, of X′(A)\mathsf{X}'(A).

Every compact space is homeomorphic to X(A)\mathsf{X}(A) for a suitable commutative unital Banach algebra A (cf. I, p. 32, cor. 2).

Theorem 2 027S

Let A be a commutative Banach algebra. The mapping χ↦\chi \mapsto Ker(χ\chi ) is a bijection of X(A)\mathsf{X}(A) onto the set J(A) of regular maximal ideals of A.

Let I be a regular maximal ideal of A. It is closed (I, p. 22, cor. 2), hence A/IA/I is a Banach algebra. Since it is a field (A, VIII, p. 426, prop. 2), the Gelfand-Mazur theorem (I, p. 26, cor. 2) implies that A/IA/I is of dimension 1 over C\mathbf{C}. Hence I is of codimension 1 in A. The theorem then follows from Lemma 3 of I, p. 10.

It may happen that a nonzero commutative Banach algebra A, without a unit element, has no maximal ideal; then X′(A)\mathsf{X}'(A) is reduced to {0}(\{0\}(cf. I, p. 186, exercise 31).

This theorem shows that the sets J(A) and A^\widehat{A} of I, p. 11, which are identified since A is commutative, may also be identified with the set X(A)\mathsf{X}(A). There is therefore reason to consider on X(A)\mathsf{X}(A) the weak topology, and the Jacobson topology which is less fine (I, p. 15, prop. 5). The closed sets V(M) of the Jacobson topology, for M⊂AM\subset A, are the sets

{χ∈X(A)∣χ(M)=0} \{\chi \in \mathsf{X}(A)|\chi (M) = 0\}

of X(A)\mathsf{X}(A), which will sometimes still be denoted by V(M). Similarly, for every subset M of X(A)\mathsf{X}(A), we shall denote by Υ(M) the ideal intersection of the kernels of the χ∈M\chi \in M; it is equal to the set Υ(M′)\Upsilon (M') defined in I, p. 13 for the subset M′⊂J(A)M'\subset J(A) corresponding to M when J(A) and X(A)\mathsf{X}(A) are identified.

When a topological notion is used in X(A)\mathsf{X}(A) without specifying which topology is meant, it will always be the weak topology.

2. Continuous functions vanishing at infinity on a locally compact space

In this number, X is a locally compact space. One denotes by C0(X)\mathscr{C}_0(X) the commutative Banach algebra of complex-valued continuous functions tending to 0 at infinity on X, endowed with the norm ∥f∥=\|f\|= supx∈X∣f(x)∣_{x\in X}|f(x)|

(Example 3 of I, p. 17).

Proposition 1 027T

For every closed subset Φ of X, let IΦI_{\Phi} be the set of f∈C0(X)f\in \mathscr{C}_0(X) that are zero on Φ. Then Φ↦IΦ\Phi \mapsto I_{\Phi} is a bijection of the set of closed subsets of X onto the set of closed ideals of C0(X)\mathscr{C}_0(X).

The set IΦI_{\Phi} is a closed ideal of C0(X)\mathscr{C}_0(X).

Let Φ≠Φ′\Phi \not= \Phi ' be closed subsets of X. Exchanging Φ and Φ′\Phi ' if necessary, we may suppose that there exists x∈Φ′x\in \Phi ' such that x∉Φx\notin \Phi, and then there exists a function f∈C0(X)f\in \mathscr{C}_0(X) which is zero on Φ and non-zero at xx (TG, IX, p. 43, prop. 1). We have f∈IΦf\in I_{\Phi} and f∉IΦ′f\notin I_{\Phi'}, so that the mapping Φ↦IΦ\Phi \mapsto I_{\Phi} is injective.

Let I be a closed ideal of C0(X)\mathscr{C}_0(X). Let Φ be the set of x∈Xx\in X such that f(x)=0f(x) = 0 for every f∈If\in I; this is a closed subset of X, and one has I⊂IΦI\subset I_{\Phi}. Let us prove that IΦ⊂II_{\Phi}\subset I, which will imply that I=IΦI = I_{\Phi} and complete the proof of the proposition.

Let f∈IΦf\in I_{\Phi}. For every real number ε>0\varepsilon >0, let CεC_{\varepsilon} denote the set of x∈Xx\in X such that ∣f(x)∣⩾ε|f(x)|\geqslant \varepsilon. Since ff tends to 0 at infinity, the set CεC_{\varepsilon} is compact. Let x∈Cεx\in C_{\varepsilon}; since f(x)≠0f(x)\not= 0 and f∈IΦf\in I_{\Phi}, one has x∉Φx\notin \Phi; by definition of Φ, there then exists a function φx∈I\varphi_x\in I such that ∣φx(x)∣>1|\varphi_x(x)|>1, hence such that ∣φx(y)∣>1|\varphi_x(y)|>1 for every yy belonging to a neighbourhood VxV_x of xx. The open sets Vx∩CεV_x\cap C_{\varepsilon} cover CεC_{\varepsilon}. Since the set CεC_{\varepsilon} is compact, there exists a finite subset Tε⊂XT_{\varepsilon}\subset X such that

Cε⊂⋃x∈TεVx C_{\varepsilon}\subset \bigcup_{x\in T_{\varepsilon}}V_x

Then the element

1

gε=∑φxφx‾⩾0 g_{\varepsilon}=\sum\varphi_x\overline{\varphi_x}\geqslant 0
ε \varepsilon
x∈Tεx\in T_{\varepsilon}

of C0(X)\mathscr{C}_0(X) belongs to I, and one has gε⩾ε−1g_{\varepsilon}\geqslant \varepsilon^{-1} on CεC_{\varepsilon}. The function

fε=fgε1+gε f_{\varepsilon}=\frac{f g_{\varepsilon}}{1 + g_{\varepsilon}}

belongs to I. For x∉Cεx \notin C_{\varepsilon}, one has

∣f(x)−fε(x)∣⩽2ε |f(x)-f_{\varepsilon}(x)|\leqslant 2\varepsilon

and for x∈Cεx\in C_{\varepsilon}, one has

∣f(x)−fε(x)∣=∣f(x)∣1+gε(x)⩽ε∣f(x)∣ |f(x)-f_{\varepsilon}(x)|=\frac{|f(x)|}{1 + g_{\varepsilon}(x)}\leqslant \varepsilon |f(x)|

Thus fεf_{\varepsilon} converges uniformly to ff on X when ε\varepsilon tends to 0. Hence f∈I‾f\in \overline{I}, whence f∈If\in I since I is closed.

Corollary 1 027U

For every x∈Xx\in X, let IxI_x be the set of f∈C0(X)f\in \mathscr{C}_0(X) vanishing at xx. Then x↦Ixx\mapsto I_x is a bijection of X onto the set of maximal closed ideals of C0(X)\mathscr{C}_0(X). These ideals are regular.

This follows at once from Prop. 1.

Let us denote by X′X' the Alexandroff compactification of X, that is, the compact space deduced from X by adjunction of a point at infinity ωX\omega_X (TG, I, p. 67 and 68). The algebra C0(X)\mathscr{C}_0(X) is identified with the Banach algebra of continuous complex-valued functions on X′X' vanishing at ωX\omega_X.

For every x∈X′x\in X', we denote by evx_x the character of C0(X)\mathscr{C}_0(X) defined by evx(f)=f(x)_x(f) =f(x) for every f∈C0(X)f\in \mathscr{C}_0(X).

Corollary 2 027V

The mapping x↦x\mapsto evx_x is a homeomorphism of X′X' onto X′(C0(X))\mathsf{X}'(\mathscr{C}_0(X)), and its restriction to X is a homeomorphism of X onto X(C0(X))\mathsf{X}(\mathscr{C}_0(X)). Moreover, the weak topology and the Jacobson topology coincide on X(C0(X))\mathsf{X}(\mathscr{C}_0(X)).

The mapping ev:x↦:x\mapsto evx_x of X′X' into X′(C0(X))\mathsf{X}'(\mathscr{C}_0(X)) is injective. It is surjective by Corollary 1 and Theorem 2 of I, p. 30. It is continuous, for for every function f∈C0(X)f\in \mathscr{C}_0(X) and every open subset U of R\mathbf{R}, we have

ev−1({χ∈X′(C0(X))∣χ(f)∈U})=f−1(U)^{-1}(\{\chi \in \mathsf{X}'(\mathscr{C}_0(X))|\chi (f)\in U\}) =\overset{-1}{f}(U)

which is open in X. The mapping ev is therefore a homeomorphism since X′X' is compact. The restriction of ev to X is then a homeomorphism onto X(C0(X))\mathsf{X}(\mathscr{C}_0(X)).

If F is a weakly closed subset of X(C0(X))\mathsf{X}(\mathscr{C}_0(X)), it corresponds under the homeomorphism ev to a closed subset Φ of X; precisely, by Prop. 1, we have F={χ∈X(C0(X))∣IΦ⊂F =\{\chi \in \mathsf{X}(\mathscr{C}_0(X))|I_{\Phi}\subset Ker χ}\chi \}, which is closed for the Jacobson topology.

Corollary 3 027W

Suppose X compact. Then the mapping x↦x\mapsto evx_x is a homeomorphism of X onto X(C(X))\mathsf{X}(\mathscr{C}(X)). The weak topology and the Jacobson topology coincide on X(C(X))\mathsf{X}(\mathscr{C}(X)).

3. Proper partial mappings

In this No., X and Y are locally compact topological spaces. We denote by X′X' (resp. Y′Y') the compact space obtained from X (resp. Y) by adjunction of a point at infinity ωX\omega_X (resp. ωY\omega_Y) (TG, I, p. 67–68). We identify X′X' and Y′Y' with X′(C0(X))\mathsf{X}'(\mathscr{C}_0(X)) and X′(C0(Y))\mathsf{X}'(\mathscr{C}_0(Y)), respectively (Corollary 2 of I, p. 32).

Definition 1 027X

A proper partial mapping from X into Y is a correspondence f=(Γ,X,Y)f= (\Gamma ,X,Y) (E, II, p. 10, Def. 2) between X and Y such that

(i) The graph Γ is functional;

(ii) The domain of definition of ff is an open subset U of X;

(iii) The mapping x↦f(x)x\mapsto f(x) of U into Y is proper.

The identity mapping of X is a proper partial mapping of X into X. Let Z be a locally compact topological space and ff (resp. gg) a proper partial mapping of X into Y (resp. of Y into Z). Then the composite correspondence g∘fg\circ f (E, II, p. 11, Def. 6) is a proper partial mapping of X into Z (TG, I, p. 72, Prop. 3, and p. 73, Prop. 5).

Lemma 1 027Y

For every proper partial mapping ff of X into Y, with domain of definition U, let us denote by f~\widetilde{f} the mapping of X′X' into Y′Y' defined by f~(x)=f(x)\widetilde{f}(x) =f(x) if x∈Ux\in U and f~(x)=ωY\widetilde{f}(x) =\omega_Y if x∉Ux \notin U; it is continuous.

The mapping f↦f~f\mapsto \widetilde{f} is a bijection between the set of proper partial mappings ff of X into Y and the set of continuous mappings gg of X′X' into Y′Y' such that g(ωX)=ωYg(\omega_X) =\omega_Y.

Let ff be a proper partial mapping of X into Y, and let U be its domain. We shall prove that the mapping f~\widetilde{f} is continuous. It is continuous at every point of U, since U is open in X′X'. We shall prove that it is also continuous at every point xx of X′−X'- U; then f~(x)=ωY\widetilde{f}(x) =\omega_Y. Let V be an open neighbourhood of ωY\omega_Y in Y′Y'; we shall prove that f~−1(V)\widetilde{f}^{-1}(V) is a neighbourhood of xx. By definition of the topological space Y′Y', we may suppose that V is of the form Y′−Y'- K, where K is a compact subset of Y. Since ff defines a proper mapping of U into Y, the set f−1(K)f^{-1}(K) is compact in U (TG, I, p. 77, prop. 6), hence in X′X'. In particular it is a closed subset of X′X', and f~−1(V)=\widetilde{f}^{-1}(V) = X′−f−1(K)X'-f^{-1}(K) is an open subset of X′X', and is therefore a neighbourhood of xx.

Conversely, let g:X′→Y′g: X'\rightarrow Y' be a continuous mapping such that g(ωX)=ωYg(\omega_X) =\omega_Y, and let Γg⊂X′×Y′\Gamma_g\subset X'\times Y' be its graph. The set U = X −g−1(ωY)-\overset{-1}{g}(\omega_Y) is open in X. The correspondence f=(Γg∩(U×Y),X,Y)f= (\Gamma_g\cap (U\times Y),X,Y) is a proper partial mapping of X into Y (TG, I, p. 77, prop. 7) such that f~=g\widetilde{f}=g, and it is the only one.

We shall identify the proper partial mappings of X into Y with the continuous mappings of X′X' into Y′Y' which map ωX\omega_X onto ωY\omega_Y. In particular, the proper mappings of X into Y are the proper partial mappings with domain X; they are identified with the continuous mappings ff of X′X' into Y′Y' such that that f−1(ωY)={ωX}\overset{-1}{f}(\omega_Y) =\{\omega_X\}. If X is compact, these are simply the continuous mappings of X into Y.

Let A be a commutative complex Banach algebra. Recall that X′(A)\mathsf{X}'(A) is identified with the compact space obtained from X(A)\mathsf{X}(A) by adjoining a point at infinity (I, p. 29, corollaire).

Proposition 2 027Z

Let A and B be commutative complex Banach algebras. For every algebra morphism π:A→B\pi : A\rightarrow B, the mapping X′(π)\mathsf{X}'(\pi ) is a proper partial mapping of X(B)\mathsf{X}(B) into X(A)\mathsf{X}(A).

In fact, X′(π)\mathsf{X}'(\pi ) is a continuous mapping of X′(B)\mathsf{X}'(B) into X′(A)\mathsf{X}'(A) (I, p. 10). The point at infinity of X′(B)\mathsf{X}'(B) (resp. of X′(A)\mathsf{X}'(A)) is the null character, and one has X′(π)(0)=0\mathsf{X}'(\pi )(0) = 0.

Proposition 3 0280

a) For every proper partial mapping φ\varphi of X into Y, the mapping f↦f∘φf\mapsto f\circ \varphi of C(Y′)\mathscr{C}(Y') into C(X′)\mathscr{C}(X') induces an algebra morphism φ∗\varphi^* of C0(Y)\mathscr{C}_0(Y) into C0(X)\mathscr{C}_0(X) ;

b) The mapping φ↦φ∗\varphi \mapsto \varphi^* is a bijection of the set of proper partial mappings of X into Y onto the set of algebra morphisms of C0(Y)\mathscr{C}_0(Y) into C0(X)\mathscr{C}_0(X). Its inverse bijection is the mapping π↦X′(π)\pi \mapsto \mathsf{X}'(\pi ).

Let us prove a). Let φ\varphi be a proper partial mapping of X into Y, identified with a continuous mapping of X′X' into Y′Y' such that φ(ωX)=ωY\varphi (\omega_X) =\omega_Y. For f∈C0(Y)f\in \mathscr{C}_0(Y), one has (f∘φ)(ωX)=f(ωY)=0(f\circ \varphi )(\omega_X) =f(\omega_Y) = 0, hence the mapping φ∗\varphi^* is well-defined. It is an algebra morphism.

Let us prove that X′(φ∗)\mathsf{X}'(\varphi^*) identifies with φ\varphi. Let x∈Xx\in X. For every function f∈C0(Y)f\in \mathscr{C}_0(Y), the character X′(φ∗\mathsf{X}'(\varphi^*)(evx_x) associates to ff the complex number

(evx∘φ∗_x\circ \varphi^*)(f)=(f) = evx(f∘φ)=f(φ(x))_x(f\circ \varphi ) =f(\varphi (x)),

hence X′(φ∗\mathsf{X}'(\varphi^*)(evx_x) == evφ(x)_{\varphi(x)}. This proves the assertion.

Conversely, let π:C0(Y)→C0(X)\pi :\mathscr{C}_0(Y)\rightarrow \mathscr{C}_0(X) be an algebra morphism. Let us prove that X′(π)∗=π\mathsf{X}'(\pi )^*=\pi. Let f∈C0(Y)f\in \mathscr{C}_0(Y), and let us write g=X′(π)∗(f)∈g=\mathsf{X}'(\pi )^*(f)\in C0(X)\mathscr{C}_0(X). For every x∈Xx\in X, one has

g(x)=(f∘X′(π))(x)=g(x) = (f\circ \mathsf{X}'(\pi ))(x) = evX′(π)(x)(f)=_{\mathsf{X}'(\pi)(x)}(f) = (evx∘π_x\circ \pi )(f)=π(f)(x)(f) =\pi (f)(x),

since X′(π)\mathsf{X}'(\pi ) satisfies evX′(π)(x)=_{\mathsf{X}'(\pi)(x)}= evx∘π_x\circ \pi. Hence g=π(f)g=\pi (f), which permits us to conclude that X′(π)∗=π\mathsf{X}'(\pi )^*=\pi.

In an entirely similar manner, one has:

Proposition 4 0281

Suppose that X and Y are compact. Let us identify the space X (resp. the space Y) with X(C(X))\mathsf{X}(\mathscr{C}(X)) (resp. X(C(Y))\mathsf{X}(\mathscr{C}(Y))) (corollary 3 of I, p. 33).

a) For every continuous mapping φ:X→\varphi : X\rightarrow Y, the mapping φ∗:f↦f∘φ\varphi^*:f\mapsto f\circ \varphi is an algebra morphism of C(Y)\mathscr{C}(Y) into C(X)\mathscr{C}(X);

b) The mappings φ↦φ∗\varphi \mapsto \varphi^* and π↦X(π)\pi \mapsto \mathsf{X}(\pi ) are inverse bijections between the set of continuous mappings of X into Y and the set of algebra morphisms of C(Y)\mathscr{C}(Y) into C(X)\mathscr{C}(X).

Remark 0282

In the language of category theory, the preceding results may be interpreted in the following way. Let G\mathbf{G} be the category whose objects are locally compact topological spaces and whose morphisms are proper partial mappings. The functor X ↦C0(X)\mapsto \mathscr{C}_0(X) is a contravariant, fully faithful functor from the category G\mathbf{G} into the category of commutative complex Banach algebras. Moreover, A↦X(A)A\mapsto \mathsf{X}(A) is a contravariant functor from the category of commutative complex Banach algebras into the category G\mathbf{G}. If to a locally compact topological space X one associates the homeomorphism

ev:X→X(C0(X)): X\rightarrow \mathsf{X}(\mathscr{C}_0(X)),

one obtains an isomorphism of the identity functor of the category G\mathbf{G} onto the composite functor X↦X(C0(X))X\mapsto \mathsf{X}(\mathscr{C}_0(X)).

It is not true that the composite functor A↦C0(X(A))A\mapsto \mathscr{C}_0(\mathsf{X}(A)) is isomorphic to the identity functor of the category of commutative complex Banach algebras (cf. example 2 of I, p. 36 and exercise 2 of I, p. 155). One will, however, see a statement of this type for commutative star-algebras (No. 5 of I, p. 107).

4. Gelfand Transform

Let A be a commutative Banach algebra. Recall that, for every x∈Ax\in A, GA(x)\mathscr{G}_A(x), or G(x)\mathscr{G}(x), denotes the function χ↦χ(x)\chi \mapsto \chi (x) on X(A)\mathsf{X}(A), that G(x)\mathscr{G}(x) is called the Gelfand transform of xx, and that the mapping x↦G(x)x\mapsto \mathscr{G}(x) is called the Gelfand transform (cf. definition 5 of I, p. 7). We have therefore by definition:

G(x)(χ)=χ(x) \mathscr{G}(x)(\chi ) =\chi (x)

Example 1 0283

Let X be a locally compact topological space and consider the commutative Banach algebra C0(X)\mathscr{C}_0(X) (example 3 of I, p. 17 and No. 2 of I, p. 31). By Corollary 1 of I, p. 32, the character space X(C0(X))\mathsf{X}(\mathscr{C}_0(X)) is identified with X by means of the mapping which to an element x∈Xx\in X associates the character f↦f(x)f\mapsto f(x) of C0(X)\mathscr{C}_0(X), and the Gelfand transform of C0(X)\mathscr{C}_0(X) is then identified with the identity mapping.

Example 2 0284

Let n⩾0n\geqslant 0 be an integer. Let AnA_n be the algebra of functions f:[0,1]→Kf: [0,1]\rightarrow K admitting continuous derivatives on [0,1][0,1] up to order nn. Endowed with the norm

∥f∥=∑nk1\|f\|=\sum^nk1! sup0⩽t⩽1∣f(k)(t)∣_{0\leqslant t\leqslant 1}|f^{(k)}(t)|,

k=0k=0

it is a Banach algebra (example 4 of I, p. 18). For every nn, the character space X(An)\mathsf{X}(A_n) is identified with [0,1][0,1] and G\mathscr{G} with the inclusion of AnA_n in C([0,1])\mathscr{C}([0,1]) (cf. example 1 of I, p. 144).

Example 3 0285

Let Δ be the disk of complex numbers zz satisfying ∣z∣⩽1|z|\leqslant 1 and let A be the complex Banach algebra of continuous functions on Δ analytic in the interior of Δ, endowed with the norm ∥f∥=\|f\|= supz∈Δ∣f(z)∣_{z\in\Delta}|f(z)| (example 9 of I, p. 20). Then X(A)\mathsf{X}(A) is identified with Δ and G\mathscr{G} with the inclusion of A in C(Δ)\mathscr{C}(\Delta ) (cf. Exercise 6 of I, p. 193).

Example 4 0286

Consider the complex Banach algebra A of absolutely convergent Fourier series (example 8 of I, p. 19). For every element uu of the unit circle U\mathbf{U}, the mapping f↦f(u)f\mapsto f(u) is a character evu_u of A. If f0∈Af_0\in A is the identity mapping of U\mathbf{U}, we have evu(f0)=u_u(f_0) =u, hence the mapping ev:u↦:u\mapsto evu_u of U\mathbf{U} into X(A)\mathsf{X}(A) is injective; it is continuous.

Let χ∈X(A)\chi \in \mathsf{X}(A). We have ∥f0∥\|f_0\| = ∥f0−1∥\|f_0^{-1}\| = 1, hence ∣χ(f0)∣⩽|\chi (f_0)|\leqslant 1 and ∣χ(f0)−1∣⩽1|\chi (f_0)^{-1}|\leqslant 1. This shows that χ(f0)∈U\chi (f_0)\in \mathbf{U} and there exists u∈Uu\in \mathbf{U} such that χ(f0)=\chi (f_0) = evu(f0)_u(f_0). Since {f0,f0−1}\{f_0, f_0^{-1}\} generates the unital algebra A topologically, we have χ=\chi = evu_u. Thus, the mapping ev is a homeomorphism of U\mathbf{U} onto X(A)\mathsf{X}(A), by which these spaces are identified. The Gelfand transform of A is then identified with the inclusion of A in C(U)\mathscr{C}(\mathbf{U}).

Since A is isomorphic to the Banach algebra L1(Z)L^1(\mathbf{Z}) (example 8 of I, p. 19), the space X(L1(Z))\mathsf{X}(L^1(\mathbf{Z})) is identified with U\mathbf{U} and, for every element (cn)∈L1(Z)(c_n)\in L^1(\mathbf{Z}), the Gelfand transform GL1(Z)((cn))\mathscr{G}_{L^1(\mathbf{Z})}((c_n)) is identified with the function u↦∑n∈Zcnunu\mapsto \sum_{n\in\mathbf{Z}}c_nu^n on U\mathbf{U}.

Example 5 0287

Let Δ be the unit disc of complex numbers zz such that ∣z∣⩽1|z|\leqslant 1. Its boundary in C\mathbf{C} is U\mathbf{U}. Let A be the Banach algebra of complex functions ff on U\mathbf{U} such that there exists a continuous function f~∈C(Δ)\widetilde{f}\in \mathscr{C}(\Delta ) extending ff which is analytic in Δ˚\mathring{\Delta}, endowed with the norm ∥f∥=\|f\|= supz∈U∣f(z)∣_{z\in\mathbf{U}}|f(z)|. By virtue of the maximum principle (VAR, R1, p. 30, 3.3.7), we then have ∥f∥=\|f\|= supz∈Δ∣f~(z)∣_{z\in\Delta}|\widetilde{f}(z)|, and therefore A coincides with the algebra of example 9 of I, p. 20. The set X(A)\mathsf{X}(A) is identified with Δ and, if f∈Af\in A, the mapping G(f)\mathscr{G}(f) is identified with the continuous extension of ff to Δ which is analytic in Δ˚(\mathring{\Delta}(cf. exerc. 6 of I, p. 193).

Proposition 5 0288

Let A be a commutative Banach algebra. For every x∈Ax\in A, the function G(x)\mathscr{G}(x) belongs to the commutative Banach algebra C0(X(A))\mathscr{C}_0(\mathsf{X}(A)) of continuous functions on X(A)\mathsf{X}(A) tending to 0 at infinity.

By definition (cf. no7^o7 of I, p. 9), the function GA′(x):χ↦χ(x)\mathscr{G}'_A(x) :\chi \mapsto \chi (x) is continuous on X′(A)\mathsf{X}'(A) and zero at 0. Since X′(A)\mathsf{X}'(A) is identified with the Alexandroff compactification of X(A)\mathsf{X}(A) by cor. 1 of I, p. 29, the proposition follows.

Proposition 6 0289

Let A be a commutative Banach algebra and let x∈Ax\in A.

a) The union of the set of values of G(x)\mathscr{G}(x) and of {0}\{0\} is equal to SpA′(x)'_A(x) ;

b) If A has a unit element, the set of values of G(x)\mathscr{G}(x) is SpA(x)_A(x). In particular, in order that xx be invertible, it is necessary and sufficient that G(x)\mathscr{G}(x) should not vanish.

Suppose that A admits a unit element. It is known that, for every χ∈X(A)\chi \in \mathsf{X}(A), one has χ(x)∈\chi (x)\in SpA(x)_A(x). Conversely, let λ∈\lambda \in SpA(x)_A(x). Then x−λx-\lambda is not invertible, hence belongs to a maximal ideal of A. There then exists χ∈X(A)\chi \in \mathsf{X}(A) such that χ(x−λ)=0\chi (x-\lambda ) = 0 (th. 2 of I, p. 30), whence b).

Let us pass to the general case. Let A~\widetilde{A} be the Banach algebra obtained from A by adjoining a unit element; it is commutative. The set SpA′(x)'_A(x) is equal to SpA~(x)_{\widetilde{A}}(x), that is to say to the set of values of GA~(x)\mathscr{G}_{\widetilde{A}}(x) on X(A~)=X′(A)\mathsf{X}(\widetilde{A}) =\mathsf{X}'(A). Whence a).

Example 028A

Consider the Banach algebra A of absolutely convergent Fourier series (Example 4). Prop. 6, b), implies that if φ\varphi is a function on the unit circle U\mathbf{U} admitting an absolutely convergent Fourier series, and if φ\varphi does not vanish, the function 1/φ1/\varphi also admits an absolutely convergent Fourier series ("Wiener's theorem").

Proposition 7 028B

Let A be a commutative Banach algebra.

a) The Gelfand transform G\mathscr{G} defines a morphism of A into C0(X(A))\mathscr{C}_0(\mathsf{X}(A)) such that ∥G(x)∥=ϱ(x)⩽∥x∥\|\mathscr{G}(x)\|=\varrho (x)\leqslant \|x\| for every x∈Ax\in A;

b) In order that the Gelfand transform G\mathscr{G} be isometric, it is necessary and sufficient that ∥x2∥=∥x∥2\|x^2\|=\|x\|^2 for every x∈Ax\in A.

The mapping G\mathscr{G} is a morphism of A into C0(X(A))\mathscr{C}_0(\mathsf{X}(A)) by No. o7^o7 of I, p. 9 and Prop. 5 of I, p. 37, and satisfies ∥G(x)∥=ϱ(x)\|\mathscr{G}(x)\|=\varrho (x) by Prop. 6 and Cor. 5 of I, p. 28. Assertion b) follows from a) and Remark 1 of I, p. 21.

Corollary 028C

Let A be a Banach algebra, and let xx and yy be permutable elements of A.

a) One has ϱ(xy)⩽ϱ(x)ϱ(y)\varrho (xy)\leqslant \varrho (x)\varrho (y) and ϱ(x+y)⩽ϱ(x)+ϱ(y)\varrho (x+y)\leqslant \varrho (x) +\varrho (y);

b) If yy is quasi-nilpotent, then SpA′(x)='_A(x) = SpA′(x+y)'_A(x+y); if moreover A is unital, then SpA(x)=_A(x) = SpA(x+y)_A(x+y).

By considering the Banach algebra deduced from A by adjoining a unit element, one is first reduced to the case where the algebra A is unital. Then by considering the closed full subalgebra of A generated by xx and yy, one is reduced to the case where A is commutative and unital. Assertion a) is then a consequence of Prop. 7, a), and assertion b) follows from Prop. 6 of I, p. 37 and Cor. 5 of I, p. 28.

Proposition 8 028D

Let A be a commutative Banach algebra. The following four sets are equal:

(i) The kernel of the Gelfand transform;

(ii) The set of elements xx of A such that SpA′(x)={0}'_A(x) =\{0\};

(iii) The set of quasi-nilpotent elements of A;

(iv) The radical of A.

Let us denote these sets by N1,N2,N3,N4N_1,N_2,N_3,N_4, respectively. One has N1=N_1= N2N_2 (Prop. 6, a)), and N2=N3(N_2= N_3(I, p. 28, Cor. 5). By definition, the set N4N_4 is the intersection of the regular maximal ideals of A; it is therefore the intersection of the kernels of the characters of A (th. 2 of I, p. 30), which is equal to N1N_1.

Remark 1 028E

In general, the image of the Gelfand transform is neither closed in C0(X(A))\mathscr{C}_0(\mathsf{X}(A)), nor dense in C0(X(A))\mathscr{C}_0(\mathsf{X}(A)) (Exercise 7 of I, p. 193).

Remark 2 028F

The image of the Gelfand transform separates the points of X(A)\mathsf{X}(A), since if χ1≠χ2\chi_1\not=\chi_2 are elements of X(A)\mathsf{X}(A), there exists x∈Ax\in A such that χ1(x)≠χ2(x)\chi_1(x)\not=\chi_2(x).

Remark 3 028G

If χ∈X(A)\chi \in \mathsf{X}(A), there exists an element of the image of the Gelfand transform which does not vanish at χ\chi.

Remark 4 028H

If A possesses a unit element, the image of the Gelfand transform is a full subalgebra of the algebra of continuous functions on X(A)\mathsf{X}(A) (Prop. 6, b)).

Lemma 2 028I

Let A be a commutative Banach algebra. Let M be a subset of X(A)\mathsf{X}(A). Then M is closed for the Jacobson topology if and only if, for every character χ∈X(A)\chi \in \mathsf{X}(A) - M, there exists an element xx of A such that G(x)\mathscr{G}(x) is zero on M and nonzero at χ\chi.

Let Υ(M) be the intersection of the kernels of the elements of M. The set M is closed for the Jacobson topology if and only if M = V(Υ(M)) (cf. I, p. 13 and I, p. 30). This condition is equivalent to saying that the elements χ\chi of M are precisely the characters which vanish on Υ(M). Consequently M is closed if and only if for every character χ∉M\chi \notin M, there exists x∈Υ(M)x\in \Upsilon (M) such that χ(x)≠0\chi (x)\not= 0. This translates into G(x)(χ)≠0\mathscr{G}(x)(\chi )\not= 0 and G(x)∣M=0\mathscr{G}(x)|M = 0.

5. Morphisms of commutative Banach algebras

Proposition 9 028J

Let A be a Banach algebra, let B be a commutative Banach algebra without radical, Every morphism of the underlying algebra of A into the underlying algebra of B is continuous.

Let h:A→Bh: A\rightarrow B be an algebra morphism and let (a,b)∈A×B(a, b)\in A\times B be a point adherent to the graph Γ of hh. Let χ∈X′(B)\chi \in \mathsf{X}'(B). The function x↦χ(h(x))x\mapsto \chi (h(x)) from A into C\mathbf{C} is an algebra homomorphism, hence is continuous (I, p. 29, th. 1). The map from A×BA\times B into C\mathbf{C} given by (x,y)↦χ(h(x))−χ(y)(x, y)\mapsto \chi (h(x))-\chi (y) is therefore continuous; it is zero on Γ, hence zero at (a,b)(a, b). Thus one has χ(h(a))=χ(b)\chi (h(a)) =\chi (b) for every χ∈X′(B)\chi \in \mathsf{X}'(B). Since B is without radical, one has h(a)=bh(a) =b. Thus the graph of hh is closed and therefore hh is continuous (EVT, I, p. 19, cor. 5).

Corollary 028K

On a commutative complex algebra without radical, two norms defining Banach algebra structures are equivalent.

It is enough to apply prop. 9 to the identity map of the algebra.

Let A and B be commutative Banach algebras. By No.o7^o7 of I, p. 9, if h:A→Bh: A\rightarrow B is a surjective morphism, X′(h)\mathsf{X}'(h) is a homeomorphism of X′(B)\mathsf{X}'(B) onto a closed subspace of X′(A)\mathsf{X}'(A) which transforms 0 into 0. (In the case where hh is the injection of a subalgebra into C(X)\mathscr{C}(X), the map X′(h)\mathsf{X}'(h) is injective under much weaker hypotheses, cf. I, p. 142, prop. 1, d).)

Now let h:A→Bh: A\rightarrow B be an injective morphism. In general, X′(h)\mathsf{X}'(h) is not surjective, but the following proposition provides a necessary condition for this to be the case.

Proposition 10 028L

Let A and B be commutative unital Banach algebras, h:A→Bh: A\rightarrow B a unital algebra morphism, not necessarily continuous. If X(h)\mathsf{X}(h) is surjective, then h(A)h(A) is a full subalgebra of B.

Let x∈Ax\in A be such that h(x)h(x) is invertible in B. For every χ∈X(A)\chi \in \mathsf{X}(A), there exists ξ∈X(B)\xi \in \mathsf{X}(B) such that χ=X(h)(ξ)\chi =\mathsf{X}(h)(\xi ), hence χ(x)=ξ(h(x))≠0\chi (x) =\xi (h(x))\not= 0. Prop. 6 of I, p. 37 then shows that xx is invertible in A, and hence that h(x)h(x) is invertible in h(A)h(A).

The necessary condition of the proposition is not sufficient, even if hh is isometric (I, p. 168, exerc. 14). One has nevertheless the following result:

Proposition 11 028M

Let A and B be commutative unital Banach algebras, let aa be an element of A and let h:A→Bh: A\rightarrow B be an injective unital morphism (not necessarily continuous). Suppose that the full closed subalgebra of A generated by aa is equal to A. The following conditions are equivalent:

(i) X(h)\mathsf{X}(h) is surjective;

(ii) h(A)h(A) is a full subalgebra of B;

(iii) SpA(a)=_A(a) = SpB(h(a))_B(h(a)).

(i) =⇒=\Rightarrow (ii) follows from prop. 10.

(ii) =⇒=\Rightarrow (iii) results from the formula SpA(a)=_A(a) = Sph(A)(h(a))=_{h(A)}(h(a)) = SpB(h(a))_B(h(a)), valid since h(A)h(A) is a full subalgebra of B.

(iii) =⇒=\Rightarrow (i) by the formula (4) of No.o6^o6 of I, p. 6, we have the commutative diagram

←X(h) \leftarrow^{\mathsf{X}(h)}
X(B)→X(A) \mathsf{X}(B)\rightarrow \mathsf{X}(A)
→←GB(h(a))→←GA(a) \rightarrow \leftarrow_{\mathscr{G}_B(h(a))}\rightarrow \leftarrow_{\mathscr{G}_A(a)}
←i \leftarrow_i

SpB(h(a))→_B(h(a))\rightarrow SpA(a)_A(a)

where the vertical arrows denote surjective mappings (I, p. 37, prop. 6) and ii is the canonical inclusion. Assumption (iii) means that ii is bijective. Moreover the surjective mapping GA(a):X(A)→\mathscr{G}_A(a) :\mathsf{X}(A)\rightarrow SpA(a)_A(a) is bijective: in fact, for every characters χ1\chi_1 and χ2\chi_2 of A, the set Aχ1,χ2={x∈A∣χ1(x)=χ2(x)}A_{\chi_1,\chi_2}=\{x\in A|\chi_1(x) =\chi_2(x)\} is a closed full subalgebra of A. By hypothesis, therefore, one has Aχ1,χ2A_{\chi_1,\chi_2} = A if a∈Aχ1,χ2a\in A_{\chi_1,\chi_2}, that is to say χ1=χ2\chi_1=\chi_2 if GA(a)χ1=GA(a)χ2\mathscr{G}_A(a)\chi_1=\mathscr{G}_A(a)\chi_2. The diagram then implies that the mapping X(h)\mathsf{X}(h) is surjective.

6. Simultaneous Spectrum

Let Λ be a set. Let CΛ=C[(Xλ)λ∈Λ]C_{\Lambda}=\mathbf{C}[(X_{\lambda})_{\lambda\in\Lambda}] be the unital algebra of complex polynomials in a family of indeterminates (Xλ)λ∈Λ(X_{\lambda})_{\lambda\in\Lambda}. For every χ∈X(CΛ)\chi \in \mathsf{X}(C_{\Lambda}), one has (χ(Xλ))λ∈Λ∈CΛ(\chi (X_{\lambda}))_{\lambda\in\Lambda}\in \mathbf{C}^{\Lambda}; the mapping χ↦\chi \mapsto (χ(Xλ))λ∈Λ(\chi (X_{\lambda}))_{\lambda\in\Lambda} is a homeomorphism of X(CΛ)\mathsf{X}(C_{\Lambda}) onto the product space CΛ\mathbf{C}^{\Lambda}, by means of which these spaces are identified.

Let, on the other hand, A be a commutative unital Banach algebra and x=(xλ)λ∈Λx= (x_{\lambda})_{\lambda\in\Lambda} a family of elements of A. There exists one and only one unital morphism hh of CΛC_{\Lambda} into A such that h(Xλ)=xλh(X_{\lambda}) =x_{\lambda} for every λ\lambda. The continuous mapping X(h)\mathsf{X}(h) of X(A)\mathsf{X}(A) into CΛ\mathbf{C}^{\Lambda} is the mapping which associates to χ\chi the family (χ(xλ))λ∈Λ(\chi (x_{\lambda}))_{\lambda\in\Lambda}. It is called the mapping of X(A)\mathsf{X}(A) into CΛ\mathbf{C}^{\Lambda} defined by xx.

Definition 2 028N

The image of the mapping X(h)\mathsf{X}(h) is called the simultaneous spectrum of xx, and denoted by SpAΛ(x)^{\Lambda}_A(x) or SpΛ(x)^{\Lambda}(x).

The simultaneous spectrum of xx is a compact subset of CΛ\mathbf{C}^{\Lambda}. An element c=(cλ)∈CΛc= (c_{\lambda})\in \mathbf{C}^{\Lambda} belong to SpAΛ(x)^{\Lambda}_A(x) if and only if the elements xλ−cλx_{\lambda}-c_{\lambda} belong to one and the same maximal ideal of A, in other words if the family (xλ−cλ)λ∈Λ(x_{\lambda}-c_{\lambda})_{\lambda\in\Lambda} does not generate the algebra A.

If Λ contains only one element, so that the family xx reduces to a single element x∈Ax\in A, we have SpAΛ(x)=^{\Lambda}_A(x) = SpA(x)_A(x) (I, p. 37, prop. 6, b)). If Λ′⊂Λ\Lambda '\subset \Lambda, then SpAΛ′((xλ)λ∈Λ′)^{\Lambda'}_A((x_{\lambda})_{\lambda\in\Lambda'}) is the image of SpAΛ((xλ)λ∈Λ)^{\Lambda}_A((x_{\lambda})_{\lambda\in\Lambda}) under the canonical projection mapping of CΛ\mathbf{C}^{\Lambda} onto CΛ′\mathbf{C}^{\Lambda'}. In particular, we have

SpAΛ(x)⊂∏λ∈Λ^{\Lambda}_A(x)\subset \prod_{\lambda\in\Lambda} SpA(xλ)_A(x_{\lambda}).

Let zλz_{\lambda}, for λ∈Λ\lambda \in \Lambda, denote the coordinate functions on CΛ\mathbf{C}^{\Lambda}. If χ∈\chi \in X(A)\mathsf{X}(A), the value at χ\chi of zλ∘X(h)z_{\lambda}\circ \mathsf{X}(h) is χ(xλ)\chi (x_{\lambda}), hence zλ∘X(h)=G(xλ)z_{\lambda}\circ \mathsf{X}(h) =\mathscr{G}(x_{\lambda}).

Let A and B be commutative unital Banach algebras, φ\varphi a unital morphism from A into B, and x=(xλ)λ∈Λx= (x_{\lambda})_{\lambda\in\Lambda} a family of elements of A. Let φ(x)\varphi (x) denote the family (φ(xλ))λ∈Λ(\varphi (x_{\lambda}))_{\lambda\in\Lambda} of elements of B. We have, for every χ∈X(B)\chi \in \mathsf{X}(B), and every λ∈Λ\lambda \in \Lambda

χ(φ(xλ))=(X(φ)(χ))(xλ) \chi (\varphi (x_{\lambda})) = (\mathsf{X}(\varphi )(\chi ))(x_{\lambda})

hence SpBΛ(φ(x))⊂^{\Lambda}_B(\varphi (x))\subset SpAΛ(x)^{\Lambda}_A(x). The diagram

←X(φ) \leftarrow^{\mathsf{X}(\varphi)}
X(B)→X(A) \mathsf{X}(B)\rightarrow \mathsf{X}(A)
→←→←(1) \rightarrow \leftarrow \rightarrow \leftarrow \tag{1}
Λ←iΛ _{\Lambda}\leftarrow_{i\Lambda}

SpB(φ(x))→_B(\varphi (x))\rightarrow SpA(x)_A(x)

where ii denotes the inclusion, and where the vertical arrows denote the mappings defined by the families φ(x)\varphi (x) and xx, is therefore commutative.

Example 028O

Let K ⊂CΛ\subset \mathbf{C}^{\Lambda} be a compact subset. Let z=(zλ)λ∈Λz= (z_{\lambda})_{\lambda\in\Lambda} be the family in C(K)\mathscr{C}(K) of the restrictions to K of the coordinate functions of CΛ\mathbf{C}^{\Lambda}. Then the joint spectrum SpC(K)Λ(z)^{\Lambda}_{\mathscr{C}(K)}(z) is equal to K. In fact, by Corollary 2 of I, p. 32, every character χ\chi of C(K)\mathscr{C}(K) is of the form f↦f(x)f\mapsto f(x) for an element x∈Kx\in K, and one then has (χ(zλ))λ∈Λ=x(\chi (z_{\lambda}))_{\lambda\in\Lambda}=x.

Proposition 12 028P

Let Λ be a set and A a commutative unital Banach algebra. Let x=(xλ)λ∈Λx= (x_{\lambda})_{\lambda\in\Lambda} be a family of elements of A.

a) Suppose that the full subalgebra of A generated by the family xx is dense in A. The mapping of X(A)\mathsf{X}(A) into CΛ\mathbf{C}^{\Lambda} defined by xx is a homeomorphism of X(A)\mathsf{X}(A) onto the joint spectrum SpAΛ(x)^{\Lambda}_A(x) ;

b) Suppose that the unital subalgebra of A generated by the family xx is dense in A. For every c∈CΛc\in \mathbf{C}^{\Lambda}, the following conditions are equivalent :

(i) c∈c\in SpAΛ(x)^{\Lambda}_A(x) ;

(ii) ∣P(c)∣⩽ϱ(P(x))|P(c)|\leqslant \varrho (P(x)) for every polynomial P∈C[(Xλ)λ∈Λ]P\in \mathbf{C}[(X_{\lambda})_{\lambda\in\Lambda}];

(iii) ∣P(c)∣⩽∥P(x)∥|P(c)|\leqslant \|P(x)\| for every polynomial P∈C[(Xλ)λ∈Λ]P\in \mathbf{C}[(X_{\lambda})_{\lambda\in\Lambda}].

a) The mapping of X(A)\mathsf{X}(A) into SpAΛ(x)^{\Lambda}_A(x) defined by the family xx is continuous and surjective. Let χ,χ′∈X(A)\chi ,\chi '\in \mathsf{X}(A) be characters having the same image, that is, such that χ(xλ)=χ′(xλ)\chi (x_{\lambda}) =\chi '(x_{\lambda}) for every λ∈Λ\lambda \in \Lambda. The characters χ\chi and χ′\chi ' coincide on elements of the form P(x)Q(x)−1P(x)Q(x)^{-1}, where P∈C[(Xλ)]P\in \mathbf{C}[(X_{\lambda})], Q∈C[(Xλ)]Q\in \mathbf{C}[(X_{\lambda})] and Q(x)Q(x) is invertible in A, that is, on the full subalgebra of A generated by the elements xλx_{\lambda} (lemma 2 of I, p. 6). Since χ\chi and χ′\chi ' are continuous (Theorem 1 of I, p. 29), they are therefore equal on A. This proves that X(h)\mathsf{X}(h) is a continuous bijection of X(A)\mathsf{X}(A) onto SpAΛ(x)^{\Lambda}_A(x), and hence is a homeomorphism since X(A)\mathsf{X}(A) is compact.

b) Let us show that (i) implies (ii): if c=(cλ)λ∈Λ∈c= (c_{\lambda})_{\lambda\in\Lambda}\in SpAΛ(x)^{\Lambda}_A(x), there exists χ∈X(A)\chi \in \mathsf{X}(A) such that cλ=χ(xλ)c_{\lambda}=\chi (x_{\lambda}) for every λ\lambda. For every P∈C[(Xλ)]P\in \mathbf{C}[(X_{\lambda})], we therefore have ∣P(c)∣=∣P((χ(xλ))λ∈Λ)∣=∣χ(P(x))∣⩽ϱ(P(x))|P(c)|=|P((\chi (x_{\lambda}))_{\lambda\in\Lambda})|=|\chi (P(x))|\leqslant \varrho (P(x)).

Assertion (ii) implies (iii) by reason of the inequality ϱ(x)⩽∥x∥\varrho (x)\leqslant \|x\|, valid for every x∈Ax\in A by definition of the spectral radius.

Finally let us show that (iii) implies (i). Let c=(cλ)λ∈Λ∈CΛc= (c_{\lambda})_{\lambda\in\Lambda}\in \mathbf{C}^{\Lambda} be such that

∣P(c)∣⩽∥P(x)∥(2) |P(c)|\leqslant \|P(x)\| \tag{2}

for every P ∈C[(Xλ)]\in \mathbf{C}[(X_{\lambda})]. Let A′A' be the unital subalgebra of A generated by the family xx; its elements are of the form P(x)P(x) for P∈C[(Xλ)]P\in \mathbf{C}[(X_{\lambda})]. The majorisation (2) implies that the condition P(x)=0P(x) = 0 entails P(c)=0P(c) = 0. There therefore exists a morphism of unital algebras ξ\xi from A′A' into C\mathbf{C} such that ξ(xλ)=cλ\xi (x_{\lambda}) =c_{\lambda} for every λ∈Λ\lambda \in \Lambda. By (2), the morphism ξ\xi is continuous. It therefore extends by continuity to a character χ\chi of A′‾=A\overline{A'}= A, which satisfies c=(χ(xλ))λ∈Λ∈c= (\chi (x_{\lambda}))_{\lambda\in\Lambda}\in SpAΛ(x)^{\Lambda}_A(x). This completes the proof.

7. Polynomially convex sets

Definition 3 028Q

Let Λ be a set and V a subset of CΛ\mathbf{C}^{\Lambda}. One says that V is polynomially convex if V is the set of points (cλ)λ∈Λ(c_{\lambda})_{\lambda\in\Lambda} of CΛ\mathbf{C}^{\Lambda} such that

∣P((cλ))∣⩽|P((c_{\lambda}))|\leqslant supc∈V∣P(c)∣_{c\in V}|P(c)|

for every P∈C[(Xλ)]P\in \mathbf{C}[(X_{\lambda})].

Lemma 3 028R

Let Λ\Lambda be a set. A subset V of CΛ\mathbf{C}^{\Lambda} is polynomially convex if and only if there exist a family (Pi)i∈I(P_i)_{i\in I} of elements of C[(Xλ)λ∈Λ]\mathbf{C}[(X_{\lambda})_{\lambda\in\Lambda}] and a family (Mi)i∈I(M_i)_{i\in I} of elements of [0,+∞][0,+\infty ] such that V is the set of c∈CΛc\in \mathbf{C}^{\Lambda} satisfying

∣Pi(c)∣⩽Mi |P_i(c)|\leqslant M_i

for all i∈Ii\in I.

If the subset V of CΛ\mathbf{C}^{\Lambda} is polynomially convex, it satisfies the above condition for the family consisting of the elements P of C[(Xλ)λ∈Λ]\mathbf{C}[(X_{\lambda})_{\lambda\in\Lambda}] by setting MP=M_P= supc∈V∣P(c)∣_{c\in V}|P(c)|.

Conversely, let (Pi)i∈I(P_i)_{i\in I} be a family of elements of C[(Xλ)λ∈Λ]\mathbf{C}[(X_{\lambda})_{\lambda\in\Lambda}] and (Mi)i∈I(M_i)_{i\in I} a family of elements of [0,+∞][0,+\infty ]. Let V be the set of cc in CΛ\mathbf{C}^{\Lambda} such that ∣Pi(c)∣⩽Mi|P_i(c)|\leqslant M_i for all i∈Ii\in I. Then supc∈V∣Pi(c)∣⩽Mi_{c\in V}|P_i(c)|\leqslant M_i for i∈Ii\in I. Suppose that x∈CΛx\in \mathbf{C}^{\Lambda} satisfies

∣P(x)∣⩽|P(x)|\leqslant supc∈V∣P(c)∣_{c\in V}|P(c)|

for all P∈C[(Xλ)]P\in \mathbf{C}[(X_{\lambda})]. For i∈Ii\in I, we have in particular ∣Pi(x)∣⩽Mi|P_i(x)|\leqslant M_i, hence x∈Vx\in V. Conversely, for every element x∈Vx\in V and every polynomial P∈C[(Xλ)]P\in \mathbf{C}[(X_{\lambda})], we have ∣P(x)∣⩽|P(x)|\leqslant supc∈V∣P(c)∣_{c\in V}|P(c)|. Consequently, the set V is polynomially convex.

Lemma 4 028S

Let A be a commutative unital Banach algebra. Let Λ\Lambda be a set and x=(xλ)λ∈Λx= (x_{\lambda})_{\lambda\in\Lambda} a family of elements of A. If the unital subalgebra generated by the family xx is dense in A, then the simultaneous spectrum SpAΛ(x)^{\Lambda}_A(x) is polynomially convex.

This follows from assertion b) of Prop. 12 of I, p. 43 and Definition 3.

Any intersection of polynomially convex subsets of CΛ\mathbf{C}^{\Lambda} is polynomially convex (Lemma 3). This justifies the following definition:

Definition 4 028T

Let Λ\Lambda be a set and V a subset of CΛ\mathbf{C}^{\Lambda}. The polynomially convex envelope of V is the smallest polynomially convex subset of CΛ\mathbf{C}^{\Lambda} containing V.

The polynomially convex envelope of V is the set of cc belonging to CΛ\mathbf{C}^{\Lambda} such that ∣P(c)∣⩽|P(c)|\leqslant supW∣P∣_W|P| for all P∈C[(Xλ)]P\in \mathbf{C}[(X_{\lambda})]. In fact, this set is polynomially convex by Lemma 3, and is contained in every polynomially convex set containing V by definition.

Example 028U

Let Λ\Lambda be a finite set and V⊂CΛV\subset \mathbf{C}^{\Lambda} a compact convex subset. Then V is polynomially convex. In fact, let W be the polynomially convex envelope of V. Let us prove that W⊂VW\subset V, which will imply the assertion. Let x∈CΛ−x\in \mathbf{C}^{\Lambda}-V. There exists a real hyperplane H in CΛ\mathbf{C}^{\Lambda} which strictly separates xx and V (EVT, II, p. 41, Prop. 4). Let fRf_{\mathbf{R}} be an R\mathbf{R}-linear form on CΛ\mathbf{C}^{\Lambda} and α∈R\alpha \in \mathbf{R} such that H is the set of y∈CΛy\in \mathbf{C}^{\Lambda} satisfying fR(y)=αf_{\mathbf{R}}(y) =\alpha. Let ff be a linear form on CΛ\mathbf{C}^{\Lambda} such that fR=R(f)f_{\mathbf{R}}=\mathscr{R}(f). We therefore have

R(f(x))>\mathscr{R}(f(x))> supy∈VR(f(y))_{y\in V}\mathscr{R}(f(y)).

For every t∈Rt\in \mathbf{R} and y∈Vy\in V, let us set ft(y)=t+f(y)f_t(y) =t+f(y). We have ∣ft∣−R(ft)→0|f_t|-\mathscr{R}(f_t)\rightarrow 0 in C(CΛ,R)\mathscr{C}(\mathbf{C}^{\Lambda},\mathbf{R}) endowed with the topology of compact convergence when t→+∞t\rightarrow +\infty. For tt sufficiently large, it follows that ∣ft(x)∣>|f_t(x)|> supy∈V∣ft(y)∣_{y\in V}|f_t(y)| since V is compact. Thus x∈CΛ−x\in \mathbf{C}^{\Lambda}- W since ftf_t is a polynomial function.

Lemma 5 028V

Let K be a compact subset of C\mathbf{C}. We denote by K^\widehat{K} the union of K and of the connected components of C−\mathbf{C}- K which are relatively compact. Then the set K^\widehat{K} is compact.

Since K is compact, there exists a real number r>0r >0 such that K is contained in the open disk D with center 0 and radius rr. Then C−\mathbf{C}- K contains C−\mathbf{C}-D. Since the space C−\mathbf{C}- D is connected (being homeomorphic to [r,+∞[×S1)[r,+\infty [\times \mathbf{S}^1), it is contained in a connected component U of C−\mathbf{C}^-K. Every other connected component of C−\mathbf{C}^- K is contained in D, hence is bounded. The connected component U is therefore the unique unbounded connected component of C−\mathbf{C}^- K, that is, U=C−K^U =\mathbf{C}-\widehat{K}. Since U is open and contains the complement of the disk D, the set K^\widehat{K} is compact.

Proposition 13 028W

Let n⩾1n\geqslant 1 be an integer. Let K⊂CnK\subset \mathbf{C}^n be a closed subset and V its polynomially convex hull.

a) Every bounded connected component of Cn−\mathbf{C}^n- K is contained in V;

b) If n=1n= 1, and if K is compact, then V is the union K^\widehat{K} of K and of the bounded connected components of C−\mathbf{C}- K.

Since K⊂CnK\subset \mathbf{C}^n is closed, its complement Cn−\mathbf{C}^n- K is open, hence locally connected, so that each connected component of Cn−\mathbf{C}^n- K is open. The maximum principle (VAR, R1, p. 29, 3.3.7) then shows that every bounded connected component of Cn−\mathbf{C}^n- K is contained in V, which proves assertion a).

Now suppose n=1n= 1 and K compact. Let us denote by K^\widehat{K} the union of K and of the bounded connected components of C−\mathbf{C}- K, so that K^⊂\widehat{K}\subset V by what precedes. The set K^\widehat{K} is compact (Lemma 5). Let A be the commutative unital Banach algebra C(K^)\mathscr{C}(\widehat{K}). Let x∈Ax\in A be the identity function of K^\widehat{K} and B the closed unital subalgebra of A generated by xx. We have SpA(x)=K^_A(x) =\widehat{K} (Example 3 of I, p. 17), hence C−\mathbf{C}- SpA(x)_A(x) is connected. Consequently we have SpB(x)=_B(x) = SpA(x)_A(x) (Cor. of Prop. 6 of I, p. 28). Since SpB(x)_B(x) is polynomially convex by Lemma 4, this shows that K^\widehat{K} is polynomially convex and therefore that V⊂K^V\subset \widehat{K}.

The second part of the proposition does not extend to the case n⩾2n\geqslant 2 (cf. Exercise 23 of I, p. 170).

Proposition 14 028X

Let Λ be a set. Let A be a commutative unital Banach algebra, x=(xλ)λ∈Λx= (x_{\lambda})_{\lambda\in\Lambda} a family of elements of A, and A′A' the unital Banach subalgebra generated by xx. Then the joint spectrum SpA′Λ(x)^{\Lambda}_{A'}(x) is the polynomially convex hull of SpAΛ(x)^{\Lambda}_A(x).

Indeed, Proposition 12 of I, p. 43, b) shows that SpA′Λ(x)^{\Lambda}_{A'}(x) is the set of the c∈CΛc\in \mathbf{C}^{\Lambda} such that ∣P(c)∣⩽ϱ(P(x))|P(c)|\leqslant \varrho (P(x)) for every P∈C[(Xλ)]P\in \mathbf{C}[(X_{\lambda})]. Now we have

ϱ(P(x))=\varrho (P(x)) = supχ∈X(A)∣χ(P(x))∣=_{\chi\in\mathsf{X}(A)}|\chi (P(x))|= supχ∈X(A)∣P((χ(xλ))λ∈Λ)∣=_{\chi\in\mathsf{X}(A)}|P((\chi (x_{\lambda}))_{\lambda\in\Lambda})|= supc∈SpΛA(x)∣P(c)∣_{c\in Sp_{\Lambda A}(x)}|P(c)|,

according to Proposition 7 of I, p. 38, a) and Proposition 12 of I, p. 43, a). The result then follows from Lemma 3.

Proposition 15 028Y

Let Λ be a set. Let K be a polynomially convex compact subset of CΛ\mathbf{C}^{\Lambda}. Let A0A_0 be the set of the restrictions to K of polynomial functions on CΛ\mathbf{C}^{\Lambda}, and let A be the closure of A0A_0 in the algebra C(K)\mathscr{C}(K).

Let ev:K→X(A): K\rightarrow \mathsf{X}(A) be the mapping defined by x↦x\mapsto evx_x, where evx_x is the character f↦f(x)f\mapsto f(x) of A. Let z=(zλ)λ∈Λz= (z_{\lambda})_{\lambda\in\Lambda} be the family in A of the restrictions to K of the coordinate functions on CΛ\mathbf{C}^{\Lambda}, and let φ\varphi be the surjective mapping of X(A)\mathsf{X}(A) onto SpAΛ(z)^{\Lambda}_A(z) defined by the family zz.

Then we have K = SpAΛ(z)^{\Lambda}_A(z), and the mappings ev : K →X(A)\rightarrow \mathsf{X}(A) and φ:X(A)→K\varphi :\mathsf{X}(A)\rightarrow K are reciprocal homeomorphisms.

The mapping φ∘\varphi \circ ev is the identity mapping of K. In particular, K is contained in the image SpAΛ(z)^{\Lambda}_A(z) of φ\varphi.

Proposition 14 implies that SpAΛ(z)^{\Lambda}_A(z) is the polynomially convex hull of SpC(K)Λ(z)^{\Lambda}_{\mathscr{C}(K)}(z). Since, on the other hand, we have SpC(K)Λ(z)=K^{\Lambda}_{\mathscr{C}(K)}(z) = K (I, p. 42, example), which is polynomially convex by assumption, we deduce that SpAΛ(z)=K^{\Lambda}_A(z) = K.

Since the unital subalgebra generated by the family of elements zλz_{\lambda} is dense in A, the mapping φ\varphi is a homeomorphism of X(A)\mathsf{X}(A) onto SpAΛ(z)=K^{\Lambda}_A(z) = K (Proposition 12 of I, p. 43, a)). The identity φ∘\varphi \circ ev = IdK_K then shows that ev is the reciprocal homeomorphism of φ\varphi.

For every subset Λ′\Lambda ' of Λ, we denote by prΛ′_{\Lambda'} the canonical projection CΛ→CΛ′\mathbf{C}^{\Lambda}\rightarrow \mathbf{C}^{\Lambda'}. Let W be a subset of CΛ\mathbf{C}^{\Lambda} and V its polynomially convex hull. Put W′=W'= prΛ′W_{\Lambda'}W. Since every element of C[(Xλ)λ∈Λ′]\mathbf{C}[(X_{\lambda})_{\lambda\in\Lambda'}] is identified with an element of C[(Xλ)λ∈Λ]\mathbf{C}[(X_{\lambda})_{\lambda\in\Lambda}], the polynomially convex hull of W′W' is contained in prΛ′V_{\Lambda'}V.

Lemma 6 028Z

Let K⊂CΛK\subset \mathbf{C}^{\Lambda} be a polynomially convex compact subset and U a neighbourhood of K. There exists a finite subset Λ0\Lambda_0 of Λ such that, for every subset Λ′\Lambda ' of Λ containing Λ0\Lambda_0, the set prΛ′(U)_{\Lambda'}(U) contains the polynomially convex hull of prΛ′(K)_{\Lambda'}(K).

Since K is compact, there exists a family of compact disks DλD_{\lambda} in C\mathbf{C} with center 0 and radii RλR_{\lambda} such that K is contained in the product D=∏λDλD =\prod_{\lambda}D_{\lambda}. For every P∈C[(Xλ)]P\in \mathbf{C}[(X_{\lambda})], let KPK_P be the set of

x∈CΛx\in \mathbf{C}^{\Lambda} such that

∣P(x)∣⩽|P(x)|\leqslant supc∈K∣P(c)∣_{c\in K}|P(c)|.

One has

D∩⋂PKP=K(3) D\cap \bigcap_PK_P= K \tag{3}

which is contained in U. Thus, the space D is the union of the open set D∩UD\cap U and the family of open sets D - KPK_P for P∈C[(Xλ)]P\in \mathbf{C}[(X_{\lambda})]. Since D is compact, there exists an integer q⩾1q\geqslant 1 and polynomials P1,...,Pq∈C[(Xλ)]P_1, . . . ,P_q\in \mathbf{C}[(X_{\lambda})] such that:

D∩KP1∩⋯∩KPq⊂U(4) D\cap K_{P_1}\cap \cdots \cap K_{P_q}\subset U \tag{4}

There exists a finite subset Λ0⊂\Lambda_0\subset Λ such that Pi∈C[(Xλ)λ∈Λ0]P_i\in \mathbf{C}[(X_{\lambda})_{\lambda\in\Lambda_0}] for 1⩽i⩽q1\leqslant i\leqslant q. Let us prove that Λ0\Lambda_0 verifies the assertion of the lemma.

Let Λ′\Lambda ' be a subset of Λ containing Λ0\Lambda_0. Let E be the subset of CΛ′\mathbf{C}^{\Lambda'} formed by the elements c=(cλ)λ∈Λ′c= (c_{\lambda})_{\lambda\in\Lambda'} defined by the inequalities ∣cλ∣⩽Rλ|c_{\lambda}|\leqslant R_{\lambda} for λ∈Λ′\lambda \in \Lambda ', and

∣Pi(c)∣⩽|P_i(c)|\leqslant supc∈K∣Pi(c)∣_{c\in K}|P_i(c)|

for i=1,...,qi= 1, . . . ,q. The subset E is polynomially convex (lemma 3) and formula (3) proves that prΛ′(K)⊂E_{\Lambda'}(K)\subset E.

On the other hand, let c=(cλ)λ∈Λ′∈Ec= (c_{\lambda})_{\lambda\in\Lambda'}\in E; let d=(dλ)λ∈Λd= (d_{\lambda})_{\lambda\in\Lambda} be the element of CΛ\mathbf{C}^{\Lambda} defined by dλ=cλd_{\lambda}=c_{\lambda} for λ∈Λ′\lambda \in \Lambda ' and dλ=0d_{\lambda}= 0 for λ∈Λ\lambda \in \Lambda- Λ′\Lambda '. Then (4) implies that d∈Ud\in U, and hence that c∈c\in prΛ′(U)_{\Lambda'}(U). Thus, E⊂E\subset prΛ′(U)_{\Lambda'}(U), which completes the proof.

Lemma 7 0290

Let n⩾1n\geqslant 1 be an integer and K a compact polynomially convex subset of Cn\mathbf{C}^n. Then K admits a fundamental system of compact polynomially convex neighbourhoods.

There exists a compact polydisk (cf. VAR, R1, p. 24) Δ of Cn\mathbf{C}^n which is a neighbourhood of K. Since K is polynomially convex, there exists a family (Pi)i∈I(P_i)_{i\in I} of elements of C[X1,...,Xn]\mathbf{C}[X_1, . . . ,X_n], and a family (Mi)i∈I(M_i)_{i\in I} of positive real numbers such that K is the set of the z∈z\in Δ verifying ∣Pi(z)∣⩽Mi|P_i(z)|\leqslant M_i for every ii (lemma 3). For every finite subset J of I and every ε>0\varepsilon >0, let KJ,εK_{J,\varepsilon} be the set of the z∈Δz\in \Delta such that ∣Pi(z)∣⩽Mi+ε|P_i(z)|\leqslant M_i+\varepsilon for i∈Ji\in J. Then each set KJ,εK_{J,\varepsilon} is a compact polynomially convex neighbourhood of K (loc. cit.), and the intersection of the sets KJ,εK_{J,\varepsilon} is K. The sets KJ,εK_{J,\varepsilon} therefore form a fundamental system of polynomially convex neighbourhoods of K (TG, I, p. 60, th. 1).

Exercises

In the exercises below, all algebras considered are over C\mathbf{C}, unless explicit mention is made to the contrary.

See the exercises for § 3.

Machine translation of the English, by gpt-5.4, gpt-5-mini, against glossary version 34. Not checked by a person. That model is a cut down version of the one the rest of this language was written by.