Bourbaki

4. Relations between uniform spaces and compact spaces

1. Uniformity of compact spaces

Definition 1

A uniformity on a topological space XX is said to be compatible with the topology of XX if the latter coincides with the topology induced by the uniformity.

A topological space is said to be uniformizable, and its topology is said to be uniformizable, if there exists a uniformity on the space which is compatible with its topology.

There are topological spaces which are not uniformizable, for example any space which does not satisfy axiom (OIII)(O_{III}) (§1§ 1, no. 2, Corollary 3 of Proposition 2); hence the question arises of determining under what conditions a topological space is uniformizable.

We shall not give a complete answer to this question until Chapter IX, §1§ 1. In this section we shall examine only one important particular case, that in which XX is compact. We have then the following theorem:

Theorem 1

On a compact space XX there is exactly one uniformity compatible with the topology of XX; the entourages of this uniformity are all the neighbourhoods of the diagonal Δ\Delta in X×XX \times X. Furthermore, XX endowed with this uniformity is a complete uniform space.

The last part of the theorem is straightforward; for every Cauchy filter on XX has a cluster point [axiom (C)] and is therefore convergent (§3§ 3, no. 2, Proposition 5, Corollary 2).

Let us show next that if there is a uniformity on XX compatible with the topology of XX, then the set UU of entourages of this uniformity is the set of all neighbourhoods of Δ\Delta. We know already that every entourage is a neighbourhood of Δ\Delta (§1§ 1, no. 2, Proposition 2), hence we have to show that conversely every neighbourhood of Δ\Delta belongs to UU. Suppose that there is a neighbourhood UU of Δ\Delta which is not in UU; then the sets V∩CUV \cap C_U, as VV runs through UU, form a base of a filter GG on the compact space X×XX \times X; consequently GG has a cluster point (a,b)(a, b) not belonging to Δ\Delta. Since UU is a filter coarser than GG, (a,b)(a, b) is also a cluster point of UU. But the uniformity defined by UU is Hausdorff by hypothesis; hence the intersection of the closures of the sets of UU is Δ\Delta (§1§ 1, no. 2, Corollary 2 to Proposition 2 and Proposition 3); thus we arrive at a contradiction.

It remains therefore to show that the set BB of neighbourhoods of Δ\Delta in X×XX \times X is the set of entourages of a uniformity compatible with the topology of XX. For this it is enough to show that BB is the set of entourages of a Hausdorff uniformity on XX; for then the topology induced by this uniformity will be coarser than the topology of XX (Chapter I, §2§ 2, no. 2, Proposition 3) and must therefore coincide with the latter (Chapter I, §9§ 9, no. 4, Theorem 2, Corollary 3).

BB clearly satisfies axioms (FI)(F_I) and (FII)(F_{II}). Let us show that axioms (UII)(U_{II}) and (UIII)(U_{III}) are also satisfied and that Δ\Delta is the intersection of the sets of BB. Take the last point first: every set consisting of a single point (x,y)∈X×X(x, y) \in X \times X is closed, since XX is Hausdorff; hence if x≠yx \neq y, the complement of (x,y)(x, y) in X×XX \times X is a neighbourhood of Δ\Delta. Since the symmetry (x,y)→(y,x)(x, y) \to (y, x) is a homeomorphism of X×XX \times X onto itself, it follows that V∈BV \in \mathfrak{B} implies V‾1∈B\overline{V}^1 \in \mathfrak{B}, whence (UII)(\mathbf{U}_{\mathrm{II}}). Finally, suppose that (UIII)(\mathbf{U}_{\mathrm{III}}) is not satisfied; then there is a set V∈BV \in \mathfrak{B} such that for all W∈BW \in \mathfrak{B} the set W^∩CV\hat{W} \cap \mathscr{C}V is not empty; the sets W^∩CV\hat{W} \cap \mathscr{C}V, as WW runs through B\mathfrak{B}, therefore form a filter base on X×XX \times X, and this filter base has a cluster point (x,y)(x, y) not in Δ\Delta. Now, since XX is regular (Chapter I, , no. 2, Corollary to Proposition 1) there are disjoint open neighbourhoods U1U_1 of xx and U2U_2 of yy, and there are closed neighbourhoods V1⊂U1V_1 \subset U_1, V2⊂U2V_2 \subset U_2 of xx and yy respectively. Let U3=C(V1∪V2)U_3 = \mathscr{C}(V_1 \cup V_2), and consider the neighbourhood

W=⋃i=1,2,3(Ui×Ui) of Δ in X×X. W = \bigcup_{i=1,2,3} (U_i \times U_i) \text{ of } \Delta \text{ in } X \times X.

It follows immediately from these definitions that if (u,v)∈W(u, v) \in W and u∈V1u \in V_1 (resp. u∈U1u \in U_1), then we must have v∈U1v \in U_1 (resp. v∈U1∪U3=CV2v \in U_1 \cup U_3 = \mathscr{C}V_2); hence the neighbourhood V1×V2V_1 \times V_2 of (x,y)(x, y) in X×XX \times X does not meet W^\hat{W}, and we have a contradiction. This completes the proof.

Remark 1

For every finite open covering R=(Ui)1≤i≤n\mathscr{R} = (U_i)_{1 \leq i \leq n} of XX, the set

VR=⋃i=1n(Ui×Ui) V_{\mathscr{R}} = \bigcup_{i=1}^n (U_i \times U_i)

is a neighbourhood of Δ\Delta in X×XX \times X, and these sets VRV_{\mathscr{R}} form a fundamental system of neighbourhoods of Δ\Delta (and therefore a fundamental system of entourages of the unique uniformity on XX). Let WW be any neighbourhood of Δ\Delta in X×XX \times X; then for each x∈Xx \in X there is an open neighbourhood UxU_x of xx in XX such that Ux×Ux⊂WU_x \times U_x \subset W. Since the UxU_x (x∈Xx \in X) form an open covering of XX, there exist a finite number of points xix_i (1≤i≤n1 \leq i \leq n) such that the UxiU_{x_i} (1≤i≤n1 \leq i \leq n) form a covering R\mathscr{R} of XX. We have then VR⊂WV_{\mathscr{R}} \subset W, which proves the assertion.

For this reason the unique uniformity on XX is often called the uniformity of finite open coverings (cf. Chapter IX, § 4, Exercise 17).

Corollary 1

Every subspace of a compact space is uniformizable.

Corollary 2

Every locally compact space is uniformizable.

For by Alexandroff’s theorem (Chapter I, § 9, no. 8, Theorem 4) a locally compact space is homeomorphic to a subspace of a compact space.

Remark 2

It can happen that there are several distinct uniformities compatible with the topology of a locally compact space.

For example, we have seen that on an infinite discrete space there is more than one distinct uniformity compatible with the discrete topology (§ 2, no. 2, Remark).

Nevertheless it is not the case that the uniqueness of the uniformity compatible with the topology of a uniformizable space is a property which characterizes compact spaces; there exist locally compact spaces which are not compact but whose uniformity is unique (Exercise 4).

Theorem 2

Every continuous mapping ff of a compact space XX into a uniform space X′X' is uniformly continuous.

Let g=f×fg = f \times f, then gg is continuous on X×XX \times X (Chapter I, § 4, no. 1, Proposition 1, Corollary 1); hence for each open entourage V′V' of X′X', g−1‾(V′)\overline{g^{-1}}(V') is an open subset of X×XX \times X, which evidently contains the diagonal. The theorem thus follows from Theorem 1, since the open entourages of X′X' form a fundamental system of entourages (§ 1, no. 2, Proposition 2, Corollary 2).

Under the hypotheses of Theorem 2, the restriction of ff to any subspace AA of XX is uniformly continuous; hence (§ 3, no. 6, Theorem 2):

Corollary

Let AA be a dense subspace of a compact space XX, and let ff be a mapping of AA into a complete Hausdorff uniform space X′X'. Then ff can be extended by continuity to the whole of XX if and only if ff is uniformly continuous.

2. Compactness of uniform spaces

Definition 2

A uniform space XX is said to be precompact if its Hausdorff completion X^\hat{X} is compact. A subset AA of a uniform space XX is said to be a precompact subset if the uniform subspace AA of XX is precompact.

Thus a subset AA of a uniform space XX is precompact if and only if the closure of i(A)i(A) in X^\hat{X} is compact (i:X→X^i : X \to \hat{X} being the canonical map) (§ 3, no. 9, Proposition 18, Corollary 1).

Example

In any uniform space XX, the set of points of a Cauchy sequence (xn)(x_n) is precompact. Since the images of the xnx_n in X^\hat{X} again form a Cauchy sequence, we can assume that XX is Hausdorff; the closure in X^\hat{X} of the set of points xnx_n then consists of the points xnx_n and lim⁡n→∞xn\lim_{n \to \infty} x_n and is therefore compact (Chapter I, § 9, no. 3, Example 2).

Theorem 3

A uniform space XX is precompact if and only if, for each entourage VV of XX, there is a finite covering of XX by VV-small sets.

We may express this condition more intuitively by saying that XX can be covered by a finite number of sets which are as small as we please.

Let i:X→X^i : X \to \hat{X} be the canonical mapping, then the entourages of XX are the inverse images under i×ii \times i of the entourages of X^\hat{X} (§ 3, no. 7, Proposition 12). Suppose XX is precompact, and let UU be any entourage of X^\hat{X}; then there is a symmetric entourage U′U' of X^\hat{X} such that U^′⊂U\hat{U}' \subset U. Since X^\hat{X} is compact, there exist a finite number of points xj∈X^x_j \in \hat{X} such that the U′(xj)U'(x_j) (which are UU-small) cover X^\hat{X}. If VV is the inverse image of UU by i×ii \times i, the sets i−1(U′(xj))i^{-1}(U'(x_j)) are VV-small and cover XX. Conversely, suppose that for each entourage VV of XX there is a finite covering of XX by VV-small sets. We have to show that every ultrafilter F\mathfrak{F} on X^\hat{X} is convergent; since X^\hat{X} is complete, it is enough to show that F\mathfrak{F} is a Cauchy filter, i.e. that for each closed entourage UU of X^\hat{X} there is a UU-small set in F\mathfrak{F} (§ 1, no. 2, Proposition 2, Corollary 2). Let VV be the inverse image of UU under i×ii \times i, and let (Bj)(B_j) be a finite covering of XX by VV-small sets; then the sets Cj=i(Bj)C_j = i(B_j) are UU-small and cover i(X)i(X), so that

X^=⋃jC‾j. \hat{X} = \bigcup_j \overline{C}_j.
On the other hand, since Cj×Cj⊂UC_j \times C_j \subset U, and UU is closed in X^×X^\hat{X} \times \hat{X}, we have C‾j×C‾j⊂U\overline{C}_j \times \overline{C}_j \subset U, so that the C‾j\overline{C}_j are also UU-small. Since F\mathfrak{F} is an ultrafilter, one of the C‾j\overline{C}_j belongs to F\mathfrak{F} (Chapter I, § 6, no. 4, Corollary to Proposition 5).

Q.E.D.

Corollary

A uniform space XX is compact if and only if it is Hausdorff and complete and can be covered by a finite number of VV-small sets, where VV is any entourage of XX.

This follows from Theorem 3 and Theorem 1 of no. 1.

Remark 1

A non-Hausdorff quasi-compact space is not necessarily uniformizable, since it need not satisfy axiom (OIII)(O_{III}) (cf. Chapter I, § 9, no. 2); for example most of the non-Hausdorff quasi-compact spaces which appear in algebraic geometry do not satisfy axiom (OIII)(O_{III}) (cf. Exercise 2).

Proposition 1

In a uniform space every subset of a precompact set, every finite union of precompact sets and the closure of every precompact set are precompact.

The first two assertions are immediate consequences of Theorem 3. Let XX be a uniform space, AA a precompact subset of XX, and let i:X→X^i : X \to \hat{X} be the canonical mapping. i(A‾)i(\overline{A}) is contained in the closure of i(A)i(A) in X^\hat{X} (Chapter I, § 2, no. 1, Theorem 1), hence the closure of i(A‾)i(\overline{A}) in X^\hat{X} is contained in a compact set and is therefore compact.

Remark 2

In a uniform space XX a relatively compact set AA is precompact, since AA is contained in a compact set. On the other hand, even if XX is Hausdorff, a precompact set need not be relatively compact in XX, as is shown by the case where XX itself is precompact but not compact.

Proposition 2

Let f:X→Yf : X \to Y be a uniformly continuous mapping. If AA is any precompact subset of XX, then f(A)f(A) is a precompact subset of YY.

For if i:X→X^i : X \to \hat{X} and j:Y→Y^j : Y \to \hat{Y} are the canonical mappings, we have j(f(A))=f^(i(A))j(f(A)) = \hat{f}(i(A)) (§ 3, no. 7, Proposition 15) and hence j(f(A))j(f(A)) is relatively compact in Y^\hat{Y} (Chapter I, § 9, no. 4, Theorem 2, Corollary 1).

Proposition 3

Let XX be a set, let (Yλ)λ∈L(Y_\lambda)_{\lambda \in L} be a family of uniform spaces, and for each λ∈L\lambda \in L let fλf_\lambda be a mapping of XX into YλY_\lambda. Let XX carry the coarsest uniformity for which the fλf_\lambda are uniformly continuous. Then a subset AA of XX is precompact if and only if fλ(A)f_\lambda(A) is a precompact subset of YλY_\lambda for each λ∈L\lambda \in L.

The condition is necessary by virtue of Proposition 2. Sufficiency follows from the characterization of the Hausdorff completion of XX given in § 3, no. 9, Proposition 18, and Tychonoff’s theorem (Chapter I, § 9, Theorem 3, Corollary).

3. Compact sets in a uniform space

The following proposition for an arbitrary uniform space is a sharper form of Proposition 2 of Chapter I, § 9, no. 2 for compact spaces.

Proposition 4

In a uniform space XX, let AA be a compact set and BB a closed set such that A∩B=∅A \cap B = \varnothing. Then there is an entourage VV of XX such that V(A)V(A) and V(B)V(B) do not intersect.

If the proposition were false, then none of the sets A∩V‾(B)A \cap \overline{V}(B), where VV runs through the set of symmetric entourages of XX, would be empty; hence these sets would form a filter base on AA, which would have a cluster point x0∈Ax_0 \in A. Hence for each symmetric entourage VV of XX, V‾(x0)\overline{V}(x_0) would meet BB and therefore, as BB is closed, we should have x0∈Bx_0 \in B, contrary to hypothesis.

Corollary

Let AA be a compact set in a uniform space XX; then as VV runs through the set of entourages of XX, the sets V(A)V(A) form a fundamental system of neighbourhoods of AA.

Let UU be any open neighbourhood of AA, then B=∁UB = \complement U is closed and does not meet AA; hence, by Proposition 4, there is an entourage VV such that V(A)∩V(B)=∅V(A) \cap V(B) = \varnothing, and therefore V(A)⊂UV(A) \subset U.

4. Connected sets in a compact space

Definition 3

Let VV be a symmetric entourage of a uniform space XX. A finite sequence (xi)0≤i≤n(x_i)_{0 \leq i \leq n} of points of XX is said to be a VV-chain if xix_i and xi+1x_{i+1} are VV-close for 0≤i<n0 \leq i < n. The points x0x_0 and xnx_n are called the ends of the VV-chain, and they are said to be joined by the VV-chain.

Given a symmetric entourage VV, the relation "there is a VV-chain joining xx and yy" is an equivalence relation between xx and yy in XX. Let Ax,vA_{x, v} be the equivalence class of xx for this relation, i.e. the set of all y∈Xy \in X which can be joined to xx by a VV-chain. Clearly if y∈Ax,vy \in A_{x, v} then V(y)⊂Ax,vV(y) \subset A_{x, v}; hence Ax,vA_{x, v} is open in XX; and the complement of Ax,vA_{x, v}, being a union of equivalence classes, is also open. Hence:

Proposition 5

In a uniform space XX, the set Ax,vA_{x, v} of points which can be joined by a VV-chain to a given point xx is both open and closed in XX.

For each x∈Xx \in X, let AxA_x denote the intersection of the sets Ax,vA_{x, v} as VV runs through the set of symmetric entourages of XX; AxA_x is the equivalence class of xx for the equivalence relation "for all symmetric entourages VV, there is a VV-chain joining xx and yy".

Proposition 6

In a compact space XX, the component of xx, the set AxA_x, and the intersection of the neighbourhoods of xx which are both open and closed, are all three identical.

It is enough to show that AxA_x is connected: for in any uniform space XX the component of xx is contained in the intersection of the neighbourhoods of xx which are both open and closed, and this intersection is contained in AxA_x by Proposition 5.

Suppose AxA_x is not connected. Since AxA_x is closed, there are two non-empty disjoint closed sets BB and CC such that B∪C=AxB \cup C = A_x. By Proposition 4 of § 3 there is an entourage UU of XX such that U(B)∩U(C)U(B) \cap U(C) is empty.

Let WW be an open entourage such that W^⊂U\hat{W} \subset U, and let HH be the closed set which is the complement of W(B)∪W(C)W(B) \cup W(C) in XX. Suppose for example that x∈Bx \in B, and let yy be a point of CC. Then for each symmetric entourage V⊂WV \subset W one sees immediately, by induction on ii, that every VV-chain (xi)0≤i≤n(x_i)_{0 \leq i \leq n} joining xx and yy in XX must have a point in HH, by the choice of WW. Since by hypothesis xx and yy can be joined by a VV-chain for each symmetric entourage VV, we see that H∩Ax,vH \cap A_{x, v} is not empty if V⊂WV \subset W. On the other hand, if V′⊂VV' \subset V then clearly Ax,v′⊂Ax,vA_{x, v'} \subset A_{x, v}; thus it follows that, as VV runs through the set of symmetric entourages of XX, the sets H∩Ax,vH \cap A_{x, v} form a filter base of closed sets in the compact space HH. Hence all these sets have a common point and therefore HH meets AxA_x; but this contradicts the definition of HH.

Corollary

Let X be a locally compact space and let K be a compact component of X. Then the neighbourhoods of K which are both open and closed form a fundamental system of neighbourhoods of K.

Let V be a relatively compact open neighbourhood of K in X (Chapter I, § 9, no. 7, Proposition 10) and let F be its frontier. Let U ⊂ \overline{V} be a set which is both open and closed with respect to \overline{V}. Then U is closed in X, and if in addition U does not meet F, then U is open in X (for then U ⊂ V and U is open in V). Hence it is enough to show that there is a subset of \overline{V} which contains K, does not meet F and is both open and closed with respect to \overline{V}.

Suppose this is not the case: then the intersections of F with the subsets of \overline{V} which contain K and are open and closed in \overline{V} form a filter base of closed sets in F; F is compact, so these sets have a common point y ∈ F. But this is absurd; since \overline{V} is compact, K is a component of \overline{V}, and by virtue of Proposition 6, the intersection of the sets which contain K and are both open and closed in \overline{V} is just K. The Corollary is thus proved.

Proposition 7

Let X be a compact space and let R be the equivalence relation on X whose classes are the components of X. Then the quotient space X/R is compact and totally disconnected.

We know from Chapter I, § II, no. 5, Proposition 9 that X/R is totally disconnected; hence we have to show that X/R is Hausdorff (Chapter I, § 10, no. 4, Proposition 8.) Let A and B be two distinct components of X. By Proposition 6 there is a symmetric entourage U of X such that no point of A can be joined to any point of B by a U-chain. The set V (resp. W) of points of X which can be joined to a point x ∈ A (resp. y ∈ B) by a U-chain is both open and closed in X (Proposition 5) and contains A (resp. B); these sets are therefore open neighbourhoods of A and B respectively, are saturated with respect to R and do not intersect. This completes the proof.

Exercises

See the exercises for § 4.

Transcribed from the printed volume. Not translated.