9. Compact spaces and locally compact spaces
1. Quasi-compact spaces and compact spaces
Definition 1
A topological space* is said to be quasi-compact if it satisfies the following axiom:
(C) Every filter on has at least one cluster point.
A topological space is said to be compact if it is quasi-compact and Hausdorff.
It follows immediately from this axiom that if is a mapping of a set into a quasi-compact space , and is any filter on , then has at least one cluster point with respect to . In particular, every sequence of points of a quasi-compact space has at least one cluster point; but this condition is not equivalent to (C) (Exercise 11).
We give three axioms each of which is equivalent to axiom (C):
(C') Every ultrafilter on is convergent.
(C') (C): If is a filter on then there is an ultrafilter finer than (§ 6, no. 4, Theorem 1). Since this ultrafilter converges to a point , is a cluster point of .
(C) (C'): For if an ultrafilter has a cluster point then it converges to this point (§ 7, no. 2, Corollary to Proposition 4).
If is a mapping of a set into a quasi-compact space , and is an ultrafilter on , has at least one limit point with respect to (§ 6, no. 6, Proposition 10).
(C'') Every family of closed subsets of whose intersection is empty contains a finite subfamily whose intersection is empty.
(C) (C''): Let be a family of closed subsets of with empty intersection. If every finite subfamily of has a non-empty intersection, then generates a filter (§ 6, no. 2, Proposition 1) which has a cluster point by hypothesis. This point belongs to all the sets of (since they are closed); so we have a contradiction.
: For if is false then there is a filter on which has no cluster point; hence the closures of the sets of form a family of closed subsets of contradicting axiom .
(Axiom of Borel-Lebesgue) Every open covering of contains a finite open covering of .
by taking complements.
If is quasi-compact, then every locally finite covering of is finite. For each point of has an open neighbourhood which meets only a finite number of sets of , and by a finite number of these neighbourhoods covers .
Example 1
Every finite space is quasi-compact, and more generally every space in which there is only a finite number of open sets is quasi-compact. A finite space is compact if and only if it is discrete, for a finite Hausdorff space is discrete (, no. 1, Corollary to Proposition 3). Conversely, every compact discrete space is finite, for in such a space the sets consisting of a single point are open; hence the space is finite by .
Example 2
Let be a set, and give the topology in which the closed sets are and all finite subsets of [this set of subsets clearly satisfies axioms and of , no. 4]. The topological space so defined is quasi-compact. For if is a family of closed subsets of with empty intersection, then is finite for some . Let () be the elements of ; then by hypothesis for each index there is an index such that ; the intersection of the () and is therefore empty, whence axiom is satisfied. If is infinite it is not Hausdorff.
Remark
Quasi-compact (non-Hausdorff) spaces are of use mainly in applications of topology to algebraic geometry and are seldom featured in other mathematical theories, where on the contrary compact spaces play an important role.
Theorem 1
Let* be a filter on a quasi-compact space and let be the set of cluster points of . Then every neighbourhood of belongs to .
Let be a neighbourhood of and suppose it possible that every set of meets . The intersections of the sets of with then form a base of a filter on ; is quasi-compact, so that has at least one cluster point , which does not belong to , because the neighbourhood of does not meet some of the sets of . But since is finer than , is also a cluster point of , which is contrary to hypothesis.
Corollary
For a filter on a compact space to converge it is necessary and sufficient that it has a single cluster point.
Necessity by § 8, no. 1, Proposition 1; sufficiency by Theorem 1 above.
2. Regularity of a compact space
Proposition 1
Let X be a compact space, x a point of X. In order that a filter base B formed of closed neighbourhoods of x should be a fundamental system of neighbourhoods of x it is necessary and sufficient that the intersection of the sets of B consists of x alone.
The condition is necessary since X is Hausdorff (§ 8, no. 1, Proposition 1). It is sufficient, for it signifies that x is the only cluster point of B; hence B converges to x by the Corollary to Theorem 1 of no. 1.
Corollary
Every compact space is regular.
For it follows from axiom (Hi) (§ 8, no. 1, Proposition 1) that the filter base formed by all the closed neighbourhoods of an arbitrary point of the space satisfies the condition of Proposition 1.
The following proposition amplifies the Corollary to Proposition 1:
Proposition 2
Let X be a compact space and let A, B be two disjoint closed subsets of X. Then there exist two open sets U, V, such that U ∩ V = ∅ and A ⊂ U and B ⊂ V.
Suppose the conclusion is false. If every neighbourhood U of A meets every neighbourhood V of B, then the sets U ∩ V form a filter base B on X, which therefore has a cluster point x ∈ X. Now x must lie in A, since if y is any point of X not in A there is a neighbourhood of y and a neighbourhood of A which do not intersect, since X is regular, and thus y cannot be a cluster point of B. Similarly x must lie in B and we have a contradiction.
This proposition has important consequences which will be examined in Chapter IX, § 4.
The non-Hausdorff quasi-compact space X of Example 2 of no. 1 does not satisfy axiom (O_{III}), nor a fortiori the property stated in Proposition 2, since any two non-empty open sets of this space always intersect.
3. Quasi-compacts sets; compact sets; relatively compact sets
Definition 2
A subset A of a topological space X is said to be a quasi-compact (resp. compact) set if the subspace A is quasi-compact (resp. compact).
A subset of a topological space is a quasi-compact set if and only if every covering of by open sets of contains a finite covering of ; this follows from axiom . In a Hausdorff space, the notions of quasi-compact and compact sets are the same, since every subspace is Hausdorff.
Example 1
In a topological space , every finite subset is quasi-compact; the empty set and every set consisting of one point are compact.
Example 2
In a topological space , let be an infinite sequence of points which converges to a point ; then the set consisting of the points () and is quasi-compact. For if is a covering of by open sets of , then for some index . is a neighbourhood of and therefore there is only a finite number of indices such that . For each index let be an index such that ; then and the form a finite open covering of .
Proposition 3
Every closed subset of a quasi-compact* (resp. compact) space is quasi-compact (resp. compact).
This is an immediate consequence of axiom if we remark that if is closed in then every set which is closed in is closed in .
Proposition 4
Every compact subset of a Hausdorff space is closed.
Let be a compact subset of a Hausdorff space , and let be any point of ; we have to show that . By hypothesis, every neighbourhood of meets , and therefore the neighbourhood filter of in induces a filter on ; is compact whence has a cluster point . Since the filter is coarser than the filter on generated by (considered as a filter base on ), is also a cluster point of ; hence , because converges to in and is Hausdorff (§ 8, no. 1, Proposition 1).
Corollary
In a compact space* a subset is compact if and only if it is closed in .
Proposition 5
The union of a finite family of quasi-compact subsets of a topological space is quasi-compact.
It is sufficient to show that if and are two quasi-compact subsets of a topological space , then is quasi-compact. Let be covering of ; then is a covering of and a covering of ; hence contains a finite covering of and a finite covering of ; is thus a finite covering of contained in .
Definition 3
A subset* of a topological space is said to be relatively quasi-compact (resp. relatively compact) in if is contained in a quasi-compact (resp. compact) subset of .
To abbreviate, we say also that is a "relatively quasi-compact set" (resp. "relatively compact set") when there is no ambiguity about . In a Hausdorff space the notions of relatively quasi-compact set and relatively compact set are the same.
Proposition 6
If is a Hausdorff space, a subset of is relatively compact if and only if is compact.
If is relatively compact, then is compact by Proposition 4 and its corollary; the reverse implication is self-evident.
Proposition 7
If is a relatively quasi-compact subset of a topological space , then every filter base on has a cluster point in .
For if , where is a quasi-compact subset of , then every filter base on has a cluster point in .
The converse of this proposition is not valid without restriction on (Exercise 22).
Remark
In a non-Hausdorff space, a compact set need not be closed, and its closure need not be quasi-compact (Exercise 5); the intersection of two compact sets need not be quasi-compact (Exercise 5); the union of two compact sets need not be compact (Exercise 5).
4. Image of a compact space under a continuous mapping
Theorem 2
If is a continuous mapping of a quasi-compact space into a topological space , then the set is quasi-compact.
Let be a covering of by open sets in ; then is an open covering of (§ 2, no. 1, Theorem 1); hence there is a finite subset of such that is a covering of ; but then is a covering of and the theorem is proved.
Corollary 1
Let be a continuous mapping of a topological space into a Hausdorff space . Then the image under of any quasi-compact (resp. relatively quasi-compact) set in is a compact (resp. relatively compact) set in .
Corollary 2
Every continuous mapping of a quasi-compact space into a Hausdorff space is closed. If also is bijective, then is a homeomorphism.
This follows immediately from Corollary 1 and Proposition 4 of no. 3.
In particular:
Corollary 3
A Hausdorff topology which is coarser than the topology of a quasi-compact space must coincide with the latter.
Corollary 4
Let be a topological space and a Hausdorff equivalence relation on .
a) If there is a quasi-compact set in which meets every equivalence class mod , then is compact and the canonical mapping of onto is a homeomorphism.
b) If also meets each equivalence class in only one point, then is a continuous section of with respect to the relation (§ 3, no. 5).
Let be the restriction to of the canonical mapping . Since is Hausdorff it follows from Corollary 1 that is compact and from Corollary 2 that is closed; hence the bijection associated with is a homeomorphism (§ 5, no. 2, Proposition 3). This deals with a); b) follows immediately, since we now have .
5. Product of compact spaces
Theorem 3 (Tychonoff)
Every product of quasi-compact (resp. compact) spaces is quasi-compact (resp. compact). Conversely, if a product of non-empty spaces is quasi-compact (resp. compact) then each of the factors is quasi-compact (resp. compact).
In view of the characterization of Hausdorff product spaces given in § 8, no. 2, Proposition 7 it is enough to prove the assertions for quasi-compact spaces. If is quasi-compact and non-empty, then is quasi-compact by reason of Theorem 2 of no. 4. Conversely, suppose the are quasi-compact and let be an ultrafilter on ; then for each , is an ultrafilter base on (§ 6, no. 6, Proposition 10) which therefore converges by reason of axiom (C'); hence is convergent (§ 7, no. 6, Corollary 1 of Proposition 10) and therefore is quasi-compact.
Corollary
For a subset of a product of topological spaces to be relatively quasi-compact it is necessary and sufficient that each of its projections should be relatively quasi-compact in the corresponding factor.
Necessity follows from Theorem 2 of § 4. To prove sufficiency, let be a subset of such that, for each index , is contained in a quasi-compact subset of ; then is contained in the quasi-compact subset of .
6. Inverse limits of compact spaces
Proposition 8
Let be an inverse system of compact spaces indexed by a directed set such that is the identity mapping for each . Let be the inverse limit and the canonical mapping (§ 4, no. 4). Then a) is compact and for each we have
is a closed subspace of (§ 8, no. 2, Proposition 7, Corollary 2) which is compact by Theorem 3 of no. 5 and Proposition 3 of no. 3. The other assertions are consequences of Set Theory, chap. III, § 7, no. 4, th. 1. We apply this theorem by taking to be the set of closed subsets of . The conditions (i) and (ii) are just axioms and respectively; condition (iii) is satisfied since is closed and continuous (§ 2, no. 1, Theorem 1), and lastly condition (iv) is satisfied by reason of Corollary 2 of Theorem 2 of no. 4.
Corollary 1
Let* be an inverse system of topological spaces indexed by a directed set, such that for each pair of indices for which and for each , is compact. Then equation (1) is valid and is compact for each index and each .
For each and each , let denote . If , then we have and the set of all indices is cofinal in the index set. It follows immediately that the () form an inverse system of topological spaces (with the restrictions of the as mappings), whose inverse limit is homeomorphic to . Since by hypothesis the are compact and not empty, the corollary follows from Proposition 8.
Corollary 2
Let* and be two inverse systems of topological spaces indexed by the same directed set , and let be an inverse system of mappings . Let , , . Then: a) If is such that is compact and non-empty for each , then is compact and non-empty.
b) *If the are compact, the Hausdorff and the surjective and continuous, then is surjective.
Let denote ; then clearly the form an inverse system of topological spaces (with the restrictions of the as maps) and is the inverse limit of the ; assertion a) therefore follows from Proposition 8. Assertion b) is an immediate consequence, in view of Proposition 3 of no. 3.
7. Locally compact spaces
Definition 4
A topological space is said to be locally compact if it is Hausdorff and if every point of has a compact neighbourhood.
Clearly a compact space is locally compact, but the converse is false; for example, every discrete space is locally compact, but not compact if infinite.
\* As we shall see in Chapter IV, § 2, the real line is locally compact, but not compact. \*
Proposition 9
Every locally compact space is regular.
Let be a locally compact space, then every point has a compact neighbourhood ; since is Hausdorff, is closed (no. 3, Proposition 4). On the other hand, is a regular subspace of (no. 2, Corollary to Proposition 1) and therefore is regular (§ 8, no. 4, Proposition 13).
Corollary
In a locally compact space every point has a fundamental system of compact neighbourhoods.
For the intersection of a closed neighbourhood of and a compact neighbourhood of is a compact neighbourhood of (no. 3, Proposition 3).
There exist non-Hausdorff topological spaces in which every point has a fundamental system of compact neighbourhoods (Exercise 5).
The Corollary to Proposition 9 may be generalized as follows:
Proposition 10
In a locally compact space , every compact set has a fundamental system of compact neighbourhoods.
Let be any neighbourhood of . For each there is a compact neighbourhood of contained in . The interiors of the sets
W(x) form an open covering of K as x runs through K; hence there exist a finite number of points () such that the interiors of the W(x_i) cover K. The union V of the W(x_i) is therefore a compact neighbourhood of K contained in U (no. 3, Proposition 5).
Proposition 11
Let X be a locally compact space and F a subset of X such that F \cap K is compact whenever K is a compact subset of X. Then F is closed in X.
In view of Proposition 4 of no. 3, this follows from Proposition 3 a) of § 3, no. 1.
Proposition 12
In a Hausdorff space X, every locally compact subspace A is locally closed.
By hypothesis, for every there is a neighbourhood V of x in X such that is compact and therefore closed in V (no. 3, Proposition 4).
Proposition 13
Every locally closed subspace of a locally compact space X is locally compact.
Let A be a locally closed subspace of X; then for each there is a neighbourhood U of x in X such that is closed in U. Let be a compact neighbourhood of x in X; is closed in V and therefore compact (no. 3, Proposition 3). Since is a neighbourhood of x in A, the result is proved (it is clear that A is Hausdorff).
Theorem 1 (no. 1) and Corollary 2 of Theorem 2 (no. 4) do not extend to locally compact spaces which are not compact.
For example, in an infinite discrete space X, the filter consisting of those sets which contain a given point and have a finite complement has x as its only cluster point but does not converge to x. Since any mapping f of X into a Hausdorff space X' is continuous, the image under f of an arbitrary subset of X (which is closed in X, since X is discrete) will not in general be a closed subset of X'.
The proposition corresponding to Theorem 3 of no. 5 is the following:
Proposition 14
a) *Let be a family of locally compact spaces such that is compact for all but a finite number of indices. Then the product space is locally compact.
b) Conversely, if the product of a family of non-empty topological spaces is locally compact, then the factors are compact for all but a finite number of indices, and the factors which are not compact are locally compact.
a) Let be a point of . For each index such that is locally compact but not compact, let be a compact neighbourhood of in , and for all other indices put . Then is a compact neighbourhood of in (no. 5, Theorem 3). Also is Hausdorff by , no. 2, Proposition 7, and is therefore locally compact
b) If is locally compact and the non-empty, then each of the is homeomorphic to a closed subspace of (, no. 2, Proposition 4 and , no. 3, Corollary to Proposition 7), hence locally compact by Proposition 13. Let be a point of and let be a compact neighbourhood of ; since we have for all but a finite number of indices (, no. 1), it follows from no. 4, Corollary 1 to Theorem 2, that the are compact except for a finite number of indices.
8. Embedding of a locally compact space in a compact space
Theorem 4 (Alexandroff)
If is any locally compact space, there exists a compact space and a homeomorphism of onto the complement of a point in . Furthermore, if is another compact space such that there is a homeomorphism of onto the complement of a point in , then there is a unique homeomorphism of onto such that .
Let us begin by proving the second assertion of the theorem. Let
To prove the first part of the theorem, let be a set which is the sum of and a set consisting of a single point . We define a topology on by taking the set of open subsets of to consist of all open subsets of and all subsets of the form , where is a compact subset of . Since any intersection of compact subsets of is compact (no. 3, Propositions 3 and 4) and since any closed subset of a compact set is compact (no. 3, Proposition 3), it follows that satisfies axiom ; and since any finite union of compact subsets of is compact (no. 3, Proposition 5), also satisfies . Every compact subset of is closed in (no. 3, Proposition 4) and therefore the topology induced on by that of is the original topology on . Thus it remains to show that is compact. In the first place, is Hausdorff. For if are any two distinct points of , they have disjoint open neighbourhoods respectively in , and are open in ; on the other hand each has a compact neighbourhood in , which is also a neighbourhood of in , while
is a neighbourhood of in and manifestly does not meet . Finally, is quasi-compact. Let be an open covering of ; then for at least one index we have where is a compact subset of . Hence there is a finite subset of such that the sets (for ) cover ; if , then is a finite open covering of , and the proof is complete.
Notice that if is already compact, then is an isolated point of the compact space ; hence is the sum ( 2, no. 4, Example 3) of the space and the space .
When a compact space has been constructed as above from a locally compact space by adjoining an element , it is often said that is the "point at infinity" of , and that is obtained from by adjoining a point at infinity. is also called the Alexandroff compactification or the one-point compactification of the locally compact space .
\* Example. If we apply Alexandroff's theorem to the real plane , we get a compact space homeomorphic to the sphere whose equation is in . A homeomorphism of these two spaces may be described as follows: the point (the point at infinity) adjoined to is mapped to , and every point of is mapped to the point where the line joining the points and in meets again. This homeomorphism is known as stereographic projection.
9. Locally compact -compact spaces
Definition 5
A locally compact space is said to be -compact or countable at infinity if it is a countable union of compact subsets.
Example 1
A discrete space is -compact if and only if it is countable.
Example 2
\* The real line is locally compact and -compact, since it is the union of the compact intervals for . \
Remark
A Hausdorff space can be a countable union of compact subspaces without being locally compact. \* An example is Hilbert space with the weak topology, as we shall show in a later volume.
Proposition 15
If is a locally compact -compact space, there is a sequence of relatively compact open subsets of which cover , such that for each .
Let be the union of a sequence of compact sets. Let be a relatively compact open neighbourhood of (no. 7, Proposition 10) and define inductively for to be a relatively compact open neighbourhood of (no. 3, Proposition 5; no. 7, Proposition 10). The sequence clearly has the required properties.
Corollary 1
With the notation of Proposition 15, every compact subset of is contained in some .
For can be covered by a finite number of the , by axiom (C''').
Corollary 2
Let be a locally compact space and let be the compact space obtained by adjoining a point at infinity to (no. 8). Then is -compact if and only if the point has a countable fundamental system of neighbourhoods in .
If is -compact we can construct a sequence of subsets of as in Proposition 15, and the neighbourhoods of in form a fundamental system of neighbourhoods of by reason of Corollary 1. The converse follows from the fact that the complements of open neighbourhoods of are compact subsets of .
Clearly every closed subspace of a locally compact -compact space is locally compact and -compact. Likewise any finite product of locally compact -compact spaces is locally compact and -compact.
Notice, however, that an open subspace of a compact space need not be -compact, as Alexandroff's theorem (no. 8, Theorem 4) shows.
10. Paracompact spaces
Definition 6
A topological space is said to be paracompact if it is Hausdorff and satisfies the following axiom:
(PC) Every open covering of has a locally finite open refinement . (Set Theory, Chapter II, § 4, no. 6, Definition 5).
Every compact space is clearly paracompact. Every discrete space is paracompact, for the open covering formed by all sets consisting of a single point of is locally finite and is finer than every open covering of .
Proposition 16
Every closed subspace* of a paracompact space is paracompact.
Certainly is Hausdorff. On the other hand, if is an open covering in the subspace , then each is of the form , where is open in . Consider the open covering of formed by and the ; since is paracompact, has a locally finite refinement , and the intersections with of the sets belonging to form a locally finite open covering of which is finer than the given covering .
On the other hand an open subspace of a compact space need not be paracompact (Exercise 11).
Proposition 17
The product of a paracompact space and a compact space is paracompact*.
Let be a paracompact space, a compact space, an open covering of . For each there is an open neighbourhood of in and an open neighbourhood of in such that is contained in some set belonging to . For each , the sets as runs through form an open covering of ; hence there exist a finite number of points
On the other hand the product of two paracompact spaces need not be paracompact (see Chapter IX, , Exercise 16)
Proposition 18
The sum* (§ 2, no. 4, Example 3) of a family of paracompact spaces is paracompact.
Let be the sum of the , and let be an open covering of . The covering formed by the open sets is finer than . For each , let be a locally finite open refinement of the covering ; then the open covering of formed by the
is locally finite and refines the original covering .
Theorem 5
A locally compact space* is paracompact if and only if is the sum of a family of locally compact -compact spaces.
Suppose is paracompact, and for each let be a relatively compact open neighbourhood of in . Then by hypothesis there exists a locally finite open covering of which refines the covering . The are therefore relatively compact. Every compact subset of meets only a finite number of the sets , for the non-empty sets form a locally finite open covering of the compact space ; hence they must be finite in number (no. 1). Now let be the following relation between two points of : "there exists a finite sequence of indices in such that and meets for ".
It is immediately verified that is an equivalence relation, and that each equivalence class mod is an open subset of [since the are open sets]. is therefore the sum of the locally compact subspaces (no. 7, Proposition 13) formed by the equivalence classes mod , and it remains to show that each of these subspaces is the union of a countable subfamily of the family .
Let be any point of , and define a sequence of relatively compact open subsets of by induction on as follows; is the union of the sets which contain , and for each , is the union of the sets which meet . It is immediately verified by induction on that each of the is relatively compact and is the union of a finite number of sets . Furthermore, the equivalence class of with respect to is the union of the : for if is a sequence of indices such that and meets for , then one sees by induction on that for . It follows that the equivalence classes mod are -compact, and this completes the proof of the first part of the theorem.
To prove the converse, we may assume (by Proposition 18) that is -compact. Let be any open covering of , and let be a sequence of relatively compact open sets in which have the properties stated in Proposition 15 of no. 9. Let denote the compact set ( if ). The open set is a neighbourhood of by construction; hence for each there is a neighbourhood of contained in one of the sets and contained also in . Since is compact, a finite number of the sets cover ; let be these sets. Then the family of sets is an open covering of which refines , and hence to complete the proof we have to show that is locally finite. Let be any point of , the smallest integer such that ; then since , there is a neighbourhood of which is contained in and does not meet . It follows that meets only those sets for which , i.e. meets only a finite number of sets of .
In the course of the proof we have also established the following result:
Corollary
Let be a locally compact paracompact space. Then every open covering of has a locally finite open refinement formed of relatively compact sets. If is -compact then can be taken to be countable.
Exercises
See the exercises for § 9.